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Toolkit: Compliance Program Evaluation and Benchmarking
This toolkit provides you with several tools that will assist you in evaluating and benchmarking your existing compliance program and measures. Auditing, monitoring, testing and measuring the value and efficacity of your compliance program is a critical component of an organisation’s commitment to ethics and compliance. Evaluation and benchmarking ensure that your program stays relevant, supports an ethical organisational culture, provides results and benefits and encourages continuous improvements.
Click on each tool to open their description and link. Please search the CCEAC toolbox for other related tools.
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The Best Use of Best Practices and Guidance Documents
- Although anti-corruption enforcement action is increasing all over the world, the US and UK are considered the jurisdictions with the most aggressive and prolific enforcement action. The global reach and extraterritoriality of anti-corruption laws have also increased the risk that a foreign company from any country could not only face prosecution in their own country but could face prosecution from US and UK authorities. As a result, most multi-national corporations, irrespective of their country of origin, have chosen to benchmark their compliance program to meet the guidance requirements of the US and UK anti-corruption laws guidance. With the introduction of the ISO 37001 (Anti-Bribery management system) standard and best practices documents from international bodies, organisations can now have access to reliable tools with which to evaluate and benchmark their compliance program.
- The guidance documents from the US and UK provide a good benchmark to evaluate existing compliance measures. Although designed to meet expectations of US and UK laws, these guidance documents are easily adaptable to any jurisdictions and signatories of the UN and OECD anti-Corruption conventions as they seek to benchmark compliance best practices. These documents however should not be used as a simple check sheet but as a measurement tool for organisations to evaluate the scope, gaps, impact, value and performance of their compliance program.
- Although no compliance program can eliminate bribery and corruption from occurring, a robust compliance program will help prevent, detect and deter wrongdoings. In jurisdictions where duty to prevent laws (UK, France, etc.) or a Deferred Prosecution Agreements (DPA) regime exist (US, CANADA, UK, etc.), companies are required to demonstrate to law enforcement and regulators the strength and rigour of their compliance to qualify for a DPA. As Canada, other countries and organisations publish guidance documents, CCEAC will add them to the toolbox.
Benchmarking and Guidance Tools from Regulatory Authorities from US and UK
Adequate Procedures – Guidance to UK bribery Act 2010
author: TI-UK
This Guidance from Transparency International UK is designed to assist companies to comply with the Bribery Act by providing clear, practical advice on good practice anti-bribery systems that in Transparency International’s opinion constitute ‘adequate procedures’ for compliance with the Bribery Act.
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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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Evaluation of Corporate Compliance Programs – US FCPA
author: US Department of Justice
Document outlining what the US DOJ looks for and assesses when evaluating the compliance program of a company under investigation. This document provides some important topics and sample questions that the US DOJ Fraud Section has frequently found relevant in evaluating a corporate compliance program. The topics and questions below form neither a checklist nor a formula. In any particular case, the topics and questions set forth below may not all be relevant, and others may be more salient given the particular facts at issue.
Adequate Procedures – Checklist to Guidance to UK Bribery Act 2010
author: TI-UK
This checklist document is the same list found the in the more detailed guidance document but is offered in a continuous checklist format with no explanation or narrative. It can serve as a working document for assessing the gaps of an existing program or providing a list of tasks for those trying to implement a new program.
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FCPA Guidance - A Resource Guide to US Foreign Corrupt Practices
author: US Department of Justice
Detailed compilation of information about the FCPA, its provisions, and enforcement. It is the product of extensive efforts by experts at DOJ and SEC, and has benefited from valuable input from the Departments of Commerce and State. It endeavors to provide helpful information to enterprises of all shapes and sizes – from small businesses doing their first transactions abroad to multi-national corporations with subsidiaries around the world.
Benchmarking White Papers, Articles and Reference Documents
Beating the Benchmark – A Comprehensive guide for assessing and benchmarking compliance program effectiveness
author: Convercent.com
Produced by Convercent.com, this document provides a wealth of practical information on compliance benchmarking in a easy to read and use format.
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A Review of Benchmarking Studies on Anti-Corruption Compliance Programs
author: International Anti-Corruption Academy (IACA)
This academic paper provides a comprehensive look at the most relevant methodologies in benchmarking an anti-corruption compliance program.
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Want To Measure Corporate Compliance – Look for the Dirty Socks
author: thebroadcat.com
A blog post from Broadcat.com that provides a practical look at key considerations when measuring the effectiveness of a compliance program.
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Anti-Corruption Compliance Guidelines Reference
author: Create.org
This Create.org org document is a summary of leading international standards and guidelines for developing and benchmarking an anti-corruption compliance program
Anti-Bribery & Corruption Benchmarking Report 2018
author: Kroll & Ethisphere
This 2018 edition of an annual report provides a snapshot of how anti-corruption compliance is being implemented by 448 multi-national companies and highlight current best practices and challenges for the compliance function.
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Why Anti-Corruption Programs Fail
author: Create.org
The CREATe.org whitepaper – Why Anti-Corruption Programs Fail: Turning Policies into Practices – outlines the top 10 reasons compliance programs fail; and provides practical steps to help companies commit, communicate and embed a compliance program across an organization.
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Anti-Corruption Compliance – Using KPIs to Mature and Manage Programs
author: Create.org
This whitepaper – Anti-Corruption Compliance: Using Key Performance Indicators (KPIs) to Mature and Manage Programs – features practical information and examples to enable companies to mitigate risks and better manage the performance of anti-corruption programs.
ISO 37001 Standard
ISO 37001 – Outline of the Standard
author: International Organisation for Standardization (ISO)
This document from ISO provides a good overview of components and requirement of the ISO 37001 standard
ISO 37001 – Anti-Bribery Management System Whitepaper
author: Professional Evaluation and Certification Board (PECB)
This document from PECB provides a comprehensive overview of the requirements of the ISO standard as well as the benefit and process of obtaining an accredited certification under this standard.
Other Tools on Compliance Program Evaluation and Benchmarking
View all available tools. We also invite you to submit a new tool for our tool box.