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compliance in IT

Going through the elements of corporate compliance from the perspective of an IT department
by

c 1789

on 27 September 2010

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Transcript of compliance in IT

. timesheets
vendor evaluation forms
project calculations
purchase requisitions
support tickets
. . .
A vendor inviting you to a sales event in a nice location ... with good food and drink
A vendor giving you a more-than-symbolic New Year gift
A vendor inviting you or your relatives or friends to an interesting event for which you would not have afforded the tickets
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
compliance
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
understanding the word
But: sustainability is one of our company values.
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
Each of us is required by law
to maintain secrecy with respect
to any inside, non-public information
about the company that could
affect its stock price.
required by law
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
Our company processes and systems support the documentation of business transactions. Therefore, processes
must be consistently followed and documented accordingly, and
must not be by-passed.
Any correspondence must be
clear and consistent in content
courteous and in observance of proper etiquette
so that they can be presented or surrendered to a third party (such as a court of law, governmental institutions, certified public accountants) if required.
ethnicity
This is mainly about documentation
of business transactions.
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
ok, that's not really our biggest challenge ...
race
sustainability
physical characteristics
sexual orientation
Source: Merriam-Webster's Online Dictionary
membership in a protected class
Meaning: a readiness or willingness to yield to the wishes of others
Synonyms - compliancy, deference, docility, obedience, submissiveness
Related Words - amenability, amiability, complaisance, good-naturedness; servility, slavishness, subservience, subserviency; conformity; cooperativeness, receptiveness, receptivity; humoring, indulgence; acceptance, acquiescence, assent, consent; capitulation, submission, surrender; affability, amicability, congeniality, cordiality, friendliness, geniality, sociability
Near Antonyms - animosity, antipathy, enmity, hostility, ill will
Antonyms - defiance, disobedience, intractability, recalcitrance
overview
!!!
appearance
At least not without following the proper process to do so.
http://www.shanghaidaily.com/sp/article/2009/200912/20091228/article_424077.htm
No, not at all?
Just ask yourself whether such things might have at least a small influence on your next vendor evaluation?
ideology
The details
Specially important for us in IT:
Never manipulate any documents or records in a business system.
Never destroy any documents or records relevant to official or judicial proceedings.
com·pli·ance
http://www.asialaw.com/Article/1970884/ChinaHong-Kong-Economic-crime-on-the-rise-says-survey.html?Print=true&Single=true
age
from an IT department perspective
religion
Green IT
Build easy-to-maintain applications
sustainability
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no di scrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
nationality
Villagers back Party chief in corruption case
color
proper record-keeping
1: the act or an instance of defying : challenge
2: disposition to resist : willingness to contend or fight
however, we should already memorize the concept of
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
gender
understanding the meaning
search for "bribery" yields
approx. 1000 articles in Shanghai Daily online
approx. 500 articles in China Daily online
approx. 390 articles on reuters.com
approx. 50 articles on cnn.com
within 2009
In IT, we are benefitting from this principle as the company is providing us with a proper work environment.
It is not much of a topic for us with regards to legal compliance . . .
respect of
foreign trade laws
respectful
working conditions
respecting
intellectual
property
But we should be aware of this rule
especially when dealing with customers
whose business it is.
Function: intransitive verb
Inflected Form(s): com·plied; com·ply·ing
Etymology: Italian complire, from Spanish cumplir to complete, perform what is due, be courteous, modification of Latin complre to complete
Date: 1602
1: (obsolete) to be ceremoniously courteous
2: to conform, submit, or adapt (as to a regulation or to another's wishes) as required or requested
<comply with federal law> <the devices comply with industry standards>
1 : not easily governed, managed, or directed <intractable problems>
2 : not easily manipulated or wrought <intractable metal>
3 : not easily relieved or cured <intractable pain>
equal opportunity
in securities trading
. . . unless on a need-to-know basis and with reasonable measures in place to ensure that the information remains confidential and cannot be misused.
diversity
You must not disclose any such information
to anyone outside or inside (!) the company.
Source: Merriam-Webster's Online Dictionary and Thesaurus
cooperation with the authorities
AND
You must be
friendly
fair
respectful
to everyone.
the state of being recalcitrant, i.e.
1 : obstinately defiant of authority or restraint
2 a : difficult to manage or operate b : not responsive to treatment c : resistant
You must not trade Bayer shares
on the basis of such information.
fairness
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
com·ply
No one is to be unfairly treated, disadvantaged, favored, harassed, or ostracized for any of these!
separation of interests
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
fair competition - no antitrust violations
integrity in business dealings - no corruption
sustainability - no inappropriate risks for health and environment
respect of foreign trade laws - no export infractions
safeguard of equal opportunity in securities trading - no illegal insider trading
proper record-keeping and transparent financial reporting - no deception
fair and respectful working conditions - no discrimination
respecting intellectual property - no infringements of property rights
separation of interests - no interest conflicts
cooperation with the authorities - no misinformation
You think that's not relevant for you?
Typical examples include, but are not limited to:
knowledge about planned carve-out projects
knowledge about planned integration projects
new findings about key products
specific information about business development
... be professional!
Function: noun
Date: circa 1630
1 a: the act or process of complying to a desire, demand, proposal, or regimen or to coercion b: conformity in fulfilling official requirements
2: a disposition to yield to others
3: the ability of an object to yield elastically when a force is applied : flexibility
That's no day-to-day
IT business.
Where applicable:
Remember to document all gifts
in the respective application
(e.g. eGift)
refusal or neglect to obey
Well, it is.
What on earth is that???
we value
The definition
... including but not at all limited to
com·pli·ance
The antonyms
Files and records must be
complete
orderly
readily understandable
and they must be in a state to permit delegation to a colleague at any time.
integrity
Economic crime on the rise, says survey
You are not allowed to create or dispose of the company's intellec- tual property without involving the specialized corporate units.
You must also avoid unintentional transfer of intellectual property. Measures include:
Protect your computer screen from unauthorized viewing in public.
Be extremely careful with what you say in public about company know-how.
Protect business data against unauthorized access.
our own
that of others
You must respect the intellectual property of third parties and must not use it without permission.
license compliance
In our area, we need to particularly focus on
Do not install or use ANY software without having a proper license in place.
Strictly follow the software license management processes.
Do not use any other copyrighted materials without permission, e.g. pictures from the internet for your presentations.
unless explicitly
free; in that case you typically need to include the information about the source of the picture along with the picture itself or
licensed (e.g. Microsoft ClipArt)
In case of doubt, check the Bayer internet homepage to find out what is safe to mention.
And even the mere of such conflicts must be avoided!
appearance
Typical areas of conflict
Personnel decisions
Business relationships with 3rd parties
Contracting company suppliers for personal purposes
Using the services of employees for personal purposes
Use of company property for personal purposes
Use of internet and mail
Outside employment
Personal involvement in political parties or other institutions
Public expression of personal opinions
You must at all times
keep your personal interests
separate from company interests.
normally not us -
but according to our company values we should anyway follow these principles
Those who are responsible to collect and communicate company information to any authorities should communicate
completely,
openly,
correctly,
timely,
understandably.
The legal department must be notified immediately if any authority (e.g. police or public prosecutor's office) contacts you during investigation.
Documents or information should only be provided after consulting and with the assistance of the legal department.
could happen - hopefully not!
The company endeavors to be cooperative
while defending its own interests
and rights.
Not to talk about receiving even more serious favors of any kind.
Granting any favors is also not tolerated.
... but usually less applicable to us.
You must protect the company's intellectual property.
Make sure to have a proper process in place.
Strictly adhere to your process.
We also need to pay special attention to license management in the areas where our customers have handed the operational responsibility to us.
In rare cases, we might also be impacted
Be very cautious here
about the applicable licensing model!
There are quite some tools which are free for private users but require chargeable licenses for business use.
GREAT!
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