five problem solving strategies for non compliance

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Five Ways to Reduce Ethics and Compliance Risk

Your company’s good name and the trust of stakeholders are two of its most important assets. You can protect your company’s reputation and increase employee engagement by creating a workplace where ethical conduct is the norm. Reduce ethics risk by taking these five key steps:

• Honestly assess your needs and resources.

Establish a strong foundation.

Build a culture of integrity — from the top down., keep a “values focus” in moments big and small., re-evaluate and revise as needed., honestly assess your needs and your resources..

Successful businesses start with a good plan. So do successful ethics and compliance programs. In order to create a relevant and meaningful plan, you have to know the lay of the land. It’s important to know:

• What ethics challenges are common in the work we do? In our workplace?
• Where are our greatest areas of risk? Which groups of employees, locations, business units, etc. are potential “hot spots”?
• What values are important to our company and its employees?
• What values are necessary for our business, our work in particular?
• What ethics and compliance resources will be most beneficial for employees? What vehicles of support (a phone line, an email, an individual or committee, internal social network, etc.) are likely to be most utilized and helpful?
• In developing our code and values, which groups’ input is necessary? Who would be helpful? (For more information on this, see our resources on writing a code.)

See related blog post: Optimizing Risk Management Using Artificial Intelligence

Your program will only make a difference if you begin by having an accurate picture of existing strengths and areas of vulnerability. Risk assessment should be the starting point of your internal efforts, followed by gap analysis and program assessment. Audit reports are also an essential piece of the puzzle.

You can gather information in a variety of ways. Focus groups allow representative samples of the larger population to share their opinions and experiences; they provide a deep, rich “snapshot” of the state of ethics in your organization. Surveys (internal or conducted by a third party) provide the opportunity to gather information from a much larger group of your employees, to compare results and to analyze data by relevant subgroups (i.e., employee levels, departments, units, etc.).

Once you know your needs, you can put in place the resources to address them by establishing a robust ethics and compliance program.

The good news is that such a program makes a difference. As part of the 2011 National Business Ethics Survey®, the Ethics Research Center (ERC), the research arm of ECI, demonstrated that an ethics and compliance program is a powerful tool for reducing pressure to compromise standards and observations of misconduct; increasing employee reporting of observations that occur; and decreasing retaliation against whistleblowers. In essence, when a company commits resources to ethics, it makes a difference. Fewer employees feel pressured to break the rules and fewer misdeeds take place. When bad behavior does happen, employees tell management so the problem can be addressed internally.

This strong foundation consists of several elements key elements:

• Written standards of ethical workplace conduct (for more information on this, see our resources on writing a code).
• Training on the standards.
• Company resources that provide advice about ethics and compliance issues.
• A means to report potential violations confidentially or anonymously.
• Performance evaluations of ethical conduct.
• Systems to discipline violators.

Chapter 8 of the Federal Sentencing Guidelines for Organizations also calls for oversight by the governing authority, high-level personnel with overall responsibility for the program, and individuals with operational responsibility for the program.

But just having these elements is not enough. When it comes to ethical conduct and compliance, it’s not enough to “print, post and pray.” Implementation and integration matter.

Your ethics and compliance program must be vital, integrated element of your work and the way you do it, ensuring that employees know how to and feel supported in their efforts to uphold ethics and compliance standards in their work. The hallmarks of an effective ethics and compliance program are:

• Freedom to question management without fear;
• Rewards for following ethics standards;
• Not rewarding questionable practices, even if they produce good results for the company;
• Positive feedback for ethical conduct;
• Employee preparedness to address misconduct; and
• Employees’ willingness to seek ethics advice.

People have an innate desire to get along and (long-past high school) want to fit in and conform to the norms of those around them. It may not be pleasant to admit it, but most people’s ethics standards are fairly malleable. Although most people retain a desire to “do the right thing,” the definition of right is significantly influenced by the company they keep. Culture matters.

Fortunately, if your company has diligently built an ethics and compliance program and woven it into the daily operations of the organization, a strong ethics culture is far more likely. Research proves that an effective ethics and compliance program helps build a culture of integrity in which everyone “walks the talk.” In a strong ethics culture, employees at all levels are committed to doing what is right and upholding values and standards.

Leaders are powerful drivers of corporate culture; they set the tone in any organization. They decide who gets attention, who gets promoted, what merits rewards and recognition. They set the standard. They are the example. There are several things leaders should do to help promote a strong ethics culture:

• Talk about the importance of ethics.
• Keep employees adequately informed about issues that impact them.
• Uphold promises and commitments to employees and stakeholders.
• Acknowledge and reward ethical conduct.
• Hold accountable those who violate standards, especially leaders.
• Model ethical conduct both professionally and personally.

When it comes to ethical leadership, there are two key things to keep in mind:

• Character is paramount. Ethical leaders show integrity not only in the way they conduct themselves at work, but in their personal relationships as well. In a world of social media, private behavior often becomes public knowledge, shaping employees’ beliefs about what kind of individuals their leaders are.
• Leadership happens at all levels. While senior leaders set the tone for the entire organization, supervisors shape the everyday environments in which employees work and make decisions. The actions of supervisor have a profound impact on employees and their workplace conduct.

Ethics is about choices-big and small. Organizations with integrity keep their values at the forefront in both mundane and the extraordinary moments. Corporate values should come into play and be reflected in multiple processes that drive the everyday life of the company, including:

• HR policies and their implementation
• Reward systems
• Hiring and retention
• Performance management and evaluation
• Promotion decisions

On those occasions when crises occur, leaders should recognize not only the ethical dimension of the moment at hand, but the “teachable moment” it represents. Edgar Schein, the father of the study of organizational culture, noted that moments of crisis are particularly powerful culture-builders because of the intensity of emotion involved. Our research shows that employees learn a great deal about leaders’ priorities and character when they show their “true colors.” If leaders make values their touchstone in times of crisis, employees learn that ethics matters.

Situations and needs will change. You need to know what is working, what isn’t, what new vulnerabilities have emerged, what progress you’ve made and where there’s work yet to be done. Be disciplined about regularly revisiting the state of ethics and compliance in your organization. Risk assessments, follow-up surveys and periodic or ongoing focus groups will allow you to keep your program relevant and minimize risk. As an added bonus, regular assessments will demonstrate internally (and, if ever needed, externally) that the resources you’ve invested in ethics and compliance have made a difference.

• Free Ethics & Compliance Toolkit
• Ethics and Compliance Glossary
• Definitions of Values
• Why Have a Code of Conduct?
• Code Construction and Content
• Common Code Provisions
• Ten Style Tips for Writing an Effective Code of Conduct
• The PLUS Ethical Decision Making Model
• Five Keys to Reducing Ethics and Compliance Risk
• Business Ethics & Compliance Timeline

A new, streamlined version of Intervention Central is coming in December 2023. The new site will eliminate user login accounts. If you have a login account, be sure to download and save any documents of importance from that account, as they will be erased when the website is revised.

• Academic Interventions
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School-Wide Strategies for Managing... DEFIANCE / NON-COMPLIANCE

• Challenging Students

Students who are defiant or non-compliant can be among the most challenging to teach. They can frequently interrupt instruction, often do poorly academically, and may show little motivation to learn. There are no magic strategies for managing the behaviors of defiant students. However, research shows that certain techniques tend to work best with these children and youth: (1) Give the student positive teacher recognition. Even actions as simple as greeting the student daily at the classroom door or stopping by the student’s desk to ask ‘How are you doing?’ can over time turn strained relationships into positive ones. (2) Monitor the classroom frequently and intervene proactively to redirect off-task students before their mild misbehaviors escalate into more serious problems. (3) Avoid saying or doing things that are likely to anger or set off a student. Speak calmly and respectfully, for example, rather than raising your voice or using sarcasm. (4) When you must intervene with a misbehaving student, convey the message to the student that you will not tolerate the problem behavior—but that you continue to value and accept the student. (5) Remember that the ultimate goal of any disciplinary measure is to teach the student more positive ways of behaving. Punishment generally does not improve student behaviors over the long term and can have significant and lasting negative effects on school performance and motivation. (6) Develop a classroom ‘crisis response plan’ to be implemented in the event that one or more students display aggressive behaviors that threaten their own safety or the safety of others. Be sure that your administrator approves this classroom crisis plan and that everyone who has a part in the plan knows his or her role. One final thought: While you can never predict what behaviors your students might bring into your classroom, you will usually achieve the best outcomes by remaining calm, following pre-planned intervention strategies for misbehavior, and acting with consistency and fairness when intervening with or disciplining students. Here are other ideas for managing defiant or non-compliant students:

• Allow the Student a 'Cool-Down' Break (Long, Morse, & Newman, 1980). Select a corner of the room (or area outside the classroom with adult supervision) where the target student can take a brief 'respite break' whenever he or she feels angry or upset. Be sure to make cool-down breaks available to all students in the classroom, to avoid singling out only those children with anger-control issues. Whenever a student becomes upset and defiant, offer to talk the situation over with that student once he or she has calmed down and then direct the student to the cool-down corner. (E.g., "Thomas, I want to talk with you about what is upsetting you, but first you need to calm down. Take five minutes in the cool-down corner and then come over to my desk so we can talk.")
• Ask Open-Ended Questions (Lanceley, 1999). If a teacher who is faced with a confrontational student does not know what triggered that student’s defiant response, the instructor can ask neutral, open-ended questions to collect more information before responding. You can pose ‘who’, ‘what’, ‘where’, ‘when’, and ‘how’ questions to more fully understand the problem situation and identify possible solutions. Some sample questions are "What do you think made you angry when you were talking with Billy?" and "Where were you when you realized that you had misplaced your science book?" One caution: Avoid asking ‘why"’questions (e.g., "Why did you get into that fight with Jerry?") because they can imply that you are blaming the student.
• Assign a Reflective ‘Processing’ Essay After Misbehavior (Boynton & Boynton, 2005; Mayer & Ybarra, 2004; Walker, Colvin, & Ramsey, 1995). The student who gets into a conflict must write and submit to the teacher a brief ‘process’ plan outlining how they will improve their behavior. At minimum, the plan would state: (1) the role the student played in the conflict, (2) the part that other participants may have taken in the incident, (3) the student’s suggestions for finding the best resolution to the problem, and (4) how the student can act in the future to prevent the conflict from recurring. NOTE: Some teachers use a pre-printed structured questionnaire containing these 4 items for the student to complete.
• Do Not Get Entangled in Arguments (Walker & Walker, 1991). The careful teacher avoids being dragged into arguments or unnecessary discussion when disciplining students. When you must deliver a command to, confront, or discipline a student who is defiant or confrontational, be careful not to get 'hooked' into a discussion or argument with that student. If you find yourself being drawn into an exchange with the student (e.g., raising your voice, reprimanding the student), immediately use strategies to disengage yourself (e.g., by moving away from the student, repeating your request in a business-like tone of voice, imposing a pre-determined consequence for noncompliance).
• Emphasize the Positive in Teacher Requests (Braithwaite, 2001). When an instructor's request has a positive 'spin', that teacher is less likely to trigger a power struggle and more likely to gain student compliance. Whenever possible, avoid using negative phrasing (e.g., "If you don't return to your seat, I can’t help you with your assignment"). Instead, restate requests in positive terms (e.g., "I will be over to help you on the assignment just as soon as you return to your seat").
• Expand the Range of Classroom Behavior Interventions (Sprick, Borgmeier, & Nolet, 2002). The teacher who has developed an array of in-class consequences for minor misbehaviors can prevent students from being sent to the principal’s office or to in-school detention. First, list those common misbehaviors that you believe should typically be handled in the classroom (e.g. being late to class, talking out). When finished, categorize your list of misbehaviors into 3 groups: ‘Level 1’ (mild) misbehaviors, ‘Level 2’ (medium) misbehaviors, and ‘Level 3’ (more serious) misbehaviors. Then, list next to each level of problem behaviors a range of in-class consequences that you feel appropriately match those types of misbehavior. For example, you may decide that a ‘soft’ reprimand would be a choice to address Level 1 misbehaviors, while a phone call to the parent would be a choice for Level 3 misbehaviors. NOTE: In-class consequences are intended for minor misbehaviors. You should notify an administrator whenever students display behaviors that seriously disrupt learning or pose a risk to the safety of that student or to others.
• Give Praise That is Specific and Does Not Embarrass the Student (Sprick, Borgmeier, & Nolet, 2002). Defiant students can respond well to adult praise but only when it is sincere and specific, and is not embarrassing. Ideally, the teacher should deliver praise as soon as possible after the positive behavior. Praise should be specific and descriptive—because vague, general praise can sound fake and does not give the student any useful information about how their behavior meets or exceeds the teacher’s expectations. For older students who tend to dislike being praised in a highly public manner, the teacher can use a more indirect or low-key approach (e.g., writing a note of praise on the student’s graded assignment, praising the student in a private conversation, calling the student’s parent to praise the student).
• Give Problem Students Frequent Positive Attention (Sprick, Borgmeier, & Nolet, 2002). Teachers should make an effort to give positive attention or praise to problem students at least three times more frequently than they reprimand them. The teacher gives the student the attention or praise during moments when that student is acting appropriately--and keeps track of how frequently they give positive attention and reprimands to the student. This heavy dosing of positive attention and praise can greatly improve the teacher’s relationship with problem students.
• Have the Student Participate in Creating a Behavior Plan (Walker, Colvin, & Ramsey, 1995). Students can feel a greater sense of ownership when they are invited to contribute to their behavior management plan. Students also tend to know better than anyone else what triggers will set off their problem behaviors and what strategies they find most effective in calming themselves and avoiding conflicts or other behavioral problems.
• Increase 'Reinforcement' Quality of the Classroom (Dunlap & Kern, 1996; Mayer & Ybarra, 2004). If a student appears to be defiant or non-compliant in an effort to escape the classroom, the logical solution is to make the classroom environment and activities more attractive and reinforcing for that student. Unfortunately, the student who fails repeatedly at academics can quickly come to view school as punishment. Some ideas to increase motivation to remain in the classroom are to structure lessons or assignments around topics of high interest to the target student, to increase opportunities for cooperative learning (which many students find reinforcing), and to adjust the target student’s instruction so that he or she experiences a high rate of success on classwork and homework.
• Keep Responses Calm, Brief, and Businesslike (Mayer, 2000; Sprick, Borgmeier, & Nolet, 2002). Because teacher sarcasm or lengthy negative reprimands can trigger defiant student behavior, instructors should respond to the student in a 'neutral', business-like, calm voice. Also, keep responses brief when addressing the non-compliant student. Short teacher responses give the defiant student less control over the interaction and can also prevent instructors from inadvertently 'rewarding' misbehaving students with lots of negative adult attention.
• Listen Actively (Lanceley, 1999; Long, Morse, & Newman, 1980). The teacher demonstrates a sincere desire to understand a student’s concerns when he or she actively listens to and then summarizes those concerns. Many students lack effective negotiation skills in dealing with adults. As a result, these students may become angry and defensive when they try to express a complaint to the teacher-even when that complaint is well founded. The instructor can show that he or she wants to understand the student's concern by summing up the crucial points of that concern (paraphrasing) in his or her own words. Examples of paraphrase comments include 'Let me be sure that I understand you correctly…', 'Are you telling me that…?', 'It sounds to me like these are your concerns:…' When teachers engage in 'active listening' by using paraphrasing, they demonstrate a respect for the student's point of view and can also improve their own understanding of the student's problem.
• Offer the Student a Face-Saving Out (Thompson & Jenkins, 1993). Students sometimes blunder into potential confrontations with their teachers; when this happens, the teacher helps the student to avoid a full-blown conflict in a manner that allows the student to save face. Try this face-saving de-escalation tactic: Ask the defiant student, "Is there anything that we can work out together so that you can stay in the classroom and be successful?" Such a statement treats the student with dignity, models negotiation as a positive means for resolving conflict, and demonstrates that the instructor wants to keep the student in the classroom. It also provides the student with a final chance to resolve the conflict with the teacher and avoid other, more serious disciplinary consequences. Be prepared for the possibility that the student will initially give a sarcastic or unrealistic response (e.g., "Yeah, you can leave me alone and stop trying to get me to do classwork!"). Ignore such attempts to hook you into a power struggle and simply ask again whether there is any reasonable way to engage the student's cooperation. When asked a second time, students will often come up with workable ideas for resolving the problem. If the student continues to be non-compliant, however, simply impose the appropriate consequences for that misbehavior.
• Proactively Interrupt the Student’s Anger Early in the Escalation Cycle (Long, Morse, & Newman, 1980; Walker, Colvin, & Ramsey, 1995). The teacher may be able to ‘interrupt’ a student’s escalating behaviors by redirecting that student's attention or temporarily removing the student from the setting. If the student is showing only low-level defiant or non-compliant behavior, you might try engaging the student in a high-interest activity such as playing play an educational computer game or acting as a classroom helper. Or you may want to briefly remove the student from the room ('antiseptic bounce') to prevent the student's behavior from escalating into a full-fledged confrontation. For example, you might send the student to the main office on an errand, with the expectation that-by the time the child returns to the classroom-he or she will have calmed down.
• Project Calmness When Approaching an Escalating Student (Long, Morse, & Newman, 1980; Mayer, 2000; Walker, Colvin, & Ramsey, 1995). A teacher’s chances of defusing a potential confrontation with an angry or defiant student increase greatly if the instructor carefully controls his or her behavior when first approaching the student. Here are important tips: Move toward the student at a slow, deliberate pace, and respect the student’s private space by maintaining a reasonable distance. If possible, speak privately to the student, using a calm and respectful voice. Avoid body language that might provoke the student, such as staring, hands on hips, or finger pointing. Keep your comments brief. If the student’s negative behaviors escalate despite your best efforts, move away from the student and seek additional adult assistance or initiate a crisis-response plan.
• Relax Before Responding (Braithwaite, 2001). Educators can maintain self-control during a tense classroom situation by using a brief, simple stress-reduction technique before responding to a student’s provocative remark or behavior. When provoked, for example, take a deeper-than-normal breath and release it slowly, or mentally count to 10. As an added benefit, this strategy of conscious relaxation allows the educator an additional moment to think through an appropriate response--rather than simply reacting to the student's behavior.
• Reward Alternative (Positive) Behaviors (Mayer & Ybarra, 2004; Walker, Colvin, & Ramsey, 1995). The instructor can shape positive behaviors by selectively calling on the student or providing other positive attention or incentives only when the student is showing appropriate social and academic behaviors. The teacher withholds positive attention or incentives when the student misbehaves or does not engage in academics.
• State Teacher Directives as Two-Part Choice Statements (Walker, 1997). When a student's confrontational behavior seems driven by a need for control, the teacher can structure verbal requests to both acknowledge the student’s freedom to choose whether to comply and present the logical consequences for non-compliance (e.g., poor grades, office disciplinary referral, etc.). Frame requests to uncooperative students as a two-part statement. First, present the negative, or non-compliant, choice and its consequences (e.g., if a seatwork assignment is not completed in class, the student must stay after school). Then state the positive behavioral choice that you would like the student to select (e.g., the student can complete the seatwork assignment within the allotted work time and not stay after school). Here is a sample 2-part choice statement, ‘John, you can stay after school to finish the class assignment or you can finish the assignment now and not have to stay after class. It is your choice.’
• Use a ‘Buddy Teacher’ for Brief Student Breaks (Boynton & Boynton, 2005). Sending a mildly non-compliant student on a short visit to a neighboring classroom can give both the teacher and student a needed break. Arrange with an instructor in a nearby room for either of you to send a student to the other’s room whenever you need a short respite from the student. Set aside a seating area in each classroom for student visitors. NOTE: These timeouts should be used only sparingly and should NOT be used if the student appears to find the breaks rewarding or to seek them as a way to avoid work.
• Use Non-Verbal and Para-Verbal Behaviors to Defuse Potential Confrontations (Braithwaite, 2001; Long, Morse, & Newman, 1980; Walker, Colvin, & Ramsey, 1995). When interacting with defiant or confrontational students, teachers can use non-verbal and para-verbal techniques such as non-threatening body language, soft tone of voice, or strategic pauses during speech, to reduce tensions. For example, if a student is visibly agitated, you may decide to sit down next to the student at eye level (a less threatening posture) rather than standing over that student. Or you might insert a very brief 'wait time' before each response to the student, as these micro-pauses tend to signal calmness, slow a conversation down and help to prevent it from escalating into an argument.
• Use ‘Soft’ Reprimands (Sprick, Borgmeier, & Nolet, 2002). The teacher gives a brief, gentle signal to direct back to task any students who is just beginning to show signs of misbehavior or non-compliance. These ‘soft’ reprimands can be verbal (a quiet word to the student) or non-verbal (a significant look). If a soft reprimand is not sufficient to curb the student’s behaviors, the teacher may pull the student aside for a private problem-solving conversation or implement appropriate disciplinary consequences.
• Validate the Student’s Emotion by Acknowledging It (Lanceley, 1999). When the teacher observes that a student seems angry or upset, the instructor labels the emotion that seems to be driving that student’s behavior. 'Emotion labeling' can be a helpful tactic in deescalating classroom confrontations because it prompts the student to acknowledge his or her current feeling-state directly rather than continuing to communicate it indirectly through acting-out behavior. A teacher, for example, who observes a student slamming her books down on her desk and muttering to herself after returning from gym class might say to the student, "You seem angry. Could you tell me what is wrong?" Once a powerful emotion such as anger is labeled, the teacher and student can then talk about it, figure out what may have triggered it, and jointly find solutions that will mitigate it. Emotion labeling should generally be done in a tentative manner ("John, you sound nervous…", "Alice, you appear frustrated…"), since one can never know with complete certainty what feelings another person is experiencing.
• Boynton, M. & Boynton, C. (2005). The educator’s guide to preventing and solving discipline problems. Alexandria, VA: Association for Supervision and Curriculum Development.
• Braithwaite, R. (2001). Managing aggression. New York: Routledge.
• Dunlap, G., & Kern, L. (1996). Modifying instructional activities to promote desirable behavior: A conceptual and practical framework. School Psychology Quarterly, 11, 297-312.
• Lanceley, F.J. (1999). On-scene guide for crisis negotiators. Boca Raton, FL: CRC Press.
• Long, N.J., Morse, W.C., Newman, R.G. (1980). Conflict in the classroom. Belmont, CA: Wadsworth Publishing Company.
• Mayer, G.R. & Ybarra, W. J. (2004). Teaching alternative behaviors schoolwide: A resource guide to prevent discipline problems. Los Angeles, CA: Los Angeles County Office of Education. Retrieved March 19, 2006, from http://www.lacoe.edu/includes/templates/document_frame.cfm?toURL=/DocsFo...
• Mayer, G.R. (2000). Classroom management: A California resource guide. Los Angeles, CA: Los Angeles County Office of Education. Retrieved September 16, 2010, from http://wwwstatic.kern.org/gems/schcom/ClassroomManagement.pdf
• Sprick, R. S., Borgmeier, C., & Nolet, V. (2002). Prevention and management of behavior problems in secondary schools. In M. A. Shinn, H. M. Walker & G. Stoner (Eds.), Interventions for academic and behavior problems II: Preventive and remedial approaches (pp.373-401). Bethesda, MD: National Association of School Psychologists.
• Thompson, G.J., & Jenkins, J.B. (1993). Verbal judo: The gentle art of persuasion. New York: William Morrow.
• Walker, H. M., Colvin, G., Ramsey, E. (1995). Antisocial behavior in school: Strategies and best practices. Pacific Grove, CA: Brooks/Cole Publishing.
• Walker, H.M. (1997). The acting-out child: Coping with classroom disruption. Longmont, CO: SoprisWest. Walker, H.M., & Walker, J.E. (1991). Coping with noncompliance in the classroom: A positive approach for teachers. Austin, TX: Pro-Ed, Inc.

Jim's Hints

Least Restrictive Behavioral Interventions. The Utah State Office of Education has put online its series of 'Least Restrictive Behavioral Interventions'. The page contains a very useful collection of 'preliminary strategies' that represent good classroom management and can reduce the likelihood that misbehavior will occur. If students do misbehave, the site also provides two collections of intervention ideas: 'Positive Intervention Strategies' and 'Mildly Intrusive Contingent Procedures'. The expectation is that educators will first try positive interventions and only use the more intrusive techniques if misbehaviors are chronic or more serious.

Oppositional Defiant Disorder Fact Sheet. This 'Fact Sheet' on Oppositional Defiant Disorder (ODD) provides a clinical description of the disorder and links to fact sheets on related topics, such as 'Conduct disorder' and 'Children's threats: When are they serious?' These fact sheets were created by the American Academy of Child and Adolescent Psychiatry.

Safe & Responsve Schools . The Safe & Responsive Schools Project seeks to make schools safer through a framework of (1) creating a positive climate, (2) early identification and intervention for students at risk for problem behaviors, and (3) the development of effective responses to address serious misbehavior. Along with other violence-prevention planning resources, Safe & Responsive Schools offers a series of useful 'Fact Sheets' that offer guidance to schools on improving the behavioral climate through anger management, increased parent involvement, and other strategies. Dr.Russell J. Skiba, Indiana University and Dr. Reece L. Peterson, University of Nebraska-Lincoln developed the site.

Working With Defiant Kids: Articles Online. This on-line collection of research-based articles and general education articles on defiant and non-compliant students contains practical teacher-friendly advice for managing classroom misbehaviors. The site is sponsored by Heartland Area Educational Agency 11.

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5 Strategies for Conflict Resolution in the Workplace

• 07 Sep 2023

Any scenario in which you live, work, and collaborate with others is susceptible to conflict. Because workplaces are made up of employees with different backgrounds, personalities, opinions, and daily lives, discord is bound to occur. To navigate it, it’s crucial to understand why it arises and your options for resolving it.

Common reasons for workplace conflict include:

• Misunderstandings or poor communication skills
• Differing opinions, viewpoints, or personalities
• Biases or stereotypes
• Variations in learning or processing styles
• Perceptions of unfairness

Although conflict is common, many don’t feel comfortable handling it—especially with colleagues. As a business leader, you’ll likely clash with other managers and need to help your team work through disputes.

Here’s why conflict resolution is important and five strategies for approaching it.

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Why Is Addressing Workplace Conflict Important?

Pretending conflict doesn’t exist doesn’t make it go away. Ignoring issues can lead to missed deadlines, festering resentment, and unsuccessful initiatives.

Yet, according to coaching and training firm Bravely , 53 percent of employees handle “toxic” situations by avoiding them. Worse still, averting a difficult conversation can cost an organization $7,500 and more than seven workdays.

That adds up quickly: American businesses lose $359 billion yearly due to the impact of unresolved conflict.

As a leader, you have a responsibility to foster healthy conflict resolution and create a safe, productive work environment for employees.

“Some rights, such as the right to safe working conditions or the right against sexual harassment, are fundamental to the employment relationship,” says Harvard Business School Professor Nien-hê Hsieh in the course Leadership, Ethics, and Corporate Accountability . “These rights are things that employees should be entitled to no matter what. They’re often written into the law, but even when they aren’t, they’re central to the ethical treatment of others, which involves respecting the inherent dignity and intrinsic worth of each individual.”

Effectively resolving disputes as they arise benefits your employees’ well-being and your company’s financial health. The first step is learning about five conflict resolution strategies at your disposal.

Related: How to Navigate Difficult Conversations with Employees

While there are several approaches to conflict, some can be more effective than others. The Thomas-Kilmann Conflict Model —developed by Dr. Kenneth W. Thomas and Dr. Ralph H. Kilmann—outlines five strategies for conflict resolution:

• Accommodating
• Compromising
• Collaborating

These fall on a graph, with assertiveness on the y-axis and cooperativeness on the x-axis. In the Thomas-Kilmann model, “assertiveness” refers to the extent to which you try to reach your own goal, and “cooperativeness” is the extent to which you try to satisfy the other party’s goal.

Alternatively, you can think of these axis labels as the “importance of my goal” and the “importance of this relationship.” If your assertiveness is high, you aim to achieve your own goal. If your cooperativeness is high, you strive to help the other person reach theirs to maintain the relationship.

Here’s a breakdown of the five strategies and when to use each.

1. Avoiding

Avoiding is a strategy best suited for situations in which the relationship’s importance and goal are both low.

While you’re unlikely to encounter these scenarios at work, they may occur in daily life. For instance, imagine you’re on a public bus and the passenger next to you is loudly playing music. You’ll likely never bump into that person again, and your goal of a pleasant bus ride isn’t extremely pressing. Avoiding conflict by ignoring the music is a valid option.

In workplace conflicts—where your goals are typically important and you care about maintaining a lasting relationship with colleagues—avoidance can be detrimental.

Remember: Some situations require avoiding conflict, but you’re unlikely to encounter them in the workplace.

2. Competing

Competing is another strategy that, while not often suited for workplace conflict, can be useful in some situations.

This conflict style is for scenarios in which you place high importance on your goal and low importance on your relationships with others. It’s high in assertiveness and low in cooperation.

You may choose a competing style in a crisis. For instance, if someone is unconscious and people are arguing about what to do, asserting yourself and taking charge can help the person get medical attention quicker.

You can also use it when standing up for yourself and in instances where you feel unsafe. In those cases, asserting yourself and reaching safety is more critical than your relationships with others.

When using a competing style in situations where your relationships do matter (for instance, with a colleague), you risk impeding trust—along with collaboration, creativity, and productivity.

3. Accommodating

The third conflict resolution strategy is accommodation, in which you acquiesce to the other party’s needs. Use accommodating in instances where the relationship matters more than your goal.

For example, if you pitch an idea for a future project in a meeting, and one of your colleagues says they believe it will have a negative impact, you could resolve the conflict by rescinding your original thought.

This is useful if the other person is angry or hostile or you don’t have a strong opinion on the matter. It immediately deescalates conflict by removing your goal from the equation.

While accommodation has its place within organizational settings, question whether you use it to avoid conflict. If someone disagrees with you, simply acquiescing can snuff out opportunities for innovation and creative problem-solving .

As a leader, notice whether your employees frequently fall back on accommodation. If the setting is safe, encouraging healthy debate can lead to greater collaboration.

Related: How to Create a Culture of Ethics and Accountability in the Workplace

4. Compromising

Compromising is a conflict resolution strategy in which you and the other party willingly forfeit some of your needs to reach an agreement. It’s known as a “lose-lose” strategy, since neither of you achieve your full goal.

This strategy works well when your care for your goal and the relationship are both moderate. You value the relationship, but not so much that you abandon your goal, like in accommodation.

For example, maybe you and a peer express interest in leading an upcoming project. You could compromise by co-leading it or deciding one of you leads this one and the other the next one.

Compromising requires big-picture thinking and swallowing your pride, knowing you won’t get all your needs fulfilled. The benefits are that you and the other party value your relationship and make sacrifices to reach a mutually beneficial resolution.

5. Collaborating

Where compromise is a lose-lose strategy, collaboration is a win-win. In instances of collaboration, your goal and the relationship are equally important, motivating both you and the other party to work together to find an outcome that meets all needs.

An example of a situation where collaboration is necessary is if one of your employees isn’t performing well in their role—to the point that they’re negatively impacting the business. While maintaining a strong, positive relationship is important, so is finding a solution to their poor performance. Framing the conflict as a collaboration can open doors to help each other discover its cause and what you can do to improve performance and the business’s health.

Collaboration is ideal for most workplace conflicts. Goals are important, but so is maintaining positive relationships with co-workers. Promote collaboration whenever possible to find creative solutions to problems . If you can’t generate a win-win idea, you can always fall back on compromise.

Considering Your Responsibilities as a Leader

As a leader, not only must you address your own conflicts but help your employees work through theirs. When doing so, remember your responsibilities to your employees—whether ethical, legal, or economic.

Leadership, Ethics, and Corporate Accountability groups your ethical responsibilities to employees into five categories:

• Well-being: What’s ultimately good for the person
• Rights: Entitlement to receive certain treatment
• Duties: A moral obligation to behave in a specific way
• Best practices: Aspirational standards not required by law or cultural norms
• Fairness: Impartial and just treatment

In the course, Hsieh outlines three types of fairness you can use when helping employees solve conflicts:

• Legitimate expectations: Employees reasonably expect certain practices or behaviors to continue based on experiences with the organization and explicit promises.
• Procedural fairness: Managers must resolve issues impartially and consistently.
• Distributive fairness: Your company equitably allocates opportunities, benefits, and burdens.

Particularly with procedural fairness, ensure you don’t take sides when mediating conflict. Treat both parties equally, allowing them time to speak and share their perspectives. Guide your team toward collaboration or compromise, and work toward a solution that achieves the goal while maintaining—and even strengthening—relationships.

Are you interested in learning how to navigate difficult decisions as a leader? Explore Leadership, Ethics, and Corporate Accountability —one of our online leadership and management courses —and download our free guide to becoming a more effective leader.

About the Author

SCCE Compliance 101 Third Edition

• Chapter 9. Investigations, Addressing Noncompliance, and Remediation

If there is a reason to believe that misconduct or wrongdoing has occurred, the organization must respond appropriately and promptly. Failure to respond or engaging in lengthy delays to respond can have serious consequences. Violations of the organization’s policies, rules, laws, or other types of misconduct threaten an organization’s status as being reliable, credible, honest, and trustworthy.

Detected but uncorrected misconduct can seriously endanger the mission, reputation, and legal status of an organization. Ignoring a legitimate report of wrongdoing will also alienate staff—especially the person who reported the problem—and could encourage qui tam action. Cover-ups usually cause more problems than they solve. In the event of misconduct, it’s important to face the problem and fix it. No matter how daunting it may feel to face possible misconduct, remember that one of the goals of a compliance program is detection . Having found a problem is an indication your program is working .

Internal Investigations

First, conduct a preliminary assessment of the alleged wrongdoing. This includes gathering basic facts and relevant information. If you have the capability, work with a small team that you can consult with regarding next steps. This team may include HR, risk, legal, and possibly a key leader who understands the subject matter needed. If you do not have the resources for a small team to consult with on the investigation, then consider an objective individual to be your sounding board as you consider next steps. Together you can determine how serious the misconduct or wrongdoing is, clearly define the scope of your review, and develop an appropriate plan of action. An investigation is recommended any time a potential violation is identified. Therefore, your plan of action will likely begin with a timely and thorough internal investigation. Depending on the extent and seriousness of the alleged infraction, outside counsel or content experts may be needed.

Your counsel will help decide what protections, if any, can be used in the investigation. While an internal investigation is the first step, also be sure to take the necessary steps to immediately stop or modify the procedures that are the alleged source of wrongdoing. The approach to the investigation process should be consistent and credible. Any investigation will have basic elements you can follow no matter what the allegation is. The process must be objective, independent of management, and conducted by a skilled investigator. Having investigators without training or a clearly defined process can result in increased risks for the organization.

The internal investigation must be completed thoroughly and documented meticulously. When choosing an investigative team, look for professionals who are appropriately trained and knowledgeable about the area in question, as well as people who are independent and objective fact finders. The compliance officer should be a part of the team, but participation by a member of the senior staff is also desirable when possible to emphasize commitment to the program. If outside consultants are used, the compliance office still must be represented on the team. Handing the problem off to someone else is not a solution. Outside consultants need to be directed, overseen, and evaluated just as closely as an internal investigation team (if not more so).

The team should meet as a group in the beginning to delineate the problem and decide on an approach or strategy. It should also receive senior management’s guidance and support. Develop an investigative plan to define the scope of the investigation, establish what evidence is needed, identify a list of potential witnesses, and start leveraging the needed resources. Instructions on time frame, process, and documentation are also in order. At a minimum, the team should meet again as a group at the end of the investigative process to discuss findings, plan the final report, and ensure that all the necessary bases are covered before closing the investigation.

Documenting the Investigation and Its Results

As noted previously, detailed documentation is critical. If it is necessary to defend the actions of the organization, a clear paper trail makes the process much easier. Thorough documentation should include the following:

Description of the potential misconduct and how it was reported

Description of the investigative process

List of affected policies and procedures

List of relevant documents reviewed

Chronology of relevant dates and details

List of witnesses interviewed and their respective statements (you may consider employees and nonemployees to interview)

Interview questions and notes

Detailed and objective analysis explaining the findings (which would include a root-cause analysis)

Changes to policies and procedures, if appropriate

Documentation of any systemic issues

Documentation of control failures

Documentation of any disciplinary actions

Investigation final report with recommended remedial actions

The final report and any attached documents are sensitive materials that should be distributed in limited quantities on a need-to-know basis. This report should provide an explanation of what the investigation entailed and an analysis of how the investigator reached a conclusion.

Voluntary Disclosure

If the investigation finds that there was no violation, the allegation should be documented as unsubstantiated. However, if the internal investigation finds reason to believe the misconduct constituted a material violation of the law, then the organization must take steps to disclose the violation. After determining credible evidence of a violation, prompt reporting of misconduct to the appropriate regulatory authority within a reasonable period needs to occur, when applicable. Timely reporting may help an organization avoid fines and penalties.

Voluntary disclosure to a regulatory agency helps demonstrate the organization’s willingness to be transparent in areas within which wrongdoing was found. It may also provide certain financial advantages if the disclosure results in a reduced fine or certain administrative advantages. A good-faith effort to comply creates a more pleasant working relationship between an organization and government regulators.

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Table of contents.

• Introduction
• Chapter 1. Compliance Programs: History and Benefits
• Chapter 2. Government Oversight, Laws, and Guidance
• Chapter 3. Program Administration
• Chapter 4. Standards, Policies, and Procedures
• Chapter 5. Risk Assessment
• Chapter 6. Communication, Education, and Training
• Chapter 7. Monitoring, Auditing, and Reporting
• Chapter 8. Program Assessment
• Appendix 1. Sample Compliance Officer Job Description
• Appendix 2. SCCE Code of Professional Ethics for Compliance and Ethics Professionals
• Appendix 3. Sample Compliance Oversight Committee Confidentiality Statement
• Appendix 4. Sample Board of Directors Resolution
• Appendix 5. Nonprofit Organization FAQS: Giving and Receiving Gifts
• Appendix 6. Sample Attestation/Acknowledgement Form
• Appendix 7. Sample Letter to Vendors Regarding Standards of Conduct
• Appendix 8. Sample Audit/Monitoring Review Form
• Appendix 9. Audit Review Plan Templates
• Appendix 10. Sample Nonretaliation/Nonretribution Policy
• Appendix 11. Sample Confidentiality and Nondisclosure Statement
• Appendix 12. Sample Complaint Information Sheet
• Appendix 13. Sample Compliance Issue Follow-Up Form
• Appendix 14. Sample Search Warrant Response Policy
• Appendix 15. Sample Anti-Corruption Certification for Expense Reports
• Additional Resources
• Compliance Glossary
• About the Authors
• About the Society of Corporate Compliance and Ethics

Addressing causes of non-compliance: the 5 why’s technique

This post suggests a seemingly simple, but powerful supervision technique to address the underlying causes of non-compliance: 5-why’s analysis.

Any additions, questions or other thoughts on this post? Do not hesitate to start a conversation in the comment section below.

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Recente blogposts

Risk assessment frameworks for supervision

How to set priorities - 5 tips from experience

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How to Manage Defiant Behavior

10 Ways to Respond When Your Child Refuses to Listen

Image Source / Getty Images

Give Positive Attention

Praise compliant behavior, give effective instructions, offer specific choices.

• Use Grandma's Rule of Discipline
• Create a Reward System

Develop a Behavior Contract

Avoid power struggles, use logical consequences, seek professional help.

At one point or another, nearly all children will dig their heels in, look at their parents, and respond with an emphatic "No!" when they have been told to do something. As frustrating as that can be to hear, non-compliance can be part of a healthy child's development.  

When children test limits or assert themselves , they are trying to be more independent. And while budding independence is healthy, an ongoing pattern of defiance is not.  

Whether your children say, "You can't make me!” when you tell them to pick up their toys, or they pretend they cannot hear you when you tell them it is time to come inside, taking appropriate action will motivate them to start listening better. Here are ten steps to dealing with non-compliance.

Non-compliance can be a great way for kids to get lots of attention. Even though it is negative attention, some kids crave it anyway. In fact, one study found that ignoring non-compliant behavior was effective in getting kids to be more compliant.

Another way to ward off the attention-seeking behavior of non-compliance was to give your child daily doses of positive attention. Play a game together, spend time talking, or go for a walk. Just a few minutes of positive attention can go a long way to reducing defiance.

While it can be hard to notice good behavior when your child is constantly refusing to listen , it is important to find good behaviors to praise. You may even have to give your children some simple requests for the sole purpose of praising their compliance . 

At the dinner table, you might say, “Please hand me the pepper." Then, as soon as they comply say, "Thank you for handing the pepper to me right when I asked you to." This compliment or praise sends the message that you appreciate their compliance.

Make sure the defiant behavior you are witnessing is actually defiance. If your children do not hear you, or they are too distracted playing their video games or using their phone, you may need to change how you give directions .

Establishing eye contact or putting a hand on their shoulder will help you get their attention before you speak. Turn off the background noise and make sure your kids are paying attention so they can absorb what you are telling them to do. 

One of the best ways to combat defiant behavior is to offer two choices. When you offer choices , your kids feel like they have some control over the situation. Avoid questions like, "Do you want to get dressed now?" because a defiant child will automatically say, "No!"

Ask questions like, “Do you want to wear your red shirt or the yellow shirt?” Just make sure you can live with your child's choice before providing options.

Use Grandma's Rule of Discipline

Grandma’s Rule of Discipline , which frames things as incentives rather than pointing out negative consequences, can be one of the best ways to encourage compliance. When used regularly, children begin to see that they have some control over when they earn their privileges.

So instead of saying, "You can't play your video game because you haven't cleaned your room," try saying, "You can play your video game as soon as you are done cleaning your room." That slight change in your message can motivate your child to get to work. 

Create a Reward System

Create a reward system that gives your child an incentive to be compliant. Provide frequent positive reinforcement and consider creating a token economy system to keep your child on track. This is a form of behavior modification that works to encourage healthy, cooperative behaviors by offering positive reinforcers (or rewards).

For example, children are rewarded with a token each time they listen to your instructions without arguing. Then, they exchange tokens for bigger rewards like time with their electronics or an opportunity to go to the park. 

Behavior contracts remind children that they can earn more privileges once they show they can behave responsibly. An effective behavior contract helps children demonstrate when they are ready for more privileges.  

For example, when bedtimes are a battle, the behavior contract might address this issue. In the contract, provide the option of staying up 15 minutes later after children show that they can go to bed on time for one week without arguing.

Avoid getting into a power struggle with a non-compliant child. When you fight for power, it will only make the defiance worse. Instead, use a warning such as an if…then statement to turn the behavior around.

Offer one warning only and follow through with consequences when necessary.

It is really important not to waver on your if-then statements. If you do, it will just encourage more defiance because they do not think anything will really happen if they defy you.

Each instance of non-compliance should be addressed with a negative consequence. A time-out, or a logical consequence such as a loss of privileges, are effective ways to discourage defiance.   Remember, consistent discipline is the key to reducing defiant behavior.

Although extreme defiance can signal a more serious problem, such as oppositional defiant disorder ,   occasional defiance and non-compliance are normal child behavior problems . If you are concerned that your child may have a more serious problem, or if your discipline strategies are not working, talk to your child's pediatrician about getting professional help .

In addition to looking for an explanation for the behavior, your child's doctor may be able to offer suggestions for parenting classes or workshops that can help you hone your skills.

A Word From Verywell

It is easy to get angry and frustrated when your child defies you. But it's important to remind yourself that in most cases defiance and non-compliance are child behavior problems that every parent experiences from time to time. With a little patience and the right discipline strategies, you can guide your children on how to make the right choices while reducing the amount of defiant behavior you experience from them.

Leijten P, Gardner F, Melendez-Torres GJ, Knerr W, Overbeek G. Parenting behaviors that shape child compliance: A multilevel meta-analysis . PLoS ONE . 2018;13(10):e0204929. doi:10.1371/journal.pone.0204929

Scott HK, Jain A, Cogburn M. Behavior Modification . In:  StatPearls . 2021.

Sukhodolsky DG, Smith SD, Mccauley SA, Ibrahim K, Piasecka JB. Behavioral interventions for anger, irritability, and aggression in children and adolescents . J Child Adolesc Psychopharmacol . 2016;26(1):58-64. doi:10.1089/cap.2015.0120

Ghosh A, Ray A, Basu A. Oppositional defiant disorder: current insight . Psychol Res Behav Manag . 2017;10:353-367. doi:10.2147/PRBM.S120582

By Amy Morin, LCSW Amy Morin, LCSW, is the Editor-in-Chief of Verywell Mind. She's also a psychotherapist, an international bestselling author of books on mental strength and host of The Verywell Mind Podcast. She delivered one of the most popular TEDx talks of all time.

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• Strategies for Managing Defiance and Non-Compliance

Introduction

Students who are defiant or non-compliant can be among the most challenging to teach. They can frequently interrupt instruction, often do poorly academically, and may show little motivation to learn. There are no magic strategies for managing the behaviors of defiant students. However, research shows that certain techniques tend to work best with these children and youth. 

This issue of The Practical Teacher provides strategies and interventions for managing defiant or non-compliant students.

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Behavioural Strategies to Address Noncompliance

• First Online: 04 September 2019

Cite this chapter

• Brittany Cook 3 ,
• Jessica Duris 3 ,
• Toby L. Martin 3 , 4 &
• Lindsay McCombe 4  

Part of the book series: Autism and Child Psychopathology Series ((ACPS))

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2 Citations

Noncompliance to instructions or requests is a prevalent issue among persons with intellectual/developmental disabilities (PWIDD). A systematic literature review was conducted to identify peer-reviewed evidence for interventions that were aimed at either decreasing noncompliance or increasing compliant behaviours in this population. This chapter offers a definition of noncompliance as a behavioural deficit and excess, describes general behavioural approaches to remediating both the deficit and the excess, and reviews specific empirically supported interventions that address each problem.

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Cook, B., Duris, J., Martin, T.L., McCombe, L. (2019). Behavioural Strategies to Address Noncompliance. In: Matson, J.L. (eds) Handbook of Intellectual Disabilities. Autism and Child Psychopathology Series. Springer, Cham. https://doi.org/10.1007/978-3-030-20843-1_30

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Rethinking Non-Compliance as a Skill and Promoting Self-Advocacy

• By: Alex Kishbaugh, MS, BCBA, LABA Haley M. K. Steinhauser, PhD, BCBA-D, LABA Frank L. Bird, MEd, BCBA, LABA Melmark
• September 29th, 2022
• ABA , adaptive communication , assent , behavior analysts , Fall 2022 Issue , non-compliance , self-advocacy
• 5542    0

Nearly all behavior analysts have come across “non-compliance” within the behavior repertoire of our consumers. Many of us have operationally defined it and targeted it for deceleration. However, how often […]

Nearly all behavior analysts have come across “non-compliance” within the behavior repertoire of our consumers. Many of us have operationally defined it and targeted it for deceleration. However, how often do we stop to consider the significance of non-compliance? Can non-compliance be adaptive? Can non-compliance have multiple adaptive functions? Can we teach our consumers to discriminate when and how to adaptively communicate “no”?

Applied behavior analysis, or ABA, has received considerable negative press lately, with some of that criticism being an overemphasis on compliance of autistic clients (Veneziano & Shea, 2022; Wilkenfeld & McCarthy, 2020). However uncomfortable as it may be to receive criticism as someone who is committed to work in a helping profession and adheres to the value of applied behavior analysis and evidence-based practices, the field can benefit from listening to these concerns and care can be improved. There is value in assessing the criticism to understand it and clinically reflect on the extent that it applies to our work. This is the only way we can improve our practices as behavior analysts with the people we serve. We need to acknowledge our own biases and learning history. Only then can we move forward and continue to learn and grow as we remain curious and open to learning more as to how our science can improve the quality of life of those we serve.

Rethinking Non-Compliance as Withdrawing Assent

Due to ongoing challenges with appropriate funding and the staffing crisis, time is of the essence more than ever when it comes to the importance of skill-building. This can lead well-intentioned behavior analysts, teachers, and caregivers in wanting every moment to be a teaching opportunity, with little time for “non-compliance.” Non-compliance, however, might be conceptualized as a withdrawal of assent, or a lack of consent, with instruction or another component of the treatment process. Assent has been promoted within the Ethics Code for Behavior Analysts (Behavior Analyst Certification Board [BACB]®, 2020) and is now an obligation for both practitioners and for researchers. It is imperative to monitor and gain assent, and to respond compassionately and humanely to any withdrawals of assent. There is room for improvement in the integration of assent into clinical and research work in ABA (Morris et al., 2021). More needs to be done to train practitioners to understand assent, to ensure that assent is integrated into care, and to developing assent procedures for individuals who are non-vocal. A related consideration is to rethink our service delivery to alter our instructional approach. Rather than treat escape-maintained behavior, we should think about how our instruction can be reworked into something individuals opt into (e.g., Rajaraman et al., 2022).

Not only is non-compliance a signal that something needs to be modified with our clinical approach; non-compliance is an essential skill. Teaching “no” and respecting it as a means of promoting a healthy, safe, and well-rounded life is critical. Non-compliance is especially valuable in the context of personal sexual safety, in addition to sexuality education, across individuals, diagnoses, and communication skills (Schulman & Gerhardt, 2017). Simply put, an individual cannot be sexually safe if they cannot be non-compliant. As professionals, we need to reflect on how this relates to the work we do. When non-compliance is targeted for decrease, it can send the message that we do not respect an individual’s “no.” This may further reduce self-advocacy in the form of asking questions, expressing feelings, or engaging in dialogue with us. Unfortunately, we must be mindful of the potential ramifications for harm in this paradigm; it can leave our consumers vulnerable to harm, exploitation, or abuse. For all of these reasons, we need to be thoughtful and re-assess how we can discriminately teach our consumers the value of communicating “no.”

Promoting Self-Advocacy

Time is of the essence when it comes to building skills and independence with autistic children and adolescents; helping our clients develop a repertoire that includes self-advocacy is key. Non-compliance with the command of a functional “no” response that others respect is the foundation of self-advocacy, allowing individuals to advocate for themselves and their needs. A popular disability advocacy site, Covey.org , breaks down self-advocacy simply into the following: Knowing oneself, knowing one’s needs, and knowing how to get those needs met. Non-compliance is endemic in all three parts; self-advocacy cannot occur without the ability to be non-compliant.

In addition to listening to autistic voices and ensuring we are appreciating the nuance of this topic, we need to write better, more nuanced, and collaborative goals with respect with self-advocacy skills at the forefront. Here are some practical starting points:

• Replace references to “non-compliance” with skills to promote instead.
• Alternatively, frame the goal as cooperation instead of compliance, and ensure that it is targeted only when cooperation is important. Drop references to compliance, as it leads to an over-focus on following commands without consideration of choice, assent, or other contextual factors.
• Get curious about why we are observing “non-compliance.” Consider this through a behavior analytic lens and use problem solving to identify elements of intervention that are objectionable to the learner.
• Reflect and reconsider why we value compliance in a particular situation and whether it is even appropriate or necessary to do so in a given context.

A simple first step is to adjust the language we use – both spoken and in written goals. This can be accomplished by replacing “non-compliance” with either cooperation or by focusing on skills to promote and teach while ensuring they align with the individual’s personal goals and desires. For instance, rather than targeting decreasing non-compliance, look to increase pragmatic skills such as negotiation, compromise, safe “no” responses, and problem-solving, all which will promote self-advocacy.

Another objective to consider is to assess the function of non-compliance. This can prompt caregivers, teachers, and clinicians to ask several questions. For instance, is the person having difficulty with the task? Are they experiencing a strong emotion that is preventing them from communicating effectively? Could they be feeling unwell? There are countless possibilities, with some being best responded to with individualized accommodations or assistance. By stepping back and considering why we are observing non-compliance, we can more compassionately let the needs of the person guide us in a collaborative approach.

Also, it is crucial to give careful consideration of our own experiences, perspectives, and biases and how they affect our own behavior. As teachers and clinicians, we must self-reflect on why we value compliance in a particular situation or with a specific skill. Rethinking if it is necessary, considering if it can be done differently, or rescheduling it for later might better respect a consumer’s personal needs or desires. Everyone has life experiences that shape our interactions and expectations; self-reflection and adjustment of our own behavior can help us do better for those we serve.

Working with autistic individuals, we want the best outcomes for those we teach and serve. Listening to criticisms, understanding them, and looking to always do better are essential steps for achieving best outcomes and becoming better behavioral clinicians. Small changes in the language we use can have a large impact; it may be time for the field to de-emphasize compliance and to focus instead on cooperation and collaboration. Finally, the integration of assent, and the assessment of monitoring assent, are now ethical mandates and elements of best practice. It is important to explicitly identify how assent will be gained and how it will be ensured throughout the instruction.

Alex Kishbaugh, MS, BCBA, LABA, is Director of Adult Services and Haley M. K. Steinhauser, PhD, BCBA-D, LABA, is Director of Clinical Services at Melmark New England . Frank L. Bird, MEd, BCBA, LABA, is Executive Vice President and Chief Clinical Officer at Melmark .

For more information, contact Alex Kishbaugh at [email protected] , Dr. Haley Steinhauser at [email protected] , or Frank Bird at [email protected] .

Behavior Analyst Certification Board. (2020). Ethics code for behavior analysts. https://bacb.com/wp-content/ethics-code-for-behavior-analysts/

Covey. (n. d.). The three parts of self-advocacy for people with disabilities. https://covey.org/self-advocacy/

Morris, C., Detrick, J. L., & Peterson, S. M. (2021). Participant assent in behavior analytic research: Considerations for participants with autism and developmental disabilities, Journal of Applied Behavior Analysis, 54, 1300-1316. https://doi.org/10.1002/jaba.859

Rajaraman, A., Hanley G. P., Gover, H. C., Staubitz, J. L., Staubitz, J. E., Simcoe, K. M. & Metras, R. (2022). Minimizing escalation by treating dangerous problem behavior within an enhanced choice model. Behavior Analysis in Practice, 15, 219-242. https://doi.org/10.1007/s40617-020-00548-2

Schulman, R., & Gerhardt, P. (2017, January 1). Healthy sexuality education for individuals with autism . Autism Spectrum News. https://www.autismspectrumnews.org/healthy-sexuality-education-for-individuals-with-autism/

Veneziano, J., & Shea, S. (2022). They have a voice; are we listening? Behavior Analysis in Practice . Advance online publication. https://doi.org/10.1007/s40617-022-00690-z

Wilkenfeld, D. A., & McCarthy, A. M. (2020). Ethical concerns with applied behavior analysis for autism spectrum “disorder”. Kennedy Institute of Ethics Journal, 30 (1), 31-69. https://doi.org/10.1353/ken.2020.0000

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10 Problem-solving strategies to turn challenges on their head

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What is an example of problem-solving?

What are the 5 steps to problem-solving, 10 effective problem-solving strategies, what skills do efficient problem solvers have, how to improve your problem-solving skills.

Problems come in all shapes and sizes — from workplace conflict to budget cuts.

Creative problem-solving is one of the most in-demand skills in all roles and industries. It can boost an organization’s human capital and give it a competitive edge. 

Problem-solving strategies are ways of approaching problems that can help you look beyond the obvious answers and find the best solution to your problem . 

Let’s take a look at a five-step problem-solving process and how to combine it with proven problem-solving strategies. This will give you the tools and skills to solve even your most complex problems.

Good problem-solving is an essential part of the decision-making process . To see what a problem-solving process might look like in real life, let’s take a common problem for SaaS brands — decreasing customer churn rates.

To solve this problem, the company must first identify it. In this case, the problem is that the churn rate is too high. 

Next, they need to identify the root causes of the problem. This could be anything from their customer service experience to their email marketing campaigns. If there are several problems, they will need a separate problem-solving process for each one. 

Let’s say the problem is with email marketing — they’re not nurturing existing customers. Now that they’ve identified the problem, they can start using problem-solving strategies to look for solutions. 

This might look like coming up with special offers, discounts, or bonuses for existing customers. They need to find ways to remind them to use their products and services while providing added value. This will encourage customers to keep paying their monthly subscriptions.

They might also want to add incentives, such as access to a premium service at no extra cost after 12 months of membership. They could publish blog posts that help their customers solve common problems and share them as an email newsletter.

The company should set targets and a time frame in which to achieve them. This will allow leaders to measure progress and identify which actions yield the best results.

Perhaps you’ve got a problem you need to tackle. Or maybe you want to be prepared the next time one arises. Either way, it’s a good idea to get familiar with the five steps of problem-solving. 

Use this step-by-step problem-solving method with the strategies in the following section to find possible solutions to your problem.

1. Identify the problem

The first step is to know which problem you need to solve. Then, you need to find the root cause of the problem. 

The best course of action is to gather as much data as possible, speak to the people involved, and separate facts from opinions. 

Once this is done, formulate a statement that describes the problem. Use rational persuasion to make sure your team agrees .

2. Break the problem down 

Identifying the problem allows you to see which steps need to be taken to solve it. 

First, break the problem down into achievable blocks. Then, use strategic planning to set a time frame in which to solve the problem and establish a timeline for the completion of each stage.

3. Generate potential solutions

At this stage, the aim isn’t to evaluate possible solutions but to generate as many ideas as possible. 

Encourage your team to use creative thinking and be patient — the best solution may not be the first or most obvious one.

Use one or more of the different strategies in the following section to help come up with solutions — the more creative, the better.

4. Evaluate the possible solutions

Once you’ve generated potential solutions, narrow them down to a shortlist. Then, evaluate the options on your shortlist. 

There are usually many factors to consider. So when evaluating a solution, ask yourself the following questions:

• Will my team be on board with the proposition?
• Does the solution align with organizational goals ?
• Is the solution likely to achieve the desired outcomes?
• Is the solution realistic and possible with current resources and constraints?
• Will the solution solve the problem without causing additional unintended problems?

5. Implement and monitor the solutions

Once you’ve identified your solution and got buy-in from your team, it’s time to implement it. 

But the work doesn’t stop there. You need to monitor your solution to see whether it actually solves your problem. 

Request regular feedback from the team members involved and have a monitoring and evaluation plan in place to measure progress.

If the solution doesn’t achieve your desired results, start this step-by-step process again.

There are many different ways to approach problem-solving. Each is suitable for different types of problems. 

The most appropriate problem-solving techniques will depend on your specific problem. You may need to experiment with several strategies before you find a workable solution.

Here are 10 effective problem-solving strategies for you to try:

• Use a solution that worked before
• Brainstorming
• Work backward
• Use the Kipling method
• Draw the problem
• Use trial and error
• Sleep on it
• Get advice from your peers
• Use the Pareto principle
• Add successful solutions to your toolkit

Let’s break each of these down.

1. Use a solution that worked before

It might seem obvious, but if you’ve faced similar problems in the past, look back to what worked then. See if any of the solutions could apply to your current situation and, if so, replicate them.

2. Brainstorming

The more people you enlist to help solve the problem, the more potential solutions you can come up with.

Use different brainstorming techniques to workshop potential solutions with your team. They’ll likely bring something you haven’t thought of to the table.

3. Work backward

Working backward is a way to reverse engineer your problem. Imagine your problem has been solved, and make that the starting point.

Then, retrace your steps back to where you are now. This can help you see which course of action may be most effective.

4. Use the Kipling method

This is a method that poses six questions based on Rudyard Kipling’s poem, “ I Keep Six Honest Serving Men .” 

• What is the problem?
• Why is the problem important?
• When did the problem arise, and when does it need to be solved?
• How did the problem happen?
• Where is the problem occurring?
• Who does the problem affect?

Answering these questions can help you identify possible solutions.

5. Draw the problem

Sometimes it can be difficult to visualize all the components and moving parts of a problem and its solution. Drawing a diagram can help.

This technique is particularly helpful for solving process-related problems. For example, a product development team might want to decrease the time they take to fix bugs and create new iterations. Drawing the processes involved can help you see where improvements can be made.

6. Use trial-and-error

A trial-and-error approach can be useful when you have several possible solutions and want to test them to see which one works best.

7. Sleep on it

Finding the best solution to a problem is a process. Remember to take breaks and get enough rest . Sometimes, a walk around the block can bring inspiration, but you should sleep on it if possible.

A good night’s sleep helps us find creative solutions to problems. This is because when you sleep, your brain sorts through the day’s events and stores them as memories. This enables you to process your ideas at a subconscious level. 

If possible, give yourself a few days to develop and analyze possible solutions. You may find you have greater clarity after sleeping on it. Your mind will also be fresh, so you’ll be able to make better decisions.

8. Get advice from your peers

Getting input from a group of people can help you find solutions you may not have thought of on your own. 

For solo entrepreneurs or freelancers, this might look like hiring a coach or mentor or joining a mastermind group. 

For leaders , it might be consulting other members of the leadership team or working with a business coach .

It’s important to recognize you might not have all the skills, experience, or knowledge necessary to find a solution alone. 

9. Use the Pareto principle

The Pareto principle — also known as the 80/20 rule — can help you identify possible root causes and potential solutions for your problems.

Although it’s not a mathematical law, it’s a principle found throughout many aspects of business and life. For example, 20% of the sales reps in a company might close 80% of the sales. 

You may be able to narrow down the causes of your problem by applying the Pareto principle. This can also help you identify the most appropriate solutions.

10. Add successful solutions to your toolkit

Every situation is different, and the same solutions might not always work. But by keeping a record of successful problem-solving strategies, you can build up a solutions toolkit. 

These solutions may be applicable to future problems. Even if not, they may save you some of the time and work needed to come up with a new solution.

Improving problem-solving skills is essential for professional development — both yours and your team’s. Here are some of the key skills of effective problem solvers:

• Critical thinking and analytical skills
• Communication skills , including active listening
• Decision-making
• Planning and prioritization
• Emotional intelligence , including empathy and emotional regulation
• Time management
• Data analysis
• Research skills
• Project management

And they see problems as opportunities. Everyone is born with problem-solving skills. But accessing these abilities depends on how we view problems. Effective problem-solvers see problems as opportunities to learn and improve.

Ready to work on your problem-solving abilities? Get started with these seven tips.

1. Build your problem-solving skills

One of the best ways to improve your problem-solving skills is to learn from experts. Consider enrolling in organizational training , shadowing a mentor , or working with a coach .

2. Practice

Practice using your new problem-solving skills by applying them to smaller problems you might encounter in your daily life. 

Alternatively, imagine problematic scenarios that might arise at work and use problem-solving strategies to find hypothetical solutions.

3. Don’t try to find a solution right away

Often, the first solution you think of to solve a problem isn’t the most appropriate or effective.

Instead of thinking on the spot, give yourself time and use one or more of the problem-solving strategies above to activate your creative thinking. 

4. Ask for feedback

Receiving feedback is always important for learning and growth. Your perception of your problem-solving skills may be different from that of your colleagues. They can provide insights that help you improve. 

5. Learn new approaches and methodologies

There are entire books written about problem-solving methodologies if you want to take a deep dive into the subject. 

We recommend starting with “ Fixed — How to Perfect the Fine Art of Problem Solving ” by Amy E. Herman. 

6. Experiment

Tried-and-tested problem-solving techniques can be useful. However, they don’t teach you how to innovate and develop your own problem-solving approaches. 

Sometimes, an unconventional approach can lead to the development of a brilliant new idea or strategy. So don’t be afraid to suggest your most “out there” ideas.

7. Analyze the success of your competitors

Do you have competitors who have already solved the problem you’re facing? Look at what they did, and work backward to solve your own problem. 

For example, Netflix started in the 1990s as a DVD mail-rental company. Its main competitor at the time was Blockbuster. 

But when streaming became the norm in the early 2000s, both companies faced a crisis. Netflix innovated, unveiling its streaming service in 2007. 

If Blockbuster had followed Netflix’s example, it might have survived. Instead, it declared bankruptcy in 2010.

Use problem-solving strategies to uplevel your business

When facing a problem, it’s worth taking the time to find the right solution. 

Otherwise, we risk either running away from our problems or headlong into solutions. When we do this, we might miss out on other, better options.

Use the problem-solving strategies outlined above to find innovative solutions to your business’ most perplexing problems.

If you’re ready to take problem-solving to the next level, request a demo with BetterUp . Our expert coaches specialize in helping teams develop and implement strategies that work.

Boost your productivity

Maximize your time and productivity with strategies from our expert coaches.

Elizabeth Perry, ACC

Elizabeth Perry is a Coach Community Manager at BetterUp. She uses strategic engagement strategies to cultivate a learning community across a global network of Coaches through in-person and virtual experiences, technology-enabled platforms, and strategic coaching industry partnerships. With over 3 years of coaching experience and a certification in transformative leadership and life coaching from Sofia University, Elizabeth leverages transpersonal psychology expertise to help coaches and clients gain awareness of their behavioral and thought patterns, discover their purpose and passions, and elevate their potential. She is a lifelong student of psychology, personal growth, and human potential as well as an ICF-certified ACC transpersonal life and leadership Coach.

8 creative solutions to your most challenging problems

5 problem-solving questions to prepare you for your next interview, what are metacognitive skills examples in everyday life, what is lateral thinking 7 techniques to encourage creative ideas, 31 examples of problem solving performance review phrases, leadership activities that encourage employee engagement, learn what process mapping is and how to create one (+ examples), how much do distractions cost 8 effects of lack of focus, can dreams help you solve problems 6 ways to try, similar articles, the pareto principle: how the 80/20 rule can help you do more with less, thinking outside the box: 8 ways to become a creative problem solver, 3 problem statement examples and steps to write your own, what is tacit knowledge, and how does it benefit the workplace, contingency planning: 4 steps to prepare for the unexpected, stay connected with betterup, get our newsletter, event invites, plus product insights and research..

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Adopting the right problem-solving approach

May 4, 2023 You’ve defined your problem, ensured stakeholders are aligned, and are ready to bring the right problem-solving approach and focus to the situation to find an optimal solution. But what is the right problem-solving approach? And what if there is no single ideal course of action? In our 2013 classic  from the Quarterly , senior partner Olivier Leclerc  highlights the value of taking a number of different approaches simultaneously to solve difficult problems. Read on to discover the five flexons, or problem-solving languages, that can be applied to the same problem to generate richer insights and more innovative solutions. Then check out more insights on problem-solving approaches, and dive into examples of pressing challenges organizations are contending with now.

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5 Common Compliance Issues (and How to Overcome Them)

Compliance problems can come at you from all the sides. For instance, a customer may request evidence of certification you don’t have, your insurance company might charge higher premiums if you can’t prove compliance to relevant industry standards, or you might hear of a government job that you’re perfectly suited to tender, but you don’t have the certification necessary to apply. 

On a day-to-day level, you might struggle with product and service quality, information security or long-term sustainability.

All of these issues can decrease your efficiency and create roadblocks to your company’s future. Let’s look at five common compliance issues and how to overcome them. When you resolve these all-too-familiar business headaches, you clear the path forward, making it much easier to achieve your goals.

1. Poor Implementation

In their haste to achieve compliance and get back to business, many companies suffer from poor implementation of industry standards. A bare-minimum approach generally leaves organisations in an immature state, and it’s difficult to maintain a solid level of compliance.

One way to overcome this problem is to evaluate the compliance essentials for your business. All too often, people make compliance too complex and arduous by creating unnecessary paperwork and procedures, or relying on inexperienced internal resources to do the job. You need a simplified, tailored approach to compliance; keep the essentials and discard superfluous details.

Another key to overcoming poor implementation is getting everyone on board. Involving key stakeholders in the compliance process will ensure better long-term results.

2. Technology

If your company doesn’t have the technology to support your compliance, you’ll run into troubles, both now and in the future when you need to renew your certifications.

The right tech can help you to quickly and easily analyse whether or not you’re reaching key indicators and staying on track. From monitoring regulatory changes to staying on top of staff compliance, technology can help you stay ahead of your obligations. You can even use tech to effortlessly issue compliance reports to boards, regulators and other stakeholders.

3. Procrastination

You’re in business to sell products and services, and because compliance doesn’t seem to directly affect your sales, it’s all too easy to put it on the back burner. However, procrastination is a huge compliance issue that can lead to real problems for businesses in many industries. 

Certification can take many months, so leave yourself plenty of time to meet your deadline and engage a compliance consultant like us to ensure everything stays on track. Hiring outside help can allow your employees to focus on what they do best while still achieving your compliance goals in a timely manner.

4. Lack of a Multidisciplinary Team

Compliance cuts across every department in your organisation. In many ways, each of your departments acts independently from the rest. Your finance people have their processes and procedures. The marketing department manages their tasks in their own way. But when it comes to compliance, every area has responsibilities for specific regulations.

Some business owners ask each separate department to handle compliance in their own way and report back. But with such a lack of homogeneity, reports are confusing, and details fall through the cracks.

It’s important to standardise compliance processes and reporting protocols, and a cross-functional, multidisciplinary workforce can make this happen.

Our team can help you to implement compliance processes at every level and throughout every department, even if your company is spread out over several geographical locations.

5. Competing Priorities

Too many businesses fail to complete their targeted certifications, not because they lack in substance, but because they just don’t manage to complete certain tasks. Most business owners don’t have the luxury of extra time for focusing on compliance issues. Their leadership is essential to the survival and success of their companies. 

That’s why we do what we do.

With our help, you don’t have to let compliance compete with your core priorities. We can guide you through the entire compliance process, delivering a strengthened, more effective company that produces better quality goods and services.

To learn more about how we can help you overcome these and other compliance issues, reach out to us for a custom solution for your specific needs. Having worked with a variety of Australian companies in a number of sectors, we’re prepared to help.

Schedule a consultation with us at Compliance Council. 

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Importance of a Non-Compliance Resolution Process

Non-compliance can be explained as a failure to fulfill the specific asks of a regulatory requirement, and can be due to either sub-par system performance or a lack of proper processes in place. System Non-Compliance might include a failure to capture information as per the regulatory objectives, while Process Non-Compliance might include not achieving operating criteria. Either form of non-compliance could cost an organization dearly, with consequences ranging from no action to heavy fines or custodial sentences for individuals. Below is a hierarchy of consequences related to non-compliance, ranked in severity from least to greatest:

• Additional  inspections  and changes in permit conditions
• Formal warning, including enforcement/improvement/prohibition notice
• Financial penalty
• Suspension/revocation of  permit
• Regulator’s press release
• Prosecution of key individuals

The indirect consequences of non-compliance could be more severe, including reduced production due to workforce and other stakeholder concerns, and a loss of business due to loss of market goodwill. Naturally, companies should seek to achieve a state of total compliance with regulations . We recommend adopting below mentioned philosophy as a first step towards total compliance:

• Institutionalize a structured Non-Compliance Resolution Process to plan, execute, monitor and fix compliance effort throughout the organization. Additionally, this system will also be the custodian of the compliance knowledge-base. This system does not have to be managed solely by one individual; rather, it should be the joint responsibility of a number of people, including at least one person at senior director level.
• This system should be implemented at a strategic level and integrated into corporate plans and policies to deliver and manage compliance on an ongoing basis, allow for efficient resource management, incorporate approved performance benchmarks and provide for recording and communication in a transparent manner in reports.
• But above all, this system should quickly identify any areas of non-compliance and instigate corrective and preventative action in such cases.

The systematic implementation of such a system will not only help you identify non-compliance by highlighting areas of deviation from the policy, but it will also highlight high functioning parts of the system, or opportunities for improvement through periodic audits of the system. The audits will take place within the ‘monitor’ phase of the ‘plan-execute-monitor-fix’ system mentioned above, and are carried out by internal or external personnel nominated as per the audit program . These Auditors are well versed in the company’s field of operation, but would, nevertheless, rely on the company to provide the records of operations towards compliance objectives. The accurate and timely keeping of records is therefore a key part of the process of identifying non-compliance.

Once you have identified areas of non-compliance and taken the necessary action to rectify the situation, it is important to ascertain why the non-compliance happened in the first place. There may be many reasons to it, including operating culture, training needs, cost factors, or even lack of clarity regarding one’s role – but no matter what the reason is, if you do not find it out, you will not be able to prevent a recurrence of the lapse. Other key reasons may include:

• Shortcomings in the audit system with insufficient site and equipment checks
• Management failure caused by poor reporting or notification procedures
• Changing business circumstances and economic priorities
• Changing operating procedures, including operations in new geographies
• New laws and regulations, or simply a contradictory interpretation of regulations
• Natural causes such as unpredictable weather or storms
• Or simply a poor initial target setting

Once you have identified the areas of non-compliance, and examined the reasons thereof, the next step is to make recommendations for improvement. This happens during the ‘fix’ stage of the ‘plan-execute-monitor-fix’ cycle, and will directly respond to the issues highlighted as root cause of non-compliance. Typical recommendations are as shown below:

• Operator not aware of the applicability of a regulation: Education and training
• Human error in implementation: Education and training
• Operating procedure not followed: Education and training
• Equipment design or installation problem: Capital Investment
• Procedure not followed by contracted services: Improved communication procedures
• Poor communication between operator and regulatory agencies: Improved communication procedures

In general, recommendations for the improvement of the performance of Non-Compliance Resolution Process will consist of Capital investment, Staff investment, and Process review. Other inorganic ways of improving the compliance could be to leverage experience gained from corrective and preventive actions, or to leverage external benchmarks and best practices, or even actuating views of interested parties, including employees, customers and suppliers.

If you have reasons to believe that you may have a non-compliance situation at hand, but you are just not sure how to rectify the situation and avoid a relapse, contact us today. We can help!

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• Call us at 408-458-8343

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How to Improve Your Problem Solving Skills as a Chief Compliance Officer

Discover effective strategies to boost your problem-solving skills as a Chief Compliance Officer. Gain insights and move towards success.

As a Chief Compliance Officer, you have a huge responsibility to ensure that your organization operates within the legal guidelines and regulations. This requires various problem-solving skills and techniques that can help you identify and mitigate potential risks. In this article, we will discuss some strategies that can help you improve your problem-solving skills and become a more effective Chief Compliance Officer.

Understanding the Role of a Chief Compliance Officer

In order to improve your problem-solving skills as a Chief Compliance Officer, it is essential to understand the role you are expected to play. Your primary duty is to ensure that your company complies with relevant laws, regulations, and industry standards. You must ensure that your teams understand these compliance regulations and the importance of adhering to them.

As a Chief Compliance Officer, you are responsible for mitigating potential risks and ensuring that your organization is operating within legal and ethical boundaries. This means that you must stay up-to-date with the latest regulatory changes and industry standards to ensure that your company is always in compliance.

In addition to regulatory compliance, you must also ensure that your organization is following best practices for data privacy and security. This includes implementing policies and procedures to protect sensitive information and prevent data breaches.

Key Responsibilities and Challenges

Some of the key responsibilities of a Chief Compliance Officer include:

• Developing, implementing, and monitoring compliance policies and procedures.
• Conducting compliance risk assessments and identifying potential threats.
• Collaborating with internal stakeholders and external regulatory bodies.
• Driving a culture of compliance within the organization.

However, this role is not without its challenges. You must deal with complex regulations, organizational hierarchy, and competing priorities. It can be difficult to balance the need for compliance with the need for business growth and innovation. Therefore, it is essential to embrace the right mindset to become a successful Chief Compliance Officer.

One way to approach this challenge is to view compliance as an opportunity for innovation. By finding creative solutions to compliance challenges, you can improve your organization's operations and create a competitive advantage. This requires a willingness to think outside the box and collaborate with other departments to find solutions that work for everyone.

Importance of Problem Solving in Compliance

Problem-solving skills are a crucial component of any Chief Compliance Officer's toolkit. Compliance issues can be complex and require a strategic approach to solve. Effective problem solvers can analyze data, evaluate risks, and develop practical solutions to address compliance challenges.

As a Chief Compliance Officer, you must be able to identify potential compliance risks and develop strategies to mitigate them. This requires a deep understanding of your organization's operations, as well as the regulatory landscape in which you operate. By taking a proactive approach to compliance, you can prevent issues before they arise and ensure that your organization is always in compliance.

Ultimately, the role of a Chief Compliance Officer is to ensure that your organization operates with integrity and in compliance with all relevant laws and regulations. By embracing the right mindset and developing strong problem-solving skills, you can be an effective leader in this critical role.

Developing a Problem Solving Mindset

Developing a problem-solving mindset is not something that happens overnight. It is a continuous process that requires intentional effort and perseverance. Here are some strategies that can help:

Embracing a Growth Mindset

A growth mindset involves the belief that your abilities and skills can be developed over time. This mindset allows you to approach challenges as opportunities for growth and learning rather than obstacles. Embracing a growth mindset can help you develop more resilience and approach compliance issues with a positive attitude.

For example, imagine that you are facing a complex compliance issue that seems insurmountable. Rather than feeling defeated, you can approach the situation with a growth mindset. You can view this as an opportunity to learn more about the issue, develop new skills, and find creative solutions that will benefit your organization in the long run.

Cultivating Curiosity and Adaptability

Curiosity is a critical trait required for effective problem solving. It involves a desire to learn and understand new information. Curiosity can help you identify new perspectives, ask better questions, and challenge assumptions.

For instance, let's say that you are working on a compliance issue related to data privacy. By cultivating curiosity, you can ask questions such as "Why is this issue important?" and "What are the potential consequences of non-compliance?" This can help you gain a deeper understanding of the issue and identify potential solutions that may not have been apparent before.

Adaptability is also essential in today's ever-changing business environment. It involves the ability to adjust to new circumstances, be open to change, and evaluate situations from different angles.

For example, imagine that a new regulation has been introduced that affects your organization's compliance requirements. Rather than resisting the change, you can approach the situation with adaptability. You can evaluate the new regulation from different angles, identify potential challenges and opportunities, and adjust your compliance strategy accordingly.

Encouraging Collaboration and Open Communication

Collaboration and open communication are critical components of any problem-solving process. As a Chief Compliance Officer, you must create an environment that encourages your teams to share ideas and communicate openly.

For instance, you can organize regular team meetings where team members can share their thoughts and ideas on compliance issues. You can also encourage cross-functional collaboration, where team members from different departments work together to find solutions to complex compliance issues.

Effective collaboration can help you identify blind spots, find creative solutions to complex issues, and build a culture of compliance awareness. By fostering an environment of collaboration and open communication, you can develop a problem-solving mindset that will benefit your organization in the long run.

Enhancing Critical Thinking Skills

Effective critical thinking is an essential skill in any profession. It involves the ability to ask the right questions, analyze information and data, and evaluate risks and consequences. As a Chief Compliance Officer, these skills are particularly important as you work to identify and mitigate compliance risks across your organization.

Asking the Right Questions

Asking the right questions is a critical part of effective critical thinking. It involves knowing which questions to ask, when to ask them, and who to ask them. As a Chief Compliance Officer, you must be able to ask questions that help you identify compliance risks, understand challenges, and develop effective solutions. You must also be able to ask questions in a way that encourages open and honest communication with stakeholders across the organization.

One effective strategy for asking the right questions is to use the Socratic method. This approach involves asking a series of questions that help you explore a topic in-depth and uncover underlying assumptions and biases. By using this method, you can gain a deeper understanding of complex compliance issues and develop more effective solutions.

Analyzing Information and Data

Data analysis is a crucial part of any problem-solving process. As a Chief Compliance Officer, you must be able to analyze various data sources, identify patterns, and draw valid conclusions. This requires a strong understanding of data analysis tools and techniques, as well as the ability to communicate your findings effectively to stakeholders across the organization.

One effective approach to data analysis is to use a structured problem-solving framework. This involves breaking down complex compliance issues into smaller, more manageable components and using data analysis tools and techniques to evaluate each component. By using this approach, you can identify patterns and trends that may not be immediately apparent and develop more effective solutions.

Evaluating Risks and Consequences

Every compliance issue involves some degree of risk. As a Chief Compliance Officer, you must be able to evaluate risks objectively and make informed decisions based on the potential consequences. This requires a comprehensive understanding of the legal and regulatory framework, industry standards, and best practices.

One effective strategy for evaluating risks and consequences is to use a risk management framework. This involves identifying potential risks, assessing the likelihood and impact of each risk, and developing strategies to mitigate or manage those risks. By using this approach, you can develop more effective compliance programs that are tailored to the specific risks facing your organization.

In conclusion, enhancing your critical thinking skills is essential to success as a Chief Compliance Officer. By asking the right questions, analyzing information and data, and evaluating risks and consequences, you can develop more effective compliance programs and help your organization achieve its goals.

Utilizing Problem Solving Techniques and Tools

Being a Chief Compliance Officer is a challenging role that requires you to be proactive and always ready to tackle compliance issues that may arise. One of the most important skills you need to have is problem-solving. In this article, we will discuss some problem-solving techniques and tools that you can use to identify compliance issues and develop effective solutions.

Root Cause Analysis

Root cause analysis is a technique used to identify the underlying cause of a compliance issue. It involves asking a series of questions and following a systematic process to drill down to the root cause. Once you identify the root cause, you can develop effective solutions to prevent future occurrences.

For example, if you notice that your organization is consistently failing to meet a particular compliance requirement, you can use root cause analysis to identify the reason why. You can start by asking questions such as:

• What led to this non-compliance issue?
• What are the contributing factors?
• What systems or processes are involved?

By asking these questions and drilling down to the root cause, you can develop a plan to address the issue and prevent it from happening again in the future.

Brainstorming and Mind Mapping

Brainstorming and mind mapping are effective tools to generate new ideas and solutions. These techniques help teams to think creatively and outside the box. As a Chief Compliance Officer, you can utilize these techniques to encourage your teams to identify potential compliance risks and develop mitigation strategies.

For example, if you are tasked with developing a new compliance program, you can use brainstorming and mind mapping to generate ideas for the program. You can gather your team and ask them to come up with as many ideas as possible. Then, you can use mind mapping to organize the ideas and identify the most promising ones.

Decision Matrix and SWOT Analysis

Decision matrix and SWOT analysis are tools used to evaluate alternatives and make informed decisions. These tools can help you evaluate risks, identify strengths, weaknesses, opportunities, and threats. You can use these techniques to develop more robust and effective compliance solutions.

For example, if you are trying to decide between two different compliance solutions, you can use a decision matrix to evaluate the pros and cons of each solution. You can assign weights to each criterion and rate each solution based on how well it meets each criterion. This will help you make an informed decision based on objective criteria.

Overall, utilizing problem-solving techniques and tools is essential for any Chief Compliance Officer. By using these techniques, you can identify compliance issues, develop effective solutions, and ensure that your organization remains compliant with all applicable regulations and laws.

As a Chief Compliance Officer, you must constantly seek to improve your problem-solving skills and techniques. This requires a growth mindset, critical thinking skills, and utilizing effective problem-solving techniques and tools. By embracing these strategies, you can become an effective problem solver and drive compliance culture within your organization.

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• What is the role of a Chief Compliance Officer? Answer: The primary role of a Chief Compliance Officer is to ensure that their organization operates within the legal guidelines and regulations. This includes implementing policies and procedures to comply with the laws, regulations, and industry standards related to the organization's operations.
• How can a Chief Compliance Officer improve their problem-solving skills? Answer: A Chief Compliance Officer can improve their problem-solving skills by embracing a growth mindset, cultivating curiosity and adaptability, encouraging collaboration and open communication, enhancing critical thinking skills, and utilizing problem-solving techniques and tools.
• What are the key responsibilities and challenges of a Chief Compliance Officer? Answer: Some of the key responsibilities of a Chief Compliance Officer include developing and implementing compliance policies and procedures, conducting risk assessments, collaborating with internal and external stakeholders, and driving a culture of compliance within the organization. The challenges include dealing with complex regulations, organizational hierarchy, and competing priorities.
• Why are problem-solving skills important in compliance? Answer: Problem-solving skills are essential in compliance as compliance issues can be complex and require a strategic approach to solve. Effective problem-solvers can analyze data, evaluate risks, and develop practical solutions to address compliance challenges.
• What problem-solving techniques and tools can a Chief Compliance Officer use? Answer: A Chief Compliance Officer can use problem-solving techniques and tools such as root cause analysis, brainstorming and mind mapping, decision matrix, and SWOT analysis to identify compliance issues and develop effective solutions.

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