List of figures and tables |
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xii | |
Preface |
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xiii | |
About the authors |
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xvii | |
Acknowledgements |
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xix | |
How to use this book |
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xxi | |
Part One |
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01 Why compliance isn't working |
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5 | (16) |
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Fatal flaws and collateral damage |
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5 | (2) |
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7 | (1) |
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7 | (2) |
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9 | (1) |
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Compliance as impediment: doing the legal minimum |
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10 | (1) |
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11 | (1) |
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Making compliance effective |
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12 | (1) |
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What creates effective compliance? |
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13 | (1) |
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14 | (1) |
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Compliance, culture and ethics |
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14 | (1) |
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15 | (2) |
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10 reasons why compliance fails |
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17 | (3) |
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20 | (1) |
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02 The meaning, origins and role of compliance and ethics |
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21 | (20) |
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21 | (1) |
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Compliance: a short history |
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22 | (7) |
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29 | (1) |
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30 | (2) |
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What about 'business ethics'? |
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32 | (2) |
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34 | (1) |
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Compliance and ethics in practice |
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35 | (2) |
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So, what is a 'compliance and ethics programme'? |
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37 | (1) |
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The consequences of failure |
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38 | (1) |
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39 | (1) |
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39 | (2) |
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41 | (20) |
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41 | (1) |
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42 | (1) |
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Three attitudes: the sceptic, the champion and the in-betweener |
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43 | (2) |
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So... who is responsible for compliance? |
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45 | (1) |
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Psychology and human nature |
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45 | (1) |
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45 | (2) |
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Danger? What danger? Burning platforms |
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47 | (1) |
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48 | (2) |
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50 | (1) |
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51 | (5) |
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Resources: 'The cuckoo in the nest' |
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56 | (2) |
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Management time and attention |
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58 | (1) |
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Poor skills, bad approaches |
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59 | (1) |
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59 | (1) |
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60 | (1) |
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61 | (26) |
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61 | (2) |
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So is it all about culture? |
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63 | (1) |
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64 | (1) |
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65 | (1) |
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Personal versus business values |
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66 | (2) |
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68 | (1) |
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69 | (2) |
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71 | (1) |
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Compliance: with us, not against us |
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72 | (1) |
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73 | (1) |
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Integrated compliance and ethics |
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74 | (1) |
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A culture of responsible accountability |
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75 | (1) |
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Incentivizing accountability |
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76 | (1) |
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77 | (1) |
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A little nudge can deliver big change |
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78 | (1) |
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Technology: friend or foe? |
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78 | (1) |
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What if doing the 'right thing' ethically looks like the 'wrong thing' commercially? |
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79 | (2) |
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81 | (1) |
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Stop saying 'compliance'! |
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81 | (1) |
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81 | (1) |
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82 | (5) |
Part Two |
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05 The anatomy of a compliance and ethics programme |
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87 | (24) |
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87 | (1) |
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88 | (1) |
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What about small and medium-sized enterprises? |
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88 | (2) |
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90 | (1) |
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The nine components used in this book |
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91 | (9) |
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The role of Compliance and Ethics Committees |
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100 | (1) |
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101 | (1) |
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Useful sources of guidance |
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102 | (6) |
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Across the minefield: compliance and ethics meets real life |
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108 | (1) |
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109 | (2) |
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111 | (24) |
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111 | (1) |
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112 | (1) |
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112 | (1) |
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What senior leadership commitment looks like |
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113 | (8) |
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Looking for champions - and working with them |
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121 | (1) |
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What makes top-level commitment? |
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122 | (4) |
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126 | (1) |
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Top-level commitment as an 'enabler' |
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127 | (3) |
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Top-level commitment through 'enforcement' |
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130 | (1) |
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131 | (1) |
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Across the minefield: compliance and ethics meets real life |
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131 | (2) |
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133 | (2) |
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07 Risk assessment and due diligence |
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135 | (30) |
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135 | (1) |
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136 | (1) |
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The problem with assessing risk |
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137 | (1) |
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138 | (1) |
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What is 'reasonable risk management'? |
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139 | (1) |
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140 | (2) |
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Risk assessment in compliance and ethics programme planning and design |
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142 | (14) |
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Third parties' compliance programmes |
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156 | (4) |
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160 | (2) |
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Across the minefield: compliance and ethics meets real life |
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162 | (1) |
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163 | (2) |
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08 Code of conduct and policies |
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165 | (38) |
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165 | (2) |
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What is a code - and what is it for? |
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167 | (2) |
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The beginning, not the end |
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169 | (2) |
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How to create an effective code of conduct |
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171 | (4) |
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175 | (1) |
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How much detail should a code provide? |
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176 | (2) |
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'Never mind the supplier's own code - make them comply with ours' |
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178 | (2) |
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Some common but problematic policy areas |
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180 | (19) |
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When there's a conflict between your minimum standards and local culture or laws |
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199 | (1) |
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Across the minefield: compliance and ethics meets real life |
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200 | (1) |
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201 | (2) |
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09 Communication, education and training |
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203 | (24) |
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203 | (2) |
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Communication versus education and training |
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205 | (1) |
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205 | (1) |
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Training versus education |
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206 | (1) |
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Making training land with your audience |
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206 | (9) |
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Making e-learning more effective |
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215 | (1) |
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216 | (4) |
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Collective action - including communication with governments, ministries, local communities, NGOs, embassies |
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220 | (3) |
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223 | (1) |
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Across the minefield: compliance and ethics meets real life |
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223 | (2) |
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225 | (2) |
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10 Whistle-blowing hotline and speak-up culture |
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227 | (20) |
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The importance of whistle-blowing |
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227 | (1) |
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The problem with whistle-blowing |
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228 | (2) |
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The importance of creating a process people can trust |
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230 | (1) |
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Regional and cultural differences |
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231 | (2) |
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233 | (3) |
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Investigation and remediation of whistle-blowing cases |
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236 | (1) |
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What types of cases should be regarded or treated as 'whistle-blowing'? |
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237 | (1) |
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Why use an external whistle-blowing helpline? |
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238 | (2) |
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240 | (1) |
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240 | (1) |
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The importance of communicating success |
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241 | (3) |
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The characteristics of a speak-up culture |
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244 | (1) |
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Across the minefield: compliance and ethics meets real life |
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245 | (1) |
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246 | (1) |
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11 Procedures and controls |
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247 | (18) |
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What are 'procedures and controls', and what are they for? |
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247 | (1) |
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Identifying where procedures are necessary |
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248 | (1) |
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249 | (2) |
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Types of procedure and controls |
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251 | (3) |
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The dreaded compliance clause |
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254 | (3) |
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Some key procedures and controls specific to compliance and ethics |
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257 | (4) |
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Across the minefield: compliance and ethics meets real life |
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261 | (2) |
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263 | (2) |
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12 Investigations, remediation and enforcement |
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265 | (24) |
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When the need for an investigation arises |
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265 | (1) |
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The importance of enforcement |
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266 | (3) |
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Being fair, consistent and even-handed |
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269 | (1) |
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Having the right skills and guidance |
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270 | (1) |
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Managing investigations: some good practice guidance |
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271 | (11) |
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The investigator's perspective and the pitfalls to beware |
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282 | (4) |
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Across the minefield: compliance and ethics meets real life |
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286 | (1) |
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287 | (2) |
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13 Assurance and continuous improvement |
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289 | (22) |
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289 | (1) |
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290 | (1) |
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Implementing a compliance and ethics assurance framework |
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291 | (8) |
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Quantitative versus qualitative assurance |
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299 | (3) |
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An independent compliance monitor |
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302 | (1) |
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Measurement and reporting |
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303 | (2) |
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The road to continuous improvement |
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305 | (3) |
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Across the minefield: compliance and ethics meets real life |
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308 | (3) |
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14 Implementation: The Compliance and Ethics function and everyone else |
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311 | (32) |
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311 | (1) |
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The position of the Compliance and Ethics function in the organization |
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312 | (1) |
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Structuring the Compliance and Ethics function |
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313 | (8) |
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Examples of how compliance and ethics might be structured |
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321 | (3) |
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Centralized versus decentralized Compliance and Ethics function |
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324 | (1) |
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Centralized versus decentralized compliance and ethics programme |
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325 | (1) |
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Implementing a compliance programme in JVs, fiercely autonomous subsidiaries and conglomerates |
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326 | (2) |
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Deploying the right skills and resources |
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328 | (1) |
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The (very) ideal model of a chief ethics and compliance officer |
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329 | (3) |
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Role description for a chief ethics and compliance officer |
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332 | (2) |
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334 | (1) |
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Other specialist functional responsibilities |
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335 | (3) |
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338 | (1) |
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338 | (1) |
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So in the end, who is responsible for effective compliance? |
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339 | (1) |
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Across the minefield: compliance and ethics meets real life |
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339 | (2) |
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341 | (2) |
A final word: So what's the future of compliance and ethics? |
|
343 | (4) |
Index |
|
347 | |