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PR-08—Business Ethics Hotline

>Control Description

Organization has a business ethics hotline for employees and external parties to report ethical misconduct. Allegations are investigated and Organization will take appropriate action for confirmed violations. Hotline reports are reported to the Audit Committee on a quarterly basis.

Theme

Process

Type

Preventive

Policy/Standard

Human Resource Policy

>Implementation Guidance

1. Ensure that a process has been defined and documented for reporting ethical misconduct. 2. Ensure that allegations made through the hotline are investigated and appropriate action is taken. 3. Ensure Hotline reports are reported to the Audit Committee on a quarterly basis.

>Testing Procedure

1. Inspect the relevant documentation to validate that a process has been defined and documented for reporting ethical misconduct. 2. Validate that the allegations made through the hotline are investigated and appropriate action is taken for a sample of reports. 3. Validate whether the hotline reports are reported to the Audit Committee on a quarterly basis.

>Audit Artifacts

E-PR-01
E-PR-11
E-PR-12

>Framework Mappings

Cross-framework mappings provided by Adobe CCF Open Source under Creative Commons License.

FedRAMP Rev 5
1

PS-08

SOC 2
1

CC2.2

TX-RAMP
1

PS-8

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