The SciencE

Navigating Practical Strategies for Balancing Compliance and Leadership

Most managers and executives want to do right by their teams—but without a clear understanding of workplace regulations and policies, they can easily find themselves making decisions that create legal, ethical, and operational risks for their organizations. Being a great supervisor isn’t just about leadership instincts—it requires a clear understanding of workplace policies, employment laws, and when to engage HR. Managers and executives don’t follow best practices, unknowingly take on more risk than they realize handling issues on their own not because they care, but because they:

• Underestimate the seriousness of certain issues – Some workplace situations seem minor at first, but small missteps can escalate into major problems, including HR complaints, compliance violations, or even legal action.

• Fear damaging relationships with their team – Many managers are reluctant to hold employees accountable—especially those they have close working relationships with—leading to inconsistent application of rules and expectations.

• Think they can handle it informally – Many supervisors prefer to resolve issues with a quick conversation rather than following formal processes, unaware that informal solutions can lead to inconsistencies, bias, or lack of documentation that protects the organization.

• Assume HR involvement is only for serious problems – There’s a misconception that HR should only be called in for major incidents, rather than using them as a proactive resource to help manage performance and employee relations effectively.

• Want to avoid appearing “too corporate” – Especially in mission-driven or startup environments, managers may resist what they see as rigid policies, believing they can maintain a more “human” or “collaborative” approach without enforcing formal procedures.

• Feel pressured to deliver results over process – Leaders focused on performance outcomes may deprioritize compliance, workplace fairness, or proper documentation in favor of quick fixes or keeping high-performing employees happy.

• Don’t fully understand employment laws and regulations – Many supervisors assume they know the rules when, in reality, they may be unaware of critical legal requirements related to discrimination, disability accommodations, workplace safety, leave policies, and performance management.

• Worry that involving HR will take too long – Supervisors often assume that HR processes are slow and bureaucratic, leading them to handle situations on their own—even when HR could provide valuable guidance and prevent bigger issues later.

• Think “it won’t happen here” – A belief that certain workplace problems (e.g., harassment, retaliation, wage disputes) only happen in other companies can lead managers to overlook warning signs or fail to take action when needed.

• Are following bad precedents – If other managers in the organization have handled things informally, avoided accountability, or ignored policies, newer supervisors may assume that’s just “how things work” rather than following the correct processes.

With the right knowledge and tools, supervisors don’t just reduce risk—they create stronger, more accountable workplaces where best practices drive productivity and employees can thrive.