Can the policy be signed electronically?

Yes. Electronic signatures are legally valid under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted; ensure intent, consent, attribution, and retention requirements are met.

Do employees need to receive a consumer disclosure?

For employee-facing internal policies a consumer disclosure under ESIGN is not typically required; however, if the acknowledgement affects employee benefits or payroll, follow employer notice practices and applicable wage laws.

Is notarization required for acknowledgements?

Notarization is generally unnecessary for policy acknowledgements; include notarization only if company governance or specific state law requires it for particular declarations.

How should I authenticate signers?

Use a reasonable level of authentication such as email plus SMS or enterprise SSO for higher assurance; stronger methods reduce repudiation risk in disputes.

How long must signed acknowledgements be kept?

Retain for at least three years after termination as a baseline, extend retention per IRS, HIPAA, or industry rules when applicable; document retention policies in writing.

What if an employee refuses to sign?

Follow documented HR procedures: counsel employee, document refusal, and apply progressive discipline or administrative measures consistent with company policy and applicable employment laws.

Electronic Signature
Templates
Miscellaneous
Business Conduct Policy

Business Conduct Policy

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

BUSINESS CONDUCT POLICY

WHEREAS, Company Name: is engaged in commercial activities and seeks to maintain the highest standards of ethical business conduct; and

WHEREAS, Recipient Name: acknowledges receipt of this policy and agrees to comply with its terms as a condition of ongoing engagement with Company Name; and

WHEREAS, the parties desire to set forth the standards, responsibilities and procedures governing business conduct, compliance, reporting and enforcement.

Scope of Work

This Business Conduct Policy applies to all directors, officers, employees, contractors and agents of Company Name in all jurisdictions in which Company Name operates. The policy governs conduct in performance of assigned duties and any activities that reasonably may be imputed to or associated with Company Name.

Detailed Scope

Standards of Conduct

All Covered Persons must act honestly, with integrity, and in compliance with applicable law. Covered Persons shall avoid conduct that creates conflicts of interest, misuse of Company assets, dishonest reporting, or any activity that may materially harm Company Name’s reputation or business interests.

Conflicts of Interest

Covered Persons must promptly disclose any actual or potential conflicts of interest to the Compliance Officer. A conflict exists where personal interests may interfere with the independent exercise of judgment on behalf of Company Name.

Compliance Officer Compliance Contact (phone or internal extension)

Anti-Bribery and Gifts

Bribery, improper payments and facilitation of payments are strictly prohibited. Covered Persons must not offer, give, solicit or accept gifts, entertainment or benefits where such items could reasonably be construed to influence a business decision or procure an improper advantage.

Reporting, Investigation and Non-Retaliation

Covered Persons shall report suspected violations promptly to the Compliance Officer or through designated reporting channels. All reports will be handled with confidentiality to the extent practicable. Company Name strictly prohibits retaliation against any individual who makes a good-faith report or participates in an investigation.

Designated Reporting Method

Training and Compliance Monitoring

Company Name will provide periodic training on this policy. Covered Persons must complete all required training and cooperate with monitoring, audits and investigations. Failure to complete mandatory training may result in disciplinary measures.

Payment Terms

Where this Policy establishes obligations that give rise to monetary adjustments, training fees, or reimbursement obligations, the parties agree to the following payment framework.

Agreed Payment Amount Payment Schedule Late Fee

Term and Termination

This Policy becomes effective as of Effective Date: and will remain in force until End Date: unless earlier terminated in accordance with this section.

Either party may terminate this acknowledgment of policy compliance for convenience upon Notice Period: written notice to the other party. Company Name may immediately suspend or terminate relationships for material breach of this Policy, including but not limited to bribery, willful disclosure of confidential information, or repeated non-compliance.

Confidentiality

Covered Persons will safeguard Company Name’s Confidential Information and will not use or disclose such information except as required for legitimate business purposes and consistent with Company Name’s policies. For purposes of this Policy, Confidential Information includes non-public technical, financial, commercial and strategic information. Confidential obligations survive termination for a period of Confidentiality Period: unless a longer period is required by law.

Discipline and Remedies

Violations of this Policy may result in corrective action, including counseling, suspension of privileges, financial reimbursement, disciplinary action up to and including termination of engagement or employment, and referral for civil or criminal prosecution where warranted. Company Name retains all rights to pursue legal remedies.

Governing Law

This Policy and any disputes arising out of it shall be governed by and construed in accordance with the laws of State: without regard to conflict-of-law principles.

Entire Agreement

This document embodies the entire understanding and agreement between Company Name and the Recipient with respect to the subject matter hereof and supersedes all prior agreements, understandings or representations, whether written or oral, relating thereto. No amendment or waiver of any provision of this Policy shall be effective unless made in writing and signed by authorized representatives of Company Name.

Acknowledgment

By signing below, the undersigned acknowledge that they have received, read and understand this Business Conduct Policy, agree to comply with its terms, and understand the potential consequences of non-compliance.

For Company:

By:

Date:

For Recipient:

By:

Date:

What a Business Conduct Policy Is and Who It Covers

A Business Conduct Policy is a written company standard that defines expected behavior, ethical obligations, and compliance requirements for employees, contractors, officers, and directors. It typically covers conflicts of interest, confidentiality and data protection, anti-bribery and anti-corruption, workplace conduct, gifts and hospitality, and political activity. The policy sets reporting channels for suspected violations, investigation procedures, and disciplinary measures. Organizations use it to align employee conduct with legal obligations and corporate values while documenting controls and oversight that auditors and regulators may review.

Why a Clear Business Conduct Policy Matters

A well-drafted Business Conduct Policy reduces legal and reputational risk, clarifies expectations, and supports consistent enforcement. It helps demonstrate compliance with applicable federal and state laws and provides a documented basis for investigations and corrective action.

Who Drafts, Reviews, and Acknowledges This Policy

Regular acknowledgements and training records create an auditable trail showing the organization enforces and updates standards consistently.

Executives and Board Members: Senior leaders must adopt and model the policy and approve material revisions.
Employees and Contractors: All staff required to read, acknowledge, and follow the policy as a condition of employment or engagement.
Compliance and HR Teams: Responsible for training, investigations, recordkeeping, and updating the policy to reflect legal changes.

Typical Signatories and Document Owners

Chief Compliance Officer

The Chief Compliance Officer or equivalent typically oversees the policy, leads investigations, and maintains change control, ensuring the document aligns with regulatory and audit requirements.

Human Resources Lead

HR administers employee acknowledgements, delivers required training, retains signed records, and coordinates disciplinary actions consistent with the policy.

Core Sections to Include in a Professional Policy

A concise Business Conduct Policy should be organized into clear sections so readers can find obligations and procedures quickly.

Purpose and Scope

Define the policy's objectives, to whom it applies, and its relationship to other corporate policies and collective bargaining agreements.

Standards of Conduct

Set expectations on conflicts of interest, confidentiality, gifts and entertainment, political activity, and appropriate workplace behavior.

Reporting and Investigation

Describe anonymous reporting channels, investigation procedures, non-retaliation protections, and disciplinary frameworks.

Compliance and Training

Outline mandatory training frequency, documentation requirements, and role-based compliance responsibilities.

Recordkeeping and Evidence

Specify retention rules for signed acknowledgements, investigation files, and compliance reports.

Enforcement and Review

State how violations are handled, appeal rights if any, and the schedule for periodic policy review and updates.

Security and Compliance Details to Record

Encryption: TLS 1.2/1.3; AES-256

Audit Trail: Detailed signer log

HIPAA: BAA required

SOC 2: Type II available

ESIGN/UETA: Legal e-sign frameworks

Access Controls: Role-based permissions

Step-by-Step: Completing and Acknowledging the Policy

Follow these steps to circulate, sign, and retain the Business Conduct Policy acknowledgement efficiently.

01

Prepare Policy: Finalize text and approval
02

Assign Recipients: Select employees and contractors
03

Distribute Document: Publish via internal portal or email
04

Collect Acknowledgements: Obtain signatures and store records

Online Configuration Checklist for eAcknowledgements

Configure your digital workflow to collect acknowledgements, authenticate signers, and capture audit evidence.

Field	Configuration
Authentication	Email or SMS code
Required Fields	Name, Title, Date, Signature
Notifications	Automated reminders and escalation
Storage	Encrypted archival with access controls

Where to Send and How Acknowledgements Flow

A clear routing model ensures signed acknowledgements reach HR, compliance, and the employee file without manual rekeying.

Employee Signs: Signer completes acknowledgement and submits
System Routes: Platform emails HR and compliance copies
Supervisor Notified: Supervisor receives completion notice
Records Archived: Signed files stored in secure repository

Technical Options for Digital Signing and Distribution

Ensure the chosen solution supports your required compliance frameworks and preserves a tamper-evident audit trail for each acknowledgement.

Document Formats: PDF, DOCX
Integrations: HRIS, SSO, cloud storage
Authentication Levels: Email, SMS, KBA, SSO

Timing, Deadlines, and Recordkeeping Expectations

Define deadlines for acknowledgement, training completion, and periodic re-acknowledgement to maintain a current compliance posture.

Initial Acknowledgement Deadline:

Typically 7–30 days from hire

Training Completion:

Within 30–90 days of policy issuance

Annual Re-acknowledgement:

Commonly required once per year

Investigation Hold:

Retain documents during open investigations

Audit Availability:

Records must be accessible for audits

Common Mistakes to Avoid When Preparing the Policy

Vague language that fails to define prohibited conduct and exceptions clearly.
Omitting reporting channels or non-retaliation protections, which discourages disclosures.
Failure to align policy with applicable laws, producing compliance gaps.
Poor recordkeeping practices that leave signatories unverified or untraceable.

Consequences of an Incomplete or Incorrect Policy

Regulatory Penalties: Fines or enforcement actions

Operational Risk: Inconsistent discipline

Reputational Harm: Public trust loss

Legal Exposure: Liability in litigation

Data Breach Costs: Breach remediation expenses

Employee Relations: Increased turnover

Representative eSignature Pricing and Feature Comparison

Compare basic pricing and core feature availability across common eSignature vendors. signNow appears first for neutral comparison of starting costs and compliance features.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	Yes, 7-day trial	No	No	Yes, limited	Yes, limited
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Frequently Asked Questions About Business Conduct Policy Acknowledgements

Answers to common questions about electronic acknowledgement, enforceability, and recordkeeping for Business Conduct Policies.

Need help? Contact support

Can the policy be signed electronically?
Yes. Electronic signatures are legally valid under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted; ensure intent, consent, attribution, and retention requirements are met.
Do employees need to receive a consumer disclosure?
For employee-facing internal policies a consumer disclosure under ESIGN is not typically required; however, if the acknowledgement affects employee benefits or payroll, follow employer notice practices and applicable wage laws.
Is notarization required for acknowledgements?
Notarization is generally unnecessary for policy acknowledgements; include notarization only if company governance or specific state law requires it for particular declarations.
How should I authenticate signers?
Use a reasonable level of authentication such as email plus SMS or enterprise SSO for higher assurance; stronger methods reduce repudiation risk in disputes.
How long must signed acknowledgements be kept?
Retain for at least three years after termination as a baseline, extend retention per IRS, HIPAA, or industry rules when applicable; document retention policies in writing.
What if an employee refuses to sign?
Follow documented HR procedures: counsel employee, document refusal, and apply progressive discipline or administrative measures consistent with company policy and applicable employment laws.

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