Corporate Compliance

Tip: Five ways to prevent would-be whislteblowers

Compliance Monitor, April 18, 2007

1. Toughen up your compliance plan's reporting protocols. Most people who file whistleblower suits don't do it for the money, but because management never acts on their repeated attempts to report wrongdoing. The plan should have support from all upper management levels and address the root causes of fraud.

2. Review your human resources function. Do employees feel respected by and connected to their supervisors? Supervisors should stay in regular contact with employees so that everyone feels he or she is part of the team.

3. Establish protocols for training. Design employee orientation programs with a focus on corporate compliance. Employees should not only understand all relevant laws and regulations that govern them, but also be well versed in your organization's protocols for reporting questionable practices.

4. Clear every termination with your facility's general counsel. The attorney will be able to cross-check the employee's name against ongoing investigations to avoid any retaliation allegations.

5. Conduct exit interviews. The interviewer should solicit information about possible law violations so the compliance officer can investigate them.

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