A recent report from Gartner highlights that while compliance leaders often emphasize building ethical cultures, the most effective way to improve employee behavior is by addressing uncertainty surrounding compliance with rules and standards. The report identifies uncertainty as the most common factor leading to noncompliance, alongside rationalization and malice.
According to a survey conducted by Gartner in December 2023, a significant percentage of employees reported facing situations where they were unsure how to comply, rationalized not complying, or even contemplated noncompliance despite knowing it was wrong.
Chief of research in Gartner’s legal, risk, and compliance leaders practice, Chris Audet, emphasized that while compliance culture is important, addressing uncertainty through improved quality standards has a greater impact on reducing noncompliance. Quality standards encompass the design of policies, training, communication, and tools, and they have more than double the effect on reducing uncertainty compared to compliance culture alone.
However, compliance culture remains significant, as it has a notable impact on reducing situations where employees rationalize noncompliance and contemplate malice. Gartner suggests that focusing on quality standards alongside compliance culture will yield better overall improvements in employee compliance.
The report also highlights the importance of implementing measures to prevent momentary feelings of anger or malice from escalating into misconduct. Training managers to effectively communicate and enforce these measures, as well as to help employees understand quality standards and alleviate uncertainty about compliance, is crucial.
Training programs can help managers build better habits and skills in leading their teams, contributing to improved team engagement, workplace culture, and trust. Addressing compliance issues, such as how managers respond to employee complaints of harassment and discrimination, is also essential. Effective training can ensure that managers appropriately handle such situations, reinforcing organizational anti-retaliation policies and promoting transparency.
In summary, while compliance culture is valuable, addressing uncertainty through improved quality standards and providing effective training to managers are key strategies for enhancing employee compliance and fostering a positive workplace culture.