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The Human Resources and Ethics & Compliance Tug of War


The Human Resources and Ethics & Compliance Tug of War

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Do your company's  human resources and ethics & compliance departments find themselves playing tug-of-war with each other?  Both groups are necessary in the workplace, and due to the nature of the topics each group deals with, working together is inevitable.

Managing this relationship in the workplace is challenging, as many internal investigations cross the line and involve members from both teams.

The speakers were Jacki Trevino and Chuck Heaton stress how closely they work together and the mutual trust that is required of both parties in order to be successful at achieving their objectives.

So quit tugging, drop the rope and work together to build a relationship that benefits your entire organization.

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Turf Issues

Sometimes a line is crossed in order to accomplish ethics and compliance goals. Issues or incidents that are reported to the ethics and compliance team that also crossover into the area of HR need to be shared with HR, and vice versa.

Ethics and compliance involves people; so does HR. A conflicting relationship between both groups boils down to ego. To fix this issue, do the following:

  • Establish credibility
  • Lay the foundation- define blurred boundaries, provide tools
  • Ask, listen, and act
  • Communicate, communicate, communicate

Building Credibility: Ethics Officers and Programs

  • Lead by example. Be visible, trustworthy, and approachable
  • Employees will do what you do. How will they do what you want them to if you don’t lead by example?
  • Communicate that you are a resource to the business, protecting the company from risk and keeping the brand intact

RELATED: How Do The World's Most Ethical Companies Prevent Discrimination?

Laying the Foundation for a Better Relationship

Here are some factors to consider that will help you improve the relationship between human resources and ethics & compliance:

  • Improve and promote teamwork
  • Share resources and best practices
  • Update each other on latest issues
  • Set common standards to reinforce actions
  • Training and communication: investigation and case management training, awareness and integrity line, conferences, and outside education/networking

Ethics Issues vs. Human Resources Issues

Ethics

HR

Conflict of Interest Discrimination
Financial Fraud Harassment
Bribery/ Corruption/ Gifts Wrongful Termination/ Discipline
Falsifying Documents Abuse/ Intimidation
Accounting/ Auditing Issues Internet or E-mail Abuse
Confidential Information Workplace Conduct
Law and Regulation Violations Theft
Misappropriation of Assets Drugs and Alcohol
Environmental, Health and Safety
Retaliation
Expense Report Abuse

If an employee raises a complaint over and over again, or a number of employees report the same issues consistently across the board, address the issue and respond to the concern.

If a member of either department cannot be totally objective in an investigation, they need to know when to step away.

Further Tips for Human Resources and Ethics & Compliance Harmony

  • Open lines of communication
  • Leverage resources
  • Began embedding ownership in each business segment
  • Collaborate on investigations
  • Provide feedback to corporate executives and segment leadership
  • Go beyond the scope
  • Educate and train on ethics and compliance. Develop an understanding that there will be crossover and teamwork is the best solution to overcoming differences.
  • Maintain credibility, accountability, and respect. Establish a repertoire and stand your ground. Ethics and compliance decisions may not always be in the best interest of the company (for example, firing a particular employee).
  • If you need help, ask for it!