Description

Demonstrate effective communication about your Compliance Program

What is in your Compliance and Ethics Program?

What Are the goals of your organizations compliance program?

Does your compliance and ethics officer report to the board?

How does your organization address identified high risk areas?

How has your organization incentivized compliance and ethical behavior?

...Find the answers to these, and more, questions with this Compliance and Ethics Program Toolkit:

Know if your compliance program is effective.
Obtain information about your supply chain compliance requirements.
Review compliance with core policies and procedures developed in your area.
Measure the effectiveness of your Compliance and Ethics Programs.
Continuously improve your compliance function.
Get started figuring out how well your organization performs on information security.
Share data protection policies and procedures with others in your organization.
Start developing your ethics program today.
Build consensus between your objectives and your organizations objectives for the program.

HOW THIS TOOLKIT WORKS:

Save time, empower your teams and effectively upgrade your processes with access to this practical Compliance and Ethics Program Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Compliance and Ethics Program related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Compliance and Ethics Program specific requirements:

STEP 1: Get your bearings

Start with...

The latest quick edition of the Compliance and Ethics Program Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 995 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance and Ethics Program improvements can be made.

Examples; 10 of the 995 standard requirements:

Has documented specialized training been provided in each case of failure of operating controls or instances of noncompliance where lack of training is found to be the root cause of the failure?
Is the compliance officer a high ranking administrative officer at your organization who has direct access to executive management, including the chief administrative officer?
Is a management representative assigned responsibility for assuring and facilitating compliance with business ethics laws, regulations and codes across all of your facilities?
How can companies leverage the formal and informal parts of compliance and ethics programs to drive change and compliance throughout the multinational organizations?
Does the existing corporate culture include values or practices that might undermine any new data ethics guidelines or increase the risk of non compliance?
Do you demonstrate that your senior and middle managers are actively involved in the implementation and oversight of your ethics and compliance programs?
Do audit procedures or other control systems exist to test on a periodic basis for staff compliance with ethics policies or codes of conduct?
How do you get away from that and increase understanding, awareness and engagement while fulfilling your compliance/ethics requirements?
Does your organization have a code of professional ethics integrated within its personnel policies or corporate compliance program?
What are you doing to improve the environmental performance of your products, particularly to address the issue of climate change?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

The workbook is the latest in-depth complete edition of the Compliance and Ethics Program book in PDF containing 995 requirements, which criteria correspond to the criteria in...

Your Compliance and Ethics Program self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

The Self-Assessment Excel Dashboard; with the Compliance and Ethics Program Self-Assessment and Scorecard you will develop a clear picture of which Compliance and Ethics Program areas need attention, which requirements you should focus on and who will be responsible for them:

Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
Gives you a professional Dashboard to guide and perform a thorough Compliance and Ethics Program Self-Assessment
Is secure: Ensures offline data protection of your Self-Assessment results
Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:

STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Compliance and Ethics Program projects with the 62 implementation resources:

62 step-by-step Compliance and Ethics Program Project Management Form Templates covering over 1500 Compliance and Ethics Program project requirements and success criteria:

Examples; 10 of the check box criteria:

Monitoring and Controlling Process Group: Based on your Compliance and Ethics Program project communication management plan, what worked well?
Procurement Audit: Are procurement policies and practices in line with (international) good practice standards?
Human Resource Management Plan: Are the results of quality assurance reviews provided to affected groups & individuals?
Formal Acceptance: General estimate of the costs and times to complete the Compliance and Ethics Program project?
Human Resource Management Plan: Are changes in scope (deliverable commitments) agreed to by all affected groups & individuals?
Cost Management Plan: Are vendor invoices audited for accuracy before payment?
Procurement Management Plan: Are all payments made according to the contract(s)?
Activity Duration Estimates: Find an example of a contract for information technology services. Analyze the key features of the contract. What type of contract was used and why?
Project Schedule: Your Compliance and Ethics Program project management plan results in a Compliance and Ethics Program project schedule that is too long. If the Compliance and Ethics Program project network diagram cannot change and you have extra personnel resources, what is the BEST thing to do?
Stakeholder Analysis Matrix: Do recommendations include actions to address any differential distribution of impacts?

Step-by-step and complete Compliance and Ethics Program Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

1.1 Compliance and Ethics Program project Charter
1.2 Stakeholder Register
1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

2.1 Compliance and Ethics Program project Management Plan
2.2 Scope Management Plan
2.3 Requirements Management Plan
2.4 Requirements Documentation
2.5 Requirements Traceability Matrix
2.6 Compliance and Ethics Program project Scope Statement
2.7 Assumption and Constraint Log
2.8 Work Breakdown Structure
2.9 WBS Dictionary
2.10 Schedule Management Plan
2.11 Activity List
2.12 Activity Attributes
2.13 Milestone List
2.14 Network Diagram
2.15 Activity Resource Requirements
2.16 Resource Breakdown Structure
2.17 Activity Duration Estimates
2.18 Duration Estimating Worksheet
2.19 Compliance and Ethics Program project Schedule
2.20 Cost Management Plan
2.21 Activity Cost Estimates
2.22 Cost Estimating Worksheet
2.23 Cost Baseline
2.24 Quality Management Plan
2.25 Quality Metrics
2.26 Process Improvement Plan
2.27 Responsibility Assignment Matrix
2.28 Roles and Responsibilities
2.29 Human Resource Management Plan
2.30 Communications Management Plan
2.31 Risk Management Plan
2.32 Risk Register
2.33 Probability and Impact Assessment
2.34 Probability and Impact Matrix
2.35 Risk Data Sheet
2.36 Procurement Management Plan
2.37 Source Selection Criteria
2.38 Stakeholder Management Plan
2.39 Change Management Plan

3.0 Executing Process Group:

3.1 Team Member Status Report
3.2 Change Request
3.3 Change Log
3.4 Decision Log
3.5 Quality Audit
3.6 Team Directory
3.7 Team Operating Agreement
3.8 Team Performance Assessment
3.9 Team Member Performance Assessment
3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

4.1 Compliance and Ethics Program project Performance Report
4.2 Variance Analysis
4.3 Earned Value Status
4.4 Risk Audit
4.5 Contractor Status Report
4.6 Formal Acceptance

5.0 Closing Process Group:

5.1 Procurement Audit
5.2 Contract Close-Out
5.3 Compliance and Ethics Program project or Phase Close-Out
5.4 Lessons Learned

Results

With this Three Step process you will have all the tools you need for any Compliance and Ethics Program project with this in-depth Compliance and Ethics Program Toolkit.

In using the Toolkit you will be better able to:

Diagnose Compliance and Ethics Program projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
Implement evidence-based best practice strategies aligned with overall goals
Integrate recent advances in Compliance and Ethics Program and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance and Ethics Program investments work better.

This Compliance and Ethics Program All-Inclusive Toolkit enables You to be that person.

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

TRUSTED BY NEARLY 200.000 PROFESSIONALS:

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'After purchasing The Art of Service toolkit, I was able to identify areas where my company was not in compliance that could have put my job at risk. I looked like a hero when I proactively educated my team on the risks and presented a solid solution.'

'I usually work until at least 8pm on weeknights. The Art of Service questionnaire saved me so much time and worry that Thursday night I attended my sons soccer game without sacrificing my professional obligations.'

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Checklists:

Checklists:Compliance and Ethics Program Checklist Report on BOARD.pdf

Checklists:Compliance and Ethics Program Checklist Report on PROCESS.pdf

Checklists:Compliance and Ethics Program Checklist Report on CONTROLS.pdf

Checklists:Compliance and Ethics Program Checklist Report on COMPLIANCE.pdf

Checklists:Compliance and Ethics Program Checklist Report on DATA.pdf

Checklists:Compliance and Ethics Program Checklist Report on PROGRAM.pdf

Checklists:Compliance and Ethics Program Checklist Report on RISK.pdf

Checklists:Compliance and Ethics Program Checklist Report on AUDIT.pdf

Checklists:Compliance and Ethics Program Checklist Report on MANAGEMENT.pdf

Checklists:Compliance and Ethics Program Checklist Report on ORGANIZATION.pdf

STEP 1 Get your bearings:

STEP 1 Get your bearings:Compliance and Ethics Program Self-Assessment Pre-Filled EXAMPLE.xlsx

STEP 1 Get your bearings:Compliance_and_Ethics_Program_Quick_Exploratory_Self-Assessment_Guide.pdf

STEP 2 Set concrete goals tasks dates and numbers you can track:

STEP 2 Set concrete goals tasks dates and numbers you can track:Compliance and Ethics Program Self-Assessment.xlsx

STEP 2 Set concrete goals tasks dates and numbers you can track:Compliance_and_Ethics_Program.pdf

..and the Project Management resources in 'STEP 3: Implement, Track, follow up and revise strategy' as described above.

Who This Toolkit Is For

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Tried:

What have you tried so far to fix this? Is there pain of frustration to solve this all on your own?

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Compliance and Ethics Program Toolkit