P2. Codes Of Conduct

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SAS Enterprise GRC

SAS Enterprise GRC strengthens governance and trust with systematic management of risk. It detects and helps prevent violations, allowing you to align strategy with risk appetite. The solution builds a reliable view of risk compliance, facilitates collaboration between GRC teams and reduces the cost of risk management through automation. Benefits Demonstrates an effective implementation of the GRC framework. Enhances the quality of decision making across the organization. Reduces the likelihood of unpleasant surprises for all stakeholders. Enhances the efficiency and effectiveness of GRC processes. Reduces risk-related losses. Reduces the risk of regulatory compliance violations. Provides more reliable assurance to stakeholders. How SAS® Is Different Creates a common and integrated repository of all critical GRC components (e.g., risks, controls, policies, audits, etc.). Facilitates collaboration between various GRC teams, which will be difficult when the GRC components are in multiple systems. Reduces cost of risk management and compliance by reducing duplication of data and processes. Links all critical GRC elements, enabling you to easily visualize and assess the impact of a business decision in one part of the organization over other parts of the organization.

  • IT.01 - Audit and Assurance Management
  • IT.03 - Brand and Reputation Management
  • IT.04 - Business Continuity Management
  • IT.05 - Compliance Management
  • IT.07 - Control Activity, Monitoring, and Assurance
  • IT.16 - Information/IT Risk & Security
  • IT.22 - Policy Mgmt, Communication & Training
  • IT.26 - Risk Management
  • IT.26 - Regulatory Intelligence and Monitoring
  • IT.27 - Strategy, Performance, and Business Intelligence
  • IT.28 - 3rd Party/Vendor Risk & Compliance
  • A1. Identification
  • D1. Detective Actions & Controls
  • I1. Info Management
  • M1. Context Monitoring
  • O1. Commitment
  • P1. Proactive Actions & Controls
  • R1. Responsive Actions & Controls
  • A2. Analysis
  • M2. Performance Monitoring
  • O2. Roles
  • P2. Codes Of Conduct
  • R2. Internal Investigation
  • A3. Planning
  • D3. Inquiry
  • I3. Technology
  • M3. Systemic Improvement
  • O3. Accountability
  • P3. Policies
  • C4. Objectives
  • M4. Assurance
  • R5. Remediation
  • P7. Risk Financing
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SAI Global GRC Software

SAI Global’s GRC Platform provides a flexible software solution to manage and profile risks, compliance obligations, incidents and cases, policies, and learning across the organization. Specific applications include configurations for environmental, health and safety use and for bribery and corruption risk management. A full utilization of SAI Global's software enables integration with SAI Global's Learning & Communication Platform and a single view across highly decentralized global operations. This inevitably results in better use of human capital, reduced costs, increased transparency and improved business results. A partial list of solution components, deployable as standalone elements or integrated, include risk assessment and profiling; obligations management; case and incident management; policy management; registries to manage gifts, hospitality, entertainment, facilitation payments and conflicts of interests; audit management; integration with hotline; and a fully configurable GRC Dashboard that integrates with learning and communication.

  • IT.02 - Board and Entity Management
  • IT.05 - Compliance Management
  • IT.11 - Environmental, Health, and Safety
  • IT.14 - Global Trade Compliance/International Dealings
  • IT.15 - Hotline/Helpline
  • IT.19 - Issue and Investigations Management
  • IT.22 - Policy Mgmt, Communication & Training
  • IT.23 - Privacy Management
  • IT.26 - Risk Management
  • IT.26 - Regulatory Intelligence and Monitoring
  • IT.28 - 3rd Party/Vendor Risk & Compliance
  • (C) Context
  • M1. Context Monitoring
  • P1. Proactive Actions & Controls
  • R1. Responsive Actions & Controls
  • D2. Notification
  • M2. Performance Monitoring
  • P2. Codes Of Conduct
  • R2. Internal Investigation
  • D3. Inquiry
  • P3. Policies
  • R3. 3rd Party Inquiry & Investigation
  • M4. Assurance
  • P4. Education
  • (O) Organize
  • (A) Assess
  • (I) Interact
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Mitratech TeamConnect® Policy Management

TeamConnect manages policies throughout their lifecycle, from creation to retirement, while enabling collaboration and providing accountability in every phase. Proactively protect your organization by reconciling multiple regulations and requirements. Communicate and enforce procedures throughout your organization and beyond. Gain insights into policy violations and assess the impact of new or changing regulations on your business. TeamConnect’s policy lifecycle management approach delivers business agility, efficiency, and effectiveness in meeting requirements. Collaborate on policy creation and improve compliance through a single authoritative source to consolidate, maintain, and manage your policies and procedures. Publish policies enterprise-wide through online Web access. Defend your organization with a detailed trail of all policies and procedures, receipts, trainings, attestations, exceptions, and violations.

  • IT.22 - Policy Mgmt, Communication & Training
  • I1. Info Management
  • P1. Proactive Actions & Controls
  • R1. Responsive Actions & Controls
  • I2. Communication
  • P2. Codes Of Conduct
  • C3. Culture
  • P3. Policies
  • M4. Assurance
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Survey Highlights Code of Conduct Survey Reveals Serious Weaknesses resource Research / Studies Member contribution

Good corporate governance transcends mere compliance with a checklist of externally mandated behavioral requirements. Read survey findings.

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Why is GRC important? blog

I have been blogging about what GRC is, advocating the definition developed by the Open Compliance and Ethics Group, OCEG (see this and subsequent posts). But, I haven’t really talked about why the concept of GRC has value.

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Writing an Effective Global Code of Conduct (2005) resource Articles OCEG Reviewed
International Business Ethics Review , Volume 8 , Issue 1   This article outlines a process intended to help organizations with this undertaking. While the precise method used to draft codes will vary based on the size, industry, strategy, and organizational structure of the company, the steps discussed in this article are particularly effective in developing codes appropriate for a diverse workforce.
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Cisco Systems - Code of Business Conduct resource Examples OCEG Reviewed
A practical resource to be used as a guide in applying core values to the specific situations of day-to-day business.
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Burger King: Code of Business Ethics and Conduct resource Examples OCEG Reviewed
Introduction: "Doing What’s Right means that everything we do must be done with the highest standards of ethics, honesty and integrity. This Code provides guidelines on the laws, rules, regulations and Company policies that govern our business and how we conduct it each day. When it comes to ethics, there is no compromise."
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SEC, Investment Advisor Codes of Ethics, Final Rule (2004) resource National Regulations OCEG Reviewed
Summary: The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers to adopt codes of ethics. The codes of ethics must set forth standards of conduct expected of advisory personnel and address conflicts that arise from personal trading by advisory personnel. Among other things, the rule requires advisers' supervised persons to report their personal securities transactions, including transactions in any mutual fund managed by the adviser.
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FDIC, Corporate Codes of Conduct: Guidance on Implementing an Effective Ethics Program (2005) resource Agency Guidances OCEG Reviewed
The FDIC is providing the attached guidance to financial institutions to remind them of the importance of an effective internal corporate code of conduct or written ethics policy.
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