How do we as managers or compliance officers ensure quick and smooth implementation of new statutory requirements and rules? And what do we do when the individual requirements do not make sense to the people who are to observe them?

 1 
...feel free to share our articles :)

 

The framework has been set for a pleasant and enjoyable Saturday evening: We are taken up with a good board game for everybody and everybody agrees on the rules. Everything goes on oiled wheels and the strategy for the next move has just been thought out. Suddenly, a player raises questions about the rules and is even cheeky enough to suggest that the rules be changed! The first reaction is incomprehension, then frustration and at last anger. Because we were about to reach the finish line. The game stops...

Although it may sound not very productive, Danish enterprises are nevertheless in similar situations in their day-to-day operations. Here the “rules of the game” consist of the continuously increasing flow of complex requirements and rules that enterprises in many trades must relate to. Irrespective of the different areas of specialisation of the sectors - energy, medico, finance, health etc. - the compliance with statutory requirements, norms and standards is the “licence to operate” of the enterprises. Without correct and efficient quality control, risk management and documentation, you are not compliant and you risk losing your basis for existence.

 

The four greatest challenges in the implementation of compliance

When we give customers advice on implementation of compliance, we see a number of challenges that very clearly are recurring. Below is a list of the four greatest challenges: 

Having to do something in a different way:

The most widespread misunderstanding is the idea that you can make people change their behaviour (e.g. comply with compliance requirements) just by providing them with more information. That hardly ever happens!

Unclear purpose:

Few compliance functions (and even fewer of the managers who implement them) are able to explain compliance in a way that makes sense to the people who are to comply with the requirements. Why is compliance important and what is the purpose?

Linguistic gap:

Different specialist fields, each with its own focus and objects, often find it difficult to use a common language. Compliance says: “We look after the business!”. The business responds: “How can you look after the business when you don’t understand it?”

“Policeman” versus “trusted advisor”:

Compliance is still met with inertia or direct resistance and has difficulty in getting through with decisions and obtaining support for new processes and activities. This is due to the fact that often the role of (unnecessary) “policeman” is assigned to them and not a role as advisor who is there to help the organisation.

 

If you are now waiting for a tool that can solve the four challenges from one day to the next, we must disappoint you. There is no such tool. The solution is in the interaction that compliance functions have with their stakeholders, the management and the people who are to execute the compliance requirements. The people on the floor, in overalls and shop coats, behind the screen, with the meter, the calculator, the hypodermic needle...

 

Six pointers for implementation of compliance

Based on our experience from implementation of compliance, we have set up six generic pointers and recommendations as to how you can by means of communication obtain greater acceptance and integration of compliance activities all the way to the last link of the business.

Use storytelling:

No rules should be presented without providing a strong story to explain why. Method to the madness must be established. With storytelling, you create a stronger relation to stakeholders and a deeper understanding and motivation to support changes and new activities, which is what implementation of compliance is.

Reduce specialist language:

Consider who you are communicating with. If you want somebody to do something differently you must use a language that they understand and present solutions in a way they can relate to. Show that you have spent time on acquainting yourself with their working day.

The large picture:

An important part of the compliance function is to discover problems before they arise. Prevention rather than cure. But what you cannot yet imagine or understand you cannot take ownership of. Therefore, compliance must also be communicated in large pictures with specific examples and good or worst cases. What would happen at worst, if rules and regulations were not complied with in your company?

Due care and diligence:

Correct timing is always difficult, but earlier involvement and balancing of expectations with the “performers” can with advantage be given higher priority. It is about fair deadlines and earlier (absolutely clear) announcements of what the compliance function needs.

Bridge-building communication and good questions:

A bridge of common understanding must be built between compliance and the business. The bridge must be built on a foundation of clarifying questions, respect for the interdisciplinary aspect and good stories about the things that are already functioning well. Useful tools for this may be workshops with stakeholders, taking a look at the value chain together and a general review of what is for the benefit of the common business.

Feedback and solutions:

The possibility of stepping out of the role as “policeman” and into the role of “trusted advisor” can be realised by the compliance functions contributing with sparring, specific feedback and forward-looking solutions for the business (within the framework of the compliance requirements). In that way, the business experiences a direct (and to them relevant) value as a result of compliance.

 

Next step

Compliance is a function that is constantly changing. Organisations become increasingly complex, more requirements are defined and the “rules of the game” will continue to change. If we want to be successful in implementing compliance and overcoming the frustrations of the people who must comply with the requirements, a new way of communicating is needed. We must consider communication that puts changed behaviour, benefit and understanding by the receiver first. Setting the standard for a new way of collaborating with the business is required.

 

 1 
 

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 1 
...feel free to share our articles :)

 

The framework has been set for a pleasant and enjoyable Saturday evening: We are taken up with a good board game for everybody and everybody agrees on the rules. Everything goes on oiled wheels and the strategy for the next move has just been thought out. Suddenly, a player raises questions about the rules and is even cheeky enough to suggest that the rules be changed! The first reaction is incomprehension, then frustration and at last anger. Because we were about to reach the finish line. The game stops...

Although it may sound not very productive, Danish enterprises are nevertheless in similar situations in their day-to-day operations. Here the “rules of the game” consist of the continuously increasing flow of complex requirements and rules that enterprises in many trades must relate to. Irrespective of the different areas of specialisation of the sectors - energy, medico, finance, health etc. - the compliance with statutory requirements, norms and standards is the “licence to operate” of the enterprises. Without correct and efficient quality control, risk management and documentation, you are not compliant and you risk losing your basis for existence.

 

The four greatest challenges in the implementation of compliance

When we give customers advice on implementation of compliance, we see a number of challenges that very clearly are recurring. Below is a list of the four greatest challenges: 

Having to do something in a different way:

The most widespread misunderstanding is the idea that you can make people change their behaviour (e.g. comply with compliance requirements) just by providing them with more information. That hardly ever happens!

Unclear purpose:

Few compliance functions (and even fewer of the managers who implement them) are able to explain compliance in a way that makes sense to the people who are to comply with the requirements. Why is compliance important and what is the purpose?

Linguistic gap:

Different specialist fields, each with its own focus and objects, often find it difficult to use a common language. Compliance says: “We look after the business!”. The business responds: “How can you look after the business when you don’t understand it?”

“Policeman” versus “trusted advisor”:

Compliance is still met with inertia or direct resistance and has difficulty in getting through with decisions and obtaining support for new processes and activities. This is due to the fact that often the role of (unnecessary) “policeman” is assigned to them and not a role as advisor who is there to help the organisation.

 

If you are now waiting for a tool that can solve the four challenges from one day to the next, we must disappoint you. There is no such tool. The solution is in the interaction that compliance functions have with their stakeholders, the management and the people who are to execute the compliance requirements. The people on the floor, in overalls and shop coats, behind the screen, with the meter, the calculator, the hypodermic needle...

 

Six pointers for implementation of compliance

Based on our experience from implementation of compliance, we have set up six generic pointers and recommendations as to how you can by means of communication obtain greater acceptance and integration of compliance activities all the way to the last link of the business.

Use storytelling:

No rules should be presented without providing a strong story to explain why. Method to the madness must be established. With storytelling, you create a stronger relation to stakeholders and a deeper understanding and motivation to support changes and new activities, which is what implementation of compliance is.

Reduce specialist language:

Consider who you are communicating with. If you want somebody to do something differently you must use a language that they understand and present solutions in a way they can relate to. Show that you have spent time on acquainting yourself with their working day.

The large picture:

An important part of the compliance function is to discover problems before they arise. Prevention rather than cure. But what you cannot yet imagine or understand you cannot take ownership of. Therefore, compliance must also be communicated in large pictures with specific examples and good or worst cases. What would happen at worst, if rules and regulations were not complied with in your company?

Due care and diligence:

Correct timing is always difficult, but earlier involvement and balancing of expectations with the “performers” can with advantage be given higher priority. It is about fair deadlines and earlier (absolutely clear) announcements of what the compliance function needs.

Bridge-building communication and good questions:

A bridge of common understanding must be built between compliance and the business. The bridge must be built on a foundation of clarifying questions, respect for the interdisciplinary aspect and good stories about the things that are already functioning well. Useful tools for this may be workshops with stakeholders, taking a look at the value chain together and a general review of what is for the benefit of the common business.

Feedback and solutions:

The possibility of stepping out of the role as “policeman” and into the role of “trusted advisor” can be realised by the compliance functions contributing with sparring, specific feedback and forward-looking solutions for the business (within the framework of the compliance requirements). In that way, the business experiences a direct (and to them relevant) value as a result of compliance.

 

Next step

Compliance is a function that is constantly changing. Organisations become increasingly complex, more requirements are defined and the “rules of the game” will continue to change. If we want to be successful in implementing compliance and overcoming the frustrations of the people who must comply with the requirements, a new way of communicating is needed. We must consider communication that puts changed behaviour, benefit and understanding by the receiver first. Setting the standard for a new way of collaborating with the business is required.

 

 1 
 

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 1 
...feel free to share our articles :)

 

The framework has been set for a pleasant and enjoyable Saturday evening: We are taken up with a good board game for everybody and everybody agrees on the rules. Everything goes on oiled wheels and the strategy for the next move has just been thought out. Suddenly, a player raises questions about the rules and is even cheeky enough to suggest that the rules be changed! The first reaction is incomprehension, then frustration and at last anger. Because we were about to reach the finish line. The game stops...

Although it may sound not very productive, Danish enterprises are nevertheless in similar situations in their day-to-day operations. Here the “rules of the game” consist of the continuously increasing flow of complex requirements and rules that enterprises in many trades must relate to. Irrespective of the different areas of specialisation of the sectors - energy, medico, finance, health etc. - the compliance with statutory requirements, norms and standards is the “licence to operate” of the enterprises. Without correct and efficient quality control, risk management and documentation, you are not compliant and you risk losing your basis for existence.

 

The four greatest challenges in the implementation of compliance

When we give customers advice on implementation of compliance, we see a number of challenges that very clearly are recurring. Below is a list of the four greatest challenges: 

Having to do something in a different way:

The most widespread misunderstanding is the idea that you can make people change their behaviour (e.g. comply with compliance requirements) just by providing them with more information. That hardly ever happens!

Unclear purpose:

Few compliance functions (and even fewer of the managers who implement them) are able to explain compliance in a way that makes sense to the people who are to comply with the requirements. Why is compliance important and what is the purpose?

Linguistic gap:

Different specialist fields, each with its own focus and objects, often find it difficult to use a common language. Compliance says: “We look after the business!”. The business responds: “How can you look after the business when you don’t understand it?”

“Policeman” versus “trusted advisor”:

Compliance is still met with inertia or direct resistance and has difficulty in getting through with decisions and obtaining support for new processes and activities. This is due to the fact that often the role of (unnecessary) “policeman” is assigned to them and not a role as advisor who is there to help the organisation.

 

If you are now waiting for a tool that can solve the four challenges from one day to the next, we must disappoint you. There is no such tool. The solution is in the interaction that compliance functions have with their stakeholders, the management and the people who are to execute the compliance requirements. The people on the floor, in overalls and shop coats, behind the screen, with the meter, the calculator, the hypodermic needle...

 

Six pointers for implementation of compliance

Based on our experience from implementation of compliance, we have set up six generic pointers and recommendations as to how you can by means of communication obtain greater acceptance and integration of compliance activities all the way to the last link of the business.

Use storytelling:

No rules should be presented without providing a strong story to explain why. Method to the madness must be established. With storytelling, you create a stronger relation to stakeholders and a deeper understanding and motivation to support changes and new activities, which is what implementation of compliance is.

Reduce specialist language:

Consider who you are communicating with. If you want somebody to do something differently you must use a language that they understand and present solutions in a way they can relate to. Show that you have spent time on acquainting yourself with their working day.

The large picture:

An important part of the compliance function is to discover problems before they arise. Prevention rather than cure. But what you cannot yet imagine or understand you cannot take ownership of. Therefore, compliance must also be communicated in large pictures with specific examples and good or worst cases. What would happen at worst, if rules and regulations were not complied with in your company?

Due care and diligence:

Correct timing is always difficult, but earlier involvement and balancing of expectations with the “performers” can with advantage be given higher priority. It is about fair deadlines and earlier (absolutely clear) announcements of what the compliance function needs.

Bridge-building communication and good questions:

A bridge of common understanding must be built between compliance and the business. The bridge must be built on a foundation of clarifying questions, respect for the interdisciplinary aspect and good stories about the things that are already functioning well. Useful tools for this may be workshops with stakeholders, taking a look at the value chain together and a general review of what is for the benefit of the common business.

Feedback and solutions:

The possibility of stepping out of the role as “policeman” and into the role of “trusted advisor” can be realised by the compliance functions contributing with sparring, specific feedback and forward-looking solutions for the business (within the framework of the compliance requirements). In that way, the business experiences a direct (and to them relevant) value as a result of compliance.

 

Next step

Compliance is a function that is constantly changing. Organisations become increasingly complex, more requirements are defined and the “rules of the game” will continue to change. If we want to be successful in implementing compliance and overcoming the frustrations of the people who must comply with the requirements, a new way of communicating is needed. We must consider communication that puts changed behaviour, benefit and understanding by the receiver first. Setting the standard for a new way of collaborating with the business is required.

 

 1 
 

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