1. Does your organization have an ethics policy?

(a) YES
(b) NO
(c)OTHER (please specify)
If yes, please describe the key features of the ethics policy. (Optional Question)
2. How are the ethical policies/rules communicated to staff members?
(a) Management meetings
(b) Email messages
(c) Training sessions
(d) Unknown
(e) Other (please specify)
3. Is there a perceived gap between what the organizations ethics and standards
say and the way those policies and standards are administered?
(a) YES
(b) NO
4. Does your organization have an in-house ethics advisor?
(a) YES
(b) NO
5. How often do your executive leaders speak about ethics and governance in
management meetings or other settings?
(a) Regularly
(b) Often
(c) Sometimes
(d) Occasionally
(e) Never
(f) Other (please specify)
6. Does your organization treat employees with respect and human rights?
(a) YES
(b) NO
7. Does your organization support the reporting of any unlawful or unethical
behaviour?
(a) YES
(b) NO
8. Do you get your ethical guideline book at the start of job?
(a) YES
(b) NO
9. Whether the company clearly communicates its goals and strategies to you?
(a) YES
(b) NO

1.

What are the three most difficult ethical issues that you have faced in your work? List the most difficult
first.
1.

2.

3.

2.

Indicate how these statements apply to your organization. (Select one response. Do not answer if
retired.)
1.

Does your organization have a written code of ethics?

Yes
No
Uncertain

2.

Does your organization require ethics training?

Yes
No
Uncertain

3.

Does your organization have procedures for reporting unethical behavior?

Yes
No
Uncertain

4.

Are penalties for unethical behavior strictly enforced in your organization?

Always
Often
Seldom
Never

5.

Is ethical behavior the norm in your organization?

Always
Often
Seldom
Never

6.

Is unethical behavior punished in your organization?

Always
Often
Seldom
Never

7.

Are people of integrity rewarded in your organization?

Always
Often
Seldom
Never

8.

Do the top managers in your organization show that they care about ethics?
Always
Often
Seldom
Never

9.

Is ethical behavior rewarded in your organization?

Always
Often
Seldom
Never

10. Do the top managers of your organization demonstrate high ethical standards?
Always
Often
Seldom
Never

How much pressure do you feel personally within your organization to engage in what you
perceive to be unethical behavior?

No Pressure

Slight Pressure

Extreme Pressure

Support by top management

- Has management established an ethical tone at the top by setting a good
example of ethical conduct, providing positive and open communication, and
supporting ethical conduct?
- Are resources adequate for the organizations ethics program?
- Is the ethics program reviewed at least annually by top management in light of
changing business challenges?
- Is there a designated ethics officer or ethics contact?
- Does the ethics code start with a statement from the CEO/President about his
commitment to an ethical culture?
- Does top management certify they have received ethics training?
- Does top management positively support the ethics hotline?
- Does ethics awareness material have the endorsement of top management?
Incorporation of ethics at all levels of the organization
- Is ethics a focus during regular top management meetings?
- Are supervisors trained as contact points for ethics related questions?
- Is ethics a focus during the hiring process?
- Is ethics a focus during new employee training?
- Is ethics a focus during employee evaluations?
- Is ethics a focus during supplier selection?
- Is ethics a focus during customer contract acceptance?
- Is ethics a focus during internal audits?

- Is an ethical culture ingrained in the organizations brochures, materials, and

website?
Components of an Ethics Program
Ethics Code
- Does the organization have a written ethics code?
- Does the ethics code cover key elements, such as conflicts of interest, financial
irregularities, and compliance to laws?
- Do employees certify they have received and understand the ethics code?
- For publicly traded companies, is the ethics code available publicly / on the
companys website (ref. NASDAQ Regulatory Requirements rule 4350(n) / NYSE
Listed Company Manual section 303A.10)
Ethics Training
- Do employees receive ethics training on a regular basis?
- Do employees certify they have received and understand ethics training
materials?
- Does ethics training incorporate the companys ethics code?
- Does ethics training incorporate the companys ethics hotline?
Ethics Hotline
- Does the organization have an ethics hotline?
- Have all employees received information about ethics hotline usage?
- Is the ethics hotline confidentiality and non-retaliation policy clearly conveyed
to employees?
- Does the organization provide ethics hotline information to employees and
other shareholders via formats such as postings in break rooms and the company
website?
- Are ethics hotline reports given priority and addressed consistently?
- Are ethics hotline reports reviewed for trends that suggest organization
changes are required?

Ethics Awareness
- Is the importance of ethics communicated to all employees on a regular basis
via formats such as organization newsletter articles and posters?
- Do the ethics articles cover topics that are interesting, engaging, and in pace
with the times?