Logistics Sub-Sector Land Transportation

Participant Handbook 
124 
All potential non-compliance concerns are to be reported, so that it could be dealt with appropriately 
& to gain insight and understanding, and for continuous improvement. 
Anyone should have the freedom to report potential breaches of the statement on business conduct, 
company policies or the law via email, phone, in-person, mail, or the ethics helpline. The service 
provider delivers each report directly to the chief compliance officer and officials in charge of ethics 
& compliance. Individuals who use the hotline can choose to either identify themselves or remain 
anonymous.
The reports are reviewed to address and resolve issues raised and confirmed as breaches as per 
policies or as per law 
Obey the Rules 
▪
The law? 
▪
Company policy? 
▪
Regulatory agency requirements? 
▪
Regulatory agency requirements? 
▪
Outsource partner or client requirements 
Notify Appropriate Persons 
•
Have communications been open and 
honest? 
•
Have potential problems been disclosed? 

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125 
Land Transportation 
Associate 
Fig.6.5.3. Redressal System 
6.5.3. Escalation Matrix 
Let us understand the escalation matrix as to how such issues on integrity and ethics violations are 
handled in an organization.
 
Fig 6.5.4. Escalation Matrix 
 

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Participant Handbook 
126 
Escalation Matrix- Another Example Of "Credit Suisse" Handling Integrity Violation 
The escalation process is always handled in confidence.
 
Fairness, integrity and professional conduct are very vital. Employees are encouraged to report any 
alleged violations and misconduct. 
Our most valuable assets are the reputation for integrity and fair dealing.
Let us examine the case of "Credit Suisse" which always encourages its workforce, including contract 
workers to report any violations of laws, rules, regulations or the code of conduct internally.
Reports are made directly to the relevant line managers, compliance, human resources, the general 
counsel or, where appropriate, straight to the corresponding higher level within Credit Suisse 
following their laid out policies and procedures.
Reports could be made on a private & in an anonymity basis if required, & as permitted by law.
Credit Suisse Integrity Lines thus serve as another channel to escalate potential legal, regulatory or 
ethical misconduct. 
In the case of alleged violations by very senior positions like the chief executive officer or top financial 
officers (Chief Financial Officer, Head of Accounting or Controlling and persons performing similar 
functions) reports are made to the Credit Suisse General Counsel or the Audit Committee of the Board 
of Directors. 
Retaliation against any person for reports that are made in good faith is also prohibited. 
This process is subject to supervision by an Audit Committee of the Board of Directors of Credit Suisse. 
It also receives regular updates on significant reports received as well as on measures taken. 
Persons outside Credit Suisse who wish to report violations of laws, rules and regulations or the Credit 
'Suisse's code of conduct address their reports either in writing directly to the Secretary of the Board 
of Directors of Credit Suisse, or may call the Swiss Integrity Hotline [phone]) when located 
in Switzerland, Belgium, Italy, Austria, Liechtenstein, Luxembourg, France, or Germany; or the US 
Integrity Hotline [phone]), when located in the USA or any other country not mentioned 
above. 

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127 
Land Transportation 
Associate 
Tips 
Have you noted the change in greeting individuals across the globe due to the Corona Virus scare? 
The British have just now learnt the namaste. 
Reflect as to how etiquettes change over time & need. 
Notes 
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Summary
In this module, the concepts of integrity & ethics were introduced. We further saw the seven principles 
of ethics in the logistics industry. We saw why data & information security was so crucial in logistics. 
A brief overview of corrupt practices and an oath was taken not to fall prey to such practices. Next, 
we also saw the practice code of conduct and etiquettes. The module concluded with understanding 
to identify integrity and ethics violations and take prompt action as per the prescribed escalation 
matrix. 

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