Companies have finally come to realize that institutional justice and fairness are perhaps the most basic tenet of any successful workplace. If employees believe they will be treated fairly, it will engender a level of trust that can work to not simply motivate employees but lead to a more successful workplace and, at the end of the day, a more profitable company. This encompasses the entire lifecycle of the employment relationship, from hiring through separation. It works in areas as seemingly disparate as compensation and incentives, discipline, promotion, and internal reporting.

One key aspect discussed is the need for a robust whistleblower reporting system that encourages employees to come forward with concerns without fear of retaliation. Discipline and clear disciplinary procedures are also highlighted as crucial for maintaining credibility and preventing compliance violations. The fair process doctrine is discussed, emphasizing the importance of consistent and fair administration of discipline and the inclusion of compliance in employee evaluations and promotions. The episodes also emphasize the need for fair and impartial internal investigations to maintain employee trust. Overall, HR is shown to be instrumental in promoting a culture of compliance and ethical behavior.
Three key takeaways:

The DOJ and SEC have long called for appropriate and consistent application of both incentives and discipline.

The Fair Process Doctrine will help set institutional justice as the norm in your organization.

Inconsistent application of discipline will destroy your compliance program credibility.


For more information, check out The Compliance Handbook, 4th edition here.
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