CREATING AN AGENCY POLICY 1

Creating An Agency Policy

First Name, Middle Initial, Last Name

Course Name & Number

02/12/2017
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Creating An Agency Policy

As a prison warden embarks on the task of creating and implementing an ethics policy,

there are a host of factors that must be considered for the successful actualization of this

initiative. This paper provides a discussion of variables related to the establishment of an ethical

policy in addition to necessary resources. Modes of communication are also discussed, as it is

essential to ensure that all stakeholders are acutely aware of the content of the policy. Moreover,

compliance inspection and reinforcement practices are delineated to provide a comprehensive

overview of this topic. It is crucial to begin this discussion with a description of foundational

information related to the creation of an ethical policy.

Establishment of Ethical Policy

The establishment of an ethical policy provides employees with the guidelines necessary

to fulfill their obligations and make determinations based on delineated behavioral standards

applicable to a wide variety of circumstances (NSW Government, 2013). Effective ethical

policies are the product of shared decision-making. When mandated in an autocratic manner,

policies are far less likely to gain the vested interest of all members of the organization;

therefore, wardens are commissioned to seek the input of staff members within the criminal

justice system. This particular model affords the warden with keen insight regarding specific

ethical concerns faced by the staff in order to address issues comprehensively. Input can also be

gained through consultation with other institutes that have already worked through the process of

establishing an ethical policy to ensure that all factors are equitably considered (NSW

Government, 2013).

As the chief administrative official, the warden is responsible for the supervision of staff

members at every institutional level to include first-line supervisors and correctional officers. It
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is critical to note that correctional officers oversee the day-to-day actions and interactions of

inmates who have been disempowered by virtue of incarceration. “As such, correctional

institutions are faced with the task of ensuring rule adherence not only among inmates but

correctional officers as well” (Baker, Gordon & Taxman, 2015, p. 1038). According to Tyler

and Blader (2000), the most significant predictor of employee compliance centers on the extent

to which they perceive that procedural justice serves the beneficence of all stakeholders. These

facts support the rationale in favor of a transformational leadership model, as the warden is

compelled to establish an ethics policy by means of shared decision-making, which is a hallmark

of transformational leadership. Concepts centered on a collective mission among all

stakeholders further promote group solidarity. “Correctional institutions would do well to ensure

that wardens and other supervisors are perceived as transformational in their leadership

approaches” (Baker, Gordon & Taxman, 2015, p. 1056-1057). An emphasis on staff

involvement at various levels within the institution serves as an integral component in the

establishment of an effective ethics policy. It is imperative to consider the resources that are

necessary to design an ethics policy based on all necessary factors.

Necessary Resources

Given the salient fact that prison systems across the nation have established ethics

policies, it is unnecessary to reinvent the wheel entirely. While the institution’s specific policy

must reflect the contributions of staff members to promote an organizational climate wherein all

stakeholders have been acknowledge and realize that their input is valued, there are certainly

specific ethical policies that must be included to ensure the provision of safe working conditions.

The American Correctional Association (ACA) Code of Ethics is a valuable resource and

reference for the establishment of an ethics policy (Hall, 2017). In fact, numerous states have
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adopted policies that mirror those of the ACA. Factors such as professional expectations,

discrimination, reporting procedures and confidentiality are clearly delineated by the ACA;

therefore, this particular code of ethics serves as a foundational element to the process of creating

an ethics policy.

Staff members serve as another key resources and element in the establishment of an

ethics policy. The aforementioned rationale that underscores the crucial nature of valuing staff

members’ input supports the claim that reaching a consensus is critical to this process. The

effective actualization of an ethics policy is reliant on compliance among employees. By

acknowledging the value of employees as a resource, wardens are fare more likely to succeed in

promoting positive perceptions related to procedural justice. Given that the establishment of an

ethics policy and resources necessary for this process have been discussed, it is now important to

delineate methods by which the policy can be clearly communicated to promote understanding

among all stakeholders in the system.

Modes of Communication

An ethics policy can be communicated in a number of ways to maximize awareness and

comprehension. All new employees must be provided a handbook that clearly explicates the

policy; however, this handbook must be complemented by ethics training sessions during

orientation and as part of an ongoing initiative during staff meetings to continually reinforce the

content of the policy (NSW Government, 2013). It is essential to include a discussion wherein

specific components of the policy are related to scenarios with which prison staff may be faced

in order to critically examine the issues, options, and most appropriate responses based on given

circumstances. This form of authentic, real-world application allows employees to engage in

discourse as they attempt to apply problem-solving strategies based on ethical guides.

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Regular newsletters can be distributed to provide additional reminders and present

scenarios for ongoing professional development, and additional modes of communication

include posters, the inclusion of the ethics policy on the home website, and email correspondence

(NSW Government, 2013). Copies of the ethics policy should be available in the employee

break room in the event that employees require a quick reference tool. Diversity in terms of

language can be addressed through the provision of the policy translated into employees’ native

languages to ensure that a barrier among those who do not speak English as a first language does

not hinder employees’ interpretation of the content. This particular attention to detail will

maximize comprehension. Moreover, given the variance in learning styles among a diverse

population of employees, it is also essential to communicate the ethics policy content by means

of visual modes such as PowerPoint Presentations and videos depicting various scenarios. Clear

communication sets the foundation for accountability related to adherence to the guidelines;

therefore, it is appropriate to discuss methods by which compliance to the ethics policy may be

promoted.

Ensuring Compliance

It is crucial to communicate the fact that compliance to the ethics policy is characterized

by a clear system that is strictly rule-based in order to effectively mitigate risks of

noncompliance. “Compliance programs establish minimum acceptable conduct, whereas strong

ethics and business conduct programs are the foundation upon which compliance programs and

legal best practices are built” (Defense Industry Initiative, 2013, p.3). A compliance steering

committee and officer must be commissioned to monitor compliance with the code of ethics at

all levels within the system. This responsibility includes inspection of activities and

communications. Moreover, internal and external audits must be systematically conducted on a

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regular basis to identify issues on noncompliance immediately. The compliance officer is

commissioned to monitor ethics related to the Constitutional rights of civilians to ensure that

officers do not use unnecessary force or engage in unlawful search and seizure practices

prohibited by law (Schmidt, 2004). This task is accomplished by means of inducements, random

audits, periodic inspections, training of personnel, and a commitment to objectivity and fairness.

Given that it is imperative to continually reinforce a commitment to exhibiting conduct in

alignment with the established ethics guidelines, this particular topic is now discussed.

Reinforcement of Policy

Given the salient fact that noncompliance overtly evidences a breach of ethics,

disciplinary actions must be clearly communicated and implemented in accordance with the

established guidelines (Defense Industry Initiative, 2013). Corrective action is foundational to

the ascribing of accountability for indiscretions related to a lack of adherence to the ethics policy.

Reinforcement of ethical policies by means of appropriate and timely disciplinary actions serves

as the most effective method by which employees may internalize the gravity of adherence. It is

also essential to note that, while punitive action must be implemented for infractions, specific

and positive feedback should be provided for collective compliance to communicate the fact that

ethical conduct is highly valued (Schmidt, 2004).

Conclusion

Several overarching themes have been disseminated in regard to the establishment and

implementation of an ethics policy. The vested interest of all stakeholders is foundational to

adherence and effective implementation. As such, wardens are commissioned to gain input and

feedback from staff members to ensure that the policy is inclusive insofar that specific

institutional issues are fully addressed. Multiple modes of communication serve the beneficence
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of this initiative, as a diverse population of employees is clearly representative of variances in

language and learning styles. While ethics are value-based, compliance is a rule-based issue;

therefore, compliance must be monitored regularly by means of random checks and audits.

When employees do violate the ethics policy, corrective action must be implemented objectively

and in a timely manner to communicate the critical nature of adhering to the policy. However,

this fact does not negate the value of communicating praiseworthy ethical conduct among

employees to ensure that they realize their value within the organization.
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References

Baker, T., Gordon, J. A., & Taxman, F. S. (2015). A hierarchical analysis of correctional

officers’ procedural justice judgments of correctional institutions: Examining the

influence of transformational leadership. JQ: Justice Quarterly, 32(6), 1037-1063.

doi:10.1080/07418825.2013.877517

Defense Industry Initiative. (2010). Creating and maintaining an effective ethics and business

conduct program. Retrieved from www.dii.org/system/files_force/dii-

toolkit.pdf?download=1

Hall, S. (2017). Code of Ethics & Conduct for Corrections Officers | Chron.com. Retrieved from

http://work.chron.com/code-ethics-conduct-corrections-officers-17105.html

NSW Government. (2013). Personnel handbook. New South Wales: Public Service Commission.

Schmidt, W. W. (2004, May). Criminal justice compliance officer: A new title and duties for

self-governance responsibilities within law enforcement and corrections agencies.

Retrieved from http://www.aele.org/compliance.pdf

Tyler, T. R., & Blader, S. (2000). Cooperation in groups: Procedural justice, social identity, and

behavioral engagement. Philadelphia, PA: Psychology Press.