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Writer
imi
[Date : 2014-03-31 00:00:00 ]   
Subject
United Nations Global Compact - A Guide for Anti-Corruption Risk Assessment

United Nations Global Compact, A Guide for Anti-Corruption Risk Assessment, September 2013

<Table of Contents>

A. About This Anti-Corruption Risk Assessment Guidance 8
B. Introduction and Background 10
B.1 Anti-Corruption Risk Assessment 10
B.2 Forms of Corruption 12
B.3 Influence on the Overall Anti-Corruption Compliance Programme 13
B.4 Personnel Typically Involved 15
B.5 Overall Responsibility and Leadership 15
B.6 Participants 15
C. Establish the Process 18
C.1 Introduction 18
C.2 Understanding the Issue 19
C.3 Planning
D Identifying Risk Factors, Risks, and Schemes 22
D.1 Data Collection 22
D.2 Identify the Risks 24
D.3 Corruption Risks in Specific Processes 24
D.3a Procurement 24
D.3b Sales 25
D.3c Import and export of goods 25
D.3d Government interaction 26
D.3e Political support 26
D.3f Security protocols 26
D.3g Social programs 26
D.3h Charitable contributions and sponsorships 26
D.4 Corruption Risks in Specific Countries 26
D.5 Industry Risks 27
D.6 Items to Include in a Risk Register 28
E. Rating the Probability and Potential Impact of Each 30
Corruption Scheme
E.1 Rating Probability of Occurrence 30
E.2 Rating Potential Impact of Occurrence 31
E.3 Rating Methods 31
E.4 Calculation of Inherent Risk 31
E.5 Who Should Be Involved in Inherent Risk Calculations? 32
E.6 When and How to Perform Inherent Risk Calculations 32
E.7 Including Inherent Risk Ratings in the Risk Register 32
F. Identifying Mitigating Actions, Controls, and Processes 34
F.1 Entity-Level vs. Scheme-Specific Controls 35
F.2 Preventative vs. Detective Controls 35
F.3 Anti-Corruption Control Mapping Frameworks 36
F.4 Including Mitigating Controls in the Risk Register 37
G. Rating Mitigating Controls and Processes 38
G.1 Internal Document Review and Evaluation 39
G.2 Live Interviews 39
G.3 ‘Compliance and Control Environment’ Surveys 39
G.4 Focus Groups and Workshops 39
G.5 Who Should Be Involved in Control Risk Rating Calculations? 39
G.6 Inclusion of Control Risk Rating in Risk Register 40
H. Calculating Residual Risk 42
H.1 Including Residual Risk in the Risk Register 43
I. Corruption Risk Response Plans 44
I.1 Comparison of Residual Risk to Risk Tolerance 44
I.2 Potential Responses to Residual Risks That Exceed Risk Tolerance 44
I.3 Corruption Risk Response Plan 44
I.4 Content of Response Plan 45
I.5 Leadership Buy-In 46
J. Summarizing and Reporting the Results of an Anti-Corruption 48
Risk Assessment
J.1 Heat Maps 48
J.2 Preparing a Summary Report 49
Appendices — Index 50
Appendix 1. UK Ministry of Justice Guidance to the Bribery Act 51
Appendix 2. Sample Sensitive Country Analysis Tool 52
Appendix 3. Sample Anti-Corruption Risk Assessment Interview and 53
Survey Topics
Appendix 4. Corruption Red Flags 54
Appendix 5. RESIST Methodology: Scenarios 55
Appendix 6. Sources for Analysing the Risk of Corruption by Country 56
Appendix 7. Sample Probability Scoring Matrix 57
Appendix 8. Sample Potential Impact Scoring Matrix 57
Appendix 9. Sample Multi-Factor Probability Scoring Matrix 58
Appendix 10. Sample Multi-Factor Potential Impact Scoring Matrix 59
Appendix 11. Sample Weighted Average Potential Impact and Probability 60
Rating Method
Appendix 12. Sample Qualitative Scale for Determining Inherent Risk 60
Appendix 13. Sample Quantitative Approach to Assessing Inherent Risk 61
Appendix 14. Examples of Anti-Corruption Controls 61
Appendix 15. Sample Scoring Matrix for Control Rating 63
Appendix 16. Sample Detailed Ratings Criteria for Control Rating 64
Appendix 17. Sample Qualitative Scale for Determining Residual Risk 70
Appendix 18. Sample Approach to Determining the Corruption Risk
Response Plan 71
Appendix 19. Sample Anti-Corruption Risk Assessment Summary Report 72

A Guide for Anti-Corruption Risk Assessment.pdf (1579 K)
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No Subject Read File Date Writer
53   NABIS 1p English Leaflet 785 14/06/25 Admin  
52   Siemens Integrity Initiative Annual Reports 2013 779 14/06/09 Admin  
51   Siemens Integrity Initiative Annual Reports 2012 542 14/06/09 Admin  
50   Siemens Integrity Initiative Annual Reports 2011 673 14/06/09 Admin  
49   Siemens Integrity Initiative's One-Page Project Profiles 777 14/03/31 Admin  
48   Office of the Comptroller General(OCDE) - Business Social Responsibility in Combating Corruption 768 14/03/31 Admin  
47   OECD - Building Public Trust : Ethics Measures in OECD Countries 724 14/03/31 Admin  
46   OECD - Sustainable Development, Business Ethics and The Financial Sector 767 14/03/31 Admin  
45   The Polish Chamber of Commerce of Medical Devices(POLMED) - The Code of Business Practice 735 14/03/31 Admin  
44   ADB/OECD Anti-Corruption Initiative for Asia and the Pacific - Korea’s Business Ethics Programs 576 14/03/31 Admin  
43   OECD - Good Practice Guidance on Internal Controls, Ethics, and Compliance 773 14/03/31 Admin  
42   G20 Seoul Summit - Anti-Corruption Action Plan 745 14/03/31 Admin  
41   OECD Forum 2010 - Business Ethics : Restoring Trust 843 14/03/31 Admin  
40   OECD - Business Ethics and Anti-Bribery Polices 848 14/03/31 Admin  
39   OECD - Integrity in Statebuilding : Anti-Corruption with a Statebuilding Lens 866 14/03/31 Admin  
38   OECD, UNODC, World Bank - Anti-Corruption Ethics and Compliance Handbook for Business 827 14/03/31 Admin  
37   OECD - Anti-Corruption Strategies and Integrity Training 850 14/03/31 Admin  
36   United Nations Global Compact - Reporting Guidance on the 10th Principle against Corruption 786 14/03/31 Admin  
35   United Nations Global Compact - A Guide for Anti-Corruption Risk Assessment 885 14/03/31 Admin  
34   Transparency International - Case story : Integrity Pacts 893 14/03/31 Admin  
33   United Nations Global Compact - Corporate Sustainability with Integrity 1017 14/03/31 Admin  
32   Principles for Responsible Management Education(PRME) - Anti-corruption Guidelines 869 14/03/31 Admin  
31   United Nations Global Compact - Call to Action to Governments from the Private Sector 847 14/03/31 Admin  
30   Principles for Responsible Management Education(PREM) - Business Schools Against Corruption 816 14/03/31 Admin  

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