Encouraging reports of violations: good policies, procedures and practices

Last Friday I spoke on how to encourage reports of suspected violations and prevent retaliation at the SCCE NE Regional C&E Conference.  In the presentation – the slides for which can be accessed here  – I examine:

– The uniquely powerful (in the C&E world, that is) legal drivers for strong program efforts in this area.

– The many relevant do’s and don’ts in code of conduct drafting. (Note that while I tend to think that codes play less of a part in the success of C&E programs than is often assumed to be the case, what is and isn’t in a code can play an outsized role in encouraging C&E reports, as the code might well be closely reviewed by a potential whistleblower seeking to determine just how sincere a company is its urging employees to report suspected violations.)

– The necessity of other policies – particularly an escalation one – in this effort.

– Various relevant forms of training and communications – particularly training managers how to respond when an employee reports a concern to them.

– Investigations and discipline, including the importance of seeking “organizational justice” in the workplace,  and also the role that incentives can play in this area.

– Relevant governance, management, auditing, monitoring and self-assessment measures.

I hope you find some of it useful.