Ethical Auditing Employee Misconduct

Introduction: At Company X, our goal is to provide an atmosphere of the highest professional integrity. Creating and continuously enhancing our image is of utmost importance to our long-term success. The Ethics Program described below was created based upon shared values between our company and the communities we serve. It is expected that all employees adhere to the guidelines set forth in this document.
A. Ethics Standards and Procedures
a. Legal Compliance: Employees must conform to all federal, state, and location laws and regulations, including the attainment of certifications and licensing, where applicable.
b. Policy and Procedure Compliance: Employees will conform to all company policies and procedures, except in cases when those
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Customer Feedback: Customers may provide feedback of ethical misconduct by Company X employees will be made available via a hyperlink located on Company X’s customer portal. This link will provide a form for providing details of the occurrence(s). Alternately, customers will be provided with the phone number of Company X’s Human Resources Department in the event that they prefer to report violations verbally.
b. Auditing Employee Misconduct
i. Internal Ethics Auditing
1. Theft and Loss: Each year representatives from Human Resources, Property Management, and Security Departments will collaboratively review capital equipment losses and look for year-to-year and department-specific trends that may indicate the level of success or failure of the Ethics Program.
2. Employee Satisfaction Surveys: Employees will complete a yearly survey that gathers their general level of satisfaction with respect to workplace ethics. ii. External Ethics Auditing
1. Customer Satisfaction Surveys: Customers will be invited to complete surveys that gather their general level of satisfaction with Company X with respect to Ethics.
2. Annual 3rd Party Audits: Each year Company X will hire an external firm to review the Ethics Program and perform a series of audits to check for compliance. These audits may include, but are not limited to, employee interviews and review of Human Resource employee misconduct
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In February of each year, the Ethics Program Effectiveness Review Team will review the findings of Employee surveys, Customer Surveys, and 3rd Party audits. These findings will be analyzed in isolation and will also be compared against findings from previous years to identify trends in employee behavior. Trends will be compared against changes in Ethics policy and procedure to determine if those changes were effective in improving employee behavior.
b. Implementing Ethics Program Changes
i. In March of each year, the Ethics Program Effectiveness Review Team will draft recommendations for Ethics Program changes and provide them to the Human Resources Department. ii. In April of each year, the Human Resources Department will review the recommendations provided by the Ethics Program Effectiveness Review Team and consider whether or incorporate the recommendations in into the Ethics program. iii. In the event that any changes were made to Company X’s Ethics Program since the previous year, the Human Resources Department will draft a new set of policies and procedures prior to June 30th of that year and publish them on the Human Resources website. The Human Resources Department will also send a corporate-wide email informing all employees of the changes. iv. Any changes made to Company X’s Ethics Program will be incorporated into all employee training materials prior to June 30th of the year that changes were

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