Ethics and Compliance Program Review


For the company you have used for the competency-level demonstrations of mastery, you will review and assess the existing ethics and compliance program and make suggestions for changes and improvements. You have completed many of the following pieces for the competency-level demonstrations of mastery. Utilize the feedback from your instructor to update these items for inclusion in this final demonstration of mastery. Also, be sure to read all of the requirements for each section below as you may be asked a few additional questions from the original assignments.

  1. Complete a review of the company’s code of ethics/conduct. Address the following questions:
    • When was the code last updated?
    • In your organization, what format is the most current code of ethics/conduct in? How does the format meet the needs of employees who are searching for information?
    • Around what is your organization’s code of ethics/conduct centered? Provide the text of this item.
    • In what way(s) is your organization’s code of ethics/conduct a practical guide for employees?
    • What audience is your organization’s code of ethics/conduct directed to?
    • In what ways, if any, does your organization’s code of ethics/conduct support day-to-day decision making?
    • How does the code of ethics/conduct address corporate social responsibility?
    • How does the code of ethics/conduct address environmental stewardship?
    • How are the universal core ethical values of honesty, integrity, loyalty, responsibility, fairness, and citizenship represented in your organization’s code of ethics/conduct? If one or more are not represented, how might they be?
    • What, if any, training has been associated with the code?
    • How do the provisions align with those presented in Common Code Provisions (Links to an external site.)?
  2. Discuss your company’s organizational culture, especially as it relates to ethics and leadership.
    • What role does leadership currently play in promoting ethics?
    • What role should leadership play in promoting ethics?
  3. Answer the following questions about your company:
    • What ethics challenges are common in the work you do? In your workplace?
    • Where are your greatest areas of risk? Which groups of employees, locations, business units, etc. are potential “hot spots”?
    • What values are important to your company and its employees?
    • What values are necessary for your business, your work in particular?
    • What ethics and compliance resources will be most beneficial for employees? What vehicles of support (a phone line, an email, an individual or committee, internal social network, etc.) are likely to be most utilized and helpful?
    • In developing your code and values, which groups’ input is necessary? Who would be helpful? 
    • How can this ethical code of conduct be used to support the tone at the top?
  4. Provide at least three suggestions for updating the current code of ethics/conduct and the program surrounding it. Think about how the code of ethics/conduct should be incorporated into communications, as well as what type of training should be used to present information and updates to employees.
  5. The paper should be a maximum of 10 pages, 12 point font, double spaced. Use APA in-text citations and reference list.