Discipline and Incentives

Employee Discipline and Compliance

The concept of “discipline” is an important part of a compliance program, and it arises in two slightly different situations. First is the notion, under the U.S. Sentencing Guidelines Manual (USSG), that a compliance program should include incentives for employees to follow the program, along with punishment or discipline for failing to do so. Second is the concept that a company should have a rational program of employee discipline for various policy violations. Note that consistent discipline is a key element of effective compliance programs as well as an attribute of good management practices in general.

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