1 Our organization has a written/established Code of Ethics.
2 Our Code of Ethics has been effectively communicated to our employees. (If no Code of Ethics exist a "No" response would be indicated here.)
3 Our supervisors and managers have been trained in compliance issues.
4 Our supervisors and managers have an effective working knowledge of Civil Treatment Laws (i.e. employment, discrimination, harassment, Americans With Disabilities Act, etc.)
5 Our employees have an internal recourse available to them (i.e. Employee Concerns Committee) which makes it unnecessary for them to go outside the organization to resolve civil treatment issues.
6 Our employees know how the Employee Concerns Committee works. (If no Employee Concerns Committee exist a "No" response would be indicated here)
7 Our organization has a Corporate Concerns Officer. (i.e. an officially designated senior manager or executive responsible for business ethics and compliance issues.)
8 Our organization is fully aware of all environmental compliance issues affecting our industry.
9 Our supervisors and managers have an effective working knowledge of Federal and State Environmental Regulations as they relate to our industry.
10 Our supervisors, managers and related employees have been trained concerning compliance with environmental standards as they relate to our industry.
11 Our organization is fully aware of all Health and Safety issues as they affect our industry.
12 Our supervisors and managers have an effective working knowledge of OSHA regulations as they relate to our industry.
13 Our supervisors, managers and related employees have been trained concerning OSHA regulations and standards as they relate to our industry.
14 Our supervisors and managers know about The Federal Corporate Sentencing Guidelines.
15 Our supervisors and managers have an effective working knowledge of The Federal Corporate Sentencing Guidelines.
*Note that all fields on this form are required
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Date: 12/12/2018
 
TOTAL POINTS:
Gap Analysis scale:
15 Points Congratulations! Your organization is in the top 10% of all business organizations in the United States.
11 - 14 Points Your organization is doing a reasonably good job of Risk Management. However, a careful review would be appropriate.
7 - 10 Points Your organization has reason to be concerned about effective Ethics/Risk Management issues. Immediate action would be appropriate.