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Compliance Tip of the Day

Compliance Tip of the Day: Benefits of a Speak Up Culture

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we discuss some of the benefits of a culture of speak up and reporting

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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31 Days to More Effective Compliance Programs

One Month to a More Effective Compliance Program Through Culture – Day 15 – The ROI of a Culture of Speak Up

We are now at a place where there is sufficient data, academic research, and actual use cases from corporations and businesses that demonstrate good ethics and compliance programs are not simply good for business but when properly used, they lead to greater profitability.

For 15 years, Ethisphere has been collecting data around its World’s Most Ethical Company awards. Companies that receive this designation have been found to outperform their peers on various stock indices. Ethisphere calls this the “Ethics Premium.” Ethisphere Executive Vice President (EVP) Erica Salmon Byrne has noted, “In tracking how the stock prices of publicly traded honorees compare to the U.S. Large Cap Index, we found that listed World’s Most Ethical Companies outperformed the large cap sector.” In 2010 that number was a delta of 4.5%. Yet by 2020, that number had skyrocketed to 13.5%. Clearly, Ethisphere has been on to something.

Academic research has also shown the efficacy of ethics and compliance programs. George Serafeim and Paul M. Healy demonstrated in their paper, An Analysis of Firm’s Self-Reported Anti-Corruption Efforts, that companies with robust compliance programs do better financially in countries prone to corruption than companies with less effective compliance programs. Without a robust compliance program, even with high sales in a high-risk country, the sales will drop off and lead to a negative Return on Equity (ROE) of between 24% to 30%.

Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), in his paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems” (Report). In this paper, Welch and Stubben reviewed some 15 years of anonymized data from NAVEX Global, Inc. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) there were fewer material lawsuits brought against the company overall and there were lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities.

 Three key takeaways:

1. It’s not simply speaking up, it’s a culture of speaking up.

2. Companies with speak-up culture, have a material reduction in legal fines and penalties.

3. Use Companies with a speak-up culture, to have a higher ROI.

Do you want to improve your culture? How can you assess your culture and develop a strategy to improve it going forward? In this free webinar on the new tool, The Culture Audit with Tom Fox and Sam Silverstein on Tuesday, November 28, 12 CT. For more information and registration, click here.

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Innovation in Compliance

Breaking the Silence: How Speaking Up Enhances Corporate Cultures – Tom Fox on the ROI of a Speak Up Culture

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In this concluding Part 5, Tom Fox discusses the ROI of a true culture of speaking up.

Strong reporting systems and a robust corporate culture must be balanced in business efficiency. One great academic paper demonstrates how companies with robust whistleblower and reporting systems enjoy greater profitability, increased workforce productivity, and fewer material lawsuits. Tom has seen firsthand the transformative power of a culture of speaking up. He emphasizes that it’s about having a hotline and an entire system with employee engagement. This culture of ‘SpeakUp’ can provide actionable information to prevent, detect, and remediate issues before they become legal violations and can contribute to a functioning and ethical corporate culture. A culture of trust and empowerment ultimately leads to motivated employees who can contribute to business efficiency and greater profitability. Join Tom Fox on this Breaking the Silence: How Speaking Up Enhances Corporate Culture podcast episode to delve deeper into this fascinating topic.

Key Highlights:

  • Academic research
  • Q2C and P2P
  • Material differences

Resources:

Case IQ

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Blog

Improving Your Compliance Program Through a Culture of Speak Up

I recently concluded a podcast series with Case IQ. Over this series, I visited with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. We tackled such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and will conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and more profitably. This blog post series will expand on these topics. In Part 4, we will consider how to improve your overall compliance program through a robust culture of speaking up with Meric Bloch.

Meric Bloch is passionate about investigations. Meric created the Winter Method® for conducting workplace investigations, a methodology emphasizing root-cause analysis and business-related guidance. The Winter Method is a framework for investigators to consider the business risks created when misconduct arises. He designed, implemented, and managed workplace-investigations processes globally for three multinational companies and a healthcare system. He has trained thousands of HR, internal audit, legal, and compliance professionals to conduct investigations.

Meric has conducted over 800 internal fraud and serious workplace misconduct investigations globally. He has extensive professional experience counseling business executives on the legal and business issues arising from investigations. He is on the faculty of the Society of Corporate Investigations and Ethics’ Investigations and Ethics Academy, as well as a member of its Board of Directors. Finally, Meric is a Certified Fraud Examiner, a Certified Financial Crime Specialist, a Certified Information Privacy Professional – Europe, a Professional Certified Investigator, and a Certified Compliance and Ethics Professional-Fellow.

Workplace investigations are crucial in maintaining a culture of compliance within organizations. Meric, who specializes in training investigators and improving investigation processes, emphasized the need for organizations to create a culture where employees feel comfortable reporting issues and understand their role. He highlighted the challenge of integrating a culture of speaking up within organizations, stating that it goes beyond just setting up a hotline and establishing policies. Instead, organizations need to understand who is speaking up and why.

One of the key points raised by Meric is the importance of making speaking up meaningful and credible. He pointed out that companies often must communicate what should be reported, leading to employee clarity. To address this, organizations need to go beyond generic statements and provide specific guidance on what constitutes a reportable issue. By doing so, employees will better understand their role and the importance of their contribution to maintaining compliance.

Another challenge highlighted by Meric is the need for follow-up interviews and reporter education. He stressed the need for organizations to engage with reporters and gather additional information to understand better the context and potential gaps in the initial report. This not only helps in conducting thorough investigations but also ensures that reporters feel valued and supported throughout the process.

Meric also discussed the importance of addressing friction points within organizations. He mentioned that employees often hesitate to speak up due to concerns about the involvement of headquarters or fear of retaliation. Organizations must actively address these concerns and create an environment where employees feel safe and supported when reporting issues.

Organizations must move beyond passive measures such as hotlines and policies to create a culture of speaking up. They must actively engage with employees, educate them about their role in the process, and provide clear guidance on what should be reported. By doing so, organizations can foster a culture of compliance where employees feel empowered to speak up and contribute to maintaining ethical standards.

The podcast episode highlighted the importance of workplace investigations and employee compliance culture. It emphasized the need for organizations to go beyond superficial measures and actively engage with employees to create a meaningful and credible reporting system. Organizations can build a culture that values integrity and ethical behavior by addressing the challenges associated with speaking up and maintaining compliance.

Join us tomorrow to discuss how a robust culture of speaking up will make your organization run better and have greater profitability.

Listen to Meric Bloch on Innovation in Compliance here.

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Innovation in Compliance

Breaking the Silence: How Speaking Up Enhances Corporate Cultures – Jakub Ficner on How Triage and Investigations Can Drive a Culture of Speak Up

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 3, Tom Fox visits with Jakub Ficner on the importance of your triage protocol and investigative process to foster a culture of speaking up.

Jakub Ficner has over 15 years of experience in the internal investigative space and is currently the Director of Partnership Development at Case IQ. He strongly advocates for the importance of the triage process and technology in organizational compliance. Jakub emphasizes the need for a rigorous reporting, triage, and investigation process, even before receiving a complaint or allegation. He believes that effective means of documenting and tracking investigative processes are crucial for establishing accountability and defensibility in compliance processes. Drawing from his extensive experience, Jakub highlights the significance of having a documented process, especially for multinational companies with compliance officers in various regions. He recommends using technology, such as a case management solution, to ensure accountability, defensibility, and easy information retrieval. Join Tom Fox and Jakub Ficner on this episode as they delve deeper into these topics of triage and investigations.

 Key Highlights:

  • The importance of effective triage
  • Improving Response Time and Setting Expectations
  • Effective Compliance Documentation and Tracking
  • Using Technology to Establish Accountability and Defensibility

Resources:

Jakub Ficner on LinkedIn

Case IQ

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Blog

Non-Retaliation and Protections for Those Speak Up

I recently concluded a podcast series with Case IQ. Over this series, I visited with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. We tackled such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and will conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. This blog post series will expand on these topics. Part 2 considers the need for non-retaliation and affirmative protections for those who speak up with Kenneth McCarthy.

Kenneth McCarthy retired from the Canadian Public Service in 2020 and created Integrity by McCarthy Inc. to raise the bar on how organizations prevent and resolve incidents of workplace harassment, violence, wrongdoing, and fraud. He has seen the devastating consequences on individuals and organizations and set out to make a difference. McCarthy has led a workplace investigation program for a workforce of over 15,000 employees. He has also provided executive oversight in more than 500 workplace investigations and has designed and delivered investigation training sessions to 500 front-line managers.

Sexual harassment retaliation is a pervasive issue that creates a toxic work environment and discourages victims from reporting incidents. McCarthy stressed the importance of addressing sexual harassment retaliation and encouraging workplace reporting, which was discussed in detail. He highlighted a case where women who reported harassment faced severe retaliation, leading to a loss of trust in the reporting process. This fear of being labeled a “rat” or “gossip” often prevents victims from coming forward and seeking justice. To combat this issue, non-retaliation protocols are crucial to protect individuals and ensure legal compliance.

McCarthy emphasized the significance of non-retaliation protocols in encouraging reporting. He shared a disturbing case from his government days, where individuals who reported sexual harassment expressed regret and advised others to stay silent. The retaliation they faced was systemic and created an environment where they could no longer work with their colleagues.

The fear of retaliation is deeply rooted in the perception of being a whistleblower or complainant. McCarthy underlined the importance of having strong policies, consequences for violators, and open workplace conversations to empower bystanders. Bystanders play a crucial role in identifying and reporting harassment but often fear retaliation or loyalty conflicts.

McCarthy’s vision is for individuals to report concerns without even realizing they are whistleblowers or complainants. This can be achieved by fostering a culture where employees feel comfortable sharing any observations that don’t feel right. Real conversations between middle and senior managers and their staff are essential to emphasize the importance of raising concerns, no matter how small they may seem.

He also highlighted the need for confidentiality in reporting processes. Protecting the identity of whistleblowers and complainants is crucial to ensure their safety and prevent further retaliation. McCarthy emphasized the importance of continuous monitoring and promptly addressing incidents. You need a culture that provides resources for workplace issues and emphasizes the importance of bystander involvement, strong retaliation policies, and confidentiality in reporting processes. Organizations can create a safer and more inclusive work environment by encouraging bystanders to come forward and protecting them when they do.

Balancing the factors involved in addressing sexual harassment retaliation and encouraging reporting is challenging. Employers must navigate the tradeoffs between protecting individuals and maintaining the integrity of the reporting process. However, the long-term benefits of creating a workplace where harassment is not tolerated far outweigh the challenges.

The Me-Too movement has highlighted that addressing sexual harassment and discrimination is not solely the responsibility of the victims. Everyone is responsible for speaking up when they witness inappropriate behavior, regardless of whether it directly affects them. This shift in mindset is crucial to creating a culture of accountability and support.

In conclusion, addressing sexual harassment retaliation and encouraging workplace reporting requires a multifaceted approach. Strong non-retaliation protocols, open workplace conversations, and the empowerment of bystanders are key factors in creating a safe and inclusive work environment. By prioritizing the well-being of employees and fostering a culture of trust, organizations can effectively combat sexual harassment and ensure compliance with legal and regulatory requirements.

Join us tomorrow to discuss the importance of your triage and investigation process to foster a culture of speaking up.

Listen to Kenneth McCarthy on Innovation in Compliance here.

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Innovation in Compliance

Breaking the Silence: How Speaking Up Enhances Corporate Cultures – Kenneth McCarthy on Non-Retaliation and Protections for Those Speak Up

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 2, Tom Fox visits with Kenneth McCarthy on the importance of non-retaliation and protections for those who speak up.

Kenneth McCarthy is a seasoned professional with a diverse background in government and entrepreneurship and a wealth of experience in handling whistleblowers, including sexual harassment cases. Kenneth’s perspective on addressing sexual harassment retaliation and encouraging reporting in workplaces is rooted in his belief in the importance of non-retaliation protocols and processes. He emphasizes the need to create a safe and supportive environment for individuals to report concerns, particularly in cases of sexual harassment. Drawing from personal experiences, he has seen the damaging effects of retaliation on individuals’ willingness to speak up and the potential legal and reputational implications for employers who fail to protect whistleblowers. Join Tom Fox and Kenneth McCarthy as they delve deeper into this topic in this episode.

 Key Highlights:

  • Systemic Retaliation in Sexual Harassment Cases
  • Creating a Safe Reporting Environment
  • The Crucial Role of Empowered Bystanders
  • Encouraging Bystanders: Protecting and Supporting Witnesses

Resources:

Kenneth McCarthy on LinkedIn

Integrity by McCarthy

Case IQ

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Blog

What is a Speak Up Culture?

I recently concluded a podcast series with Case IQ. Over this series, I visited with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. We tackled such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and will conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. This blog post series will expand on these topics. In Part 1, I visited with Sharlyn Lauby to learn about the speak-up culture.

Sharlyn is the author of HR Bartender and president of ITM Group Inc., a Florida-based training and human resources consulting firm focused on working with companies to retain and engage talent. She sees human resources as a strategic partner—the marketing department for a company’s internal clients—rather than an administrative one. During her 20+ years in the profession, she earned a reputation for bringing business solutions to reality. Her areas of expertise include organizational development, training, employee relations, and job design. She has a broad knowledge of workplace social media, strategic planning, and recruitment. And I’m skilled in new program design, project management, and human resources compliance.

In this concept of fostering a speak-up culture, we explored the workplace. A speak-up culture is a work environment where open communication is encouraged, fostering trust and innovation. This culture is built on leadership that values listening and employee involvement in problem-solving. One of the key factors in fostering a speaking-up culture is protecting employees from retaliation. Anti-retaliation policies and procedures, training for middle managers, and a consistent, transparent process for investigating concerns are crucial to maintaining this culture. The fair process doctrine, which emphasizes transparency, consistency, and protection from retaliation, plays a significant role in building trust, encouraging engagement, and enhancing the overall organizational culture.

Sharlyn highlighted the importance of addressing negative concerns and encouraging employees to share their ideas with management. When employees feel empowered to contribute their ideas, it can lead to significant positive outcomes for the organization. Sharlyn shared a powerful example of an organization that faced a budget challenge and involved employees in finding solutions. By offering incentives for revenue-raising or cost-saving ideas, the company not only met its budget goals but exceeded them, generating $5 million in savings. This story illustrates the potential for great things when organizations listen to their employees and value their input.

However, fostering a speak-up culture goes beyond just listening. It requires implementing policies and procedures to protect employees who have the courage to speak up. Employees need to feel confident that their concerns will be taken seriously and properly investigated. This is crucial for building trust and ensuring that employees feel comfortable bringing forward their concerns. Retaliation should never be tolerated, and organizations must make it clear that it will not be accepted under any circumstances.

Middle managers play a vital role in fostering a speak-up culture. They need to be trained to listen, accept information, and report it to the appropriate channels. Middle managers should also support employees throughout the process, helping them navigate any challenges they may face. Building relationships with managers is essential, as it encourages open communication and creates an environment where managers feel comfortable seeking guidance when needed.

Consistency and transparency in the investigation process are also key components of a speak-up culture. Organizations must have a clear process in place for investigating concerns, and employees should be aware of this process. When employees know that their concerns will be taken seriously and investigated, it builds confidence in the organization and encourages them to speak up when necessary.

The Department of Justice has emphasized the importance of consistency and transparency in investigations, as they contribute to institutional justice and fairness within a corporation. Organizations must communicate to employees that concerns will be thoroughly investigated, regardless of the number of ongoing investigations at any given time. This ensures that employees feel heard and that their concerns will be addressed appropriately.

In conclusion, fostering a speak-up culture in the workplace is crucial for building trust, encouraging engagement, and enhancing the overall organizational culture. It requires leadership that values listening and employee involvement, as well as policies and procedures to protect employees from retaliation. Middle managers play a vital role in supporting employees and facilitating open communication. Consistency and transparency in the investigation process are essential for building trust and ensuring that employees feel comfortable bringing forward their concerns. By fostering a speak-up culture, organizations can create an environment where employees feel empowered to contribute their ideas and make a positive impact on the workplace.

Join us tomorrow when we take up non-retaliation and protections for those who speak up.

Listen to Sharlyn Lauby on Innovation in Compliance here.

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Blog

Speaking Up is Awesome

We are on a run of some great, informative and incredibly useful books by some super star compliance professionals. A couple of weeks ago Mary Shirley released Level Up. In her book, Mary shared forward-thinking hacks and ideas to improve the effectiveness of your Ethics and Compliance program to build a stronger, winning function, honoring psychological safety. Her manifesto for Living Your Best Compliance life contained carefully curated tips and takeaways for optimum impact and immediate action, at low or no investment, because the typical Compliance Officer is not always flush with funds and tends to make do like a corporate MacGyver.

Next week Adam Balfour’s Ethics and Compliance for Humans will be released. (It is available for presale here.) In his book, Balfour, a well-known corporate compliance expert writes why ethics and compliance departments, HR and business leaders must keep people top of mind when designing and implementing ethics and compliance programs. The human-centric programs Balfour espouses resonate with and are highly relevant to their audiences. They not only consider the human experience, but also protect those who are—or might otherwise be—harmed by wrongdoing. Or as Carsten Tams might say, it’s all about the UX.

I am thrilled to be sitting between two such compliance luminaries with the release of my second children’s book on compliance Speaking Up is Awesome. This is the second in my three-book series about compliance for children. The first Being a Compliance Officer is Awesome was released last December and within its first week was a best-selling book for children on Amazon.com. Both books were published and illustrated by Dinosaur House.

Many years ago, when my daughter was a teenager, I asked her if she knew what a whistleblower was. I told her that when I person raised their hand and spoke up after they saw something wrong, that was being a whistleblower. Her response was “That’s what we call a rat.” I have long thought about her response (and she is long past being a teenager). I have wanted to try and change the narrative for teenagers and I feel like in this book Speaking Up is Awesome I have created a way to do so.

The book is the story of our intrepid crew traveling across the galaxy to Planet Pawtastic Friends, the dog rescue planet. On Planet Pawtastic Friends, dogs receive enrichment training so they can be adopted and move to their Fur-ever homes. In enrichment training, dogs train work with rescue dogs to make them ‘super-adoptable’. On their journey, one of the crew discovers something wrong with the engine but as she is not an engineer, she is worried the ship’s engineers will be mad at her; call her a rat and punish her by not letting her come to Thanksgiving Dinner. But she listens to her gut and decided she must tell the Captain about the problem.

It turns out the problem with the engine was quite serious and her speaking up saved the ship. She listened to her gut and she learned that by doing so, it can pay big dividends when you speak up. Not only did she potentially save the ship, but her suggestion made the spaceship run more efficiently and they were able to go farther by savings on fuel. Her example led the Captain to install an anonymous hotline so that other crew members could make reports of unsafe situations or even make suggestions on how to make the spaceship run better. Everyone on the spaceship learned that speaking up is awesome.

Just like my first book, this new book, Speaking Up is Awesome is aimed for the children, families and friends of compliance professionals. Or perhaps you could take hold of the suggestion of Carsten Tams who said that my first children’s book was an excellent guide for other corporate executives who might not fully understand the role of compliance in an organization. Whoever you might want to purchase my book for; it is designed to change the narrative about how children think about whistleblowers. If we can get a generational change in this dynamic, it will make companies better about doing business in compliance and with greater ethics. Moreover,  it will allow many companies to take their speak up culture to another level.

Kyle Welch, in his seminal work Evidence on the Use of and Efficacy of Internal Reporting Systems found that when companies had a culture of speaking up, they not only sustained material cost savings but they became better run companies. The reason was simple; engaged employees felt safe in raising their hands and speaking up. When they did so with such safety, these companies became better run. It seems straight-forward and Welch’s research affirmed this.

I hope you will check out and purchase a copy of Speaking Up is Awesome and we can all change the narrative for today’s kids. Just imagine a galaxy where kids felt like they could speak up and what it would mean for corporate America when they get into the workforce.

There is yet one more reason to purchase this book. Profits go to Pawtastic Friends, the dogs enrichment center founded by my good friends Michael and Melissa Novelli. They are literally changing dogs lives with enrichment training. Pawtastic Friends is the specified non-profit partner of the Compliance Podcast Networkand also check out their podcast, The Paw Talk which appears on the CPN. In this podcast, Mike and Melissa talk about dogs available for adoption and some dogs who have found their fur-ever homes. I hope you will consider a donation to Pawtastic Friends.

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31 Days to More Effective Compliance Programs

One Month to a More Effective Compliance Program in Training and Communications- One Using Communications to Drive a Speak Up Culture

How often have you thought about the role of communications in your entire hotline reporting system? I do not mean posters giving the hotline number, promising anonymity and non-retaliation. I mean using compliance communications to create a social environment where employees feel comfortable speaking up to ask questions and report concerns and they know the options for doing that.

Why do many compliance professionals find it so difficult to use compliance communications to help move the ball forward on driving a speak up culture? It begins because many conflate such communications with training. Training tends to be viewed as something that happens once per year or on a similar cadence. Yet even the DOJ has seen through the fallacy of this argument in its 2020 Update to the Evaluation of Corporate Compliance Programs when it stated, “companies have invested in shorter, more targeted training sessions to enable employees to timely identify and raise issues to appropriate compliance, internal audit, or other risk management functions.”

The 2020 Update also leads to the following questions, what resources have been available to employees to provide guidance relating to raising an issue? And, has your company assessed whether its employees know when to seek advice and whether they would be willing to speak up? Can you answer these to satisfaction of the DOJ? If not, you may have a gap in your speak up communications program.
The bottom line to all is that in compliance, you are only limited by your imagination. When you overlay creativity on your imagination, you can create something very special. And you can use compliance communications to drive a speak up culture.
 Three key takeaways:

  1. How can communications improve a speak up culture?
  2. Use communications to foster trust.
  3. A speak up culture only works when paired with a ‘listen-up’ culture.