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Compliance toolkit

Effective compliance resources

For companies wishing to expand, rapidly growing, or suddenly under pressure from regulators, GoodCorporation has developed a ‘toolkit’ of ethics and compliance resources.

The toolkit draws on GoodCorporation’s considerable expertise in building, embedding and evaluating ethics and compliance programmes in over 90 countries.

The resources can be quickly adopted into a functioning ethics and compliance programme suited to your company’s needs, risk profile and resources.

TOOL ONE : GOVERNANCE OF COMPLIANCE
TOOL TWO : CODE OF CONDUCT BENCHMARKING AND DESIGN ANALYSIS
TOOL THREE : COMPLIANCE POLICIES AND SUPPORTING DOCUMENTS
TOOL FOUR : ABC DUE DILIGENCE
TOOL FIVE : ABC RISK ASSESSMENT
TOOL SIX : TRAINING MATERIALS

Governance of compliance

The tool contains

  • An interactive session on governance led by a GoodCorporation expert
  • The deliverables include an organisation chart with reporting responsibilities along with the GoodCorporation Compliance Model explaining how the governance of compliance works

The tool is useful for

  • Assigning accountability for ethics and compliance
    within existing governance structures

We can also help

  • Help organisations with the design of the
    compliance programme and advise on best practice
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Code Of Conduct Benchmarking and Design Analysis

The tool contains

  • An assessment of your code of conduct against that of other organisations in the GoodCorporation benchmark
  • A set of metrics and charts

About this benchmark

  • Evaluates 162 principles for responsible business management in 50 organisations.
  • Based on the Institute of Business Ethics’ Illustrative Code
  • Evaluated against best practice

The tool is useful for

  • Ensuring your code of conduct covers areas where poor behaviour or decision-making could put you at risk

We can also help

  • Add industry and competitor codes to the benchmark
  • Draft a code of conduct
  • Help with the roll out and embedding of the code
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Compliance Policies and Supporting Documents 

The tool contains

Sample policies, process documents and registers in relation to the following compliance areas:

  • Anti-bribery and corruption
  • Due diligence
  • Gifts and hospitality
  • Conflicts of interest
  • Lobbying and relations with public officials
  • Sponsorship and charitable giving
  • Whistleblowing and investigations
  • Prevention of fraud
  • Anti-money laundering
  • Data protection
  • Antitrust
  • Economic sanctions

We can also help

  • Provide consulting support to tailor the materials
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ABC Due Diligence

The tool contains

  • A screening process for risk-rating third parties and the appropriate level of anti-bribery and corruption due diligence required
  • Due diligence questionnaire templates
  • A process for identifying red flags and putting in place appropriate mitigation measures

The tool is useful for

  • Carrying out risk-appropriate and robust due diligence
  • Complying with legal requirements to carry out due diligence

We can also advise on

  • Go/no go decisions
  • The use of third party screening tools
  • Communications programmes
  • Creating forums to share best practice
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ABC Risk Assessment

The tool contains

  • An impact-likelihood matrix – on which risk cards can be plotted
  • An explanation of how to score ‘impact’ and ‘likelihood’ on the impact-likelihood matrix
  • Risk registers to capture the risks recorded
  • A set of cards covering relevant bribery and corruption risks

The tool is useful for

  • Building an effective compliance programme
  • Helping to map your company’s risk exposure to identify specific risks that it might face
  • Designing effective mitigation measures
  • Prioritising risks
  • Using compliance resources effectively

We can also

  • Organise and run risk assessment workshops
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Training Material

The tool contains

  • ABC face-to-face and e-learning training materials
  • Data protection face-to-face training materials
  • Business Ethics face-to-face training materials

The tool is useful for

  • Training individuals and teams based on the relevant and current case studies, in a tailored and highly interactive way

We can also help

  • Organise and run the training sessions
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risk assessment graphic