Skip to main content

On-demand webinar coming soon...

Blog

Speak-up culture toolkit: Policy management

Supercharge your employee engagement by pairing effective policy management strategies with a fortified speak-up culture

Noshin Kahn
Senior Compliance Counsel, OneTrust
February 20, 2023

Photo looking down large industrial warehouse aisle with boxes on tall shelves

In the challenging area of ethics and compliance, companies can bolster a speak-up culture and drive better outcomes with clearly written policies, training, and ongoing assessments of policy effectiveness. Built on trust, a speak-up culture strengthens legal compliance, increases job satisfaction and productivity, while helping the organization manage and mitigate many forms of risk.

Once employees clearly understand the reasoning behind policies such as conflict of interest, bribery and corruption, gifts and hospitality, whistleblowing, etc., they are more likely to feel comfortable speaking up – knowledge builds confidence. Companies can take this one step further by providing psychologically safe environments for employees. Fear and uncertainty decline and doing the right thing becomes the norm. 

While it’s one thing to talk about improving the culture via policies, it’s quite another matter to create, implement, monitor, measure, and improve such policies over time. Many complexities come into play – from the specific requirements of regulations to employee reluctance to serve as whistleblowers, to the fact that many organizations don’t even have systems and procedures to track attestations of policies with metrics. 

These issues raise many questions. What kinds of policies are needed – and what’s the best way to manage them? How will those policies change and improve the organizational culture? How can employees best be engaged to feel comfortable about following policies that increase disclosure rates, reports of violations, and transparency, and accelerate problem resolution?  

To answer these and related questions, let’s consider some of the most common issues organizations face today when creating and implementing effective policies that lead to more ethical workplaces.

Want to learn how to raise awareness for your helpline and overcome reporting reluctance? Download our How to Build a Speak-Up Culture eBook today.

What types of policies can help build speak-up culture? 

Organizations must consider how employees engage with policies and procedures in order to properly structure those materials, drive employee engagement and increase disclosure rates. When developing policies that set the standards and expectations for employee conduct, keep several factors in mind to fortify a strong speak-up culture. 

Overall, message clarity must be the top priority. Use clear and easy to understand language that communicates why adherence to policies is so important. Then, make sure employees have easy access to stored documents and can locate them at a moment’s notice. Doing so will help convey company transparency and encourage employee engagement. 

Use the following tips to help you get started on developing effective policies:

Reflect company values and ethics 

To help clarify employee expectations, structure policies that address laws and regulations while simultaneously making a connection with the organization’s core values. 

Incorporate employee input and designate individual stakeholders 

To help build trust through collaboration and individual input, establish a policy development team with a range of stakeholders including HR, legal, executive management, supervisors, and employees. Assign policies to specific stakeholders to incorporate the necessary oversight for key areas of the company.

Use language that permits management discretion  

Avoid black and white statements that do not consider the potential for mitigating circumstances. Instead, use policy language that allows for more understanding and context while maintaining alignment with laws and regulations.

Balance flexibility with disciplinary action 

Include a statement in your company policy manual introduction outlining the general rules around disciplinary action. Make it clear there is no one-size-fits-all approach to disciplinary action given the complexity and semantics of each incident or violation.

Applying these tips and others will help you establish effective policies that encourage a speak-up culture. 

How to get employees to engage with policies?

Once you have finalized your policies, conduct thorough training on each policy. Communicate the risks and stress the importance of policy compliance, reporting violations, and making disclosures. Establish accountability by explaining why following company policies and any applicable local or international laws is every employee’s responsibility. 

Integrating active participation is more likely to keep employees alert as they learn, while reinforcing the importance of the training. Fast-forwarding to the end of a training module and checking a box is no longer an option. 

A visual approach can make a greater impact. Show employees the entire process, from the moment a report is submitted, to the mitigation and closing of the report. When employees are satisfied that the organization will take disclosures and violation reports seriously and thoroughly investigate them, the disclosures and violations reporting rates will naturally increase. 

Codes of conduct with clickable content and Q&A sessions are also effective training methods. Online quizzes or in-person workshops with interactive games can help ensure policy comprehension. These activities will generate data that, when analyzed, will reveal opportunities for improvement.

To help ensure ongoing compliance, maintain regular communications with employees via emails, intranet, in-person visits to offices, or ethics and compliance office hours.  

How to enforce policies in a way that builds psychological safety and strengthens your speak-up culture

In psychologically safe environments, there’s a shared belief that co-workers or management can make disclosures and report policy violations without fear of repercussion. Also, psychological safety helps create a sense of empowerment. If psychological safety is lacking, employees keep quiet even when it seems clear that speaking up is the right thing to do. For example, when it comes to policy management, if employees feel the risk of making a disclosure or reporting a violation is too high, they will remain silent. 

Whether working remotely or in hybrid work scenarios, you can nurture psychological safety by taking one or more of the following actions: 

  • Foster a culture that respects different opinions. 
  • Be intentional about scheduling one-on-one meetings. 
  • Ask open-ended questions. 
  • Demonstrate how to establish boundaries. 
  • Set expectations for in-person and video meetings. 
  • Avoid blame. 
  • Be available to answer questions and address concerns.

Cultivating a psychologically safe environment increases team members’ confidence in speaking up, making space for them to question the behavior and decisions of others, while exposing questionable practices.  

How do you know your policies are working?

The final step in an effective policy management process is to evaluate the level of success at each stage of the lifecycle. Policy management on a digital platform empowers companies to easily retrieve metrics that will help them assess employee knowledge, engagement, and compliance. 

Ask some or all these questions as part of your assessment:

  • What percentage of employees completed a training session? 
  • What percentage of employees passed the training tests? 
  • What were the average test scores? 
  • What percentage of policy attestations have been completed? 
  • Are there any gaps in the training curriculum? 
  • How many disclosures and policy violations have been reported since the policy effective date? 
  • Has reporting frequency increased or decreased for disclosures and violations? 

The metrics retrieved from the system will provide insight into how to refine your policy management process and reveal opportunities for training and communication improvement. Consider sharing certain impactful data points with employees to showcase increased levels of policy compliance, engagement, and reporting.

Over time, as disclosures increase and violation reports decline, an organization can confidently say that their employees are informed and accountable. A solid speak-up culture will reveal how confident employees are in speaking up and their trust in the organization’s integrity when addressing issues.  

For more information on policy management and the power of a speak-up culture, download our speak-up culture e-book for a step-by-step guide on raising awareness of your company policies and improving disclosure and reporting rates.


You may also like

Webinar

Ethics Program Management

From reactive to proactive: Transforming your ethics & compliance program

Join this webinar to hear experts explore actionable strategies employed by Ethics & Compliance programs to drive a more ethical culture.

September 12, 2024

Learn more

Infographic

Speak-Up Program Management

Modern slavery: Identifying the signs of forced labor in your supply chain

Looking up and down your organization's supply chain for key indicators is critical to preventing, identifying, and stamping out forced labor.

June 25, 2024

Learn more

Webinar

Speak-Up Program Management

EthicsConnect: Speak Up - Balancing Regulation with a Genuine 'Safe Space' for Employees

Network with fellow ethics professionals, collaborate in break out rooms, and learn how to over the challenges of meeting EU Whistleblower Directive compliance from experts.

June 13, 2024

Learn more

Webinar

Ethics Program Management

Drive employee engagement with Ethics Program Management

In this tech talk, we will walk you through the customer's employee journey utilizing our Ethics Program Management suite of tools.

May 21, 2024

Learn more

Webinar

Ethics Program Management

EthicsConnect: Risk - It’s not just for breakfast anymore

Join us for a deep dive into embedding privacy by design into the fabric of your business to promote the responsible use of data.

April 25, 2024

Learn more

eBook

Ethics Program Management

Business messaging apps: A guide to corporate compliance

How can your business use third-party messaging apps while staying compliant? Dive into key usage considerations based on the DOJ’s 2023 guidance.

February 13, 2024

Learn more

Infographic

Third-Party Risk

4 top-of-mind challenges for CISOs

What key challenges do CISOs face going into the new year? Download this infographic to hear what experts from industries across the board have to say.

January 30, 2024

Learn more

Webinar

Third-Party Due Diligence

Best practices for conducting third-party due diligence for ethics & compliance​

Join this webinar for best practices for conducting third-party due diligence for ethics and compliance.

January 11, 2024

Learn more

Webinar

Ethics Program Management

Ethics Exchange: Third-party applications and ephemeral apps

Learn practical advice on how to navigate the risks of ephemeral apps and employee privacy in BYOD world.

December 05, 2023

Learn more

Webinar

Speak-Up Program Management

Navigating the EU Whistleblower Protection Directive: New rules, new risks

Join our expert-led webinar where we explore the EU Whistleblower Protection Directive and practical steps towards compliance. 

November 02, 2023

Learn more

Webinar

Ethics Program Management

Ethics Exchange: Risk assessments

Join our risk assessments experts as we discuss best practices, program templates, and how provide an assessment that provides the best value for your organization.

October 25, 2023

Learn more

Webinar

Ethics Program Management

Ethics Exchange: Investigations

Join our live webinar and learn how to conduct comprehensive ethics investigations that are trustworthy and efficient.

September 07, 2023

Learn more

Webinar

Third-Party Due Diligence

Driving excellence in third-party risk management: An in-depth look at different due diligence approaches

Join our in-depth webinar and learn how to define third-party due dilligence levels and when to apply them during your vendor management lifecycle.

July 20, 2023

Learn more

Webinar

Third-Party Due Diligence

A shortcut to third party due diligence fundamentals

In this webinar, we examine the scope of third-party due dilligence, best practices, and industry trends driving greater scrutiny on third parties.

July 13, 2023

Learn more

Webinar

Third-Party Due Diligence

Sanctions and export controls: Ensuring compliance

Watch our live expert webinar on understanding global sanctions and export controls and how to reduce your organiztion's risk exposure and ensure compliance.

June 29, 2023

Learn more

Video

Third-Party Risk

Third-party management demo

See how OneTrust's third-party management solution can help scale your third-party lifecycle and evaluate vendors with real-time risk intelligence.

June 27, 2023

Learn more

eBook

Ethics & Compliance

Creating an effective code of conduct

In this eBook, learn how to create an effective code of conduct with six key steps. 

June 01, 2023

Learn more

eBook

Third-Party Due Diligence

The global regulations driving third-party due diligence

Download our eBook learn how to start building a robust third-party due dilligence (TPDD) strategy that protects your brand and minimizes risk.

May 30, 2023

Learn more

Webinar

Third-Party Risk

Unpacking the third-party risk regulatory landscape in the Nordic region and beyond

In this live webinar, our expert panel discuss emerging third-party risk regulatory trends in the Nordic region and show how OneTrust can help your business stay complaint.

May 30, 2023

Learn more

Webinar

Third-Party Due Diligence

Ethics live Demo: Third Party Due Diligence webinar

Learn how OneTrust's Third-Party Due Dilligence, backed by Dow Jones, can help provide your business the data it needs to find trustworthy third parties and mitigate risk.

May 18, 2023

Learn more

In-Person Event

Ethics & Compliance

Ethics Exchange: Practical deep dive for third-party due diligence

Organizations are accountable for third-party actions, so they need robust due diligence to protect their reputation. Learn more at our ethics exchange event.

May 11, 2023

Learn more

Checklist

Ethics Program Management

Policy on development and administration of policies template

Get a head start on your ethics program and create a policy on development and administration of policies with our customizable template.

May 10, 2023

Learn more

Webinar

Third-Party Due Diligence

Maturing your third-party due diligence program: Process, data & technology

Experts at OneTrust and Dow Jones discuss third-party due diligence, covering industry trends, challenges, and how to streamline the process with technology.

April 27, 2023 1 min read

Learn more

Webinar

Ethics & Compliance

Unpacking the global third-party due diligence regulatory landscape

Learn how a strategic plan for compliance can help companies eliminate human rights and environmental violations and avoid costly consequences.

March 06, 2023

Learn more

Webinar

Ethics & Compliance

Third party due diligence – A practical deep dive

In this session, we'll look into the scope of third-party due diligence and a deep dive into practical implementation aspects and best practices for organizations.

December 13, 2022

Learn more

Report

Trust Intelligence

Trending toward trust

The "Trending toward trust" report from OneTrust highlights seven key trends that organizations need to know.

December 12, 2022

Learn more

Webinar

Ethics & Compliance

The number one metric for effective compliance programs: Continuous improvement

Join our webinar to learn how to develop and/or maintain a High-Quality E&C Program and what role data analytics play in improving your compliance program.

November 27, 2022

Learn more

Webinar

Ethics & Compliance

Best practices for conducting third-party due diligence for ethics & compliance

In this session, we'll explore the scope of third-party due diligence and best practices, such as industry trends driving greater scrutiny on third parties.

November 16, 2022

Learn more

Webinar

Ethics Program Management

Live demo: Conflicts of interest management webinar

Learn how to develop a holistic disclosure program, how to make it part of your risk assessment, and how to use it to meet regulatory obligations.

November 01, 2022

Learn more

Checklist

Ethics & Compliance

The CECO’s third party checklist

Use this checklist to ensure that your ethics and compliance program is effectively managing third parties across the entire relationship lifecycle.

October 28, 2022

Learn more

eBook

ESG & Sustainability

The CECO’s guide to managing third parties eBook

Download this eBook to learn the six steps in the lifecycle of risk-based third-party due diligence, compliance terms, and conditions, payment terms, etc.

October 27, 2022

Learn more

White Paper

Ethics & Compliance

Central vs. local intake and case management under the EU Whistleblowing Directive white paper

Download this white paper to learn the specific intake and case management requirements for local subsidiaries and offices across Europe.

October 25, 2022

Learn more

Webinar

Ethics & Compliance

The role of disclosures in risk assessment and management

In this webinar, we’ll discuss developing a holistic disclosure program, making it part of your risk assessment, and using it to meet regulatory obligations.

October 04, 2022

Learn more

White Paper

Ethics & Compliance

What CCOs need to know about the DOJ compliance certification requirement white paper

Download our white paper to learn how the DOJ’s new policy will empower CCOs, and discover what opportunities this new policy presents for your program.

September 01, 2022

Learn more

Webinar

Ethics & Compliance

How to transform your ethics management program through effective employee engagement

In this webinar, we’ll discuss how to develop a successful ethics management program and how to promote trust by developing awareness.

July 28, 2022

Learn more

White Paper

Ethics & Compliance

DOJ’s 2020 update to the evaluation of corporate compliance programs

This white paper explores the 2020 DOJ Compliance Guidance Update and where it takes corporate compliance programs this year and beyond.

July 15, 2022

Learn more

Checklist

Ethics & Compliance

DOJ self-assessment checklist

This enhanced DOJ guidance sets out a baseline, or the minimum standards, to demonstrate an effective ethics & compliance (E&C) program.

July 08, 2022

Learn more

Webinar

Ethics & Compliance

Conflicts of interest and disclosures

Join this roundtable with your peers and experts in ethics and compliance to discuss how to build a successful conflict of interest management program.

July 08, 2022

Learn more

Webinar

Ethics & Compliance

Effective policy governance and distribution

Join this roundtable to discuss how to create effective policies, run effective campaigns and report on each policy’s performance and influence. 

July 08, 2022

Learn more

Webinar

Ethics Program Management

Local vs. central intake and case management: What the EU Whistleblower Directive requires

One of the challenges to come out of the EU Whistleblower Protection Directive is how companies should adopt local vs. centralized case management.

July 06, 2022

Learn more

Webinar

Ethics & Compliance

GDPR and the EU Whistleblower Protection Directive webinar

Join this webinar to learn how to review your whistleblowing processes to comply with the EU Whistleblower Protection Directive, the GDPR and others.

July 06, 2022

Learn more

Webinar

Ethics & Compliance

Hotline reporting under the EU Whistleblower Protection Directive: Unseen consequences, issues & practicalities

While there have been many articles and discussions around the EU Whistleblower Protection Directive, several significant issues have largely gone unnoticed. 

July 06, 2022

Learn more

Webinar

Ethics & Compliance

A hotline innovation masterclass: communications, awareness & confidentiality

Learn how to effectively train and raise awareness on your hotline and how to share information on the Directive so that your company remains compliant.

July 06, 2022

Learn more

Webinar

Ethics & Compliance

Evaluating hotline vendor compliance with the EU Whistleblower Protection Directive

Join us to learn how to choose a hotline vendor, and we also cover the onboarding and implementation process so that you can meet the Directive's deadline.

July 06, 2022

Learn more

Interactive Tool

Ethics & Compliance

Compliance KPIs worksheet interactive tool

Use this worksheet to understand what data you currently have, what you're lacking that may be important, and what certain data points may indicate.

July 05, 2022

Learn more

Webinar

Ethics & Compliance

Whistleblower retaliation under the EU Whistleblower Protection Directive: the reverse burden of proof

Learn how to implement anti-retaliation measures, and how to detect retaliation throughout the whistleblowing process using some new and novel techniques.

July 05, 2022

Learn more

eBook

Ethics & Compliance

14 key requirements to effective conflicts of interest management

Read this eBook to learn the key requirements that are fundamental to building a successful conflict of interest management program.

June 30, 2022

Learn more

Checklist

Ethics & Compliance

Annual compliance program checklist

Download our annual review compliance checklist to evaluate your E&C compliance program, identify key gaps, and prepare for the future.

June 30, 2022

Learn more

Checklist

Ethics & Compliance

Anti-retaliation checklist for compliance programs

Use these 19 questions to take a holistic look at how your program can improve training, investigations, policies, & more to prevent retaliation before it occurs.

June 17, 2022

Learn more

Checklist

Ethics & Compliance

EU Whistleblower Directive checklist

Assess your company's EU Whistleblower Directive compliance with this interactive checklist. 

June 16, 2022

Learn more

eBook

Ethics & Compliance

Ultimate guide to the EU Whistleblower Protection Directive

Download our free eBook on the EU Whistleblower Protection Directive learn its key requirements, who's protected, and answers to common questions. 

June 07, 2022

Learn more

eBook

Ethics & Compliance

The secret to effective policy management

Download this eBook and discover how a centralized policy management system helps drive compliance and ethics policy effectiveness. 

May 11, 2022

Learn more

eBook

Ethics & Compliance

How to build a speak-up culture

Download this step-by-step guide on building a speak-up culture and improve reporting rates. 

April 25, 2022

Learn more

eBook

Ethics & Compliance

Quick guide to the EU Whistleblower Directive

Use this guide to learn how the new EU Whistleblower Directive will be enforced, who is subject to it, and how to comply with it.

April 20, 2022

Learn more

Infographic

Ethics & Compliance

Infographic: The impact of an effective helpline on speak-up culture

Download this infographic and learn how an effective helpline is key to building a speak-up culture. 

April 08, 2022

Learn more

Interactive Tool

Ethics & Compliance

A simple conflict of interest disclosure form template

Download and customize this conflict of interest disclosure template to begin collecting voluntary disclosures at your organization.

April 05, 2022

Learn more

Webinar

Third-Party Due Diligence

7 best practices for conducting third-party due diligence for ethics & compliance

Watch this webinar and learn the seven best practices for third-party due diligence. 

January 03, 2022

Learn more

Webinar

Privacy & Data Governance

Data breach vs. ethics breach: How to prepare for both

In this webinar, we review case studies and tips from recent breaches and analyze which situations qualify as an "ethics breach."

July 07, 2021

Learn more