Strenghtening the Relationship Between Ethics, Compliance and HR
Does yourcompany's human resourcesand ethics and compliance department find themselvesat war with eachother
?Each group plays a vital role in the workplace, but itbecomes challenging when one groupfeels that the other is invading their territory.There's a lot of overlap between both groups in the workplace when it comes to handling misconduct and investigations. At the ECOA conference, I attended a session titled "How to Build an Effective, Working Relationships with Your Global HR Partners."
The speakers were Jacki Trevino and Chuck Heaton, from Dresser Inc. Jacki is the Assistant Director of Global Ethics and Compliance for the company, while Chuck is the Vice President of HR and Compliance, Infrastructure Solutions. During the presentation, the two stressed 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. Here are my notes from the session:
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. At Dresser, there was a conflicting relationship between both groups- boils down to ego. Trevino had to 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.
- Visibility- Need to be in your face.
- Communicate that you are a resource to the business- protecting the company from risk and keeping the brand intact.
Laying the Foundation for a Better Relationship
Here are some factors to consider that will help you improve the relationship between your company's ethics and compliance department and the HR department:
Improve and promote teamwork.
Share resources and best practices.
Updates 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 Issue vs. Human Resource Issue
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 HR or E&C cannot be totally objective in an
investigation, they need to know when to step away.
A Glimpse of the Present at Dresser
Open lines of communication.
Leveraging resources.
Began embedding ownership in each business segment.
Collaborating on investigations.
Provide feedback to corporate executives and segment leadership.
Going 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.
Maintaining 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!
Strenghtening the Relationship Between Ethics, Compliance and HR
By: i-Sight Software
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