Are professional standards covered in your code of conduct?
Over the years, I have noticed that when even experienced people in our field are exposed to new versions of compliance standards, often they only read what they want to read and ignore important, new elements. So in 2010 when the OECD Working Group on Bribery issued its good practice guidance relating to compliance programs, people skimmed them and said, “oh sure, we already do all this.” But maybe they don’t.
In a small reference in one of the provisions OECD raised a very good question that people have just ignored. Sure, you protect those who report violations of the law, but what about the requirements of their professional standards? Does your company respect those who refuse to violate those standards or who report violations of those professional standards? Does it protect those who stand up for their professional standards from retaliation? If someone read your code of conduct, would there be even one reference?
Here is another point to consider. The SCCE has published a Code of Professional Ethics for Compliance and Ethics Professionals https://assets.corporatecompliance.org/Portals/1/PDF/Resources/SCCECodeOfEthics_English.pdf. It has some very strong requirements for diligence and escalation. Are you protected from retaliation for following these very strong standards?
Here is the OECD language. Is your code consistent with this international standard?
“11. effective measures for:
. . .
ii) internal and where possible confidential reporting by, and protection of, directors, officers, employees, and, where appropriate, business partners, not willing to violate professional standards or ethics under instructions or pressure from hierarchical superiors, as well as for directors, officers, employees, and, where appropriate, business partners, willing to report breaches of the law or professional standards or ethics occurring within the company, in good faith and on reasonable grounds; and . . .”
Workplace Integrity specialist
3 年A very important consideration: all of the established professions have this issue to deal with. It is for the Profession to defend its standards, not the individual member who is compelled to commit careericide - by complying. This is (or ought to be) a no-brainer: if the professional fails to comply with the relevant mandatory standard they could lose their certification, and then be unqualified for their employment in their professional role. Simple, really.
International Trade Compliance | #CTA Task Force Chair | Regulatory Partner
3 年This is really a really valuable insight. It so so easy to focus on what is legally required and yet so many of our teams have additional certifications and professional obligations to consider.
AI, Data Compliance & Ethics | Fellow at ForHumanity and certified AI auditor | Startup founder and board advisor | Podcaster and Author
3 年Amazing points Joe Murphy, CCEP. It definitely triggers the ethics and its different perspectives. It is also important looking at the bigger picture and ultimately accountable for customers or patient's trust.