Defining “Effective” Ethics and Compliance Programs

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2 Responses

  1. Steven K. says:

    Enterprises really cannot self-govern effectively. Senior management defines the processes and resources, including the processes that monitor compliance. Senior management in this respect creates the workplace where non-compliance and unethical behavior can happen. And senior executives understand all of this. Enterprise authoritative hierarchical decision making is the problem. Controls based on sound metrics and transparency should drive compliance along with processes designed simply to not allow non-compliance through proper checks. In manufacturing processes are improved to eliminate undesirable outcome. Same should be done with compliance. The other issue is corrupt leadership will punish whistle blowers. Look at HR records as a measure of compliance effectiveness as well.

  1. June 23, 2016

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