Introduction - CA Technologies
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Introduction

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Why you need to know the Code


At CA Technologies (the "Company"), we are committed to compliance with the law and to conducting all aspects of our business in an ethical manner. We believe this commitment is fundamental to our success and our ability to maintain the trust of all of our constituents, including our customers, vendors, business partners and shareholders. This Code sets forth the framework for how we expect you to conduct business on behalf of CA Technologies.

Our Code is merely a summary of a much broader Compliance Program here at CA Technologies. Within the Code you will find references to a number of policies that more fully explain both our expectations of you as a CA Technologies employee, as well as our overall commitment to compliance and business ethics. These policies can be found on the Company's Quality Management System ("QMS") website. Our broader Compliance Program includes things like awareness campaigns, newsletters, online compliance and ethics training and live trainer-led sessions on compliance and ethics topics. These many compliance communication vehicles have all been designed to help you better understand our commitment to compliance and business ethics.

In addition to our training and awareness initiatives, we also regularly audit and monitor our systems, processes and policies to ensure adherence to our standards. We have created a number of avenues, such as our Helpline and Webline, which allow you to raise concerns or seek guidance about compliance and business ethics issues (including doing so anonymously where permitted under applicable law). Those who utilize these resources will find that we promptly respond to questions and thoroughly investigate and address alleged breaches of the Code. We have also developed processes that are designed to ensure that our business partners and other third parties with whom we do business adhere to our high standards. Our Compliance Program has the active support of our Board of Directors and Senior Management, and is administered on a day to day basis by our Chief Ethics & Compliance Officer.

In short, Compliance and Ethics is serious business at CA Technologies. Please read, understand and follow the Code, and be sure to ask questions any time you have concerns.

Your responsibilities under the Code


Knowing the Code is only the beginning of your role in helping CA Technologies maintain its commitment to compliance and business ethics.

We also expect you to:

  • Abide by the letter and spirit of the Code and other Company policies and procedures
  • Complete mandatory CA Technologies compliance and ethics activities, including annual compliance training and our annual Code of Conduct Attestation and Conflict of Interest Disclosure
  • Request advice from an appropriate Company resource whenever you are uncertain about how to apply CA Technologies standards of business conduct to a specific situation or generally to any aspect of your work
  • Promptly report any known or suspected violations of the Code, laws and regulations or any actions that might constitute violations, using the channels of communications listed in the Code
  • Be forthright, honest and fully cooperate in audits and internal investigations

Employees must always abide by both the Code and the law wherever we do business.

The manager's role


Managers play an indispensable role in maintaining our compliance and business ethics standards—simply put, we expect more from managers and therefore entrust managers with these additional responsibilities:

  • Ensuring that our employees understand how the principles contained in the Code apply to their jobs
  • Maintaining a work environment that promotes ethical behavior and encourages employees to ask questions and raise concerns
  • Demonstrating ethical leadership through their words and actions
  • Using care and appropriate oversight to prevent and detect violations of the Code
  • Addressing employee compliance issues promptly and in a manner consistent with Company policy

CA Technologies operates in many countries and local customs and social standards often differ from place to place. Our policy is to abide by the national and local laws and regulations of the countries in which we operate, unless such laws or regulations violate U.S. law. It is your responsibility to understand and follow the national and local laws and regulations that apply where you conduct Company business. It is management’s responsibility to ensure that employees have the support and resources they need to make this assessment. If local customs and business or social practices differ from the standards contained in the Code, CA Technologies employees must consult their manager, the Business Practices and Compliance Team, their HR Business Partner or any member of the Worldwide Law Department to discuss the situation and determine the best course of action under the circumstances.

Speaking up


Keeping channels of communication open—to assist you with what we sometimes call "raising your hand"—is essential to maintaining our commitment to law-abiding and ethical behavior. At CA Technologies, we provide many such channels.

To report known or suspected violations of the Code or other ethical concerns or if you simply wish to request advice or assistance, you have the following options:

  • You can always discuss the issue with your manager (unless you are uncomfortable doing so or believe that the issue will not be satisfactorily resolved)
  • You may also contact any of the following resources:
    • A member of the Worldwide Law Department
    • A member of the Business Practices and Compliance Team
    • Your local Human Resources Business Partner

The CA Technologies Helpline (telephone) or Webline (internet) provide a means for you to seek advice, ask questions or report issues, including those related to fraud, business practices and compliance or violations of the Code. The Helpline and Webline are available to you 24 hours a day, 7 days a week. If you choose to use the Helpline or Webline—which are administered by an independent third-party provider—you can remain anonymous, if you so desire (as permitted under applicable law) and may communicate in English or in your native language.

If you choose to identify yourself when contacting the Helpline-Webline, your identity and the information that you provide will be treated confidentially and will be shared strictly on a "need-to-know" basis.

Enforcement of the Code


CA Technologies is serious about ensuring that you comply with the Code. Alleged breaches of the Code are promptly investigated under the direction of the Company's Chief Ethics & Compliance Officer. Some examples of the conduct that may lead to disciplinary action (up to and including termination of employment) include:

  • Requesting or permitting others to violate the Code, laws or regulations or Company policies, or assisting another person in violating these standards. You must never do through another person—such as a business partner—what you would not be allowed to do directly
  • Failing to promptly report a known or suspected violation of the Code or Company policies or procedures
  • Failing to cooperate fully with Company investigations or audits
  • Retaliating against another employee or a third-party for either reporting a suspected violation of the Code, laws or regulations or for cooperating during a Company investigation

Limitations to the Code


No Code of Conduct can address all of the legal and ethical issues that can arise in the course of business, so it is also your responsibility to be aware of the CA Technologies policies and procedures that apply to your job. Put simply, the Company expects you to apply its high ethical standards to all of your work, even if we don’t have a policy that specifically covers the situation you are dealing with.

Waivers of the Code


CA Technologies strongly disfavors requests for waivers of the Code and will waive application of the provisions of this Code only in very rare circumstances based upon a clear showing that a waiver is in the best interests of the Company. Any requests for a waiver of the Code must be made to the Company's Chief Ethics & Compliance Officer who will take such requests to the Company's Executive Management Team or, in the case when a senior member of management is requesting the waiver, the Company's Board of Directors.

The Company will investigate all reports of suspected wrongdoing and will not permit retaliation against any employee who makes a report in good faith, even if it turns out, after investigation, that there has not been a violation of the Code or other Company policy. Retaliation against an employee or other person who, in good faith, reports known or suspected wrongdoing or who participates in a compliance investigation will not be tolerated and is grounds for disciplinary action up to and including termination of employment.

We're Here for You

Contact the Business Practices and Compliance team if you have any questions or concerns.

Call 1-800-648-8014

(US and Canada only)
All other countries go to: compliance.ca.com
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Call us at 1-800-225-5224
Call us at 1-800-225-5224
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