The Complete Compliance and Ethics Manual 2023

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