Chief compliance officer
HR director
Ethics officer
People operations manager
Compliance coordinator
General counsel
This process is used during employee onboarding and on an annual or periodic basis when the organization requires all employees to review and acknowledge the current code of conduct. It applies when the organization must document that every employee has received, read, and agreed to the code as a condition of employment and as a regulatory or governance requirement. It is common when compliance, HR, and department leaders must coordinate to ensure 100% completion across the workforce within a defined deadline. Ideal for organizations of all sizes and industries where a documented code of conduct acknowledgment is required by regulation, corporate governance standards, or organizational policy.
The code of conduct acknowledgment process typically involves compliance officers who manage the distribution and tracking of the acknowledgment campaign, HR who coordinates with department leaders on completion, employees who review the code and sign the acknowledgment, department managers who follow up with their team members on incomplete acknowledgments, and legal counsel who reviews the code of conduct for any updates.
100% workforce acknowledgment documented within the required timeframe for every distribution cycle. Demonstrated compliance culture through a formal, documented process that reinforces the organization’s ethical standards. Audit-ready records showing when each employee received, reviewed, and signed the acknowledgment. Timely identification of non-completions so managers can follow up before the acknowledgment deadline passes. Updated code distribution when the code of conduct is revised, with re-acknowledgment captured for all employees.
Your version of this process may vary based on roles, systems, data, and approval paths. Moxo’s flow builder can be configured with AI agents, conditional branching, dynamic data references, and sophisticated logic to match how your organization runs this workflow. The steps below illustrate one example.
Code distribution and campaign launch
The process begins when compliance initiates the acknowledgment campaign, distributing the current code of conduct to all required employees. The distribution includes the code document and instructions for reviewing and signing the acknowledgment. An AI Agent can assist by generating the distribution list from the HRIS and identifying any employees who are on leave or otherwise require special handling.
Employee review and acknowledgment
Each employee reviews the code of conduct and signs the acknowledgment confirming that they have read, understood, and agree to comply with its requirements. The acknowledgment captures the employee’s name, date, and electronic signature.
Completion tracking and reminders
Compliance tracks acknowledgment completions in real time. Automated reminders are sent to employees who have not completed the acknowledgment at defined intervals. An AI Agent may escalate non-completions to the employee’s manager and department leader as the deadline approaches.
Manager follow-up on non-completions
Department managers receive reports of incomplete acknowledgments within their teams and follow up directly with the individuals. If an employee cannot complete the acknowledgment due to leave or other circumstances, the exception is documented.
Campaign closure and reporting
At the campaign deadline, compliance generates a completion report showing the acknowledgment status for every employee. Any outstanding non-completions are documented with the reason and the planned resolution. The completion records are preserved for audit.
This process commonly relies on inputs such as the current code of conduct document, the employee distribution list from the HRIS, and the acknowledgment form. It may be triggered by the annual compliance calendar, a code of conduct update, or employee onboarding. Connected systems often include HRIS platforms like Workday or ADP, compliance management platforms, and electronic signature or acknowledgment tools.
Key decision points include whether the code of conduct has been updated and requires re-acknowledgment from the entire workforce, how to handle employees on leave or in special circumstances who cannot complete the acknowledgment by the deadline, and whether non-completions after the deadline require escalation or disciplinary follow-up.
Distribution list incomplete, missing newly hired employees, contractors, or other individuals who should be included. Acknowledgment deadline set without sufficient lead time for employees in remote, field, or shift-based roles. Reminders not sent at effective intervals, resulting in a late surge of non-completions. Non-completions not escalated to managers, leaving the campaign short of 100% with no follow-up plan. Acknowledgment records not preserved in a format that supports audit and regulatory inquiry.
Orchestrates the code of conduct acknowledgment campaign from distribution through completion tracking across compliance, HR, managers, and all employees in a single workflow.
AI Agents generate the distribution list from connected HRIS data and identify employees requiring special handling such as those on leave.
Engages every employee within the workflow for code review and acknowledgment signing, capturing the date and signature in context.
Tracks completion in real time and sends automated reminders at defined intervals, escalating non-completions to managers as the deadline approaches.
Connects to HRIS platforms like Workday and ADP so the distribution list reflects the current workforce and completion records are synchronized.
Preserves the complete acknowledgment record for every employee including distribution date, review confirmation, signature, and any exception documentation for audit and compliance reporting.
