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Creating a Culture of Compliance Based on Ethics - YouTube
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creating a culture of compliance built
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on ethics
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compliance is working in accordance with
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the rules regulation laws and other
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requirements to which the organization
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is subject to
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in other words you do it because you
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have to now compliance is important
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because it allows your organization to
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continue working towards its mission and
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goals
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by following the regulations you prevent
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financial and legal consequences of
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being out of compliance
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it's essential for any organization and
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something that you have to clearly
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demonstrate to your employees
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be transparent about compliance
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compliance is what keeps your
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organization in business and keeps your
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staff employed
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it ensures your customers can use your
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product
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sometimes it can also be just the bare
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minimum
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and if we go along with just a culture
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of compliance
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we can end up telling ourselves that
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using those loopholes is okay because we
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aren't breaking any rules
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so to prevent that kind of thinking from
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permeating our organization's culture
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you want to balance compliance with
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ethics
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ethics are those judgments and decisions
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that are connected with values
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often these values can come from a clear
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mission statement
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evident is its evidence in the culture
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of your company or your organization and
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how the company is viewed in the
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communities that you serve
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in other words you do something because
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it's the right thing to do
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because it is not an adequate ethical
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standard to aspire to get through the
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day without being indicted right
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especially in education it's not enough
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to say
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we made it through the school year
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without being sued
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or we made it through the school year
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without having to pay back the state ada
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after an audit right you can't just do
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it
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so that you don't get sued you have to
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do it because it's the right thing to do
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this means that we are going to make
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decisions based on our organization's
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values
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and regulatory requirements
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you want a culture which recognizes
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compliance
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and ethics can work together
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so how do you have a culture of
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compliance
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that is built on ethics one
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you set policy with purpose and clarity
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two you communicate that policy and
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three you follow through
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first of all policy with purpose you
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have to create a policy with a clear
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purpose
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for compliance i want you to clearly
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explain what legal or financial
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regulations are behind the policy
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however you also want to explain how the
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regulation
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is turned into policy in a way that fits
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your company's ethics
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in other words how are you doing what
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you have to do
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in a way that is right
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and that follows your company's mission
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and value statement
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how will following the policy allow your
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company to move closer to their vision
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and fulfill their mission
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this helps your organization see the
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purpose of the policy
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why it is necessary and how it fits into
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the culture
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it shouldn't be just another rule to
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follow because the administrator said so
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instead you want to create a shared
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sense of purpose and accountability
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clarity create policies that are clear
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and understandable if nobody can
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understand the policy or how to follow
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it
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nobody will comply
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communicate be purposeful in how you
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communicate a new policy
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provide them with the reason for the
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policy and how it will secure the
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organization's finances status or
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reputation
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clearly explain how they can comply with
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the policy what do they do what
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will it look like what systems are in
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place to help them
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how will they know if they make a
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mistake what are the consequences of
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repeatedly ignoring a policy
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communication doesn't stop there how can
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you create opportunities for ongoing
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communication
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is the policy something that should be
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reviewed annually or visual reminders
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appropriate
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finally you want to document your
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communication
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make sure that when you communicate a
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policy you have some kind of document
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document stating that the policy was
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clearly explained
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and that the members of your
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organization didn't have any questions
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and understand how to follow the policy
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finally follow through if you're a
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leader you have to walk the walk
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organizations and those in them will not
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comply
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or follow through with an ethics policy
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if the leaders aren't considered ethical
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and aren't also compliant
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why would your staff do anything that
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you're not willing to do yourself
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you need to conduct internal audits of
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systems
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compliance and decision making to make
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sure that
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your organization is following its own
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ethical standards
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as well as in compliance with any
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regulations
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when someone isn't in compliance use the
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opportunity to reteach them
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and coach them about the importance of
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the policy and how it helps the
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organization
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meet its goals or if necessary
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involve hr
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finally you have to follow through with
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the revision cycle a policy isn't any
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good if it's built on
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previous legislation or rules that no
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longer apply
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so at the top of the revision cycle we
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have communicating the policy
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its purpose and its connection to the
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mission again
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this is when you create a shared
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understanding with all of your staff in
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the organization about how the policy
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not only protects their jobs
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and the organization but how the policy
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also aligns with the mission vision and
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values of the organization
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monitor compliance coach reteach or take
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other necessary action steps
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when unethical behavior or
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non-compliance occurs
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review the policy and system
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effectiveness effectiveness periodically
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if a system isn't working or
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non-compliance is a major issue you have
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to take a step back and examine
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the policy itself how the policy was
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communicated and the systems in place
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that support the policy
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review regulations on an annual basis
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or more regularly if needed final
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we start at the beginning of the cycle
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with communicating the policy purpose
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and the connection to the mission
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