What Leaders Must Do


GE holds its leaders accountable for fostering a culture of compliance. Leaders’ responsibilities span prevention, detection and response to compliance issues.


PREVENT


• Incentivize compliance and personally set the example for integrity — not just through words, but more importantly, through actions.


• Never compromise integrity to meet a deadline, satisfy a customer or increase revenue.


• Promote Open Reporting and ensure employees know how to raise concerns and feel safe doing so.


• Ensure your team can recognize “red flags” for key risks and completes assigned compliance training in a timely manner.


• Help employees understand how and where to seek additional guidance and ask questions.


• Understand and follow the policies, laws and regulations that apply to your team. If unsure, ask an expert in Legal or Compliance.


DETECT


• Conduct periodic compliance reviews with the assistance of business compliance leaders and/or Internal Audit.


• Implement control measures to detect compliance risks and violations.


RESPOND


•Document and escalate any employee’s expressed concern through the appropriate channels.


• Take prompt corrective action to address identified compliance weaknesses.


• Take appropriate disciplinary action.


• Integrate employees’ integrity contributions into evaluations and recognition and reward programs.


THE SPIRIT & THE LETTER


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