Completing the Anti-Bribery Healthcheck

The core functionality of the Anti-Bribery Healthcheck in this screen includes:

  • Compliance Question
  • Requirements Traceability
  • Response
  • Compliance Rating
  • Comments
  • Management Response
  • Adding Items
  • Adding Attachments
  • Searching and Navigation
  • Downloadable Templates

Compliance Questions

The Anti-Bribery Healthcheck contains a series of compliance questions, broken down by category and sub-category, based on pre-defined control objectives, which has been designed to assess compliance and the effectiveness of different control procedures against anti-bribery and corruption legislative obligations.

The control objectives are organised according to the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Framework and are aligned to the provisions of the Business Principles for Countering Bribery and the Partnering Against Corruption Principles for Countering Bribery (PACI Principles) and also utilises other industry best practice guidance including, the International Standard on Assurance Engagements (ISAE) 3000 and the assurance framework for corporate anti-bribery programmes issued by Transparency International.

The Anti-Bribery Healthcheck can either be used informally as a self-assessment, prior to the appointment of external auditors or can be used by seasoned  practitioners in performing independent assurance testing by assessing the compliance status against, hundreds of control procedures linked to the control objectives.

Control Objective Summary

Underneath the compliance question, is a reference and sub-reference which provides a summary of the control objectives and control procedure summary the review is being conducted against.

Response

This field documents the response to the compliance question, where the responder can outline the extent of existing policies, procedures, systems or controls that are in effect to mitigate against various anti-bribery and corruption compliance risks.

Compliance Rating

This feature captures the compliance rating against a specific compliance question including fully compliant, largely compliant, partially compliant, non-compliant and not applicable, which allows the reviewer to identify specific areas where compliance meets expectations, as well as, highlighting other areas that require further attention.

Comments

This field documents the comments the reviewer make against the compliance question.  This feature also retains a full audit history of comments made including the name of the commentator and the date/timestamp of when the comment was made which can be shown or hidden as required.

Management Response

This field documents the management responses to the comments made by the reviewer.  This may be used to acknowledge identified areas for improvement or may be used to provide further context to the reviewer.  This feature also contains a full audit history of comments.  In addition, responses can be solicited from specific users by selecting the username from the drop down and hitting send, which essentially assigns the item to the user which will be viewable in the items for attention list on the main login page.

Adding Items

This feature allows items (actions, issues or risks) to be added against a specific compliance obligation.  Once added, a link to the item is provided which is ‘drillable’, meaning that details of the item can be accessed by clicking on the link.

Adding Attachments

This feature allows attachments to be added against a specific compliance obligation to evidence compliance, for example, a reviewer may assess a compliance question as fully compliant and attach a fully documented policy and procedure that supports the compliance rating provided.

Searching and Navigation

The Anti-Bribery Healthcheck has different navigation features in-built including the ability to ‘jump’ between categories and sub-categories, which is helpful in navigating around the assessment which can contain hundreds of compliance questions.  In addition, there is a keyword search, as well as, searching by compliance rating, responder, serial number or whether the compliance question has an attachment.

Downloadable Templates

The Anti-Bribery Healthcheck comes with in-built downloadable templates, which can be managed within the settings feature.