The importance of ‘tone at the top’ is undeniable when it comes to supporting a culture of ethics, compliance, and accountability. However, regardless of your job title or job description, there is an active and important role you can take in setting the tone of your organization. We all have a sphere of influence, – whether formal, informal, or both – and this program will help you identify how you can use your influence in the service of supporting ethics, compliance, and accountability. Regardless of your job title or level of experience, you will come away from this program with ideas for what you can do both personally and organizationally to shape the ethical tone of your business.

1. Tone from the Top, Bottom
and Everywhere In-Between:
4 Ways to Leverage Your Influence to Assure Ethics,
Compliance & Accountability
Dr. Christopher Bauer

2. Dr. Christopher Bauer
Christopher Bauer, PhD, is a licensed psychologist by training with
more than 25 years of experience in helping organizations
develop cultures of ethics, compliance and accountability. Besides
his expertise in organizational culture change, Christopher
Bauer's unique style and contributions to reducing ethical
problems in organizations have led him to be recognized with the
Certified Fraud Specialist designation by the Association of
Certified Fraud Specialists. He is also a professional member of
the National Speakers Association and has earned their Certified
Speaking Professional designation.

3. Poll Question 1
Would you say that your organization
demonstrates “tone at the top”?
• Yes
• No
• Some of the time
• I can’t figure it out

4. What does the world’s greatest
pizza have to do with tone at
the top?

5. What “Tone at the Top” isn’t
• One (or two or three or four) people.
• Senior management acting properly (at least
not if this is all they’re doing).
• A really great ethics code endorsed by senior
management.
• A really great code of conduct endorsed by
any of the few folks who have actually read it.

6. What is “Tone at the Top”?
First You Have To Define “Tone”
Then You Have To Define “The Top”
So let’s get to that…

7. What Actually is “Tone”?
• It’s not one or more documents.
• It’s not one or more people modeling
appropriate decision-making and behavior.
• It’s not well-developed ethics and compliance
programming.
• It’s not well-conceived and well-implemented
oversight.
It’s the interaction of all of these!

8. OR…

9. Whatever YOU can bring to this
equation to visibly/audibly
reinforce any or all of its
component parts.

10. Where is “at the Top”?
Wherever you are…

11. Remember
• We all have a sphere of influence,
whether formal, informal, or both.
• Neither our leadership abilities nor our
influence are defined by our job title or
job description.

12. Therefore… “The Top” is
• Your work group
• Your department
• Your division
• Your entire organization
• ‘Your personal pizza shop’…
We all have influence, let’s use it
consciously, strategically, and wisely!

13. So what is the most important message we can
communicate to employees?
Ethics and compliance are just
like customer service…
The Message

14. Common Barriers
What are the most common barriers to
employees with this?
• “There’s no tone at the top.”
• “I’m not paid to do that.”
• “Let me tell you how things really work around
here…”
• “There will be hell to pay.”
It’s your job to do whatever you can to reduce
barriers and assure there’s no retaliation.

15. Sphere of Influence
But I’m not a supervisor/manager/executive…
Save that nonsense. You have a
sphere of influence. Use it!

16. Shaping Ethics & Compliance
The single most effective method for shaping
ethics & compliance?
And please, please, please don’t think of
this as an anti-climax.

17. Here it is…
Modeling and reinforcing
appropriate behavior.
That’s something we all can do, regardless
of our job title or job description...
Hint: Like so many of the most effective techniques,
this isn’t always easy but it’s always do-able.

18. Questions so far?
Send ‘em on in.

19. Poll Question 2
Do you have a Values Statement?
• Yes
• No
• Yes, but I couldn’t tell you what it says.
• I don’t know.

20. Most Effective Tool
The single most effective formal
tool you can use to promote
ethics & compliance?
A well-written, well-implemented values
statement.

21. Why a Values Statement?
• It gets everyone on the same page with how
decisions are to be made.
• It gets everyone on the same page with how to
evaluate the appropriateness of behavior – both our
own and others’.
• It gives you a highly effective base from which to
have discussions about ethics and compliance with
others.

22. Need Info?
Need information on writing a high-impact values
statement?
Watch the webinar recording: http://i-sight.com/resources/webinar-how-to-write-a-values-statement-that-encourages-ethical-
behavior/
Or, of course, feel free to contact me directly as well at: Chris@ChristopherBauer.com

23. Easy Opportunities
What are the easy opportunities to leverage
these ideas?
• Training
• Supervision
• Counseling
• Coaching
• Performance appraisals
And, most importantly?

24. Informal Conversations
(You do have those, don’t you???)

25. More Questions?
Send ‘em in…

26. Want to Help Create the Right Tone?
• Tone at the top starts with your own personal
“greatest pizza in the world”. It’s wherever you
are, not just “up there on top” somewhere.
• Then, start spreading (and reinforcing) the word.
Easy? Not always.
Simple? Each and every time.

27. Additional Resources
 Free Weekly Ethics Thought
 The Trust Foundry Blog
 Free Ethics/Values ‘Opportunity Audit’
www.ChristopherBauer.com

28. Thank-you for participating
If you have any questions, please feel free
to get in touch:
Chris@ChristopherBauer.com
www.ChristopherBauer.com
or call (800) 884-1569 or (615) 385-3523
Questions about i-Sight?
Contact Joe Gerard, Vice President Marketing and Sales
j.gerard@i-sight.com