Compliance and Ethics Program Toolkit

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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 998 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 998 standard requirements:

  1. Where will the industry be headed in the next few years and what impacts will developments have upon the future role of compliance and ethics professionals in your industry?

  2. Which action or behaviour is the most effective safeguard to reduce the threats against the compliance of the fundamental principles of ethics to an acceptable level?

  3. How can companies leverage the formal and informal parts of compliance and ethics programs to drive change and compliance throughout the multinational organizations?

  4. Does the existing corporate culture include values or practices that might undermine any new data ethics guidelines or increase the risk of non compliance?

  5. Do you demonstrate that your senior and middle managers are actively involved in the implementation and oversight of your ethics and compliance programs?

  6. Does your case management and resolution system give you real time data on the status of ongoing investigations and specific categories of incidents?

  7. Are ethics records maintained according to a documented record retention schedule that aligns with applicable regulations and organization policy?

  8. Is ethical conduct sufficiently highlighted in the work objectives of employees, and actual performance properly reported to the executive?

  9. What training should be provided to the Board of Directors and organizations Leadership to prepare it to become a commercial organization?

  10. Are the topics of ethics and compliance adequately addressed in an independent manner by systematic inclusion in internal audit activity?


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 998 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:

  1. Procurement Audit: Were no tenders presented after the time limit accepted?

  2. Project Scope Statement: Is your organization structure appropriate for the Compliance and Ethics Program projects size and complexity?

  3. Quality Audit: Quality is about improvement and accountability. The immediate questions that arise out of that statement are: (i) improvement on what, and (ii) accountable to whom?

  4. Human Resource Management Plan: Is the manpower level sufficient to meet the future business requirements?

  5. Cost Management Plan: Are all payments made according to the contract(s)?

  6. Quality Metrics: Is there a set of procedures to capture, analyze and act on quality metrics?

  7. Executing Process Group: What are some crucial elements of a good Compliance and Ethics Program project plan?

  8. Contractor Status Report: Who can list a Compliance and Ethics Program project as organization experience, your organization or a previous employee of your organization?

  9. Executing Process Group: What areas does the group agree are the biggest success on the Compliance and Ethics Program project?

  10. Team Member Performance Assessment: To what extent are systems and applications (e.g., game engine, mobile device platform) utilized?

 
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.