AL Refs: COC01, COC02, GOV07
Purpose
The purpose of the Code of Conduct is to establish workforce conduct, integrity and ethical value standards. This should form the basis of determining where conduct is inappropriate, inadequate and disciplinary action is required. It is also an opportunity to support company culture and highlight key values specific to the company.
Example Code of Conduct
Purpose and Scope
This policy sets the expected conduct and behavioural standards to support the company culture of AssuranceLab. It defines the integrity and ethical values that should be practiced by all employees and contractors of AssuranceLab. Non-compliance with this policy is grounds for disciplinary action, performance management, or termination. The policy should be read and acknowledged by all employees and contractors and used as a basis for fostering a fair-go for all in a positive working environment and inclusive workforce. Unlawful, unethical or substandard behaviours undermine employee, customer and other third-party trust.
Revision History
| Version | Date | Record of Changes | Approved by |
Responsibilities
Chief Executive Officer
Accountable and responsible owner of this policy, including revision, updates and communication. Ensuring all employees abide by the policy or are subject to the Disciplinary Policy accordingly.
All employees and contractors
Responsible for adhering to the requirements of the Code of Conduct and reporting any observed instances of misconduct to the CEO, or their line manager.
Our Values
AssuranceLab’s values form the principles that should be applied in all aspects of our behaviours and in the role and responsibilities we perform.
Customer-first focus
We put our customers’ needs first. We aim to always ensure our customers have the best experience working with us and continually find new ways to improve the way that we serve them.
Diversity and inclusion
We hire people with diverse backgrounds, personalities and skills to make our company better. We are best when we celebrate our differences as strengths and come together as one.
Positive mindset
Our success comes from taking on the biggest challenges and finding new ways to solve them. We need to think positively with a ‘can-do’ attitude and work together to achieve great things.
Social responsibility
We take our social responsibility seriously - always striving to make a positive impact on our employees, customers, and communities in everything we do.
Integrity and ethical decisions
We operate at the highest level of integrity and make judgements and decisions based on the ethical implications, holding ourselves to a higher standard than the legal requirements.
Innovation
We always ask ‘why?’ and ‘how can it be done better?’ to find new ways to incrementally improve what we do. We encourage ideas and controlled experiments that foster innovative solutions.
Own-it
We take ownership and welcome the accountability for our actions. We celebrate success and recognise the opportunity to learn and grow from (initial) failure.
Compliance with Laws, Rules and Regulations
We obey the law at all times, in spirit as well as the explicit rules. It may not be feasible to know and understand all laws, rules and regulations that apply, which requires AssuranceLab employees to seek advice from managers, legal advisors or other employees when there is reason to believe a law, rule or regulation may apply. Our integrity and ethical values should be the guiding light to ensure we are always compliant.
Conflicts of Interest
Conflicts of interest are where an employee’s private interest directly interferes or may be perceived to interfere with the interests of AssuranceLab or our customers. Potential conflicts may occur in any area of your role and may be subjective to determine whether it is a conflict. Any potential conflicts should be raised to your line manager and <<Owner of Code of Conduct>> to ensure they are appropriately considered. That consideration provides protection and more effective response if that conflict becomes an issue in the future, whether real or perceived.
Fair Dealing
We aim to outperform our competitors by creating superior customer value, not through unethical or illegal business practices. We respect our competitors and refrain from any form of inappropriate use of proprietary information, trade secrets obtained without consent or inducing inappropriate disclosures from competitors past and present employees under false pretences or otherwise. We do not take advantage of anyone through misrepresentation, manipulation, or any other unethical or illegal practices.
Health and Safety
We should all have a healthy and safe work environment. Every employee is responsible for ensuring the workplace is safe for them and for other employees. This includes using equipment effectively and following all safety directions, reporting any accidents, injuries or unsafe conditions. The workplace is free of alcohol, drugs or controlled substances without an appropriate prescription. Our behaviours should regard the health, safety and general wellbeing, physical and mental, of others around us.
Social responsibility
We are mindful of our social impact; including the role we play in reducing waste, protecting our environment, and positively impacting others and the community around us. We should be open minded and eager to learn more about how we can reduce our environmental footprint and find ways to set a positive example and improve our impact on the world.
Confidentiality
We maintain strict confidentiality of all data related to AssuranceLab business, unless it is clearly confirmed to be public information or requires disclosure by law or regulation. This includes data from our customers, third-party suppliers, internal AssuranceLab operations, our trade secrets and any non-public information that may be considered sensitive. In the presence of doubt, treat all data as confidential and seek approval from management prior to any disclosure. Confidentiality obligations include ensuring all our devices and any hard copy documents or exported data is protected from unauthorized people gaining access. These obligations continue subsequent to employment. All employees are required to formally attest that all confidential data has been returned or destroyed prior to departure.
Information asset protection
We protect the information assets and devices that we use for AssuranceLab business purposes. Lost and damaged devices or theft impact on AssuranceLab’s profitability, cause disruptions to our roles, and may threaten information security. Care should be taken to protect devices at all times. These assets should be used for business purposes only, adhering to the requirements of the Acceptable Use Policy, including the BYOD Policy when applicable. Any lost, stolen or damaged devices are to be reported immediately to the security team.
External business activities
We can all make a positive impact on our community through other business or personal activities outside of our role with AssuranceLab. It’s important these activities do not cause a conflict of interest. That they are perceived positively by the public. Our individual reputations reflect on AssuranceLab as a company by association. Employees are encouraged to engage in activities that positively impact on our community. However, approval should be sought and activities may need to be avoided completely where they require an excessive time commitment and focus, that impacts your ability to perform your best work in your role for AssuranceLab.
Bullying
Bullying is behaviour towards another individual or group that is unreasonable, unfair, or disrespectful. This can create a risk to health and safety, including mental health. This can include behaviour that is intentionally or unintentionally, threatening, humiliating, taking advantage of, or singling out another person.
Bullying is not tolerated in any form. We are all responsible for ensuring our actions and behaviours, both intended and not intended, do not have the effect of bulling on others. We encourage employees to speak up about behaviour that is bulling or may have that effect on others, in order to help others avoid this impact unintentionally. This may include offensive language, rumours, frightening behaviour, inappropriate comments, teasing, or other offensive or harmful practices. We believe the best in our fellow employees and understand these behaviours may come from a place of good intent, and are important to call those out where that may not be the effect of those behaviours.
Expected behaviours
You are expected to exhibit the following behaviours in your role with AssuranceLab:
- Be on time for work and meetings;
- Dress conservatively and professionally;
- Maintain personal grooming and hygiene;
- Be courteous and friendly to other employees and our customers and stakeholders;
- Follow established protocols and AssuranceLab housekeeping practices;
- Seek approval with advanced notice and reminding colleagues when taking leave;
- Put on your out of office with alternate contacts when on leave;
- Minimise the use of social media, games and other leisure activities during working hours;
- Limit non-work-related conversations to a reasonable level during work hours and during business meetings (it is encouraged to build rapport and personal relationships);
- Limit travel expenses to what is reasonably required and in the best interests of AssuranceLab;
- Behave in a culturally sensitive manner when dealing with foreign customers and stakeholders;
- Complete performance appraisals on at least an annual basis. Engage positively with an open mind in the process to find ways to improve and continue developing;
- Respect seniority and tenure by following instructions and directives (it is encouraged to ask questions and challenge ideas and suggestions, where appropriate to do so); and
- Behave appropriately inside and outside the AssuranceLab workplaces and working hours.
Misconduct
Any cases of misconduct in breach of this Code of Conduct Policy will be investigated and may result in disciplinary action, including dismissal and legal action (if applicable).
Complying with the Code of Conduct and Non-Disclosure Agreement
If you have any concerns or suggestions about the Code of Conduct, please direct these to the CEO. If you identify instances of breaching the Code of Conduct, these can be reported confidentially through the Confidential Reporting of Misconduct process. Non-compliance with the policy will be handled in line with the Disciplinary Policy. Your acknowledgement below agrees to the terms of confidentiality, including non-disclosure of any information connected to your role with AssuranceLab that is explicitly classified as, or otherwise reasonable to treat as, confidential in nature.
Acknowledgement
Employee Name:
Date of Confirmed Acknowledgement:
________________________