THE PULSE: LIFE SCIENCES WEBINAR HOW COMPLIANT IS YOUR BUSINESS? A PROACTIVE APPROACH TO REGULATORY COMPLIANCE
|
|
|
- Chastity Hampton
- 8 years ago
- Views:
Transcription
1 THE PULSE: LIFE SCIENCES WEBINAR HOW COMPLIANT IS YOUR BUSINESS? A PROACTIVE APPROACH TO REGULATORY COMPLIANCE Dr. Simone Mitchell & Sammy Fang Tuesday 4 August 2015
2 Introductions and outline 1. The need for compliance audits. 2. Preparing the business for an audit. 3. Conducting the audit. 4. What do you do with the results? 5. Questions. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
3 1. THE NEED FOR COMPLIANCE AUDITS
4 1. The need for compliance audits What are the benefits? Identify potential risk exposures. Anticipate and prevent issues before they arise. Should result in increased awareness by employees, business partners and contractors of the obligations and requirements imposed by law, policies and procedures. Provide insight to allocating limited resources. Demonstrate a culture of compliance, including to regulators. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
5 1. The need for compliance audits Areas of focus: Anti-bribery and anti-corruption Transparency Anti-trust The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
6 1. The need for compliance audits Areas of concern: Interactions with HCPs. Interactions with government agencies and officials. Interactions with consumers. Interactions with advocacy groups. Charitable contributions. Interactions with wholesalers. Relationships with distributors. Involvement in industry bodies/medical associations. Joint ventures and other third party transactions. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
7 2. PREPARING THE BUSINESS FOR AN AUDIT
8 2. Preparing the business for an audit Identify areas of risk to be evaluated as part of the audit by considering: Internal and external risk factors. Previous audits and monitoring programmes. Known issues. Existing policies and procedures. Training. Volume of transactions/annual turnover. Level of processes and controls. Responsibility. Current risk areas from local market enforcement action. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
9 2. Preparing the business for an audit Planning and developing audit protocol 1. Obtain buy-in for the audit scope and methodology. 2. Developing audit protocol: background materials and audit overview audit teams and resources lead contacts for the audit data privacy and local law restrictions use of erooms for handling of data. 3. Conduct kick off meetings will all in-market business, legal and compliance leads and related parties. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
10 2. Preparing the business for an audit Planning and kick-off 1. Schedule status updates to all stakeholders. 2. Prepare questionnaire and data request. 3. Prepare communication explaining the audit to the business: mindful of local market considerations; and use of appropriate language for the local business. 4. Conduct pre-market calls with the business to better prepare for the audit. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
11 3. CONDUCTING THE AUDIT
12 3. Conducting an audit Paper/ Accounting Audit Interviews Reporting Implementation The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
13 3. Conducting an audit Paper audit Locate policies and other control documents. Identify other documents/ sources of information. Sampling can be random or targeted. Finalise audit work plan during this phase. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
14 3. Conducting an audit Forensic accounting audit Forensic accounting review by accounting firm. Walkthrough meetings with the local finance team. Select test samples. Conduct forensics review of selected transactions. Handover of audit results to legal team prior to interviews. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
15 3. Conducting an audit Interviews/ Transaction testing Determine who you will interview: business team third party vendors/distributors. Order of interviews can be important. Develop interview guidelines. Plan questions but be prepared to be flexible. Allocate enough time. Mindful of local cultural and regulatory considerations. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
16 4. WHAT TO DO WITH THE RESULTS?
17 4. What to do with the results? Speaker Programs Policy Speaker program policy exists but has not been socialised across the organisation Process Procedural documents are in DRAFT form and have not been finalised Documentation/Tools Control documentation is not being used as directed Audit No prior audits Monitoring Field monitoring via a well developed plan reach limited by manpower constraints Issues Issues with awareness and understanding of policy and procedures Tone from the top to the bottom How are policies implemented Speaker training occurs regularly but internal training is mainly for new employees only Dept. involved Various (e.g. HR, Compliance, Marketing, etc) The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
18 4. What to do with the results? Identify issue Assess & triage issue Implement follow up/corrective action Evaluate corrective action & related results The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
19 4. What to do with the results? Corrective action plan Define who owns the plan and ensure that it is properly documented. Communicate to business. Set out targeted timeline for completion. Schedule review of corrective action. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
20 4. What to do with the results? Link behaviours to incentive compensation models. Retrain staff. Monitor. Hold supervisors accountable: financial/ budgetary incentives heightened reporting obligations. Establish disciplinary model. Educate the business. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
21 Contact details Dr. Simone Mitchell Partner DLA Piper T simone.mitchell@dlapiper.com Sammy Fang Partner DLA Piper T sammy.fang@dlapiper.com This presentation is intended as a first point of reference and should not be relied on as a substitute for professional advice. Specialist legal advice should always be sought in relation to any particular circumstances and no liability will be accepted for any losses incurred by those relying solely on this presentation. The Pulse: Life Sciences Webinar - How Compliant is your business? 4 August
Privacy Update for Australian Government Agencies. What we've seen in the first 12 months of the new APPs and what's next!
Privacy Update for Australian Government Agencies What we've seen in the first 12 months of the new APPs and what's next! Presented by Sharon Rowe and Alec Christie Canberra, 31 March 2015 What we are
Compliance Risk Assessment and 3 rd Party Due Diligence & Monitoring
Advisory Services May, 2011 Compliance Risk Assessment and 3 rd Party Due Diligence & Monitoring Compliance Risk Strategy 3 rd Party Due Diligence 3rd Party Auditing The differing ways in which a company
Position Description. Department: Quantitative Research Direct Reports: Project Manager/Researcher Senior Researcher
Position Description Position Title: Research Director (Quantitative) Reports to: Executive Director, Research Department: Direct Reports: Project Manager/Researcher Senior Researcher Date: 03/10/2011
Overview on the Compliance Management System of Seves
Overview on the Compliance Management System of Seves Ref.v1 1. Chief Compliance Officer and Compliance Representatives 2. Risk Analysis and Risk Assessment 3. Documents 4. Trainings 5. Compliance Certificates
Office of Compliance and Ethics Introductory Report. Lynette Fons, Chief Compliance Officer
Office of Compliance and Ethics Introductory Report Lynette Fons, Chief Compliance Officer Why the Office of Compliance and Ethics was Created The City operates in a highly complex regulatory environment
BSBMKG506B Plan market research
BSBMKG506B Plan market research Revision Number: 1 BSBMKG506B Plan market research Modification History Not applicable. Unit Descriptor Unit descriptor This unit describes the performance outcomes, skills
Procurement Capability Standards
IPAA PROFESSIONAL CAPABILITIES PROJECT Procurement Capability Standards Definition Professional Role Procurement is the process of acquiring goods and/or services. It can include: identifying a procurement
APEC General Elements of Effective Voluntary Corporate Compliance Programs
2014/CSOM/041 Agenda Item: 3 APEC General Elements of Effective Voluntary Corporate Compliance Programs Purpose: Consideration Submitted by: United States Concluding Senior Officials Meeting Beijing, China
Anti-Money Laundering controls in Mergers & Acquisitions
White Paper Anti-Money Laundering controls in Mergers & Acquisitions June 2014 Anti-Money Laundering controls in Mergers & Acquisitions Authors: Ana L. Pereira and Ana Maria H. de Alba Caveat emptor let
2016 The global ABB integrity program. www.abb.com/integrity
2016 The global ABB integrity program www.abb.com/integrity Tone from the Top Don t Look the Other Way A culture of integrity is a prerequisite for a world-class business. Many valuable customers choose
Mitigating risk in M&A transactions in Australia
Mitigating risk in M&A transactions in Australia Jacques Jacobs, Partner Bryan Pointon, Partner/ Head of Corporate Asia Pacific and James McCarthy, Senior Associate, DLA Piper Outline Introduction Seller-side
Seattle Public Schools The Office of Internal Audit
Seattle Public Schools The Office of Internal Audit Internal Audit Report September 1, 2013 through April 30, 2013 Issue Date: June 19, 2014 Executive Summary Background Information Seattle Public School
DRAFT. Anti-Bribery and Anti-Corruption Policy. Introduction. Scope. 1. Definitions
DRAFT Change History: Anti-Bribery and Anti-Corruption Policy Control Risks Group Ltd Commercial in confidence Introduction This document defines Control Risks policy on the avoidance of bribery and corruption.
Network Capability Proposal
28 January 2015 South Australia s electricity transmission specialist Network Capability Proposal Stakeholder Round Table Simon Appleby, SM Regulation & Land Development Bill Jackson, Pricing Manager Brad
6/22/2012. Governance, cost management, transparency and fairness. Does your Performance Management Work? Simone Martina
Governance, cost management, transparency and fairness. Does your Management Work? Simone Martina 1 A Solid Platform Key Features Investment Experience since 1928 Pioneer Fund, the third oldest mutual
Foreign business partners under the FCPA
Foreign business partners under the FCPA by Tom Fox 1 TITLE about the writer Thomas Fox has practiced law in Houston for 25 years. He is now assisting companies with FCPA compliance, risk management and
Legal Considerations: Best Practice Overview. EMPLOYMENT GROUP: DLA Piper UK LLP
SENIOR EXECUTIVE ISSUES Legal Considerations: Best Practice Overview EMPLOYMENT GROUP: DLA Piper UK LLP Senior executives have a massive impact on all aspects of a business: from setting and delivering
DIGITAL RIVER, INC. FOREIGN CORRUPT PRACTICES ACT AND ANTI-BRIBERY POLICY. (Adopted by resolution of the Board of Directors on December 1, 2011)
DIGITAL RIVER, INC. FOREIGN CORRUPT PRACTICES ACT AND ANTI-BRIBERY POLICY (Adopted by resolution of the Board of Directors on December 1, 2011) Digital River, Inc. and our affiliates ( DR ) must comply
Environment Sustainability & Highways
Job Title: ICT Contract Manager Job Grade: Band 5 Directorate: Environment Sustainability & Highways Job Reference Number: P01265 The Role The ideal candidate for this role would be a perceptive, technically
Guide on Developing a HRM Plan
Guide on Developing a HRM Plan Civil Service Branch June 1996 Table of Contents Introduction What is a HRM Plan? Critical Success Factors for Developing the HRM Plan A Shift in Mindset The HRM Plan in
Insurer audit manual
Insurer audit manual Disclaimer This publication may contain work health and safety and workers compensation information. It may include some of your obligations under the various legislations that WorkCover
Position Description
Position Description Position Title Human Resources Officer Position No 5023 Directorate Department Unit Appointment Type Chief Executive Officer Organisational Development Human Resources Permanent Full
How to gather and evaluate information
09 May 2016 How to gather and evaluate information Chartered Institute of Internal Auditors Information is central to the role of an internal auditor. Gathering and evaluating information is the basic
Global Compliance Programme Operational Issues: Infrastructure, Monitoring, Auditing and Managing with Limited Resources
Global Compliance Programme Operational Issues: Infrastructure, Monitoring, Auditing and Managing with Limited Resources Julien Durand Director, Global Compliance Implementation, AstraZeneca PLC, London
A Best Practice Guide
A Best Practice Guide Contents Introduction [2] The Benefits of Implementing a Privacy Management Programme [3] Developing a Comprehensive Privacy Management Programme [3] Part A Baseline Fundamentals
BEST PRACTICE GUIDE 6: ESTABLISHING CONTRACTS. RDTL MINISTRY OF FINANCE Procurement Service
RDTL MINISTRY OF FINANCE Procurement Service BEST PRACTICE GUIDE 6: ESTABLISHING CONTRACTS 1 RDTL Procurement Guidelines The Procurement Legal Regime Decree Law sets out new procurement processes which
OCCUPATIONAL GROUP: Facilities Support. CLASS FAMILY: Facility Management CLASS FAMILY DESCRIPTION:
OCCUPATIONAL GROUP: Facilities Support CLASS FAMILY: Facility Management CLASS FAMILY DESCRIPTION: This family of positions includes those whose purpose is to oversee the operations of or the construction
Data Protection HEADLINE PART Developments: Implications HEADLINE for the PART Insurance 2 Sector Strategies for Compliance
Data Protection HEADLINE PART Developments: 1 Implications HEADLINE for the PART Insurance 2 Sector Strategies for Compliance Sub-headline Arial 18pt dark gray Optional Name Arial 13pt italic white Venue
Global Compliance Audit
WHITE PAPER Global Compliance Audit Understanding the Critical Importance of FCPA and Export Management Compliance 333 Route 46 West Suite 200 Mountain Lakes, NJ 07046 1.866.611.7874 973.808.3366 fax 973.227.1873
UK CIA Sustainable Health Metrics Indicator Tool
UK CIA Sustainable Health Metrics Indicator Tool A tool to promote establishing a sustainable healthy workplace One easy to use tool Simple questionnaire enables self-assessment and reporting of key aspects
Saskatoon North Partnership for Growth (P4G) Draft Communications and Engagement Strategy
Saskatoon North Partnership for Growth (P4G) Draft Communications and Engagement Strategy Introduction This Communications and Engagement Strategy (Strategy) sets the communications and engagement framework
Current Employment Opportunities Full Time Staff. Current Vacancies: I. Senior Project Manager / Project Manager... 2
Current Vacancies: I. Senior Project Manager / Project Manager... 2 I. Senior Project Manager / Project Manager Introduction Maxwell Stamp PLC (MSP) is recognised as one of the world s leading development
Leading Experts in Employment Law, Industrial Relations and best practice Human Resource Management in Ireland
Leading Experts in Employment Law, Industrial Relations and best practice Human Resource Management in Ireland Who We Are Established in 2003, we are one of Ireland s best-known and respected providers
Performance management program
Performance management program For Queensland workers compensation insurers First issued: 28th October 2003 Due for review: June 2012 Version 6 State Government of Queensland (Q-COMP) 2009 Contents Introduction...3
Bring Your Own Device Assessment
Lot 4 Service Specification Bring Your Own Device Assessment OVERVIEW Bring Your Own Device (BYOD) is the fastest growing mega trend in the IT industry. CIOs are under pressure as employees demand to use
Criminal Injuries Compensation Authority. Data protection audit report
Criminal Injuries Compensation Authority Data protection audit report Executive summary January 2016 1. Background The Information Commissioner is responsible for enforcing and promoting compliance with
Government of Trinidad and Tobago
Ref #: A007 Government of Trinidad and Tobago JOB DESCRIPTION CONTRACTUAL POSITION JOB TITLE: HEAD HUMAN RESOURCE JOB SUMMARY: The incumbent is required to provide overall management and coordination of
Strategic HR Value Proposition
Strategic HR Value Proposition Lise Ann Ebert, MSL, PHR, SHRM-CP Director of Human Resources The Indiana Rail Road Company Building a Road Map for Doing More with Less as a Strategic Business Partner Purpose
Becoming Reactively Proactive Rethinking compliance risk management in today's environment
Becoming Reactively Proactive Rethinking compliance risk management in today's environment J.H. Caldwell Partner Regulatory & Risk Strategies John Graetz Principal Governance, Regulatory & Risk Strategies
(Financial Accounting Team)
Job Title: Accounting Technician (Financial Accounting Team) Job Grade: Band 3 Band 4 Directorate: Finance Job Reference Number: P02279 The Role As part of the Financial Compliance Team, you will report
BIG LOTTERY FUND Document archive and retention policy
BIG LOTTERY FUND Document archive and retention policy December 2010 Sonia Howe Head of Information Governance For further information regarding retention schedules please contact Page 1 of 18 Version
Care Providers Protecting your organisation, supporting its success. Risk Management Insurance Employee Benefits Investment Management
Care Providers Protecting your organisation, supporting its success Risk Management Insurance Employee Benefits Investment Management Care providers are there to help those in need. But who helps the care
HR Service Partner (Specialist Services & Regional Offices) Location: Shared Services, SVP House Sean McDermott Street, Dublin 1
Job Description Job Title: Job Holder: Reports To: HR Service Partner (Specialist Services & Regional Offices) Vacant Head of Human Resource Shared Services Location: Shared Services, SVP House Sean McDermott
Consulting in Procurement April 2015
Consulting in Procurement April 2015 Introductions Meet the team Leon Smith Director Shauna Gallagher Manager Mick Davies Senior Manager Chris Croisdale Manager 2 Background & context Objectives of the
Compliance. Group Standard
Group Standard Compliance Serco is committed to good governance practices and the management of risks supported by a robust business compliance process SMS-GS-G2 Compliance July 2014 v1.0 Serco Public
RMBC s Governance Framework for Significant Partnerships
RMBC s Governance Framework for Significant Partnerships 1.0 Introduction 1.1 Corporate governance describes how organisations direct and control what they do. For a council, this includes how it relates
Share with a colleague. 27 June 2012 London. Contact. Graham More Partner +44 20 7466 2002. Susannah Cogman Partner +44 20 7466 2580
Page 1 of 5 Transparency International issues Anti-Bribery guidance on due diligence for Transactions Transparency International ("TI") has issued guidance for anti-bribery due diligence in mergers, acquisitions
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
. Board Charter - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 1. Interpretation 1.1 In this Charter: Act means the Companies
Kenya Revenue Authority (KRA) Chief Manager - Strategy, Planning and Policy
Kenya Revenue Authority (KRA) Chief Manager - Strategy, Planning and Policy Job details Reference Number: KRA/HR01/14 Job Title: Chief Manager - Strategy, Planning and Policy Supervisor: Deputy Commissioner
D-G4-L4-231 Data Governance Assessment Design and Implementation Deloitte LLP Service for G- Cloud IV
D-G4-L4-231 Data Governance Assessment Design and Implementation Deloitte LLP Service for G- Cloud IV September 2013 Contents 1 Service Overview 1 2 Detailed Service Description 4 3 Commercials 8 4 Our
PROJECT MANAGEMENT FRAMEWORK
PROJECT MANAGEMENT FRAMEWORK DOCUMENT INFORMATION DOCUMENT TYPE: DOCUMENT STATUS: POLICY OWNER POSITION: INTERNAL COMMITTEE ENDORSEMENT: APPROVED BY: Strategic document Approved Executive Assistant to
Talent Management and OD Specialist
Position Employee category level Department Reporting to Line reports Purpose of the role Key Responsibilities Talent Management and OD Specialist Professionally qualified HR professional and experienced
THE HONG KONG HOUSING AUTHORITY. Memorandum for the Human Resources Committee. First Progress Report on Human Resource Management Plan Implementation
HRC 6/98 (MEP/HRM Paper 1/98) THE HONG KONG HOUSING AUTHORITY Memorandum for the Human Resources Committee First Progress Report on Human Resource Management Plan Implementation PURPOSE The purpose of
Human Resources Advisor 12 month fixed term contract
Human Resources Advisor 12 month fixed term contract About the HCPC The Health and Care Professions Council (HCPC) is the regulator of 16 different health and care professions. We were set up to protect
REQUESTS FOR PROPOSAL RFP TGF-16-017. Title: Professional Services for the Implementation of the Board Governance Performance Assessment Framework
REQUESTS FOR PROPOSAL RFP TGF-16-017 Title: Professional Services for the Implementation of the Board Governance Performance Assessment Framework Issue Date: March, 9th 2016 RFP Submission Date: March,
Diploma of Business Administration BSB50415
Diploma of Business Administration BSB50415 Unit Descriptions & Evidence Required to Demonstrate Competency 8 Units 8 Elective Units Agenda Course Description... 3 Job roles... 3 Pathways Information...
Consequence Management
Group Standard Consequence Management Serco is committed to creating an open and transparent environment, where good behaviour is rewarded and where employees feel safe in the knowledge that poor behaviour
National Occupational Standards. Compliance
National Occupational Standards Compliance NOTES ABOUT NATIONAL OCCUPATIONAL STANDARDS What are National Occupational Standards, and why should you use them? National Occupational Standards (NOS) are statements
CareNZ Job Description GENERAL MANAGER HUMAN RESOURCES
CareNZ Job Description GENERAL MANAGER HUMAN RESOURCES Responsible to: Responsible for: Chief Executive HR and Payroll Administrator HR Interns and Volunteers Dimensions Location of work Other information
PRIMARY RESPONSIBILITIES. 1 Compliance with statutory obligations, application of Shire policies & procedures and achievement of Shire objectives.
POSITION DESCRIPTION TRIM Number: E11/220 POSITION: HUMAN RESOURCE MANAGEMENT OFFICER The VALUES of The Shire Serpentine Jarrahdale Communication Accountability Trust Commitment to Service Honesty POSITION
OCCUPATIONAL GROUP: Social Services. CLASS FAMILY: Social Service Programs CLASS FAMILY DESCRIPTION:
OCCUPATIONAL GROUP: Social Services CLASS FAMILY: Social Service Programs CLASS FAMILY DESCRIPTION: This family of positions includes those whose purpose is to plan, develop, implement, monitor and evaluate
Changes to Consumer Credit Regulation
A Guide for Motor Dealers Introduction Motor Dealers are invariably also credit brokers and are currently required to be licensed by the Office of Fair Trading (OFT) for (at least) their credit broking
Sub-section Content. 1 Formalities - Post title: Risk Consultant - Reports to: Head of Group Risk - Division: xxx - Location: xxx
Sub-section Content 1 Formalities - Post title: Risk Consultant - Reports to: Head of Group Risk - Division: xxx - Location: xxx 2 Job Purpose - To support the implementation of an Enterprise Risk Management
Professional Certificate in Ethics and Anti-Corruption Compliance
in partnership with Professional Certificate in Ethics and Anti-Corruption Compliance Maxwell Chambers, Singapore, November 18th & 19th 2015 Enhance & develop your understanding of Ethics & Compliance
Internal Audit (policy & procedure)
Internal Audit (policy & procedure) Objective (purpose) The purpose of this document is to ensure the Crime and Corruption Commission s (CCC) internal audit function operates efficiently and effectively
Our Services. Employment, Industrial Relations and Occupational Health and Safety
k Industrial Relations and Occupational Health and Safety There are two primary choices in life: to accept conditions as they exist, or accept the responsibility for changing them. Dr. Denis Waitley IR
Strategy and pilot phase for patient registries
Strategy and pilot phase for patient registries Draft still under discussion Industry Stakeholder Platform - Operation of EU Pharmacovigilance Legislation 12 January 2015 Xavier Kurz, Head of Monitoring
Conducting due diligence and managing cybersecurity in medical technology investments
Conducting due diligence and managing cybersecurity in medical technology investments 2015 McDermott Will & Emery LLP. McDermott operates its practice through separate legal entities in each of the countries
KNOW YOUR THIRD PARTY
Thomson Reuters KNOW YOUR THIRD PARTY EXECUTIVE SUMMARY The drive to improve profitability and streamline operations motivates many organizations to collaborate with other businesses, increase outsourcing
Align Technology. Data Protection Binding Corporate Rules Processor Policy. 2014 Align Technology, Inc. All rights reserved.
Align Technology Data Protection Binding Corporate Rules Processor Policy Confidential Contents INTRODUCTION TO THIS POLICY 3 PART I: BACKGROUND AND ACTIONS 4 PART II: PROCESSOR OBLIGATIONS 6 PART III:
Position paper workplace health and safety governance
Institutional Business Position paper workplace health and safety governance Management of social, environmental and corporate governance risk is integral to the creation of long term and sustainable shareholder
CIB Regulatory Change Management:
CIB Regulatory Change Management: Challenges, Framework and Approach Summary Executive Summary Complex Regulatory Landscape Balancing Regulatory Costs and Risks Key Challenges: Regulatory Cost Transparency
RISK AND COMPLIANCE COMMITTEE CHARTER
1. GENERAL SCOPE AND AUTHORITY 1.1 Introduction This charter governs the operations of the Risk & Compliance Committee of Redflex Holdings Limited (RHL or Company). 1.2 Purpose The Risk & Compliance Committee
ANTI-BRIBERY AND CORRUPTION POLICY
ANTI-BRIBERY AND CORRUPTION POLICY OBJECTIVES Woodside is committed to conducting its business and activities with integrity. To achieve this objective: Woodside will not engage in corrupt business practices;
Internal Audit Report Credit Cards (C4/69, C4/70)
INFORMATION REPORT Audit Committee 20 October 2011 Governance and Compliance Internal Audit Report Credit Cards (C4/69, C4/70) As part of the 2011 Internal Audit Plan an audit was undertaken on the Credit
POSITION DESCRIPTION, PERFORMANCE MEASURES AND TARGETS
POSITION DESCRIPTION, PERFORMANCE MEASURES AND TARGETS Attachment 1 Position Title: Programs & Client Relations Manager Responsible to: Chief Executive Officer Responsibility: Programs Management and Client
Bradford University School of Management. Organisational Overview. Proposed MBA Project Project title Environmental Management and ISO 14000
MBA Project Proposal Bradford University School of Management Name of organisation Address Type of business Organisational Overview Incommunities, propertysolutions The Old School, Wrose Brow Road, Shipley
Before you begin. Topic 1: Research planning requirements 1. Topic 2: Develop human resource strategic plan 37
Contents Before you begin vii Topic 1: Research planning requirements 1 1A Analyse strategic plans to determine human resource strategic direction, objectives and targets 2 1B Undertake additional environmental
Human Resources Officer
Human Resources Officer About the HCPC The Health and Care Professions Council (HCPC) is the regulator of 16 different health and care professions. We were set up to protect the public. To do this, we
PERARES PROJECT EVALUATIONS
PERARES PROJECT EVALUATIONS The checklist and survey forms in the following pages are proposed for use in 2012 2014 by Perares partners in evaluation of projects they undertake within Perares or independently
CASSESSMENT OF CONTRACTOR COMPETENCE & RRESOURCES CDM REGULATIONS 2016. Please complete and return this questionnaire: By (date) To (name) Email
Please complete and return this questionnaire: By (date) To (name) Email 1.0 Contractor Details Name of Contractor Date Address of Contractor Telephone Email Website Activities of Business Number of employees
Vermont Energy Investment Corporation (VEIC), a nonprofit organization, requests proposals for Website Content Strategy for Efficiency Vermont.
Notice Type: Request for Proposal Short Title: Website Content Strategy for Efficiency Vermont Posted date: 7/18/ 2014 E-mail response date: 7/28/2014 Decision: 7/30/2014 Introduction Vermont Energy Investment
Morgan Stanley. Policy for the Management of Third Party Residential Mortgage Servicing Providers
Morgan Stanley Policy for the Management of Third Party Residential Mortgage Servicing Providers Title Policy for the Management of Third Party Residential Mortgage Servicing Providers Effective Date Owner
Appendix 1: General regulatory questions
Appendix 1: General regulatory questions ACCA regulates its members and students with due regard for the principles of better regulation. Regulatory procedures are proportionate and transparent, with hearings
Cardiff Council. Data protection audit report. Executive summary June 2014
Cardiff Council Data protection audit report Executive summary June 2014 1. Background The Information Commissioner is responsible for enforcing and promoting compliance with the Data Protection Act 1998
INTRODUCTION. The Merlin Principles. The Elements of each Principle
0 INTRODUCTION The development of the Merlin Standard has been progressed as a joint exercise between the Department for Work and Pensions (DWP) and its providers operating in the Welfare to Work (W2W)
COCA-COLA HELLENIC BOTTLING COMPANY RISK MANAGEMENT POLICY
COCA-COLA HELLENIC BOTTLING COMPANY RISK MANAGEMENT POLICY 1. INTRODUCTION The effective management of risk is central to the ongoing success and resilience of Coca-Cola Hellenic Bottling Company (CCHBC).
Corporate Code of Conduct
1. Background Corporate Code of Conduct 1.1. For over a century, the Swire group of companies has been recognised as acting responsibly in the course of achieving its commercial success. Our reputation
PROTIVITI FLASH REPORT
PROTIVITI FLASH REPORT Even Retailers and Consumer Products Manufacturers Must Manage Compliance with the U.S. Foreign Corrupt Practices Act and Other Anti-Bribery Laws May 3, 2012 Recent reports of alleged
EPA Victoria Engagement Policy ENVIRONMENT PROTECTION AUTHORITY
EPA Victoria Engagement Policy ENVIRONMENT PROTECTION AUTHORITY The aspirations of the people of Victoria for environmental quality shall drive environmental improvement Environment Protection Act 1970
Qualification in Internal Audit Leadership (QIAL ) Exam Syllabus
QIAL SYLLABUS MARCH 2015 Qualification in Internal Audit Leadership (QIAL ) Exam Syllabus The QIAL assessment comprises five sections: Case study 1*: Internal Audit Leadership (3 hours and 45 minutes)
Enabling efficiency through Data Governance: a phased approach
Enabling efficiency through Data Governance: a phased approach Transform your process efficiency, decision-making, and customer engagement by improving data accuracy An Experian white paper Enabling efficiency
Information Commissioner's Office
Phil Keown Engagement Lead T: 020 7728 2394 E: philip.r.keown@uk.gt.com Will Simpson Associate Director T: 0161 953 6486 E: will.g.simpson@uk.gt.com Information Commissioner's Office Internal Audit 2015-16:
MANAGING CYBERSECURITY INVESTIGATIONS
MANAGING CYBERSECURITY INVESTIGATIONS Tara Swaminatha, Of Counsel, Washington, DC Sam Millar, Partner, London May 12, 2016 If you cannot hear us speaking, please make sure you have called into the teleconference
PRINCIPLES AND GOOD PRACTICES
ISSAI 21 The International Standards of Supreme Audit Institutions, ISSAI, are issued by the International Organization of Supreme Audit Institutions, INTOSAI. For more information visit www.issai.org
Cloud Computing Best Practices. Creating Effective Cloud Computing Contracts for the Federal Government: Best Practices for Acquiring IT as a Service
Cloud Computing Best Practices Cloud Computing Best Practices Creating Effective Cloud Computing Contracts for the Federal Government: Best Practices for Acquiring IT as a Service Overview Cloud Computing
Cyber Security and Privacy Services. Working in partnership with you to protect your organisation from cyber security threats and data theft
Cyber Security and Privacy Services Working in partnership with you to protect your organisation from cyber security threats and data theft 2 Cyber Security and Privacy Services What drives your security
Human Resource Consulting Labour Law Compliance Payroll Management
Human Resource Consulting Labour Law Compliance Payroll Management We invite you to come & experience the elusive "Peace of Mind" in our company!! Registered Office Sunshine Consultants,555, N-3, CIDCO,
30 Important Considerations for Effective FCPA Compliance
30 Important Considerations for Effective FCPA Compliance Effective design, good-faith implementation As enforcement of the Foreign Corrupt Practices Act (FCPA) has gone through the roof in recent years,
ASAE s Job Task Analysis Strategic Level Competencies
ASAE s Job Task Analysis Strategic Level Competencies During 2013, ASAE funded an extensive, psychometrically valid study to document the competencies essential to the practice of association management