Workforce management practices can help or hinder the performance of the program. An organization should develop workforce practices that support the objectives of the program. These include any practices that affect the manner in which workforce participants are: acquired, retained, organized, evaluated, promoted, compensated, rewarded, disciplined, transferred, terminated, and retired.
Principles
> Segregation of duties
> Screened for past conduct and behavioral traits
> Incentives to behave within boundaries
> Compensation and promotion based on good conduct in addition to performance
Business Objectives
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To ensure that the entity retains, organizes, reviews, promotes, compensates, rewards, and disciplines human capital in a manner that supports program objectives.
Considerations
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People have the greatest influence on the success of the compliance and ethics program
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Well-designed human capital responses that encourage compliance and ethical conduct are as important as the establishment of policies and procedures
Critical Success Factors
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Consistency in the application of human capital controls, especially discipline/incentives
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Close coordination between compliance staff and HR staff
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Workforce culture supportive of management objectives