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Ip 4 Code of Conduct

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INTD670: Leadership and Ethical Decision-Making

Individual Project on Policy Development
Bobbi Brien
Colorado Technical University

A two page summary on reporting and investigating measures

The purpose of a code of ethics/conduct is to have a written set of guidelines for a company to follow with how it is to conduct its business. It is a tool that outlines the company’s procedure on its standards of professional conduct. Though the language should be written to outline the way it conducts business, this is only one element to a code of conduct. By putting policies into place, the code of ethics sets the standard and it also creates a path with how the company manages the way employees are to deal with problems and prejudices. There are many elements that need to be addressed within the structure of the policy, and one of those elements that must be addressed, in its creation, are the threat potential. The threat potentials, also known as risk managements, are issues like sexual harassment, etc., which is a major reporting concern of code violations (Accounting Web, 2009).

Another detail that should be addressed is the point that there is really no specific wording or standard for the structure of the policy, only that the company has to write the context in simply terms that everyone can understand. Then its trial and error from there once the policy is put into place. This is why it is important to update the company’s policies every year, so it can make room for improvements with the issues it has dealt with in the path. I can suggest to the company a few different ways it may want to take regarding steps to educate its employees on how to report a violation. Employees need to know first that there is no set standard, in regards to chain of commands so to speak, when wanting to report a difficult situation. And what is meant by is that an employee does not have to necessarily go to a supervisor first. When it comes to reporting violations, if an employee is not comfortable reporting to his/her supervisor, they could also report their incident to the human resource department. There should also be put into action an open door policy to all employees and let them know they are always welcome to talk to the President or CEO. An additional issue to address is what if an employee wants to stay anonymous? We should also talk about putting into place a toll free number. As part of the Sarbanes-Oxley program, anyone who wishes to be strictly anonymous in reporting suspected violations of the Sarbanes-Oxley Act can call a hotline as an alternative channel that is available 24 hours a day 7 days a week. This service is operated by National Hotline Services, an independent firm (measurement specialist (N.d)).

I also feel it a good idea if the company put together a committee for a disciplinary panel. The panel will investigate allegations of unethical behavior that is reported. The committee should be a team of people that are appointed by a group decision from the President, CEO, and human resource team. Together they can appoint a panel which should consist of a chair person and four to seven members. I recommend these members be picked from within the company’s management team.

After the committee is created, it can then take matters into it by investigating the situation. I recommend that it investigate by way of written communications to the accused employee and inform them that there is a complaint that is underway. The letter exchange should outline why it is investigating and delivered the written document to the residence of the accused by registered mail. The committee should also allow the employee the chance to reply to the complaint if he/she sees the need to. The development and outcome of the investigation should then write up a report to the President, CEO, and human resource for its final outcome of the investigation. If there is probable cause of misconduct by the employee, then appropriate action should then be taken, whether it be terminating the employee or taking legal action in a court of law.

References

1. Accounting Web. (2009). The Importance of a Code of Conduct. Retrieved from:

http://www.accountingweb.com/blogs/cpapastr/today039s-world-audits/importance-code-conduct

2. Driscoll, DM, and Hoffman, W. M., (2000) Ethics Matters: How to Implement Values-Driven Management

3. Measurement Specialist, (N.d.) Code of Conduct. Retrieved from: http://www.meas-spec.com/code-of-conduct.aspx

4. Faculty Code of Conduct & Disciplinary Procedures for the Berkley Campus, (N.d.). Retrieved from:

http://apo.berkeley.edu/faculty_misconduct_015.pdf

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