Ethics Protection Process Checklist

In the process of organizing a protection procedure for employees who have ethics concerns, please consider this checklist in evaluating how you would like your procedure to function. This is NOT an all inclusive list, there are many ideas and concerns you will find initially and later on in the process; you need not have an answer for every idea initially.

  1. Do I want to utilize a committee, review board etc?
  2. Who do I want to serve? Do I want a cross-section of different employment positions?
  3. How much do I want management involved?
  4. If I use an outside consultant source, how will they be involved and how much control will they be allocated?
  5. Do I want the review group to act in all confidence? Any punishments for breaches of confidentiality?
  6. Do I want the group to be able to alter, change, and improve the ethics codes itself?
  7. Will the process be low-key or rigid in scope?
  8. Do I wish the process initial focus to teach, improve and train, or alternatively, find mistakes and punish?
  9. If someone improperly demotes, dismisses an employee for reacting to an ethical concern, what procedures will I use? What discipline against the party who retaliates? Do I find the dismissed person, and return the position?
  10. If discipline is found to be appropriate, what group will review the serious error, management, C.E.O., Board of Directors, Human Resources, or a combination of each group’s power?
  11. What if ethics violation is found in middle management? How would I proceed? What if the error concerns an officer in the company, how would I proceed?
  12. Do I have rewards program for excellent ethical conduct?