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How to Write a Code of
Conduct that Works for Your
Organization
Jason Lunday, Business Ethics and Compliance Consultant
Jason Lunday
Jason Lunday is a consultant with IntegrityFactor, a professional
services company. With more than 25 years of experience in consulting
and management, Lunday has worked with companies of many sizes
and across numerous industries to implement and enhance overall
ethics and compliance programs and their components, including
corporate values, codes of conduct and policies, training,
communication and risk, culture and program assessments.
Much of his work has involved development, revision and review of
corporate codes of conduct, as well as in-depth research on corporate
code of conduct fundamentals, trends and leading practices.
He has authored or co-authored over thirty articles, including for
Compliance & Ethics Professional, Corporate Compliance Insights,
ethikos: A Journal of Practical Business Ethics, Ivey Business Journal,
the Federal Ethics Report and EPAC Magazine.
Jason has worked for Goldman, Sachs & Co., Arthur Andersen LLP, the
Ethics Resource Center, VeriSign, Inc., and Premier, Inc. Jason holds
an MBA, with focus in business ethics and organizational behavior,
from the University of Virginia’s Darden Graduate Business School.
Agenda
► Business Value of a Great Code
► A Great Code of Conduct Program
► 5 Foundations of a Great Code Program
► 14 Elements of a Great Code
► Anatomy of a Topic
► Topics to Consider
► Typical Workplan
► Resources
© 2016 IntegrityFactor
Poll Question
How would you describe your organization’s code of conduct?
A.A strong, inspirational code, with comprehensive coverage of topics, a
strong leadership statement, connects with our purpose and values, many
helpful resources and a compelling visual style.
B.A pretty good code, covers lots of topics, leadership statement, some
resources, an aspirational feel, and fairly good visual design.
C.A decent code covering numerous topics with some detail, leadership
message, a couple of resources, not much visual design.
D.A brief, text-only document covering just a few topics and not compelling
at all.
E.We do not have a code of conduct.
© 2016 IntegrityFactor
Business Value of a Great Code
© 2016 IntegrityFactor
A Great Code of Conduct Program
Code
Publication
Code
Publication
Code publication
The type of publication(s) is the
starting point for a successful code
program. But a document alone will
not achieve the goal of making its
standards live in the hearts and
minds of employees.
Code publication
The type of publication(s) is the
starting point for a successful code
program. But a document alone will
not achieve the goal of making its
standards live in the hearts and
minds of employees.
© 2016 IntegrityFactor
A Great Code of Conduct Program
Code
Publication
Code
Publication
Code
Launch
Code
Launch
Code launch
How the code is delivered to
employees and others establishes an
important precedent for how the
company and its leadership will
reinforce and support the code and
employees’ actions regarding it.
Code launch
How the code is delivered to
employees and others establishes an
important precedent for how the
company and its leadership will
reinforce and support the code and
employees’ actions regarding it.
© 2016 IntegrityFactor
A Great Code of Conduct Program
Code
Publication
Code
Publication
Code
Launch
Code
Launch
Code
Education
Code
Education
Code education
Leadership should not assume or expect that
employees will instinctively understand,
appreciate and know how to apply the code
simply from reading it. To obtain the best value
from the code, a company should effectively
educate employees (and others) to it.
Code education
Leadership should not assume or expect that
employees will instinctively understand,
appreciate and know how to apply the code
simply from reading it. To obtain the best value
from the code, a company should effectively
educate employees (and others) to it.
© 2016 IntegrityFactor
A Great Code of Conduct Program
Code
Publication
Code
Publication
Code
Launch
Code
Launch
Code
Education
Code
Education
Ongoing
Reinforcement
Ongoing
Reinforcement
Ongoing reinforcement
Just as with an ethics and compliance
program, leadership must continue
to reinforce the code – its purpose,
importance, application – and the
systems that support it for it to
maintain lasting value.
Ongoing reinforcement
Just as with an ethics and compliance
program, leadership must continue
to reinforce the code – its purpose,
importance, application – and the
systems that support it for it to
maintain lasting value.
© 2016 IntegrityFactor
A Great Code of Conduct Program
Code
Publication
Code
Publication
Code
Launch
Code
Launch
Code
Education
Code
Education
Ongoing
Reinforcement
Ongoing
Reinforcement
Metrics &
Improvement
Metrics &
Improvement
Metrics & improvement
A code and related efforts can
be assessed for effectiveness
and improvement
opportunities. A code should
respond to business changes to
ensure it remains viable.
Metrics & improvement
A code and related efforts can
be assessed for effectiveness
and improvement
opportunities. A code should
respond to business changes to
ensure it remains viable.
© 2016 IntegrityFactor
5 Foundations for a Great Code Program
Mission-focused,
values-oriented culture
Ethics and compliance
process supports
Understanding of risk
Approach to policies
A Great Code of
Conduct
A Great Code of
Conduct
Executive leadership
commitment and support
© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
These 14 elements provide the
working framework for
developing or otherwise
advancing a successful code of
conduct. Each element
contributes important value to
an effective code.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
1. Leadership demonstrably
communicates its commitment
to the code’s standards and its
support for employees who
follow the code.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
2. The publication’s format fits
with the organization’s
characteristics and needs,
including business units,
geographies, spoken
languages, access to
technology and other attributes.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
3. The publication reflects and
reinforces elements of the
company’s culture, such as its
mission, values, perspective,
heritage, style, priorities, rituals,
and identity/branding, among
others.
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1111
1212
1313
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
4. The publication reflects the
company’s business activities
both to reflect the organization
and also to relate its contents
to employees’ daily activities.
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1212
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
5. The publication’s disparate
contents are woven together by
a unifying concept that runs
throughout the code and ties
back to the company’s culture
and aspects of its business
success.
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© 2016 IntegrityFactor
Theme – A Unifying Concept
► Unites content
► May embody mission,
values, culture
► May work off of company
purpose
► Aspirational, inspirational
► Often reflected or hinted at
in code title and in:
► CEO message
► Introduction
► Section titles
► Other content
► Visual design
© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
6. The code presents an
affirmative, aspirational tone
that inspires employees and
others with respect to the way
that the company conducts its
business and follows its
mission.
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1212
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
7. The publication establishes
clear expectations regarding
the conduct of employees and
others, with further clarity
regarding individual
accountability and the
consequences of non-
adherence to its standards.
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88
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1111
1212
1313
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
8. The code and its contents
are based on meaningful
principles or values that
establish a tone for the way that
the organization conducts
business and serve as the
ethical standards to which the
company aspires.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
9. The code’s contents respond
to the company’s
understanding and prioritization
of its business risks as
exemplified in the selection and
emphasis of the code’s topics
and supporting content.
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1111
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
10. Company policies that
relate to the code’s contents
are appropriately referenced to
aid employees in identifying
and accessing these important
expectations.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
11. The code includes various
tools that help readers to better
understand and apply the
code’s standards and
supporting content and
appreciate the value that the
company’s commitment has
regarding its success.
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© 2016 IntegrityFactor
Tools - Examples
AA BB CC
DD EE FF GG
HH
II
JJ KK
A-Xerox
B-Morgan Stanley
C-LG Electronics
D-Air Products & Chemicals
E-Verizon
F-Waste Management
G-Pfizer
H-Marriott
I-Noble Energy
J-GE
K-TJX
© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
12. The code includes
guidance to help employees
make decisions or find the right
response when the contents do
not provide easy solutions or
regarding ambiguous issues.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
13. The writing is clear,
understandable, direct and
easy to read, reflects the
company’s communication
style and helps to set an
affirmative, aspirational tone.
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© 2016 IntegrityFactor
14 Elements of a Great Code
Leadership
commitment
Leadership
commitment
Responsive
format
Responsive
format
Cultural
fit
Cultural
fit
Operational
fit
Operational
fit
Unifying
concept
Unifying
concept
Aspirational
tone
Aspirational
tone
Clear
expectations
Clear
expectations
Compelling
principles
Compelling
principles
Risk
approach
Risk
approach
Policy
coordination
Policy
coordination
Inclusion
of “tools”
Inclusion
of “tools”
Decision
guidance
Decision
guidance
Writing
style
Writing
style
Visual
design
Visual
design
14. The visual style is
engaging, ties with the code’s
unifying concept, reflects the
company’s style, identity and
branding and makes the code
easy to navigate and use.
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Anatomy of a Topic
Rationale
Overarching
Standard
Standards
Bribery & Corruption
Corruption hurts competitive markets and local
communities and provides the acting company with an
unfair business advantage.
We never exchange anything of value intended to
improperly influence another’s business judgment or
create an unfair advantage.
A bribe can consist of providing or offering anything of
value to improperly influence another’s business decision.
Examples may include a payment to a procurement official,
an expensive gift to a government official prior to her
making a contract decision,
Government Corruption
Never offer a government official anything of value to
influence his or her decision regarding a contract decision.
Never fail to or improperly record any entry regarding a
Company payment in the Company’s books and records.
Bribery & Corruption
Corruption hurts competitive markets and local
communities and provides the acting company with an
unfair business advantage.
We never exchange anything of value intended to
improperly influence another’s business judgment or
create an unfair advantage.
A bribe can consist of providing or offering anything of
value to improperly influence another’s business decision.
Examples may include a payment to a procurement official,
an expensive gift to a government official prior to her
making a contract decision,
Government Corruption
Never offer a government official anything of value to
influence his or her decision regarding a contract decision.
Never fail to or improperly record any entry regarding a
Company payment in the Company’s books and records.
Commercial Corruption
Never offer, provide, solicit or accept something of value with a
prospective or current business partner to influence a business
decision or as the outcome of having done so.
Facilitating Payments
A facilitating payment typically involves a minor payment to a
lower-level government official for completing a routine
governmental action that the person is required to complete.
Our company does not endorse these payments. Never offer or
make a facilitating payment to any government employee.
What to Watch For
•Suggestions from a business party that an expensive gift or
favor would help the Company’s pending bid.
•Third parties requesting excessive payments that could be used
to pay a bribe.
For more information, see the Company’s Anti-Bribery &
Corruption Policy or contact the Integrity Helpline..
Commercial Corruption
Never offer, provide, solicit or accept something of value with a
prospective or current business partner to influence a business
decision or as the outcome of having done so.
Facilitating Payments
A facilitating payment typically involves a minor payment to a
lower-level government official for completing a routine
governmental action that the person is required to complete.
Our company does not endorse these payments. Never offer or
make a facilitating payment to any government employee.
What to Watch For
•Suggestions from a business party that an expensive gift or
favor would help the Company’s pending bid.
•Third parties requesting excessive payments that could be used
to pay a bribe.
For more information, see the Company’s Anti-Bribery &
Corruption Policy or contact the Integrity Helpline..
Definitions
Examples
Subtopics
Topic/Title
Resources
Tool
AA
AA
BB
BB
BB
CC
CC
CC
CC
CC
© 2016 IntegrityFactor
Topics to Consider
Employee Relations
Diversity
Fair employment/non-discrimination
Respectful Treatment/harassment
Privacy of Personal Information
Health & Safety
Substance Use
Workplace Violence
Gambling
Use of Benefits
Pre/Post-Employment Duties
Wage/hour rules/rights
Work eligibility
Workplace monitoring
Use of Resources
Physical resources (equipment, supplies)
Funds
Business Information
Intellectual Property
Technology/Communications
Records
Financial integrity/reporting
Brand/reputation
Conflicts of Interest
Outside Employment
Outside Other Activities
Business presentations and speeches
Financial Interests
Corporate Opportunities
Personal Relations
Solicitations and distribution of materials
Use of company assets for outside activities
Use of company employment for outside
activities
Disclosures and review
Securities Trading and Inside Information
Inside Information and trading
Restricted Trading Periods
Securities Trading
Business Considerations
Gifts
Entertainment
Travel
Gratuities
Bribery and Corruption
Provider-Specific Issues
Procurement
Selection of provider
Ongoing relations
Provider acting on behalf of the company
Subcontracting
Provider adherence to code of conduct
© 2016 IntegrityFactor
Topics to Consider, II
Fair Competition
General
Competitor
Related
Customer Related
Supplier Related
Specific Types
Political Activities and Contributions
Personal Political Activities
Personal Political Contributions
Company Political Advocacy
Company Political Activities
Company Political Contributions
Customer-Specific Issues
Marketing
Quality/standards
Privacy/use of personal information
Use of customer resources
Adherence to customer standards of
conduct
Government Relations
Regulatory inquiries and reviews
Contact with regulators
Government procurement
Government/customer relations
Cross-Border Business
Export
Import
Economic sanctions/embargoes/boycotts
Community/Society Responsibilities
Environmental responsibility
Human rights
Community Assistance/volunteerism
Use of Conflict Minerals
General Stakeholder Relations
Fair dealing/fraud
Anti-money laundering
Communications with outside parties
General Code Content Topics
Company Mission, Vision, Values
Leadership Message
Introduction
Code conditions
Applicable constituents
Applicable entities
Responsibilities (employee, manager)
General legal compliance
Local customs, cultures
Seeking guidance
Reporting concerns
Investigations
Corrective action
Non-retaliation
Waivers of the standards
Decision tools
Contacts
Other resources (materials,
intra/Internet sites))
Ethics & compliance
program/processes
Index
Code Acknowledgment
© 2016 IntegrityFactor
Regarding Misconduct . . .
A strong code:
• Provides management with an essential tool for clarifying and promoting
responsible conduct.
• Serves as the principal standards for determining what is misconduct.
• Documents employee understanding of standards (via acknowledgment)
• Communicates –
‒ How a company handles suspected reports of misconduct.
‒ Employee duties as part of an investigation.
‒ Basics of an investigation process (commitment to responsible
investigations, “good faith” reports, process at high level, any related
policies/procedures).
‒ The company’s commitment to disciplinary action.
Typical Workplan
Review with Internal Stakeholders
Develop
Design
Develop
Design
Develop
Concept
Develop
ConceptSetupSetup Develop
Content
Develop
Content
PrintPrint
►ID resources
►ID objectives
►Assess current
documents
►Benchmark
relevant codes
►Review overall
E&C program
needs & other 4
foundations
►ID resources
►ID objectives
►Assess current
documents
►Benchmark
relevant codes
►Review overall
E&C program
needs & other 4
foundations
11
►Format
►Code structure
►Theme
►Title
►Topic list
►Tone
►Format
►Code structure
►Theme
►Title
►Topic list
►Tone
►Topic structure
►Topic content
►Topic
resources
►Topic utilities
►Topic structure
►Topic content
►Topic
resources
►Topic utilities
►Company style,
branding,
culture
►Enhancement
of code theme
►Code reading
and use and
navigation ease
►Company style,
branding,
culture
►Enhancement
of code theme
►Code reading
and use and
navigation ease
►Hard copy
►Electronic
►Online
►Launch aids
►Hard copy
►Electronic
►Online
►Launch aids
22 33 44 55
© 2016 IntegrityFactor
Some Great Codes
Marriott
General Electric
LG Electronics
Noble Energy
Cisco
Dell
General Mills
Proctor & Gamble
Pfizer
Nationwide
DuPont
Verizon
© 2016 IntegrityFactor
Code Development Resources
Internal expertise
►Attorney
►C&E staffer for program
description
►Marketing expert for
concept, theme, overall
tone
►Writer
►Designer
►Project manager
Corporate Compliance Insights
articles:
►“What a Code of Conduct ‘Says’ About a
Company”
►“The Evolving Code of Conduct”
►“Creating an Effective Code of Conduct
(and Code Program)”
►“Standards of Conduct as a Critical
Management Tool”
►“Typical Weaknesses of Codes of
Conduct”
►“The Need for More Effective Standards
of Conduct”
►“The Code of Conduct as a Recruiting
Tool”
www.corporatecomplianceinsights.com
External Resources
►Corporate codes (typically
found under “Investor
Relations” then “Governance”)
►Company policies (run a
Google search)
►Benchmarking studies, such
as by Ethisphere
Use of External Expert
Options
►Code review
►Benchmarking
►Upfront briefing/best
practices
►Project design/mgmt.
►Visual design
►Code launch
© 2016 IntegrityFactor
Thank-you for participating
If you have any questions, please feel free
to email them to:
Jason L. Lunday, IntegrityFActor
jason.lunday@integrity-factor.com
Joe Gerard, Vice President Marketing and Sales
j.gerard@i-sight.com

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How to Write a Code of Conduct that Works for Your Organization

  • 1. How to Write a Code of Conduct that Works for Your Organization Jason Lunday, Business Ethics and Compliance Consultant
  • 2. Jason Lunday Jason Lunday is a consultant with IntegrityFactor, a professional services company. With more than 25 years of experience in consulting and management, Lunday has worked with companies of many sizes and across numerous industries to implement and enhance overall ethics and compliance programs and their components, including corporate values, codes of conduct and policies, training, communication and risk, culture and program assessments. Much of his work has involved development, revision and review of corporate codes of conduct, as well as in-depth research on corporate code of conduct fundamentals, trends and leading practices. He has authored or co-authored over thirty articles, including for Compliance & Ethics Professional, Corporate Compliance Insights, ethikos: A Journal of Practical Business Ethics, Ivey Business Journal, the Federal Ethics Report and EPAC Magazine. Jason has worked for Goldman, Sachs & Co., Arthur Andersen LLP, the Ethics Resource Center, VeriSign, Inc., and Premier, Inc. Jason holds an MBA, with focus in business ethics and organizational behavior, from the University of Virginia’s Darden Graduate Business School.
  • 3. Agenda ► Business Value of a Great Code ► A Great Code of Conduct Program ► 5 Foundations of a Great Code Program ► 14 Elements of a Great Code ► Anatomy of a Topic ► Topics to Consider ► Typical Workplan ► Resources © 2016 IntegrityFactor
  • 4. Poll Question How would you describe your organization’s code of conduct? A.A strong, inspirational code, with comprehensive coverage of topics, a strong leadership statement, connects with our purpose and values, many helpful resources and a compelling visual style. B.A pretty good code, covers lots of topics, leadership statement, some resources, an aspirational feel, and fairly good visual design. C.A decent code covering numerous topics with some detail, leadership message, a couple of resources, not much visual design. D.A brief, text-only document covering just a few topics and not compelling at all. E.We do not have a code of conduct. © 2016 IntegrityFactor
  • 5. Business Value of a Great Code © 2016 IntegrityFactor
  • 6. A Great Code of Conduct Program Code Publication Code Publication Code publication The type of publication(s) is the starting point for a successful code program. But a document alone will not achieve the goal of making its standards live in the hearts and minds of employees. Code publication The type of publication(s) is the starting point for a successful code program. But a document alone will not achieve the goal of making its standards live in the hearts and minds of employees. © 2016 IntegrityFactor
  • 7. A Great Code of Conduct Program Code Publication Code Publication Code Launch Code Launch Code launch How the code is delivered to employees and others establishes an important precedent for how the company and its leadership will reinforce and support the code and employees’ actions regarding it. Code launch How the code is delivered to employees and others establishes an important precedent for how the company and its leadership will reinforce and support the code and employees’ actions regarding it. © 2016 IntegrityFactor
  • 8. A Great Code of Conduct Program Code Publication Code Publication Code Launch Code Launch Code Education Code Education Code education Leadership should not assume or expect that employees will instinctively understand, appreciate and know how to apply the code simply from reading it. To obtain the best value from the code, a company should effectively educate employees (and others) to it. Code education Leadership should not assume or expect that employees will instinctively understand, appreciate and know how to apply the code simply from reading it. To obtain the best value from the code, a company should effectively educate employees (and others) to it. © 2016 IntegrityFactor
  • 9. A Great Code of Conduct Program Code Publication Code Publication Code Launch Code Launch Code Education Code Education Ongoing Reinforcement Ongoing Reinforcement Ongoing reinforcement Just as with an ethics and compliance program, leadership must continue to reinforce the code – its purpose, importance, application – and the systems that support it for it to maintain lasting value. Ongoing reinforcement Just as with an ethics and compliance program, leadership must continue to reinforce the code – its purpose, importance, application – and the systems that support it for it to maintain lasting value. © 2016 IntegrityFactor
  • 10. A Great Code of Conduct Program Code Publication Code Publication Code Launch Code Launch Code Education Code Education Ongoing Reinforcement Ongoing Reinforcement Metrics & Improvement Metrics & Improvement Metrics & improvement A code and related efforts can be assessed for effectiveness and improvement opportunities. A code should respond to business changes to ensure it remains viable. Metrics & improvement A code and related efforts can be assessed for effectiveness and improvement opportunities. A code should respond to business changes to ensure it remains viable. © 2016 IntegrityFactor
  • 11. 5 Foundations for a Great Code Program Mission-focused, values-oriented culture Ethics and compliance process supports Understanding of risk Approach to policies A Great Code of Conduct A Great Code of Conduct Executive leadership commitment and support © 2016 IntegrityFactor
  • 12. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design These 14 elements provide the working framework for developing or otherwise advancing a successful code of conduct. Each element contributes important value to an effective code. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 13. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 1. Leadership demonstrably communicates its commitment to the code’s standards and its support for employees who follow the code. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 14. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 2. The publication’s format fits with the organization’s characteristics and needs, including business units, geographies, spoken languages, access to technology and other attributes. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 15. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 3. The publication reflects and reinforces elements of the company’s culture, such as its mission, values, perspective, heritage, style, priorities, rituals, and identity/branding, among others. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 16. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 4. The publication reflects the company’s business activities both to reflect the organization and also to relate its contents to employees’ daily activities. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 17. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 5. The publication’s disparate contents are woven together by a unifying concept that runs throughout the code and ties back to the company’s culture and aspects of its business success. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 18. Theme – A Unifying Concept ► Unites content ► May embody mission, values, culture ► May work off of company purpose ► Aspirational, inspirational ► Often reflected or hinted at in code title and in: ► CEO message ► Introduction ► Section titles ► Other content ► Visual design © 2016 IntegrityFactor
  • 19. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 6. The code presents an affirmative, aspirational tone that inspires employees and others with respect to the way that the company conducts its business and follows its mission. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 20. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 7. The publication establishes clear expectations regarding the conduct of employees and others, with further clarity regarding individual accountability and the consequences of non- adherence to its standards. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 21. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 8. The code and its contents are based on meaningful principles or values that establish a tone for the way that the organization conducts business and serve as the ethical standards to which the company aspires. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 22. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 9. The code’s contents respond to the company’s understanding and prioritization of its business risks as exemplified in the selection and emphasis of the code’s topics and supporting content. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 23. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 10. Company policies that relate to the code’s contents are appropriately referenced to aid employees in identifying and accessing these important expectations. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 24. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 11. The code includes various tools that help readers to better understand and apply the code’s standards and supporting content and appreciate the value that the company’s commitment has regarding its success. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 25. Tools - Examples AA BB CC DD EE FF GG HH II JJ KK A-Xerox B-Morgan Stanley C-LG Electronics D-Air Products & Chemicals E-Verizon F-Waste Management G-Pfizer H-Marriott I-Noble Energy J-GE K-TJX © 2016 IntegrityFactor
  • 26. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 12. The code includes guidance to help employees make decisions or find the right response when the contents do not provide easy solutions or regarding ambiguous issues. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 27. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 13. The writing is clear, understandable, direct and easy to read, reflects the company’s communication style and helps to set an affirmative, aspirational tone. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 28. 14 Elements of a Great Code Leadership commitment Leadership commitment Responsive format Responsive format Cultural fit Cultural fit Operational fit Operational fit Unifying concept Unifying concept Aspirational tone Aspirational tone Clear expectations Clear expectations Compelling principles Compelling principles Risk approach Risk approach Policy coordination Policy coordination Inclusion of “tools” Inclusion of “tools” Decision guidance Decision guidance Writing style Writing style Visual design Visual design 14. The visual style is engaging, ties with the code’s unifying concept, reflects the company’s style, identity and branding and makes the code easy to navigate and use. 55 2211 33 44 66 77 88 991010 1111 1212 1313 1414 © 2016 IntegrityFactor
  • 29. Anatomy of a Topic Rationale Overarching Standard Standards Bribery & Corruption Corruption hurts competitive markets and local communities and provides the acting company with an unfair business advantage. We never exchange anything of value intended to improperly influence another’s business judgment or create an unfair advantage. A bribe can consist of providing or offering anything of value to improperly influence another’s business decision. Examples may include a payment to a procurement official, an expensive gift to a government official prior to her making a contract decision, Government Corruption Never offer a government official anything of value to influence his or her decision regarding a contract decision. Never fail to or improperly record any entry regarding a Company payment in the Company’s books and records. Bribery & Corruption Corruption hurts competitive markets and local communities and provides the acting company with an unfair business advantage. We never exchange anything of value intended to improperly influence another’s business judgment or create an unfair advantage. A bribe can consist of providing or offering anything of value to improperly influence another’s business decision. Examples may include a payment to a procurement official, an expensive gift to a government official prior to her making a contract decision, Government Corruption Never offer a government official anything of value to influence his or her decision regarding a contract decision. Never fail to or improperly record any entry regarding a Company payment in the Company’s books and records. Commercial Corruption Never offer, provide, solicit or accept something of value with a prospective or current business partner to influence a business decision or as the outcome of having done so. Facilitating Payments A facilitating payment typically involves a minor payment to a lower-level government official for completing a routine governmental action that the person is required to complete. Our company does not endorse these payments. Never offer or make a facilitating payment to any government employee. What to Watch For •Suggestions from a business party that an expensive gift or favor would help the Company’s pending bid. •Third parties requesting excessive payments that could be used to pay a bribe. For more information, see the Company’s Anti-Bribery & Corruption Policy or contact the Integrity Helpline.. Commercial Corruption Never offer, provide, solicit or accept something of value with a prospective or current business partner to influence a business decision or as the outcome of having done so. Facilitating Payments A facilitating payment typically involves a minor payment to a lower-level government official for completing a routine governmental action that the person is required to complete. Our company does not endorse these payments. Never offer or make a facilitating payment to any government employee. What to Watch For •Suggestions from a business party that an expensive gift or favor would help the Company’s pending bid. •Third parties requesting excessive payments that could be used to pay a bribe. For more information, see the Company’s Anti-Bribery & Corruption Policy or contact the Integrity Helpline.. Definitions Examples Subtopics Topic/Title Resources Tool AA AA BB BB BB CC CC CC CC CC © 2016 IntegrityFactor
  • 30. Topics to Consider Employee Relations Diversity Fair employment/non-discrimination Respectful Treatment/harassment Privacy of Personal Information Health & Safety Substance Use Workplace Violence Gambling Use of Benefits Pre/Post-Employment Duties Wage/hour rules/rights Work eligibility Workplace monitoring Use of Resources Physical resources (equipment, supplies) Funds Business Information Intellectual Property Technology/Communications Records Financial integrity/reporting Brand/reputation Conflicts of Interest Outside Employment Outside Other Activities Business presentations and speeches Financial Interests Corporate Opportunities Personal Relations Solicitations and distribution of materials Use of company assets for outside activities Use of company employment for outside activities Disclosures and review Securities Trading and Inside Information Inside Information and trading Restricted Trading Periods Securities Trading Business Considerations Gifts Entertainment Travel Gratuities Bribery and Corruption Provider-Specific Issues Procurement Selection of provider Ongoing relations Provider acting on behalf of the company Subcontracting Provider adherence to code of conduct © 2016 IntegrityFactor
  • 31. Topics to Consider, II Fair Competition General Competitor Related Customer Related Supplier Related Specific Types Political Activities and Contributions Personal Political Activities Personal Political Contributions Company Political Advocacy Company Political Activities Company Political Contributions Customer-Specific Issues Marketing Quality/standards Privacy/use of personal information Use of customer resources Adherence to customer standards of conduct Government Relations Regulatory inquiries and reviews Contact with regulators Government procurement Government/customer relations Cross-Border Business Export Import Economic sanctions/embargoes/boycotts Community/Society Responsibilities Environmental responsibility Human rights Community Assistance/volunteerism Use of Conflict Minerals General Stakeholder Relations Fair dealing/fraud Anti-money laundering Communications with outside parties General Code Content Topics Company Mission, Vision, Values Leadership Message Introduction Code conditions Applicable constituents Applicable entities Responsibilities (employee, manager) General legal compliance Local customs, cultures Seeking guidance Reporting concerns Investigations Corrective action Non-retaliation Waivers of the standards Decision tools Contacts Other resources (materials, intra/Internet sites)) Ethics & compliance program/processes Index Code Acknowledgment © 2016 IntegrityFactor
  • 32. Regarding Misconduct . . . A strong code: • Provides management with an essential tool for clarifying and promoting responsible conduct. • Serves as the principal standards for determining what is misconduct. • Documents employee understanding of standards (via acknowledgment) • Communicates – ‒ How a company handles suspected reports of misconduct. ‒ Employee duties as part of an investigation. ‒ Basics of an investigation process (commitment to responsible investigations, “good faith” reports, process at high level, any related policies/procedures). ‒ The company’s commitment to disciplinary action.
  • 33. Typical Workplan Review with Internal Stakeholders Develop Design Develop Design Develop Concept Develop ConceptSetupSetup Develop Content Develop Content PrintPrint ►ID resources ►ID objectives ►Assess current documents ►Benchmark relevant codes ►Review overall E&C program needs & other 4 foundations ►ID resources ►ID objectives ►Assess current documents ►Benchmark relevant codes ►Review overall E&C program needs & other 4 foundations 11 ►Format ►Code structure ►Theme ►Title ►Topic list ►Tone ►Format ►Code structure ►Theme ►Title ►Topic list ►Tone ►Topic structure ►Topic content ►Topic resources ►Topic utilities ►Topic structure ►Topic content ►Topic resources ►Topic utilities ►Company style, branding, culture ►Enhancement of code theme ►Code reading and use and navigation ease ►Company style, branding, culture ►Enhancement of code theme ►Code reading and use and navigation ease ►Hard copy ►Electronic ►Online ►Launch aids ►Hard copy ►Electronic ►Online ►Launch aids 22 33 44 55 © 2016 IntegrityFactor
  • 34. Some Great Codes Marriott General Electric LG Electronics Noble Energy Cisco Dell General Mills Proctor & Gamble Pfizer Nationwide DuPont Verizon © 2016 IntegrityFactor
  • 35. Code Development Resources Internal expertise ►Attorney ►C&E staffer for program description ►Marketing expert for concept, theme, overall tone ►Writer ►Designer ►Project manager Corporate Compliance Insights articles: ►“What a Code of Conduct ‘Says’ About a Company” ►“The Evolving Code of Conduct” ►“Creating an Effective Code of Conduct (and Code Program)” ►“Standards of Conduct as a Critical Management Tool” ►“Typical Weaknesses of Codes of Conduct” ►“The Need for More Effective Standards of Conduct” ►“The Code of Conduct as a Recruiting Tool” www.corporatecomplianceinsights.com External Resources ►Corporate codes (typically found under “Investor Relations” then “Governance”) ►Company policies (run a Google search) ►Benchmarking studies, such as by Ethisphere Use of External Expert Options ►Code review ►Benchmarking ►Upfront briefing/best practices ►Project design/mgmt. ►Visual design ►Code launch © 2016 IntegrityFactor
  • 36. Thank-you for participating If you have any questions, please feel free to email them to: Jason L. Lunday, IntegrityFActor jason.lunday@integrity-factor.com Joe Gerard, Vice President Marketing and Sales j.gerard@i-sight.com