Building an Effective Compliance and Ethics Program: Open Lines of Communication

Analiese Fusner

A culture that fosters open and honest communication is one that proactively and promptly identifies and responds to issues. In the process, it also mitigates risks. The Federal Sentencing Guidelines (FSG) for Effective Compliance and Ethics states: “The organization shall take reasonable steps to have and publicize a system, which may include mechanisms that allow for anonymity or confidentiality, whereby the organization’s employees and agents may report or seek guidance regarding potential or actual criminal conduct without fear of retaliation.” Providing a safe and professional environment for employees to report possible violations of law and wrongdoings is crucial to having an effective compliance and ethics program.

In order to understand how to create an environment where reporting concerns is second nature, we need to visit some of the top reasons employees do not report issues:

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