Ethics
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UTC's Code of Ethics and other related brochures are available online in the PDF format. Click here to view the Code of Ethics. Click here to read the code supplement brochures.
You may download Adobe® Acrobat® Reader® here.
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Our ethics emphasis at UTC is on values as well as compliance.
Our Code of Ethics, adopted in 1990, goes beyond a recitation of rules and represents a framework for decision making. It identifies our corporate commitments to various constituents. We operate under this single code, worldwide, which we distribute in 28 languages.
Our code is directed and supported by senior management as well as UTC's board of directors.
Management works with a business practice organization, headed by Michael A. Monts, vice president, business practices, and approximately 270 business practice officers (BPOs) worldwide. For the most part, the BPO is a part-time position for a full-time employee.
A BPO is an "in-country" individual, fully aware of that country's specific culture. Each BPO is responsible for reinforcing the code through communication and training programs, as well as reporting results of ethics and compliance-related allegations.
UTC in 1986 created its Ombuds/DIALOG program, which is a worldwide confidential employee communication program that allows employees alternative means of asking questions, making suggestions, registering complaints and reporting suspected wrongdoings. DIALOG is the confidential, written portion of the program. UTC has approximately 225 DIALOG program administrators (DPAs) worldwide to process employee inquiries.
Ombudspersons within UTC oversee the DIALOG Program and process employee inquiries along with the DPAs. Ombudspersons also process those employee issues that tend to be more complex and sometimes more legal in nature. Employees communicate with the ombudsperson either in person or via telephone. A worldwide toll-free telephone service has been established for this purpose.
The offering of an alternative, confidential means for employees to raise issues is part of the values system of the corporation. UTC ombudspersons and operating unit DIALOG DPAs process employees' questions in a neutral and confidential manner. As neutrals, they do not function as advocates for the company or any individual. Rather, they serve as a confidential communications link and thereby facilitate the process of examining issues as raised.
The program has received more than 60,000 DIALOG inquiries and has handled in excess of 10,000 ombuds cases since it was launched in 1986.
Updated April 2005
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