Code of Ethics and Professional Conduct

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Overview

The foundation of an organization’s compliance and ethics program is its Code of Ethics and Professional Conduct (“Code of Ethics”). Clear Law Institute works with organizations to (1) create their first, custom Code of Ethics, or (2) update and improve their existing Code.

A Code of Ethics details your organization’s culture and values and sets specific expectations for how employees should act on a day-to-day basis. The Code of Ethics also describes the steps employees must take to comply with various laws.

An effective Code of Ethics has the following qualities:

  • Promotes compliance. The Code of Ethics provides guidance on how employees must comply with relevant laws that impact employees’ day-to-day work.
  • Promotes adherence to company values. An effective Code of Ethics details company policies that employees must follow.
  • Encourages a speak-up culture. An effective Code of Ethics encourages employees to seek guidance when they have questions about complying with the Code and also to report concerns about potential Code violations.
  • Is easy to read and understand. An effective Code of Ethics is written in a clear, easy to understand style, and does not include legal jargon.
  • Provides examples. An effective Code of Ethics gives examples of difficult scenarios that employees may face in real life and provides guidance on how employees should handle these issues.
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Content

The content of a Code of Ethics will vary depending on your industry, your employees’ locations and job duties, and your organizational values. Clear Law’s Compliance Advisory Team will work with you to determine what specific topics to address based on your values and applicable law. Codes of Ethics often address the topics below:
  • Application of the Code of Ethics
    • Who Must Follow Our Code?
    • What If I Have a Code-Related Question or Concern?
    • Reporting Concerns
    • Anti-Retaliation
  • Company Values
    • Usefulness
    • Responsiveness
    • Taking Action
    • Respect Each Other
    • Tone at the Top
    • Fairness
    • Accountability
  • Legal Requirements
    • Trade Controls
    • Competition and Antitrust Laws
    • Insider Trading Laws
    • Anti-Bribery Laws, including the FCPA
    • Gifts and Entertainment
    • Dealing with government officials
    • Privacy, Security, and Data Protection
  • Conflicts of Interest
    • Personal investments
    • Outside employment, advisory roles, board seats, and starting your own business
    • Business opportunities found through work
    • Inventions
    • Personal relationships at work
    • Accepting gifts, entertainment, and other business courtesies
    • Use of our products and services
  • Confidentiality
    • Safeguarding confidential information
    • Trade secrets and intellectual property
    • Disclosures to the media, partners, and family members and friends
    • Competitors and former employers
    • Outside communications and social media posts
  • Company Assets
    • Intellectual Property (trademarks, logos, copyrights, trade secrets, “know-how”, and patents)
    • Respecting IP rights of others
    • Company Equipment
    • Our Network
    • Physical Security
    • Use of Our Equipment and Facilities
    • Privacy of Employee Data
  • Financial Integrity and Responsibility
    • Internal Controls
    • Spending company money
    • Documentation of contracts
    • Recording Transactions
    • Reporting Financial or Accounting Irregularities
    • Hiring Suppliers
    • Retaining Records
  • Fair and Safe Workplace
    • Equal Opportunity Employment
      • Harassment and Discrimination
      • Reasonable Accommodations
      • Bullying
    • Drugs and Alcohol Policy
    • Safe and Healthy Workplace

Price

We offer a fixed fee to develop your Code of Ethics. Because Clear Law Institute provides compliance training and consulting services for more than 1,500 employers across the country, we are able to spread the development costs of our services across a large customer base. As a result, our prices are almost always much less expensive than working with a lawyer or law firm.

To learn more and receive pricing information, please Schedule a 30-minute Free Consultation.

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Clear Law Compliance Advisory Team

Michael Johnson, CEO of Clear Law Institute, is a former U.S. Department of Justice attorney who brought one of DOJ’s first “pattern or practice” sexual harassment cases. Michael has provided training and consulting on harassment prevention or investigations to organizations around the world such as the EEOC, the United Nations, and Google. He is a graduate of Duke University and Harvard Law School.

Shannon Magill Farruk, Senior Compliance Advisor, has advised Fortune 500 companies on all aspects of employment and discrimination laws for more than a decade. Shannon previously practiced employment law at Dickstein Shapiro, Littler Mendelson, and the U.S. Department of Commerce. She is a graduate of Hamline University and University of Minnesota Law School.

Teresa Harvey Rollins, Senior Compliance Advisor, has nearly 20 years of experience representing Fortune 500 companies and other employers on a broad range of employment matters, including discrimination and harassment prevention. Tes previously practiced law as Counsel at Dickstein Shapiro and was CEO of PolicyPartner LLC, an employment compliance service provider. She is a graduate of Angelo State University and Southern Methodist University’s Dedman School of Law.

Brian Rothenberg, Senior Compliance Advisor, has advised numerous Fortune 500 companies on their compliance training and policy needs. He is a graduate of the University of Richmond and he received his J.D. and MBA from the College of William and Mary.

LanaRupprecht

Lana Rupprecht, Senior Compliance Advisor, has advised Fortune 500 companies and small and mid-sized businesses on all aspects of employment law.  She has practiced employment law in several law firms and as Counsel for Western Union. She is a graduate of the University of Denver and the University of Denver’s Sturm College of Law.

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