Talent Development 8 Compliance and Ethical Behavior

The topics of Compliance and Ethical Behavior are part of the ATD CPTD Certification model.

This topic involves a knowledge of laws, regulations, and ethical issues related to the access and use of information. There are numerous statutes that help to safeguard sensitive information, whether that is copyrighted information, patented technology, or personally sensitive data.

The area of ethical corporate behavior is the topic of this article. I have been involved with ethics all my life and have taught different courses on the subject at local universities. I consider ethical behavior to be a subset of trust, and it is simply about doing business the right way.

We tend to rationalize situations when there are difficult choices. We use flawed logic to make something seem right when it really is not. To guard against ethical lapses, we need organizations to build cultures of trust and psychological safety.

The ability to speak up when you see something that does not seem right is at the core of ethical behavior. Unfortunately, in many organizations, the leaders find ways to punish rather than reward whistle blowers.

Leaders who have built up a high degree of trust based on the knowledge that it is a good thing to speak up when something does not seem right have the advantage of many eyes and ears to view each action. If a leader gets off the straight and narrow through some form of rationalization, the individuals will point that out. It is up to the leaders to reinforce this candor by making the whistle blower glad he brought up the problem.

In Rochester New York, we have a group that has been seeking to raise the level of ethics in our extended community by celebrating organizations that are doing great things with respect to ethics.

We call the effort “Elevate Rochester” because by openly celebrating highly ethical organizations we raise the level of awareness for ethics. Our vision is to eventually become the “Gold Standard” in terms of an ethical community.

We have a long way to go, but our program is strong and vital. It involves an annual contest to uncover highly ethical organizations (except 2020 due to COVID-19). The contest starts early in the year by a series of breakfast meetings to encourage organizations to apply for an award we call the “ETHIE.”
Groups then fill out a brief application form that asks for content and examples in the following four areas.

1. Ethical Leadership – we ask the organization to identify the importance of values, ethical standards and moral conduct in all stakeholder relations.
2. Organizational Excellence – to establish and maintain ethical standards and operational processes that are well deployed throughout the organization.
3. Ethical Challenges – this is a description of how the organization deals with ethical issues when they come up either internally or externally.
4. Corporate Citizenship – how the organization gives back to the community and supports the well-being of society.

For 2021, we will be adding a fifth section that deals with how well the organization practices inclusion and equity principles in their work.

Organizations fill out the application, and an independent panel of judges decides which organizations meet the criteria and pass on to the next level of activity, which involves a site visit to witness the degree of deployment of the above areas.

Finally, in the Fall, there is a celebration that mimics the Oscar Awards, thus celebrating the best ethical organizations in our region.

Participating organizations tell us that the organized process is the valuable part of the contest. Getting a glass statue for the trophy case is the icing on the cake, but the real benefit is bringing ethical behavior front and center within the organization on a daily basis.


Robert Whipple is also the author of The TRUST Factor: Advanced Leadership for Professionals, Leading with Trust is like Sailing Downwind, and Trust in Transition: Navigating Organizational Change. Bob consults and speaks on these and other leadership topics. He is CEO of Leadergrow Inc., a company dedicated to growing leaders.


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