02 — Capability · BC-140.30
Ethics & Conduct
Set the standard of behavior the enterprise expects, give people a safe way to report when it is breached, and investigate fairly when they do.
- Code of Conduct
- Speak-Up
- Business Ethics
In scope
- Code of conduct and its annual acknowledgment
- Conflict of interest and gifts disclosure
- Whistleblower channels and internal investigations
Out of scope
- Employee grievances and disciplinary process (see BC-360)
- Fraud investigation support for external audit (see BC-160)
Decomposes into · 4
- BC-140.30.10Code of ConductMaintain the single statement of expected behavior and have every employee and director acknowledge it on joining and each year.
- BC-140.30.20Conflict of Interest ManagementCollect disclosures of outside interests, gifts and relationships, and decide which need to be managed, declined or ended.
- BC-140.30.30Speak-Up Channel OperationRun confidential reporting routes, protect those who use them and triage what comes in.
- BC-140.30.40Internal InvestigationsInvestigate suspected misconduct with a defined process, preserved evidence and findings that support a fair outcome.