Sample Code of Conduct Policy (NVCA)
The NVCA Sample Code of Conduct provides a model policy outlining expected ethical, legal, and professional behavior for employees, contractors, and affiliates of a company or firm. It emphasizes compliance with laws, honest and fair dealing, respect for others, and outlines unacceptable behaviors that could result in disciplinary action, including termination.
NVCA Sample Code of Conduct Policy for a Company/Firm to Adopt
Disclaimer: Please note that information contained in the sample code of conduct included here is provided for informational purposes only; it does not constitute legal advice and should not be treated as such.
Preface: The code of conduct included below are the work product of a coalition of venture capital firms, H.R. professionals, and legal/employment professionals. This code of conduct is not a replacement for and do not constitute a comprehensive set of H.R. policies or an employee handbook.
Please check with counsel to ensure a full understanding of the laws applicable to your Company/Firm.
And, finally, we encourage venture capital firms to share this code of conduct with their portfolio companies as appropriate. Together, we can make a difference.
COMPLIANCE WITH LAWS, RULES, AND REGULATIONS
Acting ethically and obeying the law, both in letter and spirit, are among [company name]’s core values. We expect employees and consultants to understand the legal and regulatory requirements applicable to their area of responsibility, including federal, state, and foreign laws, as well as the relevant regulatory schemes. All employees are also expected to act with integrity and to exercise good judgment and common sense in their efforts to comply with all applicable laws, rules, and regulations and are encouraged to ask [reporting channel] for advice when they are uncertain about them.
We also believe that every employee is responsible for becoming familiar with [company name]’s policies so that they may integrate them into every aspect of our business.
[company name] considers violation of the law, company/firm policies, and this Code of Conduct to be a serious matter. Any violation may subject an employee to disciplinary action, up to and including termination. Additionally, those who work with us, including founders, contractors, consultants, volunteers, and their representatives (collectively, “third parties”), are expected to maintain professional conduct and follow all applicable laws and regulations.
Certain violations may be referred to legal authorities for investigation and civil or criminal prosecution. If you become aware of the violation of any law by [company name], whether by its officers, employees, or any third party doing business on behalf of [company name], it is your responsibility to promptly report the matter to your [reporting channel]. While [company name] strives to address matters internally, nothing in this Code of Conduct should discourage you from reporting illegal activity, including any violation of the law whether federal, state, local, or foreign law, rule or regulation, to the appropriate regulatory authority. This Code of Conduct should not be construed to prohibit employees from testifying, participating, or otherwise assisting in any state or federal administrative, judicial or legislative proceeding or investigation.
ADDRESSING CONDUCT THAT IS HARMFUL TO OUR CULTURE AND VALUES
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This version is drafted for US law generally. Contract, employment and consumer rules vary by state — for example on non-competes and at-will employment. Tell GitLaw which state applies and it adjusts the draft.
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