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.
Anti-Corruption Self-Assessment Worksheet

Anti-Corruption Self-Assessment Worksheet

This document is an Anti-corruption self-assessment worksheet which aims to gather preliminary information related to local Anti-Corruption efforts and to assess potential legal and regulatory risks in each location. This template is comprised of 16 Anti-Corruption worksheets. Each Assessment worksheet is usually completed by the employee deemed the most knowledgeable with respect to each area. The information is being generated to assist in identifying legal risks, including and in respect to investigatory efforts.

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.

INFO: Legal Corruption

INFO: Legal Corruption

Paper authored by Daniel Kaufmann and Pedro C. Vicente.

We challenge the conventional definition of corruption as the ‘abuse of public office for private gain’, making a distinction between legal and illegal forms of corruption, and paying more attention to corporate patterns of corruption (which also affect public corruption). We undertake to identify general determinants of the pattern of legal and illegal corruption worldwide, and present a model where both corruption (modelled explicitly in the context of allocations) and the political equilibrium are endogenous. Three types of equilibrium outcomes are identified as a function of basic parameters, namely initial conditions (assets/productivity), equality, and fundamental political accountability. These equilibria are: i) an illegal corruption equilibrium, where the political elite does not face binding incentives; ii) a legal corruption equilibrium, where the political elite is obliged to incur on a cost to “deceive” the population, and, iii) a no-corruption equilibrium, where the population cannot be deceived. An integral empirical test of the model is performed, using a broad range of variables and sources. Its core variables, namely regarding legal corruption (and other manifestations of corporate corruption) come from an original survey developed with the World Economic Forum (in the Executive Opinion Survey 2004 of the Global Competitiveness Report). The empirical results generally validate the model and explanations. Some salient implications emerge.

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.