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The Complete Compliance and Ethics Manual 2022

Practical guidance to establish, maintain, and improve a compliance and ethics program from one trusted source

This trusted resource, written by more than 90 compliance and ethics experts and with more than 1,050 pages of content, provides practical guidance that enables a practitioner to establish, maintain, and improve a compliance and ethics program. 

The Complete Compliance and Ethics Manual (CCEM) features detailed analyses of critical aspects of compliance and ethics programs, practical tools, checklists, policies, and procedures to help compliance professionals improve program effectiveness and address a wide range of risk areas. 

New content in the 2022 manual includes: Content has also been updated in 41 areas including: 
  • Compliance in remote and hybrid environments
  • Antitrust compliance programs evaluated by the DOJ
  • OFAC's framework for compliance commitments
  • ESG leadership, Data safekeeping and the European Union.
  • Creating a code of conduct
  • Communicating values across cultures 
  • Board engagement, training, and reporting 
  • Hotline and whistleblowing reporting
  • Third-party risk management
  • Anti-corruption and anti-bribery
  • Conflicts of interest

  • Chapter 1: Overview of Compliance and Ethics Practice
    • The Role of Ethics, Compliance, and Culture in Reducing Risk of Misconduct
    • The Compliance and Ethics Profession: SCCE’s Code of Professional Ethics for Compliance and Ethics Professionals
    • Code of Professional Ethics for Compliance and Ethics Professionals
  • Chapter 2: Foundational Materials and Program Infrastructure
    • Essential Elements of an Effective Ethics and Compliance Program
    • APPENDIX 2-A: Sample Letter to Vendors
    • APPENDIX 2-B: Sample Nonretaliation/Nonretribution Policy
    • APPENDIX 2-C: Sample Compliance Officer Job Description
    • APPENDIX 2-D: Sample Audit Review Form
    • APPENDIX 2-E: Sample Confidentiality Statement
    • APPENDIX 2-F: Sample Hotline Information Sheet
    • APPENDIX 2-G: Sample Compliance Issue Follow-Up Form
    • APPENDIX 2-H: Glossary of Compliance-Related Terms
    • The History of the Organizational Sentencing Guidelines and the Emergence of Effective Compliance and Ethics Programs
    • Beyond the Sentencing Guidelines: Governing Directives, Guidelines, and Standards from the United States
    • Components of an Effective Compliance and Ethics Program
  • Chapter 3: Implementing a Program
    • Getting Started
      • Initial Steps for Building a Compliance and Ethics Program
      • APPENDIX 3-A: Compliance Program Implementation Action Plan
      • APPENDIX 3-B: Compliance Job Description
      • APPENDIX 3-C: Compliance Program Risk Inventory
      • APPENDIX 3-D: Sample Compliance Committee Charters
      • APPENDIX 3-E: Sample Policies and Procedures
      • Making the Business Case: Selling Compliance and Ethics to Management
      • Appendix 3-F: Benefits of a Compliance Program
    • Compliance Standards and Procedures
      • Creating a Code of Conduct
      • Communicating Values Across Cultures: Globalizing Your Code of Ethics
      • APPENDIX 3-G: General Checklist for Global Code Implementation
      • Developing and Implementing Policies for an Effective Program
      • APPENDIX 3-H: Sample Policy Prioritization Matrix
      • APPENDIX 3-I: Sample Policy Development Workflow
      • APPENDIX 3-J: Sample Policy Template
      • APPENDIX 3-K: Sample Policy Implementation Master Tracker
      • APPENDIX 3-L: Sample Communication Plan
    • Program Oversight and Management
      • Structuring the Chief Ethics and Compliance Officer and Compliance Function for Success: Six Essential Features of an Effective CECO Position and the Emergence of the Modern Compliance 2.0 Model
      • Board Engagement, Training, and Reporting
      • Yes, a Board can Positively Affect Culture: 10 Practical Actions
    • Delegation of Authority
      • Due Diligence in Hiring and Promotions: Implementation and Management
    • Education and Awareness
      • Essential Steps for Ethics and Compliance Program Branding and Marketing
      • APPENDIX 3-M: Branding and Marketing Resources
      • Training by Design
      • The Effectiveness of Compliance Training
      • Fraud Awareness Training: Enhancing a Low Cost, High Impact Control in Challenging Economic Times
      • 3M’s Transparency Journey: Using Ethics and Compliance Cases as Teaching Tools
      • Onboarding as a Key to an Effective Compliance Program
    • Auditing and Monitoring
      • Auditing and Monitoring
      • APPENDIX 3-N: Compliance Audit Plan Example
    • Internal Reporting Systems
      • Why Employees Don't Speak Up - And How to Fix It
      • Hotline and Whistleblowing Reporting Mechanisms
    • Investigation and Response
      • Creating an Organizational Investigations Program and Conducting Effective Workplace Investigations
      • APPENDIX 3-O: Checklist for Assessing Investigation Capabilities
      • APPENDIX 3-P: Sample Internal Investigations Policy
      • APPENDIX 3-Q: Sample Upjohn Warning
      • APPENDIX 3-R: Sample Evidence Collection Worksheet
      • APPENDIX 3-S: Sample Key Allegations Worksheet
      • APPENDIX 3-T: Key Facts Worksheet
      • APPENDIX 3-U: Sample Investigation Report Form 1
      • APPENDIX 3-V: Sample Investigation Report Form 2
      • APPENDIX 3-W: Sample Policy Against Retaliation
      • APPENDIX 3-X: Instructions to Witnesses
      • Independent Investigations Overseen by the Audit Committee: Procedures and Guidance
      • Root Cause Analysis: A Critical Ethics and Compliance Practice for Getting to Why
      • What to Do When the Government Comes Knocking
    • Discipline and Incentives
      • Employee Discipline and Compliance
      • Using Incentives in Your Compliance and Ethics Program
      • APPENDIX 3-Y: Evaluation Form
      • APPENDIX 3-Z: Recognition Letter
      • APPENDIX 3-AA: Ideas for Using Incentives in Compliance and Ethics Programs
    • Risk Assessment and Management
      • Compliance and Ethics Risk Assessments
      • How to Protect Compliance Risk Assessments from Unwanted Disclosure
      • Third-Party Risk Management: The Who, What, Why, When, and How
  • Chapter 4: Measuring Effectiveness
    • Compliance and Ethics Program Self-Assessment: Key Considerations
    • Appendix 4-A: Compliance and Ethics Program Self-Assessment Questions
    • Methods and Guidelines for Demonstrating Compliance Program Effectiveness
  • Chapter 5: Specific Compliance and Ethics Risks
    • Anti-Corruption and Anti-Bribery
      • Anti-Corruption and Anti-Bribery Compliance Programs
      • APPENDIX 5-A: Additional Resources on Anticorruption and Antibribery
      • APPENDIX 5-B: Considerations in Initially Planning or Reviewing Your Training Program
      • APPENDIX 5-C: Checklist for Managing Third-Party Risk
      • APPENDIX 5-D: Common Red Flags Indicating Heightened Potential for Corruption
      • The UK Bribery Act 2010
      • APPENDIX 5-E: Bribery Act Resources
      • A Global Standard to Address Bribery Risk: ISO 37001: Anti-Bribery Management Systems Standard
      • Anti-Corruption Laws/Regulations in Latin America
      • APPENDIX 5-F: Latin America Anti-Corruption Resources
      • Corporate Compliance in a Geopolitical World: OFAC’s Framework for Compliance Commitments
    • Anti-Money Laundering
      • Anti-Money Laundering Compliance Programs for Financial Institutions and Other Businesses
      • Customer Due Diligence and Beneficial Ownership
    • Antitrust/Competition Law
      • Federal Antitrust Law Risks
      • APPENDIX 5-G: Federal Antitrust Law Key Resources
      • Antitrust Compliance in Canada
      • Antitrust Compliance Programs as Evaluated by the Antitrust Division of the U.S. Department of Justice
    • Conflicts of Interest
      • Conflicts of Interest
      • APPENDIX 5-H: Sample Policy on Conflicts of Interest
      • Conflicts of Interest: Evaluating Outside Board of Director and Advisory Service Roles
      • Gifts and Entertainment Compliance
    • Entity-Specific Risk Management
      • Government Agencies: Effective Compliance and Ethics Programs are Necessary for Public Trust
    • Environmental Liabilities
      • Environmental Law and Compliance
      • APPENDIX 5-I: The Swords and the Shields of Corporate Environmental Crimes
      • APPENDIX 5-J: Sample Self-Assessment Questionnaire for Environmental Compliance Programs
      • Compliance Professionals as the New Face of ESG Leadership
    • Government Contracting and Relationships
      • Government Contractor Integrity and Responsibility—Risks and Opportunities in the Federal Marketplace
      • Compliance Overview: Corporate Involvement in the Federal Public Policy Arena
    • Government Enforcement Actions and Disclosures
      • Voluntary Disclosure, Mandatory Disclosure, and Government Engagement
      • Corporate Probation: The Use of Independent Monitors to Improve Compliance and Prevent Fraud
      • False Claims Act Risks
      • APPENDIX 5-K: False Claims Act References to Key Resources
    • Identity Verification
      • Compliance and Fake IDs: Complications of Checking ID and Confirming Identity
    • Labor/Employment
      • Wage and Hour Compliance Under Federal and State Laws
      • Harassment in the Workplace: Leadership Impact and the Role of the Compliance and Ethics Practitioner
      • Building Cultures of Integrity in Remote and Hybrid Environments
      • The Changing Landscape of Cannabis Legalization: Compliance and Ethics Program Challenges
    • Mergers and Acquisitions
      • Effective Ethics and Compliance Due Diligence during Mergers and Acquisitions
    • Privacy and Data Protection
      • A Data Privacy Compliance Program Primer: A Snapshot of Data Privacy Regulations, Risks, and Compliance and Risk Management Effectiveness Strategies
      • Does GDPR Apply to My Organization?
      • The Role of the Data Protection Officer in Europe
      • Privacy in the European Union: A Data Safekeeping Revolution
      • A New Decade in Data Privacy: Complying with the CCPA
      • Bring Your Own Device Policies and Practices
      • Cybervigilance in Establishing Security Cultures
      • Cyber Insurance Guidelines for Corporate Compliance and Ethics Executives and Boards of Directors
      • APPENDIX 5-L: Determining Your Company’s Cyber Insurance Needs
      • APPENDIX 5-M: How to Prepare for and Reduce Costs for Cyber Insurance
      • APPENDIX 5-N: Common Cyber Insurance Mistakes to Avoid
      • Data Mapping: A Necessary Risk Management Tool
      • Security Incident and Data Breach Response
    • Records Management and Retention
      • Creating an Effective Data and Information Governance Program
      • APPENDIX 5-O: Sample Data and Information Management Policy
      • APPENDIX 5-P: Sample Retention Schedule Excerpt
      • APPENDIX 5-Q: Sample Litigation Hold Notice
      • APPENDIX 5-R: Sample RIM Decision Tree Tool
    • Social Media
      • Social Media Compliance
      • APPENDIX 5-S: Sample Social Media Policy
    • Supply Chain
      • Human Trafficking Prevention in the Supply Chain
      • Complying with the SEC's Conflict Minerals Rule: An Overview for Compliance Professionals
    • Technology and Compliance
      • Artificial Intelligence and Corporate Compliance
      • The Relationship between Technology and Compliance
    • Trade Compliance
      • International Trade and Business: US Export Controls
      • APPENDIX 5-T: International Trade References and Links to Key Resources
Now you can get even more from this valuable resource with an online subscription or print bundle purchase
  • Content updates: While you remain a subscriber you will always have access to new and updated content that is annually released
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  • Free online access to United States Code through clickable citations - Learn more
  • Free online access to Code of Federal Regulations through clickable citations - Learn more 

 

  To learn more about this book, check out the following podcasts on the Compliance  Perspectives Podcast with Adam Turteltaub
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