What dashboards help to manage Anti-Bribery compliance risk?

Applies to: Health Check

CAN YOUR CURRENT ANTI-BRIBERY AUDIT TRACK ACTIONS, ISSUES AND RISKS IN REAL-TIME?

The Anti-Bribery Health Check leverages big data analytics to provide real-time drillable insights into actions, issues and risks through Operational Dashboards.

The Anti-Bribery Health Check comes with the following pre-defined big data analytics to provide meaningful insights and actionable business intelligence on key data points:

• Risk Materiality by Compliance Rating
• Priority by Compliance Rating
• Policy Name by Compliance Rating
• Policy Group Owner by Compliance Rating
• Policy Owner by Compliance Rating
• Policy Name by Risk Materiality
• Policy Group Owner by Risk Materiality
• Policy Owner by Risk Materiality
• Control Test Summary

Risk Materiality by Compliance Rating

The Risk Materiality by Compliance Rating dashboard was designed to identify obligations where the risk materiality for non-compliance is significant in relation to the compliance rating – for example, identify areas of non-compliance where the associated compliance risk is extreme, very high or high can assist in resource prioritisation activities to deliver the highest value outcome.

How do you ensure your resources are focused on where it matters most?

Priority by Compliance Rating

The Priority by Compliance Rating dashboard was designed to identify for each compliance rating what the priority is to ensure the organisation remains focused on addressing the highest priority compliance obligations.

How do you prioritise which compliance obligations to focus on?

Policy Name by Compliance Rating

The Policy Name by Compliance Rating dashboard was designed to identify and assess how well documented policies and procedures are at effectively addressing compliance obligations.

These graphs perform a count by policy name against the compliance rating so users can understand where deficiencies might exist in policy documentation and/or execution in addressing a particular compliance requirement.

How do you know which policies and procedures are working or not?

Policy Group Owner by Compliance Rating

The Policy Group Owner by Compliance Rating dashboard was designed to identify the functional owner(s) for each policy or procedure that aligns with meeting a particular compliance obligation and to assess the distribution of policies by compliance rating.

For example, where a review has highlighted a number of non-compliant obligations, this dashboard tracks back to the functional owner to identify how many policies that they may be identified as the owner for where the contents of these or execution is not satisfying the compliance requirement.

How do you track who owns a policy or procedure and the state of it’s compliance?

Policy Owner by Compliance Rating

The Policy Owner by Compliance Rating dashboard was designed to identify the individual owner(s) for each policy or procedure that aligns with meeting a particular compliance obligation and to assess the distribution of policies by compliance rating.

For example, where a review has highlighted a number of non-compliant obligations, this dashboard tracks back to the individual owner to identify how many policies that they may be identified as the owner for where the contents of these or execution is not satisfying the compliance requirement.

How do you track who owns a policy or procedure and the state of it’s compliance?

Policy Name by Risk Materiality

The Policy Name by Risk Materiality dashboard was designed to identify and assess how well documented policies and procedures are at effectively addressing higher risk materiality obligations.

These graphs perform a count by policy name against the risk materiality rating so users can understand where deficiencies might exist in policy documentation and/or execution in addressing a particular compliance requirement.

How do you ensure that your policies and procedures are addressing higher risk areas effectively?

Policy Group Owner by Risk Materiality

The Policy Group Owner by Risk Materiality dashboard was designed to identify the functional owner(s) of policies and the associated risk materiality if the organisation does not satisfy the compliance obligations.

Do you track who owns policies that address the highest materiality issues?

Policy Owner by Risk Materiality

The Policy Owner by Risk Materiality dashboard was designed to identify not just who is responsible for owning policies but for identifying the risk materiality if a particular policy or section of a policy document does not adequately address a compliance obligation.

Do you know which individual policy owners are responsible for which policies?

Control Test Summary

The Control Test Summary dashboard shows the distribution of the Control Tests across individual Anti-Bribery Health Checks and/or the overall distribution across all Anti-Bribery Health Checks.

The level of control testing is an indicator on the level of detail each Anti-Bribery Health Check has gone through during the independent review process and the distribution across the design effectiveness scale indicates where control design is either not present or fit for purpose, as well as, the distribution across the operational effectiveness scale indicating where controls were not implemented or not performing effectively, highlighting areas for improvement.