Innovation in Compliance with Tom Fox Thomas Fox

There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. In this concluding Episode 5, we discuss how making ethics and compliance training playful can enhance learning.
Our learning brain likes games. When people shift into a playful state of mind, they immerse themselves more deeply into the learning activity. Their mood brightens, their mind opens up, they are intensely focused and more receptive to new information. Playful learning supports a deeper understanding of concepts, better recall of knowledge, and better transfer of skills to novel problems.
They explore the concept of the 'Magic Circle' in gaming, which engenders an immersive, playful state of mind that fosters openness and engagement. By employing game-based learning experiences like the 'Ethics Kit Find Your Path' card game, the discussion showcases how ethical scenarios can be addressed in an interactive, fun way. Through the use of commitment, action, and resource cards, employees engage in collaborative problem-solving related to their organization's ethical dilemmas. The episode emphasizes the importance of experiential, social, and strength-based learning, arguing that an engaging user experience (UX) in training not only makes learning enjoyable but also more effective in reinforcing ethical behaviors within organizations.
Highlights and Key Issues Discussed
·      Introducing Playful Learning in Ethics and Compliance
·      The Magic Circle: A Concept for Playful Learning
·      Implementing Playful Learning: The Ethics Kit Card Game
·      Benefits and Outcomes of Playful Learning Experiences
·      Expanding Playfulness Beyond Games: Engaging Training Delivery
·      Key Takeaways from the Series
 Resources
Suggested Readings
·      Zosh, J. M., Hopkins, E. J., Jensen, H., Liu, C., Neale, D., Hirsh-Pasek, K., Solis, S. L., & Whitebread, D. (2017). Learning through play: a review of the evidence (white paper). The LEGO Foundation, DK.
·      Parker, Rachel & Thomsen, Bo & Berry, Amy. (2022). Learning Through Play at School – A Framework for Policy and Practice. Frontiers in Education. 7. 10.3389/feduc.2022.751801.
 Carsten Tams on LinkedIn
Emagence Consulting

Tom Fox
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. In this Episode 4, we discuss making learning social and collaborative so that learners work together to search for understanding, meaning, or solutions.
Social learning refers to learning with each other, from each other, and about each other. Social Learning Theory tells us that a lot of learning consist of observing and emulating others. Collaborative learning also affords participants with the opportunity to gain unique insights and skills. Cooperative learning allows participants to develop their social-emotional and interpersonal skills. They can practice ethical voice, simply by discussing an ethical situation with each other. 
Tom and Carsten explore the concept of social learning, referencing theories by Lev Vygotsky on social constructivism and Albert Bandura on vicarious learning and self-efficacy, to explain how behaviors and ethical values are acquired through social interaction. They emphasize that learning ethics and compliance can be more effective in a social context, whether it is through discussing ethical dilemmas, observing others' behaviors, or learning from shared experiences. The dialogue also touches on the importance of building social capital through ethical discussions, which helps in crafting solutions to ethical challenges as a team. Furthermore, they argue that every aspect of work has an ethical dimension and that recognizing the ethical implications of seemingly minute actions can significantly contribute to an organization's ethical resilience. The episode concludes with anticipation for the next episode focusing on making compliance training fun.
 Highlights and Key Issues Discussed
·      Introduction to Social Learning in Ethics and Compliance
·      Exploring Social Learning Theory
·      The Impact of Social Learning on Ethical Behavior
·      Social Learning's Role in Organizational Culture
·      Practical Examples of Social Learning in Action
·      Deep Dive into Safety and Ethics in the Workplace 
Resources

Articles and Books
·      Boyd, R., Richerson, P. J., & Henrich, J. (2011). The cultural niche: Why social learning is essential for human adaptation. Proceedings of the National Academy of Sciences, 108(Supplement_2), 10918–10925. doi:10.1073/pnas.1100290108
·      Reed, M., Evely, A. C., Cundill, G., Fazey, I., Glass, J., Laing, A., Newig, J., Parrish, B., Prell, C., Raymond, C., & Stringer, L. C. (2010). What is social learning? Ecology and Society, 15(4), [r1]. 
·      Marjan Laal, Seyed Mohammad Ghodsi, Benefits of collaborative learning, Procedia - Social and Behavioral Sciences, Volume 31, 2012, Pages 486-490, ISSN 1877-0428, https://doi.org/10.1016/j.sbspro.2011.12.091.
·      Bandura, A. (1977). Social learning theory. Englewood Cliffs, NJ: Prentice Hall. 
·      Bauman, Z. (2000). Special essay. Am I my brother’s keeper? European Journal of Social Work, 3(1), 5–11. doi:10.1080/714052807
 
Carsten Tams on LinkedIn
Emagence Consulting

Tom Fox
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. In this Episode 3, we discuss the concept of experiential learning as a gamechanger to enhance overall learning scope, motivation, retention and transfer; emphasizing its importance over conventional learning methods.
Experiential learning means learning by doing. When we are passive learners in front of a screen, clicking on the forward button or checking boxes, learning remains shallow. Experiential ethics learning is not simply about feeding abstract information about an ethics topic into learners’ minds. It is instead about the tight coupling of thinking with doing. An experiential learning activity is about posing a problem that is relevant to the learner. It is then up to the learner to tap into their existing knowledge, to use their ingenuity and creative problem-solving skills to find a feasible solution for the problem at hand.  
Using practical examples, Carsten explains how experiential learning engages learners in problem-solving and hands-on experiences, leading to better retention and application of knowledge. They explore the historical roots of the concept, drawing from thinkers like Aristotle, Confucius, John Dewey, and modern cognitive research. The discussion also covers ways to implement experiential learning in organizational settings, addressing potential concerns about documenting these methods for regulatory compliance.
Highlights and Key Issues Discussed 
·      Introduction to Experiential Learning in Compliance and Ethics Training
·      Exploring the Basics of Experiential Learning
·      Applying Experiential Learning in Compliance and Ethics
·      Historical Context and Theoretical Foundations of Experiential Learning
·      Practical Implementation and Documentation for Compliance Professionals
 Resources
Carsten Tams on LinkedIn
Emagence Consulting
For Additional Reading

·      Dewey, J. (1938). Experience and education. New York: Simon and Schuster.
·      Kolb, D.A. (2015). Experiential Learning: Experience as the Source of Learning and Development, 2nd Ed. New York, NY: Pearson.
·      Burch, G. F., Giambatista, R., Batchelor, J. H., Burch, J. J., Hoover, J. D., & Heller, N. A. (2019). A Meta‐Analysis of the Relationship Between Experiential Learning and Learning Outcomes. Decision Sciences Journal of Innovative Education, 17(3), 239–273. doi:10.1111/dsji.12188
Tom Fox
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There is not much I enjoy more than sitting down with one of the most innovative thinkers in compliance; Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four game changing strategies you can employee for success in your compliance training. In this Episode 2, we discuss the concept of focusing on strengths within compliance and ethics training, as opposed to traditional deficit-based methods that highlight potential misconduct. 
When we instruct people about prohibited behaviours, and how the company detects and discipline misconduct, employees often feel mistrusted and alienated. They tune out. This is deficit-based learning. It approaches the learner as a risk factor or potential delinquent. It aims to constrain unwanted behaviour. When employees can learn how to effectively shape and safeguard the ethical workplace they aspire to, they feel inspired and tune in. This is strength-based training. It approaches the learner as a valued partner in maintaining integrity. It assumes that people have capabilities, It aims at eliciting and strengthening the positive ethical faculties already present in most people.
Tom and Carsten urge a shift in perspective so that learners are viewed as valued partners, drawing upon the principles of self-affirmation theory and strength-based approaches found in various sectors like healthcare and education. This approach aims to engage learners by acknowledging and enhancing their capabilities, ethical values, and problem-solving skills, thus fostering a sustainable ethical culture within organizations. Examples of successful applications of this approach, including innovative training methods and programs like UNESCO’s card game and the 'Giving Voice to Values' curriculum, are highlighted. The conversation underscores the importance of designing training that not only prevents misconduct but also supports and develops employees' strengths, thereby enhancing overall company culture.
 Highlights and Key Issues Discussed
·      The Problem with Deficit-Based Training Approaches
·      The Power of a Strength-Based Approach
·      Real-World Applications and Success Stories
·      Practical Steps Towards Strength-Based Training
·      Building a Sustainable Ethical Culture
 Resources
Books and Articles

Saleebey, D. (Ed.). (2009). The Strengths Perspective in social work practice (5th ed.). Boston: Allyn and Bacon.

Pulla, Venkat. (2012). What are Strengths based Practices all about?

Banaji, M., & Dobbin, F. U. (2023, September 17). Why DEI training doesn’t work—and how to fix it. The Wall Street Journal. Retrieved March 11, 2024

Dobbin, F., & Kalev, A. (2022). Getting to diversity: What works and what doesn’t. The Belknap Press of Harvard University Press.


Carsten Tams on LinkedIn
Emagence Consulting
Tom Fox
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There is not much I enjoy more than sitting down with one of the most innovative thinkers in compliance; Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four game changing strategies you can employee for success in your compliance training. In this Episode 1, we provide the lay of the land, explain when ethics training needs some fresh ideas, some of the challenges ethics training is facing and conclude with a summary of the solutions do we see.  
Tom and Carsten take a deep dive into why traditional E&C training often fails to engage employees and lacks impact on their behavior, despite significant investments. This episode sets up the problem by exploring the historical context of E&C training, the difference between European values-focused and American rules-regulation approaches, and how these methods have evolved. 
Their discussion highlights several barriers to effective training, including training being seen as a checkbox exercise, the deficit-focused nature, passive learning methods, isolation, and a lack of playfulness. They also touch on the promising findings that training can be effective when it delivers a positive user experience, emphasizing the need for innovative approaches to improve engagement and behavioral impact. The podcast series aims to explore solutions and strategies for making E&C training more engaging and effective, grounded in four proven principles of learning design. 
Highlights and Issues
·      Introduction to the Series on Ethics and Compliance Training
·      Identifying the Problem with Current Ethics and Compliance Training
·      Exploring the Ineffectiveness of Traditional Training Approaches
·      The Four Engagement Killers in Compliance Training
·      Towards a More Effective Training Approach: Preview of Upcoming Episodes
Resources
Articles

Dvorak, N. (2021, November 10). 4 Hard Truths About Ethics and Compliance Training


Fosway Group. (2023). Digital Learning Realities 2023


Fredeen, I. (2019, June 19). Do Your Expectations Align with Reality — Why Compliance Training Needs More Attention



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Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Today, I visit with Steve Brown, Managing Director, Head of Business Development at StarCompliance, sponsor of this podcast. We take a deep dive into utilizing AI, machine learning, and generative AI for compliance prevention, detection and much more. 
Steve Brown has maintained a lengthy career in the compliance industry, currently holding the position of Head of Business Compliance and Business Development at StarCompliance. Throughout his career of over two decades, he has served in important roles in investment banking compliance and advised global firms on risk and regulatory issues. 
StarCompliance, a company that specializes in employee compliance software across 117 countries. They delve into the importance of compliance culture within corporations, the role of technology in enhancing compliance efforts, and the unique perspective Brown brings to technology solutions from his extensive compliance background. They also touch upon the significance of a comprehensive compliance solution and the future of compliance technology, including the potential applications of AI, machine learning, and data analytics to anticipate and navigate regulatory challenges.

Key Highlights:

Global Ethics Compliance Solutions by Star Compliance

AI Integration for Evolving Compliance Challenges

Data-Driven Compliance Culture Enhancement Solutions

Ethical Culture through Integrated Compliance Analytics


Resources:
Steve Brown on LinkedIn 
StarCompliance

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