Nicole Zwieg Daly, J.D, Ed.D. The terms “Code of Ethics” and “Code of Conduct” are often used interchangeably – this is a mistake. These are two unique documents. A code of ethics governs employee decision-making. A code of conduct governs employee action(s). Businesses should have both a code of ethics and a code of conduct…
“Having an organizational culture that emphasizes ethical behavior can cut down on misbehavior of organizations. Research shows that whether an organization develops a culture that emphasizes doing the right thing even when it is costly comes down to whether leaders, starting with the CEO, consider the ethical consequences of their actions. Leaders with a moral…
Compliance and ethics. Compliance and ethics? Compliance AND ethics! Those three words are said very differently depending on who you work for and what topic you’re discussing. In the financial services industry, the focus has been on Compliance with a capital “C.” In the 10 years since the financial crisis, regulators have enacted sweeping changes…
Learn how HealthPartners builds an ethical culture that promotes compliance. “Should we follow the rules, or should we do the right thing?” It’s a question that’s familiar to most compliance professionals. So often organizations find themselves caught between what regulations say they should do and what their organizational values would have them do. But just…
The federal Equal Employment Opportunity (EEO) laws prohibit punishing job applicants or employees for asserting their rights to be free from employment discrimination, including harassment. Asserting these rights is called “protected activity,” and it can take many forms. For example, it is unlawful to retaliate against applicants or employees for: filing or being a witness…
I cannot say this enough to employers: Punishing an employee who participates in an EEOC charge will only multiple your problems. Michael Baldonado, EEOC San Francisco District Director Employer retaliation can lead to government fines, criminal charges, and employee lawsuits. Whistleblowing includes reporting unacceptable labor and employment practices to the Equal Employment Opportunity Commission. A…
The federal Occupational Safety and Health Administration has the power to enforce many whistleblower protection laws. This authority includes many laws, such as the Affordable Care Act, that might not seem to relate to the administration’s traditional role. The laws OSHA enforces contain whistleblower anti-retaliation provisions. These laws generally provide that employers may not discharge…
Managers may be the last to know about an ethics issue in the business. It is important to give employees a way to alert management to potential problems without fear of retaliation. When establishing a whistleblower policy, consider the following: Whistleblower Reports are a Gift While bad news is never enjoyable, it can stave off…
The following excerpt from Kristy Grant-Hart’s How to be a Wildly Effective Compliance Officer: Learn the Secrets of Influence, Motivation and Persuasion to Become an In-Demand Business Asset (Brentham House 2015) was written with compliance officers in mind. But her words are equally applicable to executives and managers who want to make ethics and law…
Q: What is a compliance program and does my business need one? A: A compliance program is made up of company policies and procedures intended to reduce the possibility of legal consequences, such as regulatory fines or lawsuits. Any simple step can be part of a compliance program. For instance, if the city requires paper recycling,…
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