Newsletter # 335
Raul Saccani
?? Bridging Governance & Ethics | Anti-Corruption & Financial Crime Expert | Decision-Making & Compliance Educator | Speaker & Author
Summary of the latest Videos, Podcasts, and Articles of interest to the Compliance community in Latin America
COMPLIANCE: NOVEDADES, CASOS Y TENDENCIAS
Por Abg. Gianfranco Barchiesi. A la luz de las últimas noticias: ?hacia dónde está yendo compliance? Este cuatrimestre se caracteriza por la ausencia de casos rimbombantes. ?Dónde quedaron los casos BILLONARIOS de a?os atrás? La ausencia de grandes anuncios con fuegos artificiales nos invita a poner la lupa, bucear bajo un mar de peque?as noticias y atender a los detalles porque, aunque sin olas, la corriente está empujando el barco con velocidad.
Videos
Un inversor activista sobre el desafío al statu quo
Bill Ackman ha ganado miles de millones de dólares, y un nombre para sí mismo, como inversionista activista, comprando acciones para impulsar el cambio en las empresas. En esta amplia conversación con la autora y profesora de ética empresarial Alison Taylor, Ackman analiza cómo está llevando su activismo a las esferas social y política, y comparte sus pensamientos sobre la libertad de expresión, sus publicaciones notoriamente largas en X, la conversación en torno a Harvard y DEI y más.
Escucha activa cara a cara con Sheldon
Sí, puedes fingir que escuchas activamente, fingiendo que prestas toda tu atención a alguien y haciéndole preguntas abiertas (mientras que en realidad sólo estás esperando tu oportunidad para seguir con TU agenda), dice la Dra. Bettina Palazzo. Escuchar en profundidad es muy difícil, porque tienes que dejar de lado tu propia agenda. La ventaja es que aprenderás mucho más sobre la otra persona y su situación.
En realidad, es la única manera de pasar de imponer tu agenda a la gente (y cosechar resentimiento y resistencia) a convertirla en parte de su agenda: Averiguar en qué les beneficia. Esto es esencial para los profesionales del cumplimiento que pueden caer fácilmente en la trampa de tratar de imponer sus políticas, aprendizajes, procesos, etc. a su gente. Esto es totalmente comprensible porque tienen que mantenerse al día con tantas nuevas normativas y exigencias organizativas.
Desgraciadamente, esto crea la infame fatiga del cumplimiento y la resistencia de la Alta Dirección. Por eso es fundamental dedicar tiempo a escuchar las necesidades de los empleados.
Sin cerrojos: Un experimento carcelario
EXPERIMENTO CARCELARIO, NO STANFORD. Empecé a ver "Unlocked" en Netflix a rega?adientes, y terminé pegado a los ocho episodios.?
A diferencia del experimento social de Philip Zimbardo en 1971, este en el condado de Pulaski, Arkansas, examina lo que sucede cuando se da más autonomía a los prisioneros reales en un centro de detención de alta seguridad.?
En lugar de encerrar a los reclusos "23 y 1" (confinados a una celda 23 horas al día), el centro de detención abrió todas las puertas de las celdas dentro de una de sus cápsulas e incluso retiró a los guardias.?
El drama que se despliega es el mismo que enfrentamos hoy en la sociedad: el conflicto entre nuestros derechos, necesidades y deseos individuales y las responsabilidades de una comunidad.
Si esperas el caos, solo tienes razón en parte. Pero lo que es mucho más esclarecedor es cómo se resuelven esos conflictos dentro del bloque de celdas, que es algo que necesitamos desesperadamente hoy para sanar las divisiones sociales y políticas dentro de otras instituciones, incluidas las empresas.
Al igual que el experimento de la prisión de Stanford, "Unlocked" también tiene problemas éticos. Por un lado, muchas de las víctimas de los reclusos que aparecen en el programa se sienten legítimamente ofendidas.
Pero en un mundo cada vez más polémico, el audaz experimento de seis semanas podría apuntar a un camino menos polémico a seguir.
Podcasts
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Alex Edmans - Lies in the boardroom: the stories, studies and statistics that mislead boards
Alex Edmans is Professor of Finance at London Business School, Member of the Sustainability Council of Novo Nordsik, and author of Many Contain Lies. In this conversation with Nurole CEO Oliver Cummings.
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Compliance Tip of the Day: Data Analytics and Compliance Decisions
Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time. In today’s episode, we consider how and why data analytics allows a compliance function to analyze data and uncover patterns that may not be apparent to the human eye.
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Paul Fiorelli on Establishing Workplace Integrity
Integrity is like peace, love and brotherhood.? We’re all for it, but when it comes to practicing it, that’s when the challenges start. Paul Fiorelli hopes to change that. The Director, Cintas Institute for Business Ethics at Xavier University has just written a new book: Establishing Workplace Integrity. In it, Paul addresses six lessons in values-based leadership.
To benefit from some of his long-established and well-recognized expertise we asked him to join us for this podcast. He discusses the importance, of values-based leadership. He also cites six factors that lead people into unethical or non-compliant behavior:
·?????? Pressure to perform
·?????? Going down a slippery slope
·?????? Rationalization
·?????? Groupthink
·?????? Altruism (violating the law to help the company)
·?????? Greed
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Culture Crafters
Don't settle for a mediocre workplace culture. Elevate your organization's performance, morale, and compliance standards by shaping and innovating your corporate culture. Uncover the pulse of your workplace culture, gain actionable insights, and drive transformative change. In this exciting and timely podcast series, Sam Silverstein, the most trusted voice in America on accountability, and Tom Fox, the Voice of Compliance, look at how companies can elevate their culture to new heights.
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Noticias sobre Inteligencia Artificial
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Managing extreme AI risks amid rapid progress
Artificial intelligence (AI) is progressing rapidly, and companies are shifting their focus to developing generalist AI systems that can autonomously act and pursue goals. Increases in capabilities and autonomy may soon massively amplify AI’s impact, with risks that include large-scale social harms, malicious uses, and an irreversible loss of human control over autonomous AI systems. Although researchers have warned of extreme risks from AI, there is a lack of consensus about how to manage them. Society’s response, despite promising first steps, is incommensurate with the possibility of rapid, transformative progress that is expected by many experts. AI safety research is lagging. Present governance initiatives lack the mechanisms and institutions to prevent misuse and recklessness and barely address autonomous systems. Drawing on lessons learned from other safety-critical technologies, we outline a comprehensive plan that combines technical research and development (R&D) with proactive, adaptive governance mechanisms for a more commensurate preparation.
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No One is Talking About AI's Impact on Reading
What does it mean when we stop reading texts and instead offload that skill to AI? We desperately need another ChatGPT moment outside of text generation to wake people up and let them know how quickly generative technology will impact skills beyond writing. For $5 a month, anyone is now able to summarize and query a PDF using Adobe's AI Assistant. You can already do this with a number of foundation models, along with a slew of purpose-built AI-reading assistants. Who is talking about this? We've been so laser-focused in education on ChatGPT's impact on writing that we've missed generative AI's impact on a multitude of core skills, like reading.
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What OpenAI did
OpenAI released a new AI model, GPT-4o, with some interesting capabilities. It also maintains the OpenAI tradition of terrible names for AI models (the “o” means “omni” - more on that shortly). Previously, new AI models from the major AI labs have focused on how smart the model is. GPT-4o appears to be a step up over GPT-4 and is the smartest model I have used. However, it does not represent a major leap over the previous version of GPT-4, the way that GPT-4 was a 10x improvement over the free GPT-3.5. That has to wait, presumably, until GPT-5, which is apparently still scheduled for some future release.
But what it does do is quite interesting.
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Noticias de Compliance
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How the Inequality Around Us Shapes Our Perceptions of Morality
Across several studies, Maryam Kouchki and her coauthors find that high levels of economic inequality at both a national and local level makes people feel less in control of their lives, which in turn causes them to perceive immoral behavior as being more acceptable. The relationship between inequality and loss of control appears to be related to perceived levels of social mobility.
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领英推荐
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The Hazards of Putting Ethics on Autopilot
Research shows that employees who are steered by digital nudges may lose some ethical competency. That has implications for how we use the new generation of AI assistants.
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Problems in Dealing with Problems: How Breakdowns in Corrective Culture Lead to Institutional Failure
Although research investigating how organizational culture contributes to institutional failure has extensively conceptualized the causal factors (e.g. norms for behaving unsafely), how culture prevents such problems from being corrected is less well theorized. We synthesize theory on accidents, resilience and reliability and organizational learning to develop a conceptual model of ‘corrective culture’. This relates to distributed norms and behaviours for three interconnected elements: the detection of problems (‘identification’), appreciation of their meaning (‘interpretation’) and responses to prevent harm (‘action’). To investigate the model, and its role in institutional failure, we combined natural language processing and qualitative analysis to examine 54 UK public inquiries published during 1990–2020. Our mixed-methods analysis found that distributed malfunctions in identifying, interpreting and acting on problems cause a breakdown in organizations’ ‘corrective loops’, which enables originating problems to compound and grow (e.g. risky, unsafe or poor conduct) and cause an institutional failure. We theorize that double-loop learning is required to prevent this, whereby strong and unambiguous feedback compels organizations to acknowledge and address their problems in dealing with problems, thus enabling them to correctly identify, interpret and act on originating issues and thus prevent a spiral into failure.
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Largest Quantitative Synthesis to Date Reveals What Predicts Human Behavior and How to Change It
Prof. Dolores Albarracín and her team dug through years of research on the science behind behavior change to determine the best ways to promote changes in behavior.
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Psychological Safety – A Timeline
This research plotted “psychological safety” over time, and annotated the chart with some key events and publications. These include things like the #MeToo movement, the increasing polarisation of western politics, the existential threat of climate change, the 737 MAX crashes that highlight cultural challenges at Boeing, and Covid-19 of course.
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Nudging Diversity: Merging Law and Behavioral Science to Reduce Workplace Discrimination and Increase Diversity
Today’s employers find themselves in a complicated bind when it comes to workplace diversity and anti-discrimination initiatives. On one side is the lasting confluence of the #MeToo and Black Lives Matter movements, which rightly caused many organizations to reevaluate and reinvigorate their diversity and inclusion efforts. On the other side is employment law’s increasing inability to support such efforts. As workplace discrimination has moved from overt, intentional manifestations of prejudice to unconscious bias and structural discrimination, traditional employment law solutions have become less effective. The Supreme Court’s recent affirmative action decision striking down virtually all race-based considerations in college admissions—and suggesting future scrutiny of all demographic-focused workplace diversity, equity, and inclusion (DEI) programs—is poised to make things worse.
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A wealth of behavioural insights
The fourth behavioural insights update report “A wealth of behavioural insights” has just become available. The report contains the results of 34 behavioural insights projects that have been carried out within the Dutch government, many of which have been tested in the field by a randomized controlled trial.
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Stress May Boost Helping Behavior When Witnessing Injustice
A new study finds that acute stress experienced while witnessing injustice can make people more likely to help victims rather than punish offenders. This shift in behavior is linked to increased activity in the dorsolateral prefrontal cortex (DLPFC), a brain region involved in decision-making. The findings suggest that helping others may be a more intuitive response than punishing them, especially under stress.
Key Facts:
·?????? Acute stress experienced while witnessing injustice can make people more likely to help victims.
·?????? This shift in behavior is linked to increased activity in the dorsolateral prefrontal cortex (DLPFC).
·?????? Helping may be a more intuitive response than punishing, especially under stress.
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Three Shades of Grey
Binary thinking is endemic and we are frequently presented with decisions involving two choices from which we must choose. Also known as dichotomous thinking, presenting two choices makes it simpler for us to process complex ideas and situations. But when choices only come in two, it is a low-resolution view of the world that leads to conflict and detachment, inhibiting our understanding.
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When Managers Set Unrealistic Expectations, Employees Cut Ethical Corners
Corporate misconduct has grown in the past 30 years, with losses often totaling billions of dollars. What businesses may not realize is that misconduct often results from managers who set unrealistic expectations, leading decent people to take unethical shortcuts, says Lynn S. Paine.
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How Punishment Affects Crime: An Integrated Understanding of the Behavioral Mechanisms of Punishment
Legal punishment, at least in part, serves a behavioral function to reduce and prevent offending behavior. The present paper offers an integrated review of the diverse mechanisms through which punishment may affect such behavior. It moves beyond a legal view that focuses on just three such mechanisms (deterrence, incapacitation, and rehabilitation), to also include other socializing, delegitimizing, compliance obstructing, and offence adapting mechanisms in how punishment may influence offending. The paper assesses the quality of existing empirical knowledge about the different effects of punishment and the conditions under which these effects exist. It concludes that punishment has at least thirteen different influences on crime prevention, five positive and eight negative. It shows that such effects are conditional, depending on the offender, offence, punishment, and jurisdiction. Furthermore, it shows that the effects vary in their directness, proximity, onset and longevity. It concludes that our current empirical understanding does not match the complex reality of how punishment comes to shape crime. In light of this, the paper develops a research agenda on the integrated effects of punishment moving beyond limited causal mechanisms to embrace the fuller complexity of how sanctions shape human conduct by adopting a complexity science approach.
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New LRN research: Gen Z employees twice as likely to bend the rules or engage in workplace misconduct
Nuevo estudio global de Cultura ética de LRN: Colaboradores de la Generación Z (nacidos a partir de mediados de la década de los 90) tienen el doble de probabilidades de infringir las reglas o incurrir en mala conducta en el lugar de trabajo. El 22% de los participantes de la Generación Z se?aló que llevaron a cabo conductas poco éticas durante el último a?o en el lugar de trabajo, en comparación con solo el 9% de los Boomers (nacidos entre mediados de los 40 y mediados de los 60). Los resultados sugieren una tendencia inversa entre esta mentalidad y la edad: la Generación Z tiene 2,5 veces más probabilidades de estar de acuerdo con romper las reglas que los Boomers.”
Does Revenge Taste Sweet? New Study Challenges Assumptions
A new study explores the complex moral landscape of revenge, revealing that people’s reactions to revenge vary significantly based on the emotions displayed by the avenger. Conducted across four surveys involving Polish students and American adults, the study found that avengers who demonstrate satisfaction are viewed as more competent, whereas those expressing pleasure are seen as immoral.
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These perceptions shift dramatically when individuals imagine themselves in the avenger’s shoes, tending to view their own actions as less moral compared to others. The findings challenge conventional views on revenge, suggesting that societal and personal perspectives on morality and competence deeply influence judgments of revengeful actions.
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How Much Evidence Do You Need to Make a Decision? Depends on Your Mindset
Across three studies, Kellogg’s Galen Bodenhausen and Michalis Mamakos find that framing a decision in terms of possible losses rather than possible gains leads people to gather more information before making that decision. This is true when there is a cost to gathering additional information, as well as when participants know the information could contradict their beliefs. The results suggest it is possible to nudge people to prioritize the accuracy of their decisions.
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#compliance?#anticorruption?#ethics?#ethicsandcompliance?#ethicalleadership?#integridad?#integrity?#integritymatters?#riskmanagement?#businessethics?#dataandanalytics?#bigdata?#analytics?#datamining?#artificialintelligencenow?#artificialintelliegence?#fraudinvestigations?#intelligence?#etica??#culturapreventiva??#culturaorganizacional?#behaviouralscience??#cumplimiento?#cumplimientonormativo??
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