Toolkit: Developing and Implementing a Compliance Program
The business environment around the world is changing. More aggressive enforcement action, new laws, as well as the growing demand for greater transparency and accountability is forcing public and private organisations to take a very serious look at ethics, compliance and anti-Corruption measures. In this new environment, organisations recognize that ethics and compliance is not just necessary to manage risk and protect the company, but it is now becoming a competitive business advantage.
This toolkit provides you with several tools that will guide you through the process of developing and implementing a robust compliance program for your organisation.
Click on each tool to open their description and link. Please search the CCEAC toolbox for other related tools.
TI-Canada Anti-Corruption Compliance Checklist
author: TI-Canada
TI-Canada Anti-Corruption Compliance Checklist is a critical tool for those Canadian corporations seeking to significantly enhance their risk management processes.
This simple to use document provides a process map and access to resources to help an organisation develop and implement an Anti-Corruption compliance program. This tool would be particularly useful for an SME.
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Anti-Corruption Ethics and Compliance Handbook for Business
author: OECD – UNDCP
The handbook is divided into three sections. The first section provides an overview of the international anti-corruption framework, within which companies conducting international business must operate. The second section provides a brief introduction to how companies can assess their risk in order to begin developing an effective anti-corruption ethics and compliance programme. The third and most significant section brings together the major business guidance instruments. A comparison of these instruments reveals that they all largely include the same basic anti-corruption ethics and compliance elements. These elements are further illustrated using real-life, anonymised case studies provided by companies. Finally, the handbook includes as an annex a quick-reference table providing a crosscomparison of all the major business guidance instruments referenced in this handbook.
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Anti-Corruption Compliance – A guide for mid-sized companies in emerging markets
author: Center for International Private Enterprise (CIPE)
Anti-Corruption Compliance: A Guide for Mid-Sized Companies in Emerging Markets, is meant to help local companies around the world think about anti-corruption compliance as a strategic investment and take concrete steps to introduce or strengthen their internal compliance programs. The guide goes over all the elements of a successful anti-corruption compliance program step-by-step, with a focus on the needs and constraints of mid-sized companies operating in emerging markets. The guide is essential reading not only for managers of mid-sized firms but also for compliance professionals at any company that might do business with suppliers, agents, subsidiaries, or other third parties in emerging market.
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Global Anti-Bribery Guidance – Best Practices For Companies Operating Overseas Here
Author: Transparency International UK
Although designed for UK companies that fall under the UK Bribery Act, this free online guidance provides a comprehensive process for the development and implementation of a robust compliance program that can be useful for any company from any country. The UK Bribery Act Section 7 requires UK companies to Divided into 18 sections that are downloadable as PDF chapters or you can download the single 239-page PDF document with all 18 sections included. Each online section provide links to other very useful documents and references.
Designing an Anti-Corruption compliance program – a guide for Canadian Businesses
author: UN Global Compact Canada
All companies, large and small, are vulnerable to corruption, and the potential costs when they fail to combat corruption effectively in all its forms are considerable. The rapid development of rules of corporate governance in Canada and around the world is prompting companies to incorporate anti-corruption measures as part of their efforts to promote corporate sustainability, mitigate reputational risks, and protect the interests of their stakeholders.
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Business Principles for Countering Bribery
author: Transparency International
The Business Principles for Countering Bribery provide a framework for companies to develop comprehensive anti-bribery programmes. Whilst many large companies have no-bribes policies all too few implement these policies effectively. companies are encouraged to consider using the business principles as a starting point for developing their own anti-bribery programmes or to benchmark existing ones.
- Theme: Structuring an Anti-Corruption compliance program
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An anti-corruption ethics and compliance program for business – A practical guide
Author: United Nations Office on Drugs and Crimes
The United Nations Office on Drugs and Crime has developed this practical Guide on the steps companies may take to establish an effective anticorruption ethics and compliance programme. While actions will vary from company to company, the Guide focuses on basic common elements businesses should address, with a particular emphasis on the challenges and opportunities for small and medium-sized enterprises.
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Anti-Corruption Compliance Guidelines
author: Create.org
What international guidelines should you consider as part of a comprehensive anti-bribery compliance program? This complimentary resource from CREATE.org offers insights into the full range of guidelines along with practical recommendations for implementing an effective program. This guidebook will provide a detailed outline of the categories and components of an effective compliance program and compare them to the various leading standards and international guidelines for developing and benchmarking an anti-corruption compliance program.
MEDIA
The Business Case for Anti-Corruption Compliance
An Effective Anti-Corruption Compliance Program
Elements of Anti-Corruption Compliance: Part I
Elements of Anti-Corruption Compliance: Part II
Author: Center for International Private Enterprise (CIPE)
This video explains the business case for why companies in emerging markets that either already are, or aspire to be, in the value chains of global corporations should heed to anti-corruption compliance.
Author: Center for International Private Enterprise (CIPE)
This video provides an overview of what a corruption is, and an overview of best practices for implementing an anti-corruption system in a company.
Author: Center for International Private Enterprise (CIPE)
This video explains in detail the initial steps for instituting an effective compliance program including: risk assessment; policies & procedures; compliance infrastructure; and education & training.
Author: Center for International Private Enterprise (CIPE)
This video explains the final steps for instituting an effective compliance program including: monitoring & auditing; reporting & investigating; enforcement, discipline, and incentives; and response, prevention, and improvement.
Other Tools on Creating an Anti-Compliance Program
View all available tools. We also invite you to submit a new tool for our tool box.