Core 4.0 Pre-release

C-OPIN 3-3: Formal Acknowledgment of Compliance with the Organization’s Legal Requirements and Code of Conduct

Submited by: Tom Goddard

The Basics

This standard requires a formal, signed acknowledgement from each staff member and all other "relevant persons" (members of oversight bodies and committees) that they:

  • have access to the Code of Conduct;
  • received compliance training, including training on the Code of Conduct;
  • they understand the consequences of failure to comply with the Code of Conduct, the organization's policies, and applicable laws and regulations; and
  • have access to ways of reporting breaches of the Code of Conduct and applicable laws and regulations.

Management Tips

While there is no requirement that this be done periodically, it probably makes sense to have every person covered by this standard sign this statement each year. This will ensure that the version of the acknowledgement signed by each person is current.

Accreditation Tips

Desktop Review
Submit the applicable policy that mandates this acknowledgement, as well as a copy of the acknowledgement form itself.
Validation Review
Document review
This acknowledgement form's presence in each staff member's personnel file will be part of the reviewer's overall review of personnel files.

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