Talent Development 8 Compliance and Ethical Behavior

August 27, 2020

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.



An Antidote for Executive Stress

July 26, 2013

BankruptIf you are in an executive position, chances are you live in a very high stress world. Conditions and events in the world over the past decade have led to a much higher level of complexity and risk in everything we do. The pressure for performance and the razor thin margin between success and failure have resulted in health problems for numerous executives. It seems there is no way of avoiding the incredible pressure executives face daily.

What if there was a way you could get out from under the immense pressure and have the ability to relax, even though the challenges at work often seem insurmountable? Would that be helpful? I truly believe there is a pathway to this kind of existence. It is under your nose. Unfortunately, most executives do not see the wisdom or power in the method I am about to explain, so they go on with the same struggle, day after day, rarely gaining on the very problems that are making them sick.

The antidote is to carve out time to work with your organization to create an improved culture. This suggestion sounds impossible to most CEOs I interview, because they are more than fully consumed trying to survive. How could they possibly create enough slack time in the schedule to actually work on the culture? This attitude means these executives are literally stuck in the rut they hate with no viable way out. I call this phenomenon the “Executive Whack-a-mole Syndrome.” When top executives spend 100% of their time dealing with crises and problems, there is no time left to develop a culture where there are fewer problems.

Investing in the culture means spending time with people learning how to work better as a team. It means documenting your behaviors or how you intend to treat each other so it becomes possible to hold each other accountable. It means learning to listen more often and more effectively, so the communication problems are significantly reduced. Also, it means learning to trust each other, so more delegation is possible and the micromanagement is not necessary. The perceived need to micromanage creates a significant percentage of executive stress.

Improving the culture means having the executive be more willing to be transparent and admit mistakes. This practice makes him or her more of a human being: subject to being fallible, but willing to be vulnerable and human. This behavior enables stronger rather than weaker leadership. It also leads to an environment that is more relaxed and healthy. In this culture, the problems are diminished and replaced with sanity and the joy of achieving great goals together. If you know an executive who is playing the Executive Whack-a-mole Game, print this article out and leave it someplace where it will get read.

If you are an executive who has nearly reached the limit of endurance, you might want to try investing in the culture. You will find it to have a much higher ROI than any other activity you can envision. It could even save your life!