My Proposals for the 2016 #SCCEcei – What’s Your Fave?

I’m really excited about the three panel proposals I submitted last night to the Society of Corporate Compliance and Ethics (SCCE), for its 2016 Compliance and Ethics Institute. Thanks to Amy Hutchens, JD, CCEP, Page Motes and Heather Powell for joining in.

Our proposed topics were:

  1. An advance workshop on drafting and negotiating contracts with compliance provisions — this would take the next step from the compliance contract panels that Amy and I did at the CEI in 2014 and this year.
  2. “The Good Reasons Why People Do the Wrong Things” — Exploring the frequent instances when people follow their own ethical code and choose to break rules. (Think about teachers or nurses following their deep ethic of care.) The lesson: it’s not just greed or “bad guys” that lead to misconduct.
  3. “Fostering a Speak-Up Culture: What Really Works” — Now more than ever, it’s critical for compliance professionals and business leaders to focus on what, objectively, has worked best to foster and maintain a culture in which people report suspected wrongdoing freely, constructively, and internally. So how do you make that happen?

I wish they’d let us do all three of them! So tell me, what’s your favorite?IMG_3426

Chalk Lines: On Baseball, Groundskeepers, and Compliance


In honor of the end of baseball season, I am recalling (and revising) some thoughts I originally posted last fall
— and adding some pictures. Hope this takes you out to the ball game.

Catcher and field closer1By Wednesday, the Major League season will come to its last glorious inning. And this afternoon, my son will catch the last game of the year for his Babe Ruth League team, ending a long string of seasons and games that began in March. So

Doing what I do, every time I leave the clean white chalk powder on the rusty matte of the base paths, I think to myself, “Even here, even now, I’m leading compliance!”

Does that make me Mister Baseball Buzzkill? Yeah, maybe so. But I think there is a parallel between the Compliance Officer and the Groundskeeper.

I mean, compliance is in large part about winning while staying inside the lines. And for an organization, who paints those lines?

Government? Regulators? An industry Code? Your Code of Conduct? Sure, but not precisely.The Rules of the Game may specify that the foul line extends from the first base line and the third base line. But it is still the compliance team that has to paint the lines precisely.

To push my metaphor way too far, compliance leadership has to decide the slope of the base path, and the tendency of slow grounders to stay in bounds or to roll foul. And to abandon the realism of my metaphor, we have to decide whether to paint the lines on our own field with a little cushion, so minor fouls don’t really cross the legal line… or paint the lines wide, to give our organizations a bigger playing field but also a bigger risk of stumbling out of bounds.

But most of all, as compliance leaders we have to do the painting. The Rules may say where the foul line should be, but the players would be left to just guess what’s foul and what’s not if we didn’t draw an actual line that they can see while they are playing.  Our teammates rely on our education programs, our communications, and our internal enforcement to know where the dividing line falls.

The author's first-base line left something to be desired, but did not ultimately affect the course of play.
The author’s first-base line was visibly imperfect, but did not ultimately affect the course of play.

Frankly, I can think of times when my base lines left something to be desired, straightness-wise. The umpire might have checked to see how I drew the line (or he might not have), but once play began, he relied on the white line I put down in chalk. It’s a big responsibility.

So you can picture me standing out there today, superimposing all these philosophical musings about work onto our national pastime. Then you can picture my son pointedly reminding me that the game is about to begin, and that I need to get my carcass off the field, and help coach my players to success.

Play ball!

On Learning Objectives and Duct Tape

The other night, I watched a group of Boy Scouts plan a skit. Their Patrol had the assignment of teaching the rest of the Troop how you could make first aid supplies out of duct tape. They had the idea of doing a funny little show about a Scout falling out of an apple tree, and suddenly needing a stretcher, a splint and a sling. They threw joke lines and sight gags at each other, and put together a nice little script and demonstration.

But I noticed: at no point did one of the boys suggest that they should start their skit by saying, “At the conclusion of this skit, you will have a thorough understanding of how to manipulate industrial-strength adhesive tape for purposes of medical care.”

ducttape

 

 

Just sayin.

 

Compliance, groundskeepers, and chalk lines

Bacon Field, Hopewell, NJ. Photo by author.
Bacon Field, Hopewell, NJ. Photo by author.

This Friday night, my son’s “Babe Ruth Prep” baseball team had its first game of the Fall Ball season. So I found myself, under a clear sky, raking the infield dirt and laying down chalk for the foul lines and the batter’s box. And I had a thought:

“Even here, even now, I’m leading compliance!”

So as I raked, I wondered: is there a parallel between the Compliance Officer and the Groundskeeper?

I mean, compliance is in large part about winning while staying inside the lines. But for an organization, who paints those lines?

Government? Regulators? An industry Code? Your Code of Conduct? Sure, but not precisely. The Rules of the Game may specify that the foul line extends from the first base line and the third base line.. But it is still the compliance team that has to paint the lines precisely.

To push my metaphor way too far, compliance leadership has to decide the slope of the base path, and the tendency of slow grounders to stay in bounds or to roll foul. And to abandon the realism of my metaphor, we have to decide whether to paint the lines on our own field with a little cushion, so minor fouls don’t really cross the legal line… or paint the lines wide, to give our organizations a bigger playing field but also a bigger risk of stumbling out of bounds.

The author's first-base line left something to be desired, but did not ultimately affect the course of play.
The author’s first-base line left something to be desired, but did not ultimately affect the course of play.

But most of all, as compliance leaders we have to do the painting. The Rules may say where the foul line should be, but the players would be left to just guess what’s foul and what’s not if we didn’t draw an actual line that they can see while they are playing.  Our teammates rely on our education programs and our communications to know where the dividing line falls.

And by the way, the umpire might have checked to see where I drew the line (or he might not have), but once play began, he relied on the white line I put down in chalk. It’s a big responsibility.

Then I was aroused from this musing by the realization that the game was about to begin, and that I needed to get off the field, and get on the sidelines to help coach my players to success.

 

Play ball!

Tips for leading from within

I wrote up some nitty-gritty tactics for how to “Lead Good” for the website of the Association of Corporate Counsel (ACC) — the leading trade association for in-house lawyers. My article, “Top Ten Practical Ways to Enrich and Empower Your Compliance Program,” is the ACC’s featured “Top Ten” article of the month.

The sub-text for my recommended methods: Don’t just administer. Be pro-active. Be creative. Lead.