Preventing Retaliation:
Ten Solid Steps to Create a Solid Speak-Up Culture
2014 SCCE Compliance & Ethics Institute│ Hya Regency Chicago
September 14‐17, 2014
PRESENTED BY:
Katherine Cooper Franklin
Shareholder
Littler Mendelson, P.C.
Seattle Office
Earl M. (Chip) Jones, III
Office Managing Shareholder
Littler Mendelson, P.C.
Dallas Office
Gretchen A. Winter
JD, Executive Director
Center for Professional Responsibility in
Business and Society
College of Business, University of Illinois;
Adjunct Professor of Law
University of Illinois College of Law
Chicago, IL
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Introduction
Speak Up Culture:
How important is it for an organization?
Video:
Who’s to Blame
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Ten Solid Steps
1. Move from “blame” to making a change.
Open Mic
How Are We Doing?
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Not Much Change
Retaliation
 Retaliation cases continue to grow, now exceeding 41.1% of all cases filed
http://www.eeoc.gov/eeoc/statistics/
40,000
35,000
30,000
25,000
20,000
15,000
10,000
5,000
2012
2011
2010
2009
2008
2007
2006
2005
2004
2003
2002
2001
2000
1999
1998
0
1997
All retaliation cases
have three elements:
• Protected activity;
• A materially adverse
action; and
• A connection
between the two.
Receipts
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Video:
Should We Speak Up?
Open Mic
 List 3 barriers keeping these employees (and your own) from speaking up.
 List 3 solutions.
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Ten Solid Steps
1. Move from “blame” to making a change
2. Make HR and Compliance effective business partners
3. Conduct training for employees on how and why
to speak up
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Video:
Management Steps In
Ten Solid Steps
1. Move from “blame” to making a change
2. Make HR and Compliance effective business partners
3. Conduct training for employees on how and why
to speak up
4. Don’t let sleeping dogs lie
5. Conduct training for managers
6. Know how to manage confidentiality
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Food for Thought: Vast Majority of
Reports are Made to Managers
Open Mic
 Why is this manager reluctant to go to HR?
 Why don’t managers partner with us earlier?
 Why don’t managers speak up?
 What are you doing to overcome these barriers?
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How to Train Managers
Use Roleplay
 What to say ─ or not say?
 Demeanor: louder than the words that are used
Ten Solid Steps
1. Move from “blame” to making a change
2. Make HR and Compliance effective business partners
3. Conduct training for employees on how and why
to speak up
4. Don’t let sleeping dogs lie
5. Conduct training for managers
6. Know how to manage confidentiality
7. Integrated incident management system
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1. Effective
Report and
Intake
Procedures
5. Effective remedial
measures and
appropriate way to
track and
communicate
discipline before it
occurs
3. Notification
protocol
2. Speak up
training for
manager &
employees
4. Effective
investigation
protocol –
including training
for investigators
6. Reporting
and
Communication
Develop an Integrated Incident
Management System
 Create an investigation system and process guidelines
─
─
─
─
─
Consistent triage function
Adopt a continuous improvement management approach to handling incidents and complaints
Ensure reports do not fall through the cracks
Implement corrective measures to help managers learn from mistakes
Ensure that investigations are conducted by the right people and reports are made to those who need to know
 Actions speak louder than words
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Ten Solid Steps
1. Move from “blame” to making a change
2. Make HR and Compliance effective business partners
3. Conduct training for employees on how and why to speak up
4. Don’t let sleeping dogs lie
5. Conduct training for managers
6. Know how to manage confidentiality
7. Integrated incident management system
8. Make culture a strategic priority
What is Tone at the TOP?
 What does this term mean?
 How important it is to have tone at the top?
 And how do we get there?
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Make Culture a Strategic Priority
 Cultural surveys
 Benchmark reporting
 Conduct a program review
 Determine stakeholder communication preferences and expectations
 Identify opportunities to drive program awareness: training, communication, and internal marketing
Deconstructing the Components
of Integrity
The Risk Clarity Survey: analyzes the strength of key attributes that impact a culture of integrity
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Ten Solid Steps
1.
2.
3.
4.
5.
6.
7.
8.
9.
Move from “blame” to making a change
Make HR and Compliance effective business partners
Conduct training for employees on how and why to speak up
Don’t let sleeping dogs lie
Conduct training for managers
Know how to manage confidentiality
Integrated incident management system
Make culture a strategic priority
Directly connect compliance goals into performance expectations
Promote & Enforce
Compliance and Ethics Programs
 Communicate summarized actual situations to demonstrate commitment and a fair process exists
 Incorporate meaningful measures tied to ethical values into compensation decisions and performance evaluations
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Open Mic
 What are companies doing that really work?
Re-cap
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Alternate Universe Video:
What Conversations Might Look Like
Ten Solid Steps
1.
Move from “blame” to making a change
2. Make HR and Compliance effective business partners
3. Conduct training for employees on how and why to speak up
4. Don’t let sleeping dogs lie
5. Conduct training for managers
6. Know how to manage confidentiality
7. Integrated incident management system
8. Make culture a strategic priority
9. Directly connect compliance goals into performance expectations
10. Make the business case
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Summary – Culture Matters
Questions?
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THANK YOU
2014 SCCE Compliance & Ethics Institute│ Hya Regency Chicago
September 14‐17, 2014
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