Controls and culture

One area amongst my recent favourites to read and learn about is culture. There is a saying about ‘culture eats strategy for breakfast’ (Peter Drucker). I have a theory that poor culture also results in poor control. 

We use controls to reduce down the risk of something happening that could take us off track, and/or impede out ability to deliver on objectives. It’s often when something breaks down, there is a problem and we look underneath that we can see the problem is a direct result of controls not working effectively, not being in place, or not being followed.

Controls take many different forms, illustrated below:

Policy

- That outlines standards and rules on what is, or can be expected.

- Provide a framework around which procedures are written.

Processes

- System flows and procedures that direct work and activity.

- Checks and balances that are carried out.

Management oversight 

– Regular reporting from staff and management including reporting on work, achievement of objectives, difficulties and barriers. 

- Staff supervision where work activities are observed.

- Team meetings and staff briefings, where important information is shared. 

People based

- Having job roles and associated skills and competences specified, against which staff and management are recruited.

- Effective recruitment methods.

- Induction that covers organisational requirements as well as role based information and guidance. 

- Performance management and supportive training and development.

- Segregation of duties, to avoid conflicts.

Authorisation and physical controls 

- Access controls to systems, files, documents. Includes things like secure logins that present a barrier to personal or sensitive data or documentation.

- Locked cabinets etc to secure documents etc that need to be kept securely or could have a value to others. 

- Authority levels on who can take certain decisions, approve things. Includes things like spending level authorisation. 

Organisational

- Business targets and KPIs against which team performance may be evaluated. 

- Budgets that present constraints.

An organisation with good controls can fail - culture and how it impacts on controls

Good controls represented by sound policies, procedures, systems and skilful staff can still fail because of poor culture. How?

Where an organisation, or parts of, lose track of common values, when communication breaks down, individuals or teams become separated – it’s a breeding ground for poor culture.  Individuals and teams are not one and can forget that the whole is more important that just their part. It’s a bit like a dysfunctional family.

So with poor culture respect for controls can creep in, they may increasingly get overlooked and not attended to; or they are not introduced, improved or updated when they should be. 

Effective organisations have good controls and a shared culture that means a team of people who want to do the right thing and work together.

For AOs the culture anchor is often the successful learners who take pride in the qualification/s they have gained. For me this is what has always driven me to work in this sector, to do the right thing for learners and make their journey the best it can be. What’s yours? 

Heather Venis

Principal, Awarding First

Heather@awardingfirst.co.uk M: 0789 479 6262