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Memo to Managers
Your Role in Ensuring Our Policies are Effective
Maintaining policies is not the job of our ethics and compliance department alone. We all need to ensure that our policies are as effective as they can be—which requires that we work as a team. You are on the front lines with our employees and vendors every day, and may hear about issues with policies long before we do.
Policies that miss the mark—for whatever reason—leave our organization open to risk. Ensuring that our employees and vendors adhere to our policies helps us avoid compliance failures before they occur. We hope you will reach out when you encounter any of the following issues with policies, so we can work together to make the policy more effective.
Contact us when you encounter a policy that is…
1) Difficult to Understand. Our ethics and compliance team is committed to making our policies understandable. If employees are struggling to understand the wording or meaning of part or all of a policy, we want to know. Our goal is to make sure our policies are easy to understand and follow.
2) Outdated. Our goal is to review all of our policies on a regular basis to ensure that they are up-to-date. However, between reviews, your help is invaluable. If you or someone on your team encounters a policy that is out of date for any reason, get in touch.
3) Missing Information Related to New or Updated Laws and Regulations. Because of your area of expertise, you and your team may be the first to know about new laws or regulations that may impact our policies and procedures. If there is a new law or regulation your team knows of—or knows is coming—check with us to determine whether there needs to be a policy or procedure change made to address it.
4) Culturally Insensitive. We strive to ensure that our policies are culturally sensitive. If we miss the mark, we want to know and address is right away. If you or a team member sees something in a policy that is potentially offensive or otherwise needs to be addressed, be in touch right away.
5) Not Correct for (or Applicable to) a Particular Region or Location. Not every region or location is the same, and sometimes our policies must reflect those differences. If you notice something in a policy that doesn’t seem to apply to your location or your team members’ locations, let us know. We may have a specific version of a policy we can provide to you, or we may need to make a custom version of a policy to address the issue.
And finally, contact us if there is an issue you think we should have a policy on, but do not. Gaps in policies are as risky as policies that do not meet our standards.
Policies are the backbone of an organizational culture that supports a culture of ethics and respect. By working together, we can help ensure that our organization continues to be focused on fostering the kind of workplace we all want to be a part of.
Questions of the Month
Q: Do our policies apply to our employees only? Or do they also apply to our business partners and vendors?
A: Our policies apply to everyone in our organization, as well as to certain business partners, such as agents, consultants, vendors and temporary employees that serve as an extension of the company. Managers who supervise our business partners and third parties have a responsibility to ensure that they understand our policies and standards.
Q: Members of my team are always asking me about one of our policies. It seems like I’m answering the same questions again and again.
A: If you are fielding the same questions about a policy multiple times, please contact the ethics and compliance department and let us know about your experience. It's fantastic that your team members feel comfortable asking you questions, but we also want our policies to be clear. Multiple questions about the same policy may indicate the need for more clarity within the policy itself.
NAVEX Global's 2015 Ethics & Compliance Policy Management Benchmark Report
Policy management has been—and remains—a maturing business practice. Download our new 2015 Ethics & Compliance Policy Management Benchmark Report today to get benchmark data and practical recommendations from NAVEX Global experts that you need to make better decisions and take your policy management program to the next level.
NAVEX Global partnered with a research firm to conduct an anonymous survey of nearly 900 ethics and compliance professionals about policy management. Those findings have been gathered in 2015 Ethics and Compliance Policy Management Benchmark Report; the most definitive set of industry benchmarks ever compiled.
Using Compliance Communicator
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