Categories
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

Categories
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.

Categories
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.

Categories
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.
Categories
Compliance Into the Weeds

Mental Health and Compliance Officers

The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject. This episode considers the very prescient topic of mental health and compliance officers. There is a mental health crisis in the U.S. workforce today, which also applies to compliance officers. Matt recently moderated a webinar hosted by Ethico on how mental health issues can affect corporate culture and compliance officers. The panelists included Paul Liebman, head of compliance at Harvard University; Sarah Ross, a former compliance officer at Novartis who now runs a consulting business on burnout, depression, and related issues; and Nick Gallo, co-CEO at Ethico.

Some of the highlights included:

  • How the Covid-19 pandemic accelerated the issues of mental health for all workers.
  • We had some great suggestions from the panelists and webinar participants.
  • Understanding the difference between mental health and mental illness is critical.
  • Consider how your company could weave mental health awareness into training, especially manager training.
  • Define boundaries between work and personal life.
  • Finding a friend in your field can be a critical mental health safety check. If you feel like you have someone to speak to about stress, you’re more likely to understand and confront that stress. True for compliance officers and other employees alike.
  • There is a strong connection between mental health and a speak-up culture generally. If employees feel afraid to speak up about feeling stressed or overworked, would they be equally reluctant to speak up about misconduct?

 Resources

Matt Kelly in Radical Compliance

Categories
Innovation in Compliance

Corporate Case Management in the Era of the DoJ’s Monaco Memo: Episode 1-A Speak-Up Culture

Welcome to a special podcast series, Corporate Case Management in the Era of the DoJ’s Monaco Memo, sponsored by i-Sight Software Solutions. Over this series, we detail the changes wrought by the Monaco Memo and how compliance professionals can respond to these new challenges. In this Part 1, we look at the role of a speak-up culture in responding to the DOJ changes set out in the Monaco Memo. Highlights include:

  • What did the Monaco Memo say about corporate culture?
  • What is a ‘speak-up culture?
  • How do we encourage and foster a speak-up culture?  
  • Why is setting expectations critical to creating and maintaining a speak-up culture?
  • How a speak-up culture can provide valuable compliance and business operations information.

For more information, check out i-Sight here.

Categories
Compliance Into the Weeds

Suicide Prevention Hotline and a Speak Up Culture

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. In this episode, we look at the implementation of a national suicide prevention hotline, 988, and consider what it might teach compliance professionals. Highlights and questions posed include:

·      What is the new national Suicide Prevention hotline?

·      How does it inform your corporate hotline and speak up culture?

·      How do you teach the trait of listening?

·      Engaged employees are more effective employees.

·      How easy are the mechanics of your hotline to navigate?

Resources

Matt in Radical Compliance

Categories
Compliance Week Conference Podcast

The Brothers Gallo on Engagement and Compliance ROI

In this episode of the Compliance Week 2022 Preview Podcasts series, Nick and Gio will discuss some of their presentations at Compliance Week 2022. Some of the issues they will discuss in this podcast and their presentations are:

  • How you can demonstrate internal ROI for your compliance program;
  • How to drive stakeholder engagement through a speak up culture;
  • Where compliance is headed in 2025 and beyond.

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply first rate with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount off the registration price. Enter discount code discount code TFLAW $200 OFF.

Categories
Survive and Thrive

Creating and Maintaining a Speak Up Culture


Companies with more internal reports and complaints benefit from lesser problems occurring inside. In his paper, Dr. Kyle Welch shared that overall litigation settlements of non-material matters dropped almost 20% over three years as well. It is, therefore, made clear that speak up culture is not simply about compliance and violations but building up the trust that it is safe to raise your hand and express concerns and give feedback.
Key points discussed in the episode:
✔️ Speak up culture is built on trust. Employees must trust that when they report wrongdoing, or potential misconduct, that those reports will be investigated and, if needed, actions will be taken. Without this trust, speak up culture is a pipe dream.
✔️ There is a disconnect between the employees on the front line and the senior management in most organizations; therefore, trust is part of the psychological safety that we all must work to create. Whistleblower policies and generic communications about hotlines are not good enough.
✔️ The middle managers are going to be the most influential culture builders in your organization. Create a model of engagement with middle managers – and engage with them. Hold town hall sessions, encourage transparency, and listen regularly. Remember, the flow of information and cadence is important.
✔️ Include as many ways as possible for people to reach out and speak up – formally and informally. Hotlines tend to be a “last resort,” and employees use them when they’ve exhausted other options. Let’s create opportunities to have concerns addressed faster and possibly less formally.
✔️ Be proactive – ask for feedback, concerns, and complaints. Open the lines of communication, so when there is something to report, it is already second nature for employees to report it.
✔️ Take concerns seriously and have a high say-do ratio. The basis for speak up culture is that we want employees to raise concerns. That means when they raise those concerns, we must do our part and act on them. Employees need to see things change as a result of their speaking up.
✔️ Make sure you have a clear anti-retaliation policy and that employees reporting concerns in good faith are not retaliated against.
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Welcome to SURVIVE AND THRIVE, the newest addition to the Compliance Podcast Network. This is a podcast where we unpack compliance, crisis disasters and walk you through all the red flags which appear, and give you some lessons learned going forward. This show is hosted by Compliance Evangelist Thomas Fox and Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation.
Do you have a podcast (or do you want to)? Join the only network dedicated to compliance, risk management, and business ethics, the Compliance Podcast Network. For more information, contact Tom Fox at tfox@tfoxlaw.com.

Categories
Creativity and Compliance

Speak Up and Communication


Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network. In this show, we discuss how to use your communications to drive a speak up culture.
Some of the highlights include:

  • What is a Speak Up Culture?
    • Define it as creating a social environment where employees feel comfortable speaking up to ask questions and report concerns and they know the options for doing that.
  • Why is it so difficult to achieve?
    • Intertwine it with training – which means its infrequent
    • It’s usually boring and not particularly creative – dull posters
    • They make it “inspirational” which often comes off as preachy or inauthentic
    • Or perhaps they do a campaign but that campaign is once a year for a few weeks or worse, every other year.
    • This is largely ineffective
  • We’ve all heard the excuses.
    • Grew up with – It’s not cool to tattle. Don’t be a snitch
    • Nothing will happen anyway
    • Someone else will probably take care of it
    • I don’t want to get anyone in trouble
    • I’m a no drama llama
    • THEREFORE – you have to actually reverse this kind of thinking, which takes time.
  • How can you establish trust?
    • Comms are more important than training – continually promote and do so creatively so people pay attention and remember.
    • Transparency – share what happens – in aggregate. Tell stories.
    • Share the mechanics of the process
    • Make personal connections – you and your team need face time
    • Listen Up Culture – provide skills and resources for management – we do improv training to support that
  • Can you do this in the new WFH environment?
    • Sure. Comms are even more important.
      • Commercials during zoom meetings
      • Stories – discussion groups
      • Talk Shows & Podcasts – to get your face out there, answering questions.

Resources:
Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)
Learnings & Entertainments (Website)
60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.
Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.
Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.