Presentation Compliance risk for cov.pdf

Compliance Risk

1. Compliance Risk During COVID-
19 : ISO 37001:2016 ABMS

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COVID-19 & ISO 37001:2016 ABMS

TRANSPARENCY
INTERNATIONAL

against
Corruption

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COVID-19 & ISO 37001:2016 ABMS

UNCAC 2005

against
Corruption

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COVID-19 & ISO 37001:2016 ABMS

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COVID-19 & ISO 37001:2016 ABMS

À |
=~

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COVID-19 & ISO 37001:2016 ABMS

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Objective and
background

Approach

Publication

COVID-19 & ISO 37001:2016 ABMS

+ New Work Item Proposal (NWIP) :
Nov 2012 - Feb 2013

+ Preliminary Meeting ISO/PC 278 :
27 Experts met in London from 24 — 27 June

2013.

+ 1st Plenary Meeting ISO/PC 278 :
35 Experts met in Madrid from 25 - 27 March
2014.

+ 2nd Plenary Meeting ISO/PC 278 :
65 Experts met in Miami from 16 — 19 Sept

2014.

+ 3rd Plenary Meeting ISO/PC 278 :
65 Experts met in Paris from 23 - 27 March 2015

+ 4t Plenary Meeting ISO/PC 278 :
65 Experts met in Kuala Lumpur from 28 Sept —

02 Oct 2015.
+ 5th Plenary Meeting ISO/PC 278 :

65 Experts met in Mexico City from 30 May —
June 03, 2016.

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ISO 37001

COVID-19 & ISO 37001:2016 ABMS

11. COVID-19 & ISO 37001:2016 ABMS
Plan Do Check

4 9
5 6 7 8 10
Context of Leadershi Plannin Support Operation Performance |} improvement
organization 1 Y PP Ps Evaluation Pi
Y Y y Y
% 6.1 Actions to par 8.1 9.1 Monitoring, 10.1
a address ABMS sources Operational ‘Measurement, Nonconformity
Orgenizationand Riskeand Y Planningand Analysis & and Corrective
Opportunities 7.2 [Entra] Evaluation Action
+5 ‘Competence v
5 5116
Needs and A) 62 = 8.2 Due Diligence ae
Expectations of ABMS Objectives Ar -- Internal Audit Continual
‘Stakeholders. Vv & Planning = improvement
a T 8.3Financial y
= 722 Controls 9.3
Management
43 Employment gr Top Management
Scope of ABMS y Process 8.4 Non-financial Review.
5.2 Anti-Bribery Y Contfols V
4.4 Anti-bribery Eolley, 7.3 = MERE
lanagemer
Management M Panne || 8.5 Anti-bribery Review
Em 5.3Roles, y Controls +
responsibilities 74 y 9.3.2
4.5 BriberyRisk EME, Communication 8.6Anti-bribery |] GovemingBody
Assessment Y y ‘Commitments Review
5.3.1 Roles and 75 Y
Responsil Documented 8.7 Gifts, 9.4 Review by
information Hospitality, amie,
Y T Donations and ERES
5.3.2Anti-bribery ~—SinularBenelits | Function
Compliance 7.5.4 General a
Function r Inadequacy of AB
Y Controls
7.5.2 Creatingand 7
5 5.3.3 Delegated Updating 8.9Raising
= Decision-making T Br
= 7.5.3 Controlof v
= Documented || 8.10 Investigating |
© Information and Dealingwith
Bribery

12. INDONESIAN NATIONAL
STANDARD

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SPRING

Enabling Enterprise

COVID-19 & ISO 37001:2016 ABMS

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Alta 69

COVID-19 & ISO 37001:2016 ABMS

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MAJLIS PELANCARAN DAN SEMINAR
Ms 150 37001:2016
ANTI-BRIBERY MANAGEMENT SYSTEMS =

REQUIREMENTS WITH GUIDANCE FOR USE

1

COVID-19 & ISO 37001:2016 ABMS

STANDARDS

DEPARTMENT OF S

TANDARDS MALAYSIA
fi 6

You can stop
CORRUPTION

Anda boleh hentikan

RASSUAH

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COVID-19 & ISO 37001:2016 ABMS

e

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COVID-19 & ISO 37001:2016 ABMS

THE

BRIBERY ;

ACT2010 Le
Enforced in July luly 201.

18. SFO / UK Bribery Act

Rolls-Royce — Jan 2017

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Fois wf BAG? 2

COVID-19 & ISO 37001:2016 ABMS

y Telegraph

Rolls-Royce to pay £671m to settle
bribery and corruption claims

20. COVID-19 & ISO 37001:2016 ABMS

Airbus SE report
concerns of bribery.

€3.6-

BILLION _--

SFO AGREE €984 MILLION FINE
PNF AGREE €2.08 BILLION FINE
DOJ AGREE €525 MILLION FINE

Airbus SE fined

in relation to five
counts of failure
to prevent bribery

© KMLoi

22. Indonesia — PERMA No: 13/2016

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COVID-19 & ISO 37001:2016 ABMS

E w

NINDYA

PT NINDYA KARYA

General Contractor

24. MACC (Amendment) Act 2018

corruplly gives, agrees to gi Risen or
offers lo any person petite —

25. MACC (Amendment) Act 2018

26. Adequate Procedures
to prevent bribery
an

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procedures

Principle 1
a Proportionate

Principle 2
x Top-level commitment
=) Principle 3

RiskAssessment
Principle 4

Due diligence
Principle 5:
Communication
(including training)
Principle 6

Monitoring and review

co

COVID-19 & ISO 37001:2016 ABMS

1.TOP-LEVEL

TT COMMITMENT
N

2. RISKASSESSMENT
3.UNDERTAKING
CONTROL MEASURES
4.SYSTEMATIC
REVIEW, MONITORING

<Í 8 ENFORCEMENT

5.TRAINING &
COMMUNICATION

US FCPA

Senior Management and
a Clearly Articulated
Policy Against
Corruption.

2.Code of Conduct and
Compliance Policies
and Procedures

3.Oversight, Autonomy,
and Resources.

4. Risk Assessment.

5.Training and
Continuing Advice.

6.Incentives and
Disciplinary Measures

7.Third-Party Due
Diligence and Payments

8.Continuous
Improvement: Periodic
Testing and Review.
9.Confidential
Reporting and Internal
Investigation.

10.Mergers and
Acquisitions, Pre-
Acquisition Due
Diligence and Post-
Acquisition Integration

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COVID-19 & ISO 37001:2016 ABMS

Periodic review of
effectiveness of anti-
bribery measures

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COVID-19 & ISO 37001:2016 ABMS

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TOP-LEVEL COMMITMENT

RISK ASSESSMENT

UNDERTAKING CONTROL
MEASURES

SYSTEMATIC REVIEW,
MONITORING &
ENFORCEMENT

TRAINING &
COMMUNICATION

COVID-19 & ISO 37001:2016 ABMS

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COVID-19 & ISO 37001:2016 ABMS

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COVID-19 & ISO 37001:2016 ABMS

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COVID-19 & ISO 37001:2016 ABMS

35. Singapore - Corrupt Practices

37. INPRES No: 10 / 2016

‘Tales 2010 das Token 2917

PRESIDEN
REPUBLIK INDONESIA

INSTRUKSI PRESIDEN REPUBLIX INDONESIA
NOMOR 10 TAHUN 2016

AKSI PENCEGAHAN DAN PEMBERANTASAN KORUPSI
'TAHUN 2016 DAN TAHUN 2017

PRESIDEN REPUBLIK INDONESIA,

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COVID-19 & ISO 37001:2016 ABMS

KEMENTERIAN BADAN USAHA MILIK NEGARA

REPUBLIK INDX

39. corruption |
THE NATIONAL ANTI-CORRUPTION PLAN 2019-2023

8 | ©

To uphold the To improve government To create a clean
rule of law efficiency, transparency & business environment
accountability through
‘good governance

Build business integrity

Encure accountability & Provide efficient &
credibility of judiciary, responsive service
public prosecutors
& law enforcement
agencies

PRIORITY AREAS & STRATEGIES
Public Sector

@ Political Governance Ed Administration & Public Procurement
Strengthening political Strengthening the incressing the efficiency and
integrity and accountability effectiveness of public ‘transparency in public

service delivery procurement

@ Legal and Judicial © Law Enforcement [Ej Corporate Governance
Strategy + Strategy + Strategy +
Enhancing the credibility of institutionalising the credibility … Inculcating good governance in
the legal and judicial system of law enforcement agencies a corporate entity

‘Source: The National Anu-Corrupton Plan 2019-2023 Bernama Infographies

40. 20. Enhancing Good c
Public Service Don
Inter Nationally

Jovernanc:

mestically

GOVERNMENT PONTS ron REFORM

Appotniment of

MOTE Reform of p
No more politic

‘ppoin

or

arllament

>rporate Liability,
section 17A, MACC Act 2009

chaniam for

Introduction to MS 180 47001
{ Commissioner, Chairman of | 24. Aniv-Bribery Monagas
JHAKAM and Suruhanjaya Pelantikan System (ARMS)

iman Malaysia

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NATIO

NAL
ANTI-CORRUPTION
PLAN

2019-2023

COVID-19 & ISO 37001:2016 ABMS

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KUALA LUMPUR (Nov 22):

COVID-19 & ISO 37001:2016 ABMS

43. State Law No. 7.753/2017

44. Benefits of implementing ABMS

45. Benefits of implementing ABMS

<Q TIP
O <2)

ISO 37001:2016

46. Benefits of implementing ABMS

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COVID-19 & ISO 37001:2016 ABMS

Chairman's

Advisory Group |

for Governance | we BEM
of Organization Is
(ISO 37000) —_

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COVID-19 & ISO 37001:2016 ABMS