1.09
Control Environment
Principle 1: Demonstrate Commitment to Integrity and Ethical Values
Attribute 1.09: Management uses established standards of conduct as the basis for evaluating adherence to integrity and ethical values across the organization. Management evaluates the adherence to standards of conduct across all levels of the entity. To gain assurance that the entity's standards of conduct are implemented effectively, management evaluates the directives, attitudes, and behaviors of individuals and teams. Evaluations may consist of ongoing monitoring or separate evaluations. Individual personnel can also report issues through reporting lines, such as regular staff meetings, upward feedback processes, a whistleblowing program, or an ethics hotline. The oversight body evaluates management's adherence to the standards of conduct as well as the overall adherence by the entity.
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Jamie's Story
No examples are available to illustrate governance gaps for this attribute.
Election Anomalies
The following statement is made in the AZ AG's Office 2020 General Election inverstigation.
"After October 21, 2020, the number of ballots received became too large to utilize the ballot counter and the decision was made to weigh the trays containing approximately 200 ballots each.
Potential Governance Gap:
Contrary to the Green Book, it's unclear whether it was a frontline or management, but a "decision was made" to deviate from using the ballot counter as part of what appears to be an established process. This appears to be an ethical concern in that willful deviations from the process can be implemented on the fly.
