» The code of conduct is one of the key components of a compliance program and, as such, should be carefully crafted.» Writing a code of conduct may seem like a daunting task, but it can be made easier with some method behind it.
» Starting small and developing the content in iterative steps will make the process simpler.
» Deciding early on whether you want a short or a long final document will help you know when to stop.
» “No man is an island,” and no good code of conduct is written by one person.
A compliance program can only be effective if supported by real tone and actions from top management and the organization as a whole. It is also common knowledge that a risk assessment needs to be conducted before any other activity or pillar is put in place, given that those need to be designed to mitigate the identified compliance risks.
The next step is usually drafting policies and procedures, and the code of conduct is the first document that is created. A code of conduct allows the organization to have a central overview or summary document that will serve to guide all other efforts in the design and operationalization of the compliance program. It doesn’t require too much detailing of each relevant topic, allowing the organization to set out the most relevant principles to be followed by the employees before trying to detail every single policy and procedure that make up a compliance program... (click here to continue reading)
This is my fifth article on "Compliance & Ethics Professional, a publication from SCCE", and can be read at full on this link, the other articles can be read here (on what compliance can learn from other fields of study), here (on The Read Baron and Compliance) and here (on The Simplest Possible Code of Conduct).
Copyright 2018 Compliance & Ethics Professional, a publication of the Society for Corporate Compliance and Ethics (SCCE)
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