Discipline and Incentives

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Employee Discipline and Compliance

By Theodore Banks and Gretchen Winter[1]

The concept of “discipline” is an important part of a compliance program, but 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. But more than just being seen as an attribute of compliance, consistent discipline is also an attribute of good management practices in general.

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