Response and Investions, Discipline and Incentives

Question 1

Investigations

Answer 1

• Engage qualified resources to address investigation needs
• Conduct internal investigations
• Define Parameters In Advance- When does Compliance investigate? When does HR
  investigate?
• Use and track timing metrics to ensure responsiveness
• Assure there is coordination of voluntary disclosures to regulatory agencies
• Coordinate investigations to preserve applicable privileges (e.g., attorney client
  privilege)
• Respond to government inquiries and investigations
• Maintain records on compliance investigations

Question 2

Non-retaliation

Answer 2

• Assure compliance with the organization’s non-retaliation policy
• During the investigation
• After the investigation
• Be proactive!
• Under many laws, there are severe penalties for organizations or their employees who retaliate.

Question 3

Responding after an investigation

Answer 3

• Respond to compliance and ethics escalations
• Report validated instances of **noncompliance **through appropriate channels within the organization
• Initiate program enhancements to respond to identified problems or weaknesses in the program
• Participate in the development of internal controls aimed at preventing misconduct (e.g.,requiring dual sign-offs on certain conduct)
• Assure management develops corrective action plans in response to noncompliance
• **Monitor ** the effectiveness of corrective action plans
• Periodically analyze reports or investigation findings for patterns of misconduct or
  other red flags for compliance weaknesses

Question 4

Incentives

Answer 4

• Encourage incentives for compliant and ethical behavior
• Potential concerns?

Ideal Compliance and Ethics Incentives
* Compliance and ethical metrics incorporated into performance evaluations
* Positive Recognition for Compliance and Ethical Behavior (Awards, VIP certificate,
* etc.)
* Be careful if offering incentives with any monetary value (e.g. gift cards, bonuses, etc.)