Compliance Illustrated Avoiding Retaliation · Avoiding Retaliation. Compliance and Ethics Office For More Information: Compliance Hotline Number 1-800-000-0000 2 4. Do you step in

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Compliance Hotline Number 1-800-000-0000For More Information: 1

2. It’s a situation a lot of us come across and it can be very stressful as we

struggle to handle such situations correctly.

1. Have you ever witnessed a situation where an employee spoke up about

misconduct and then was subject to some kind of retaliation – either at the

hands of a manager or other co workers?

Compliance Illustrated:

Avoiding Retaliation



4. Do you step in to address what might be seen as retaliatory actions on the part of her coworkers – and risk further upsetting the team – or do you look the other way in order to preserve the cohesiveness of your loyal team, but put the company at risk by doing so?

3. Let’s say an employee reports a department-wide practice of fudging transportation costs on expense

reports. Her co-workers resent her action and you learn that they have begun to exclude her from important

meetings. Sometimes she isn’t informed of the meetings at all, or, if she’s invited, no one sends her important

follow-up documents. As a result, she lacks the necessary resources to perform her job.



6. The first step to avoiding retaliation is being able to IDENTIFY what it is.

5. The good news is that by the end of this brief video, you’ll have the tools to confidently make the best choice in these situations. You’ll make the right choices for both yourself and for the company, and feel a whole lot better in the process.



8. Retaliation can be blatant, such as firing, demoting, or otherwise disciplining someone, or subtle, such as making harassing jokes, or excluding someone from business meetings and even work-related social events.

7. Retaliation consists of actions – either taken or not taken – that cause financial, professional or emotional harm to someone as “payback” for filing a complaint or reporting a suspected breach of ethics, compliance with the law, or company policy.



10. So by now you should have the information you need to identify retaliation. What’s next? Well you have to INTERVENE.

9. Retaliation against someone who reports an ethics or compliance issue in good faith is, in many cases, against the law, and such situations can open our company as well as the individuals responsible to serious legal risks.



12. Let’s say a line supervisor tells you that one of his staff members reported him for failing to complete a quality

control test on a large rush shipment of products. He claims the whistleblower is a “troublemaker” and suggests that

he be transferred to a facility with less activity and fewer opportunities for advancement. You should remind him that

transferring someone after such a report is plainly retaliation and that he must not do it.

11. Since retaliation can cause real harm to individuals, and can open our company to serious legal risks, you can’t wait for the situation to fix itself.



14. In summary avoiding retaliation means you need to IDENTIFY when the retaliatory action occurs, INTERVENE to stop it before it occurs, and REPORT the situation immediately. Three important steps to protect our employees and the company from the damaging effects of retaliation.

13. Once you’ve INTERVENED, you must REPORT the situation. If you believe that there is any chance that retaliation has taken place you must report it right away to HR or to the Compliance Office.



16. In the short term, it may feel as though you’ve opened up an emotional can of worms, but in the long run your department will run better, you’ll avoid the consequences of violating the law and company policy, and you’ll be doing the right thing.

15. In the situation involving the employee who exposed the fraudulent expense reports, it’s now probably pretty clear that you have to step in and explain to your staff that excluding that employee from the work process hurts her, the department, and the company, and opens us all to serious legal risks.



17. Now…. doesn’t that make you feel better already?

18. If you have any questions about avoiding retaliation or other compliance issues, please contact our ethics or compliance office. We’re here to help.

Documents

Compliance Illustrated Avoiding Retaliation · Avoiding Retaliation. Compliance and Ethics Office For More Information: Compliance Hotline Number 1-800-000-0000 2 4. Do you step in