Technology Experts & Compliance: A Perfect Pairing
I recently had the opportunity to attend the first class in a series presented by the fantastic Alicia Cronbach taking a comprehensive look at all the eccentricities of Winery Compliance. Our brave class of current and prospective wine industry professionals showed up bright eyed and bushy tailed to the Wine Business Institute at Sonoma State last Friday (7/28/23) with the full gambit of preconceived notions about what compliance is and how it plays a part in the greater winery ecosystem. As the group settled in and Alicia took center stage, you could almost see a twinkle in her eye grow brighter in anticipation of the wave of knowledge we were about to receive. With PowerPoint at the ready, supporting documentation printed and projectors quietly humming above; we were transported on a journey one can only describe as humbling. The width and breadth of information presented was detailed, well thought out, understandable and wildly entertaining (thanks all in part to Alicia’s quick wit and dry sense of humor); yet we all knew when the classes wrapped and the wine was poured, we had only just begun to scratch the surface of this deeply complex topic.
Now, when I signed up for this class, I was sure I had a solid background in the general facets of compliance that govern wineries. I’ve worked on both the sales and production sides of the house, love researching the “why” of each step of the winemaking and sales processes and have worked extensively with domestic shipping compliance as part of my analytics roles. In reality though, I was hardly a step above a novice when it comes to all the aspects that compliance covers. Even so, I’ve long realized that I have somewhat of a knack for navigating the system and an ability to see each part of the narrow scope I’ve had experience dealing in with an eye for detail. This got the cogs in my brain turning… why aren’t there more technology focused people in charge of maintaining and enforcing compliance policy? Don’t get me wrong, I’m not telling you to take every aspect of your compliance and unceremoniously dump them on the desk of the nearest IT person. I do believe though, that folks with backgrounds in creating/maintaining our technological tools have a unique temperament and skill set that makes them perfect for this. With a few classes to really root them in the knowledge of the compliance world, anyone who manages a database or creates your weekly reporting documents can easily slot into these complex roles and thrive.
We Live in a Binary World — There’s Only Yes or No
When you boil it all down, the real crux of the compliance domain is focused on the black and white nature of the law. You’re either compliant or you’re not; there is no middle ground in which you can bend the rules of the system. Technology experts already spend their days living in a world filled with rules, so this isn’t even a leap for them. When we all initially learn about computers or take our first course on writing code, the inevitable phrase “the computer will always do exactly what you tell it to… even if that breaks everything” comes up. We’re conditioned to know that our actions when working in this space can make or break a system, so we set out to complete each task we’re assigned correctly in order to remove the possibility of any large-scale negative effects or crashes. That is EXACTLY the type of person I want in charge of something as important as my adherence to compliance regulations. As much as I love everyone I’ve met that’s tasked with directly selling wine to customers, they’re naturally inclined to prioritize the needs of the client above all else. In their scope of work, that attitude is an essential part of providing above average customer service; but what if the client they’re currently being yelled at over the phone by is insisting they find a way to get his wine shipped immediately, regardless of the regulatory issues his request would cause? Do they still say no and risk losing a long-time buyer, or do they move forward and simply hope this doesn’t come back to bite them later down the line? A technology focused individual wouldn’t even think twice. They know that there will always be a new buyer out there, but you only get barred from shipping to New York state once. Give me a HAL 9000 every time to deliver a hearty “I’m sorry, Dave. I’m afraid I can’t do that”.
We Thrive as Keepers of Knowledge — Developing Subject Matter Experts
Technology focused individuals thrive in an environment of node-based expertise, where they can be the sole source of truth or information on a particular topic. This predilection towards siloed knowledge bases within the operational structure inspires them to truly own their programs and become subject matter experts. On the flip side, tasking someone like your tasting room manager or winemaker with handling a complex topic like compliance in addition to their other duties tends to lead them down the path of least resistance. They know this is something important that they need to have a grasp of, but this also isn’t something they intend to deal with every day, so they might learn just enough to make them effective without diving too deep. Typically, in your standard operational winery setting, you might take a negative stance on the technologist approach. What if my compliance person is out sick, or what if they go on vacation? How am I supposed to deal with a stern message from the California ABC about my lack of form 208-B?
You should have known to fill that out when you completed your 208-A and checked box 23B stating you’re making a financial contribution…come on now.
The immediate answer here is to hire someone that does the job fully and correctly the first time (see previous section); if we dig a little deeper, and consider the fact that this scenario can happen regardless of what type of person was tasked with this, who would you rather dial in that high stakes situation? By choosing someone with a tech background that thrives on and takes pride in their grasp of the work they do, you’ll be doing yourself so many favors when the proverbial grapes hit the destemmer, if you know what I mean.
We Document Everything — You Benefit from Our Compulsive Behavior
I’m not going to lead this with a pointing finger at all, I promise. I’ve met scores of fastidiously organized people working in wine with file trees on shared drives that would make even the most ardent admins nod their heads in approval. The simple fact of it all is: most of us are not like this. We all save things in places we soon forget, file paperwork under labels like “to be filed” (or my favorite: “June” with no further explanation) and routinely forget that standard US mail deliveries just aren’t going to arrive on Sundays. What makes someone with a technology background different, is there innate internal drive to document. We document what each step of our code does and how it relates to the program as a whole, we document how our spreadsheets work, we document all of the changes we’ve made to something in a change log… I mean, I even document the reach and analytical breakdown of each one of these blog posts. The drive to document is so engrained in us as people, we almost wouldn’t know what to do without it. It’s the security blanket we all carry around that we know can lead us to the root of any problem we face at work. Can you see where I’m headed with this? Due to the seriously complex and varied nature of the regulatory system, constant and thorough documentation of how your winery navigates the process of managing its compliance is essential. The second someone calls to ask about one of the steps you worked months ago in the process of applying for your license to operate and you can’t find the answer; you may has well have landed on the “Go to Jail” square of the Monopoly board. Although this more than likely will not result in actual time served, I can almost guarantee you that the consequences will preclude you from passing Go or collecting your figurative $200. Take a suggestion from me and put this in the hands of a tech person. Not only will you be able to find exactly the form or file the regulators are looking for; you’ll have it signed, dated and returned in triplicate in the blink of an eye.
A Final Thought
At the end of the day on Friday, when we were all saying our goodbyes and trading contact information over Pinot, I approached Alicia and asked her opinion on what I intended to present here. She was immediately and emphatically supportive, leading with the statement that “you don’t have to have a deep background in wine to get into compliance”. So much of the time, we as leaders in the business of making and selling wine believe that a knowledge of our product is 100% essential to being a truly productive employee. If we could hire a team of WSET-IVs that also just happen to excel at sales, customer service, financial planning and winemaking; we would do it in a heartbeat. Although folks with technology backgrounds may not fit the exact picture you had in mind when you started looking, the intangible skills they bring to the table cannot be overlooked. After a day of deep diving into the compliance world, knowing we’ve only just begun to see the entire picture; I can tell you with zero hesitancy that all I’d consider when hiring someone to handle mine, is that they cared enough to learn the process completely and maintained my license down to the finest detail.
Postscript — Please do whatever you can to support classes like Alicia’s that serve to continue our collective pursuit of knowledge in the industry we love so much. Without organizations like the Wine Business Institute championing opportunities like this, we’d all be wholeheartedly less informed and worse off for it. As a staunch advocate for education, I can’t stress the benefit resources like this course provide for wine professionals enough.
