Management should establish and communicate a process and criteria to discipline employees and other agents for noncompliance and otherwise improper conduct. In appropriate cases, the disciplinary process should include termination and notification of regulatory or law enforcement authorities.
Principles
> Prompt
> Consistent
> Possible termination
Business Objectives
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To ensure that management has established a process to discipline employees for noncompliance
Considerations
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Internal and/or external communication of disciplinary actions is appropriate in certain circumstances. Proper communication sends the right message and tone from the top throughout the organization
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Consider which cases should result in the notification of regulatory or law enforcement authorities
Critical Success Factors
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Disciplinary process should be communicated in advance and findings should be disclosed following any incident