Your Quick Guide To Managing Ethics & Compliance

How was that for you then?

So, how was 2021 for you then? If LI allowed in-article polling, I might use a scale that went:

Brussels sprouts, little green balls of death
  1. I’d rather have had a perpetual colonoscopy/root canal treatment; it would have been less painful.
  2. Not the best. Like avoiding your child’s primary school orchestra’s rendition of the 2001 Space Odyssey theme, to attend a concert of your favourite band, only to find that half of the band is dead and the rest might as well be; less hip, more hip-replacement.
  3. Sort of okay. I avoided (extended) family during various festivals where we’re typically forced to eat overcooked foodstuffs no one voluntarily orders. I got good at something non-work-related and no, it wasn’t sourdough.
  4. Never been better. I am a supremely positive person, or maybe I don’t like people and want social distancing and travel restrictions to perpetuate. I’ve perfected the Zoom nod better than those bulldogs in ride-hailing cars/taxis while I worked on my fantasy novel, got my heart rate below 35bpm, and learned an endangered language.

What now?

As many of us meander and stumble back into offices (ones with striplights and/or kitchen table WFH ‘offices’), do we need a brief pause before 2022 commences in earnest?

2021 was a marathon for many. It is commendable that during that seemingly unending distanced and remote existence, risk, ethics & compliance professionals adapted rapidly. The workload and intensity remained unrelenting as we operated without (much) access.

Many significant changes have occurred, especially in training, risk assessment, supply chain oversight, monitoring, and investigations. But “significant change” does not mean progressive or positive.

Is it working?

In some cases, yes, in others, no. Where things aren’t perhaps clicking, there are often reasons beyond the risk/E&C team’s control – notably budget restraints, including those linked to replacing or updating technology (and learning management systems) that are unfit for purpose.

With things outside – or at least a bit removed – from our control aside, what are the thematic blockers to success? I’d argue it’s the 3Cs, and have used training primarily (more on the other topics anon) to explain the point.

Creativity

We’ve all been spoiled. Do you remember having to watch the commercial breaks, having waited a week for your favourite show? Maybe that patience helped us endure ‘talk n bore’ training. No more. The streaming and social media era are unforgiving of content that doesn’t grab your attention (or provide a distraction, like swiping zombies). If it ain’t addictive, creative and memorable, forget it.

One does not simply click next through the workplace health and safety training

I’m not advocating that we all become masters of distraction and disinformation, more that we think about:

  1. The purpose: Awareness raising may require a very different medium to be functional/actionable or change existing cultures.
  2. The audience: Are you trying to reach everyone or a select few? One size fits none in most settings, increasing the need to focus on objectives and if training is even a suitable medium for the message.
  3. The intended future state: What are we expecting people to do with this information? If they are required to activate the content, how are you going to arm them to do that? Referring back to a 5-minute video to implement a new process may not be optimal; a checklist might work better.
  4. What next: We’re seldom able to recall information on the first impression, and we can’t expect people to sit through repetitious content. The solutions might include testing comprehension, spaced repetition, and learning aids.

Communication

Most of us don’t retain as much as we’d like from reading, listening, or watching content. Data, including that from the US Institute of Training, suggests our retention rate only really hits 75%+ when we get the chance to practice learning. Inherent in this need is two-way communication, an opportunity for virtual ‘discussion’ of sorts – allowing the user to engage with the content.

Third-party red flags

For areas where it’s less about practice – including managing third parties, monitoring, and risk assessments – communication extends beyond a simple what to so what. Telling people what to look for or what data you want from them isn’t enough. When the rubber hits the road, we must explain what to do; when you spot a red flag, what it means, what more information is needed, the decision-making framework (escalate, stop, continue), etc.

Clarity

So, we need to communicate better AND do that more creatively. Phew! Pro-tip: brevity is always harder. If someone asks me to condense a 40 mins session into 10 mins, that is wayyyyyyy more of a challenge than 40 mins into 3 hrs.

Clarity requires distillation. What does the person/people across from me need to know and what do I want them to do? If you’re looking for inspiration, cybersecurity often does this well. They don’t spend time telling us how a thumb-drive infected with malware penetrates your CPU; they tell us, “You wouldn’t pick up and eat some food you found on the floor, so why are you doing the IT equivalent.”

In ethics & compliance especially, we tend to explain the legal workings of a given construct. That may have utility with a leadership team charged with signing off on various regulations. Typically, however, if you can avoid that and focus on why this matters and what I need from you, it’s easier for the other person to grasp.

The power of experts

Where do we find these news skills, inspiration, and ideas?

When I started Ethics Insight, I had no clue about, well, most aspects of running a business. I stumbled in the dark for a year or so before recognising the power of experts and collaborators. Maybe it’s time we risk/E&C professionals started looking to non-traditional sources of support and inspiration to try and close the distance gap.

My top picks:

  1. For distilling complexity into simplicity, scientists are a good start.
  2. Getting people to do things a certain way – marketing and UX designers.
  3. Changing behaviours – poachers turned gamekeepers (those who’ve been on the wrong side of those pressures) or free-thinking investigative types.
  4. To create a narrative, story, or culture change – artists and (good) journalists.
  5. Systems that work – mathematicians turned businesspeople (if it doesn’t work, it doesn’t work).

2022 looks more like “2020 too” than “2020 new”, but let’s make it a good one nonetheless!

As I continue this newsletter, what topics would be most helpful to you?

Thank you!

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Your Quick Guide To Managing Ethics & Compliance

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