This week I am exploring a five-part series on compliance as seen through the lens of Winnie the Pooh and the characters who live in the Hundred Acre Woods: Pooh, Eeyore, Tigger, Kanga & Roo, and Piglet. Winnie-the-Pooh, also called Pooh Bear and Pooh, was created by English author A. A. Milne. Yesterday, we began by introducing Tigger and the sales function role in compliance. Today, we focus and Kanga and Roo and the role of an Ombudsman in compliance.
Kanga is a female kangaroo and the doting mother of Roo. They live in a house near the Sandy Pit in the northwestern part of the Hundred Acre Wood. Kanga is the only female character to appear in the books. Kanga is kind-hearted, calm, patient, sensible and down to earth. She likes to keep things clean and organized and offers motherly advice and food to anyone who asks her. She is protective over Roo and treats him with kind words and gentle discipline. She also has a sense of humor, as revealed in chapter seven of Winnie-the-Pooh when Rabbit connives to kidnap Roo, leaving Piglet in his place; Kanga pretends not to notice that Piglet is not Roo and proceeds to give him Roo’s usual bath, much to Piglet’s dismay.
Roo is Kanga’s cheerful, playful, energetic son, who moved to the Hundred Acre Wood with her. His best friends are Tigger and a young Heffalump named Lumpy who loves to play with him. Roo is the youngest of the main characters. When Kanga and Roo first come to the Hundred Acre Wood, everyone thinks Kanga is a fierce animal, but discover this to be untrue and become friends with her. In the books, when Tigger comes to the forest, she welcomes him into her home, attempts to find him food he likes and allows him to live with her and Roo. After this, Kanga treats him much the way she does her own son.
I want to use Kanga and Roo to consider another role in compliance. It is the creation of an ombudsman for employees to help facilitate compliance. In a Harvard Business Review (HBR) article, entitled What Happens When an Employee Calls the Ombudsman?, author Charles Howard considered that the role of an ombudsman exists for one reason – to serve both the company and its employees. The author believes ombudsmen can step in to help employees “by providing an individual (or a team) with whom to have confidential conversations, whether about someone who is taking bribes, a supervisor who’s using drugs, sexual harassment, a personal conflict, or some other issue. Some employees see HR, and managers as agents of the company whose job is to protect it rather than employees’ interests.” Why not consider this from the compliance perspective?
The use of an ombudsman can help a company in a myriad of ways. Obviously, it provides a reporting channel for a company to learn of issues and systemic problems not raised through other channels. This allow problems to be most often resolved effectively and confidentially. An ombudsman office that helps avoid a single lawsuit or whistleblower tip to the Securities and Exchange Commission (SEC) can be worth its weight in gold.
The process is also one of trust creation, which is becoming increasingly important in the corporate world and even more so in the time of coronavirus and economic downturn. The process begins when an employee calls the office, the ombudsman describes how the program works, with an emphasis on confidentiality. If the employee is comfortable, they then discuss possible responses to the problem. At times the employee just wants information, whether an action is against company policy. The ombudsman can only move with the employee’s permission. It may be that the discussion simply turns on options and potential consequences.
Moreover, simply because an ombudsman is neutral, favoring neither the employee nor the company, that does not mean the ombudsman is still on their collective hands, doing nothing. An ombudsman may seek guidance on an issue but, as the author stated, “the process can also be more creative. I’ve seen one help an employee draft an anonymous letter to HR. I recall a case in which another arranged for an article highlighting the employee’s concern to be published in the company newsletter—subtly sending a message and exposing a problem.”
I started this blog post with some works about Kanga (and Roo). She is about the most trusted soul in the Hundred Acre Woods. She would be an ideal ombudsman and an example that the “success of these programs depends in part on getting the right person for the role. A good ombudsman is a superb listener who knows how to establish trust in people at all levels.” They need to have the skills at thinking through solutions to problems. Kanga certainly has such skills. A great example is the arrival of Tigger in the Hundred Acre Woods. While Tigger claims to like everything to eat for breakfast, it is quickly proven he does not like honey, acorns, thistles, or most of the contents of Kanga’s larder. However, he discovers what Tigger really likes best is extract of malt, which Kanga has on hand because she gives to Roo, as “strengthening medicine”.
This brings up another key trait of an ombudsman; the person must also have the respect of senior executives and be comfortable taking issues to the Chief Executive Officer (CEO) or the Board if necessary. Understanding the corporate culture and who has influence is also important – which is why many capable people in this role are promoted from inside the company.
The author ends by stating an ombudsman can serve as a “knowledgeable sounding board for people experiencing difficulties at work, a supplement to formal channels for reaching those who have the authority to act, and a unique resource for expanding management’s insights into the company’s work life and culture.” The same can be said for Kanga in the Hundred Acre Wood.
Join me tomorrow when I consider Eeyore and the role of corporate legal in compliance.
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