- Can you cite an example of when a leader publicly supported an ethics/integrity issue?
- Are the CCO’s remarks or findings subject to pre-screening by members of the management team prior to submission to the BoD?
- Can you cite how ethics and integrity are fully integrated into the organizations operations?
- How has the organization articulated ethical standards and principles to third parties?
- Does the organization require transparency and accountability by having employees execute disclosure and conflict of interest statements?
- Has the company described its commitment to ethical behavior in the annual report?
- Is ethical conduct seen as a critical element in the promotion process?
- Are employees encouraged to speak up regarding ethical concerns and misconduct?
- Are callers and subjects of investigations provided confidentiality and due process?
- Are ethics and integrity questions incorporated into company cultural surveys?
- Is the CCO authorized to issue safe harbor letters for employees seeking advice?
- Does the company provide state-of–the-art ethics training?
- Is ethics training incorporated into the company’s general educational training programs?
- Is the ethics training program regularly evaluated for effectiveness and improvement?
- Does the company sponsor academic and/or professional events promoting ethical behavior?
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