Question

Phil, having exhausted all other appeals in his complaint, called Beth, the compliance officer, to speak with her about a decision that the human resources department had made that he believed was out of compliance with the Federal Equal Pay Act. The office assistant, Mary, stated, “Beth will not be in the office until next week.” Phil then scheduled a telephone conference with Beth for the following week. He asked Mary, “Will my telephone conference with Beth remain confidential?” Mary said, “Most certainly. Our office is here for you. Everything in our office is confidential.”The following week Phil called Beth to discuss his concern that certain professionals were performing the same work as he was and were getting paid more. He described the specifics of his concern. Beth asked, “Is it OK for me to reveal your name to human resources so I can obtain the necessary records that I would need from them to see if you are being paid equally to others for the same work?” Phil agreed to Beth’s request. During his discussion with Beth, Phil discussed several other corporate leadership concerns with her and asked that his conversations remain confidential. Beth replied, “If you wanted confidentiality, then you should have asked for it before speaking to me.” Phil replied, “Confidentiality was promised prior to our discussion and I am surprised at your response.” Beth replied, “Well, you are wrong.”

What lessons could employees learn from Phil’s experience? 2. Discuss how this scenario could have ended with a win-win conclusion for both the employee and the compliance office

Answer 1

Lessons that employees could learn from Phil's experience:

- When in conversation with a third person regarding compliance issues, Instead of asking over the phone if the future conversation would be confidential, the employee could ask for a statement in an email stating the same. This could hold as proof for future reference that the employee indeed wanted confidentiality and was granted the same.

- In the above scenario, communication with the assistant could have been better established in asking for a confidentiality confirmation. The assistant seems to have given a generic statement that everything is confidential, but the employee missed to confirm the process of passing on the info to the compliance officer. As in if the assistant would communicate the request of confidentiality to the compliance officer or employee themself should mention the same to the compliance officer as the conversation initiates.

- Employees could learn to confirm the confidentiality concern before the start of any conversation. Especially when multiple individuals are being involved over a period of time.

- To establish the boundaries and agenda of the conversation (complaint) with the compliance officer at the start of the conversation.

- To maintain clear communication regarding the anonymity and confidentiality of the conversation regarding the complaint.

2) A scenario which would end in a win-win conclusion for both the employee and the compliance office:

- Where the employee would have taken a confirmation of the confidentiality request and grant in the form a written statement from the compliance office and making sure the further communication procedure of the request to the compliance officer was discussed.

- Even with the confirmation from the assistant, the employee could have established the confidentiality request with the compliance officer at the start of the conversation. This way any further confusion could be negated and the employee could have deliberated his information that has to be communicated accordingly. By following the above steps confidentiality request of the employee could be guaranteed and the compliance office would have worked on the case as per the reuest of the emcployee without any confusion.