Small Business Toolkit

The DII Small Business Toolkit provides a comprehensive guide to designing, implementing, and maintaining business ethics and conduct compliance programs. ​ It includes templates, training materials, and case studies to help small businesses navigate government contracting and ensure compliance with regulations. ​ By using this toolkit, individuals and organizations can establish a strong foundation for ethical business practices, protect their reputation, and mitigate the risk of non-compliance. ​

The toolkit covers a wide range of topics including ethics, compliance with laws and regulations, human rights, employment practices, anti-corruption, information protection, and environmental health and safety. ​ It also provides guidance on making ethical decisions, asking questions, raising concerns, and reporting violations. ​ Additionally, the toolkit includes policies and procedures for ethics and business conduct, guidelines for protecting proprietary information, handling customer confidential information, safeguarding classified information, and protecting intellectual property. ​ It also provides resources for reporting and investigating ethics and compliance issues, as well as guidelines for handling retaliation. ​ Overall, this toolkit is a valuable resource for promoting a culture of ethics and compliance within a company or organization. ​

This 254-page document is organized into the following areas: 

  1. Governance and Organization (provides guidance on structuring)
  2. Training and Engagement (provides presentation slides)
  3. Policies and Procedures (provides over 30 templates including one for Code of Conduct)
  4. Auditing, Monitoring, and Mentoring (provides tools and techniques)

Download Small Business Toolkit

Complete Small Business Toolkit (PDF) Download
Introduction (PDF) Download
Resource 1: Governance & Organization (PDF) Download
Resource 2: Sample Compliance Training (PDF) Download
Resource 3: Ethics Case Files (PDF) Download
Resource 4: Other Ethics Resources (PDF) Download
Resource 5: Policies & Procedures (PDF) Download
Resource 6: Self Auditing Your Ethics & Compliance Program (PDF) Download
Resource 7: Frequently Asked Questions (FAQs) Download

OPTIONAL: Non-PDF Files for improved usability

Resource 2:  Sample Compliance Training (PowerPoint)

Resource 5: Code & Policy Templates (Word) Download

NOTE: Being a DII member provides access to formal mentorship program to assist companies with implementing the elements of this toolkit in an effort to implement an effective business ethics & compliance program.