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THE COMPLIANCE & ETHICS BLOG
One of the first companies I worked at out of college tied our compliance trainings to our annual employee
appraisals. This wasn’t directly communicated
to employees unless we were delinquent with
the trainings. I always felt that should have been
communicated better to new hires. It would
have emphasized the value the company was
putting on compliance. Although the trainings
told us everything we should do, the actions
behind the scenes would have meant more.
Compliance needs to be a part of the
annual employee reviews, and it needs to be
appropriately communicated. Clearly trainings
should be tied to the employee’s annual review,
but so should their compliance with our policies
and procedures. Does the employee turn in their
expense reports on time? Does the employee
submit their time sheets when they are due?
Does the employee follow your organization’s
badge policy? All these items matter. Billing
won’t have accurate accounts if the employee is
delayed with their expenses or time sheets. If
employees are letting anyone in off the street,
even to be polite by holding open the door,
equipment or information could be stolen.
Compliance should also be checking that
annual employee reviews are indeed occurring
annually, or at least relatively annually. Without
timely feedback—and really feedback should
be occurring more frequently than annually—
employees won’t improve as efficiently as they
could. This is a detriment to the employee and to
the organization. Although an employer would
clearly address a problematic employee, they
might not discuss areas of improvement for
other employees until the employee’s appraisal.
An example might be an employee who is rude
to vendors will be promptly addressed, but an
employee who is simply cold to vendors might
not be told otherwise until their appraisal. This
is why it is important to have appraisals at least
annually, to address areas of improvement.
Employees’ appraisals should also have
measurable data to compare year over year.
If the reviews are subjective in nature, the
employee may find themselves spinning in place
with similar comments year after year with no
measurement for improvement. This could create
resentment in the process and cause turnover for
employees looking to grow themselves.
The Compliance department should work
with the Human Resources department to
design a measurable, all-inclusive, annual
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By Bailey Naples
Annual reviews of