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Category: Standards and procedures

In the posts collected here we will explore how to assess a) general codes of conduct; b) other codes of conduct (e.g., for board members, suppliers); c) stand-alone policies; and d) C&E procedures of various kinds, both risk area specific (e.g., anti-bribery) and general program ones. We will also discuss assessment of the policy management process.

Assessing Codes of Conduct

Codes of conduct are often described as the most important document in a compliance program. Codes help set the right tone for compliance and ethics (“C&E”) programs.  They are educational tools that should serve to raise awareness and understanding of

  • Assessment mandates and benefits
  • Methodologies
  • Risk assessment
  • Program structure
  • Standards and procedures
  • Training and communications
  • Auditing, monitoring, and other “checking”
  • Reporting procedures, including helplines
  • Investigations
  • Discipline and other remedial measures
  • Personnel measures
  • Culture
  • Guest Posts
  • Uncategorized