A big part of building a culture of compliance is to establish clear guidance for employees and third parties to report suspicions of wrong doing. The employee is more likely to report corruption if they believe they will remain anonymous and there is no possibility of any retaliation to a valid concern. The DOJ and SEC recommended secure and confidential internal controls.
Responsibility to Report.
As employees and representatives of the company must practice honesty and integrity in fulfilling responsibilities and comply with all applicable laws and regulations, they must also be held responsible to report any violation. As the Code of Conduct requires all employees and third parties to observe high standards of business and ethics, the Whistleblower and Non-Retaliation policy enable employees to support and encourage self reporting of violations of the code. It is the responsibility of all employees and third parties to comply with and to report violations or suspected violations of policies or laws in accordance with this policy.
Safe Reporting.
No employee or third party who in good faith reports a violation of policies, or law shall suffer harassment, retaliation or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment. The Whistleblower Non-retaliation Policy is intended to encourage and enable employees and third parties to raise serious concerns within the company rather than seek resolution outside with the government authorities.
Reporting Process.
All employees and third parties should be aware of a clear process for reporting violations as well as awareness of a contact to share their questions, concerns, suggestions or complaints. The company must cultivate a work environment for employees and third parties to report concerns to their approachable supervisor or representative. However, if an employee or third party is not comfortable speaking with their contact or is not satisfied with the response, they are encouraged to report to a confidential helpline or email address.
Good Faith Reporting.
Any good faith report, concern or complaint is fully protected by the policy, even if the report, question or concern is, after investigation, not substantiated. Anyone filing a complaint concerning a violation or suspected violation must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of policy, or law. Any allegations that prove not to be substantiated and have been made maliciously or with knowledge they were false will be treated as a serious disciplinary offense.
Anonymous and Confidential Reporting.
Upon the request of the complainant, the company will use its best efforts to protect the confidentiality of the complainant for any good faith report. Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.
Response to Reporting.
All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation. The complainant will be informed the follow-up has or is occurring. Senior executives should be informed of all reports.
Culture of Compliance.
To create a culture of compliance, the company should develop a campaign to communicate the whistleblower non-retaliation policy. Posters in break rooms, restrooms, and cafeterias have impact. Whistleblower helpline information on Postcards sent through the company inner office mail system to the desk of each employee are well received.
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2016-12-28T13:21:45-07:00April 6th, 2013|Compliance Blog|Comments Off on Whistleblower Non-Retaliation
No employee or third party who in good faith reports a violation of policies, or law shall suffer harassment, retaliation or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment. The Whistleblower Non-retaliation Policy is intended to encourage and enable employees and third parties to raise serious concerns within the company rather than seek resolution outside with the government authorities.
Upon the request of the complainant, the company will use its best efforts to protect the confidentiality of the complainant for any good faith report. Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.
