Name *

First Name

Last Name

(1) Please Specify the job title(s) of the person assigned overall responsibility for the compliance and ethics program (Please check all that apply).

Chief Ethics and Compliance Officer / Chief Compliance Officer

Ethics and Compliance Officer / Compliance Officer

Director

General Counsel or Chief Legal Officer

Executive, Senior or Vice President

Manager

Chief Human Resources Officer

Other

(2) Does the person with overall responsibility for the program have a dotted-line or solid-line reporting relationship with the Board of Directors? *

Dotted Line

Solid Line

No reporting line

(3) Types of Interactions the compliance and ethics function has with the other functions of the organization (choose all that apply)

Invited to add compliance and ethics elements to human resources events

Invited to attend audits

Invited to add compliance and ethics questions to employee surveys

Invited to attend human resource training events

Invited to provide formal input on corporate business strategy

Invited to have time on sales and marketing agendas

(4) How often is the Code of Conduct reviewed for potential updates? *

Annually

Every 2-3 years

Every 3-5 years

Every 5-7 years

Less frequently than every 7 years

Other

(5) Does your Code address your formal organizational values? *

Yes

No, but compliance and ethics function-specific values are discussed

No

(6) How often does your organization review your stand-alone policies for updates? *

Annually

Every 2-3 years

Every 4-6 years

Less frequently than every 7 years

(7) Which communication initiatives (aside from formal training) are used to communicate compliance and ethics messages at your organization (check all that apply)?

Emails

Printed materials (posters, wallet-cards, brochures, etc)

Intranet site or portal

Senior executive meetings

Newsletters

Organization-wide events (e.g. Compliance Week)

Period compliance "road shows"

Interactive scenarios, games or quizzes

Town hall meetinfs

Videos

No consistent communication in place

Other