General Compliance Topics

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  • 1.  Investigating HR Issues

    Posted 09-12-2022 09:20 AM

    Hi All,

    When reports come in about Discrimination, Harassment, Hostile Working Environment, etc., how are they investigated?  Historically, Compliance has assigned those to HR to investigate, and they have done a good job unless it's related to one specific business unit that tends to get a lot of unsubstantiated cases (likely embellishing stories or false allegations because employees aren't getting along).  If HR doesn't think it's a high risk, they don't make the investigation a priority.  I've tried working with them offering to investigate low risk cases myself, but they seem to want control over all of these calls (while still not making them a priority).

    The head of my department is pushing that I investigate these claims and keep HR in the loop as needed, since Compliance controls the hotline and has discretion on assignments.  While I think that is a good way to get these reports investigated more promptly, a) not discussing that with HR first will cause a rift, and b) if I discuss it with HR first, they won't go for it.

    I'm trying to get a feel for how these types of claims are handled in many organizations.

    Thanks!!



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    Tara Martin
    Director, Ethics & Compliance
    Delek US Holdings, Inc.
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    SCCE Membership


  • 2.  RE: Investigating HR Issues

    Posted 09-12-2022 10:24 AM
    Normally I would give these concerns to HR to investigate.  I am lucky that our HR department takes these very seriously, so I have not had any issues.
    However, if I felt these concerns were not being addressed by HR, I would feel that it is my duty to do the investigation myself and gather as much information as possible.  If I got pushback from HR, I would involve my superior to help to elevate the concern.

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    Ann Dunham
    MBA, SPHR, CHC, CHRC
    Compliance Officer
    Hannibal Regional Healthcare System
    Hannibal, MO
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    SCCE Membership


  • 3.  RE: Investigating HR Issues

    Posted 09-13-2022 08:15 AM
    Thanks, everyone for the great advice!  It's very helpful!

    Tara

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    Tara Martin
    Director, Ethics & Compliance
    Delek US Holdings, Inc.
    ------------------------------

    SCCE Membership