Compliance Investigations Triage Matrix

Compliance Investigations Triage Matrix

The Compliance Investigations Workflow Triage helps categories workplace misconduct. Some of the misconduct warrant formal investigations; others less formal measures by relevant functional units or Human Resources. Complaints regarding workplace conduct fall into several categories. These include complaints that may violate the Code of Business Conduct and Ethics or legal requirements, allegations involving other policy violations, and concerns regarding workplace conduct more generally. This Triage Matrix identifies the division of labour in addressing these various concerns.

Anti-Corruption Risk Assessment Manual

Anti-Corruption Risk Assessment Manual

The Anti-Corruption Risk Assessment Manual seeks to provide a practical, step-by-step guidance on how to conduct an anti-corruption risk assessment. A risk assessment is important in determining the specific contours of an anti-corruption compliance program. Risk assessment is required to be a part of a compliance program.

This manual will guide the user through the 4 phases of a risk assessment which includes:

  • Determining the need for and scope of a risk assessment;
  • A mapping exercise to determine how the assessment should progress;
  • Conducting the assessment; and
  • Designing responses in light of the risk identified.
TOOL: CleanGovBiz Toolkit

TOOL: CleanGovBiz Toolkit

The Toolkit offers practical guidance on how corruption can best be tackled in multiple domains. It draws together relevant instruments to support the establishment of healthy systems of governance, prevent corrupt practices, detect corruption, prosecute delinquencies and remedy the consequences of corruption.

TOOL: Guidebook on anti-corruption in public procurement and the management of public finances

TOOL: Guidebook on anti-corruption in public procurement and the management of public finances

This Guidebook serves as a reference material for governments, international organizations, the private sector, academia and civil society, by providing an overview of good practices in ensuring compliance with article 9 of UNCAC, which requires establishing appropriate systems of public
procurement, as well as appropriate systems in the management of public finances.

The Guidebook starts with an overview of public procurement as a major risk area for corruption; an overview of UNCAC and public procurement; and a review of the most common forms of corruption in public procurement. Chapter I analyses the requirements of article  9 of UNCAC, in terms of the objectives of public procurement. The flow of the entire public procurement cycle (divided into the pre-tender, tender and post-tender stages) is discussed in chapter II, which maps important corruption risks and identifies examples of responses to these risks of corruption. It also covers remedy systems in public procurement, as well as further corruption-prevention strategies, such as electronic procurement. Chapter III analyses the requirements of article 9 of UNCAC in terms of the objectives of public finance systems. A series of good practice examples—two of which won the United Nations Public Service Award (UNPSA)—are covered in the final chapter, chapter IV. Annex I briefly introduces other standards and policies in the area of public procurement, which have been sponsored by other international organizations. Annex II includes a checklist for meeting minimum requirements set out by article 9 of UNCAC.

TOOL: Comprehensive Self-Assessment Checklist on the Implementation of the United Nations Convention Against Corruption

TOOL: Comprehensive Self-Assessment Checklist on the Implementation of the United Nations Convention Against Corruption

The UNCAC self-assessment checklist is an innovative approach to gather information on the implementation of the Convention. Rather than using paper-based questionnaires, UNODC has developed a user-friendly computer-based application to assess compliance with the Convention.

This application has empowered UNODC to make more effective use of information provided by States parties and signatories. Taking advantage of statistical functions, the Conference of the States Parties is now receiving detailed information on compliance rate and technical assistance needs against selected articles of the Convention

TOOL: Checklist of Anti-Corruption Measures in an Anti-Corruption Strategy

TOOL: Checklist of Anti-Corruption Measures in an Anti-Corruption Strategy

A very basic and short checklist from the World bank that can serve as guide for organizations aiming to verify their anti-corruption measures and strategies. Can also serve as a discussion paper for institutional reform.