Scroll down from some helpful summaries and guidelines relevant FCPA and ABAC compliance programs.
If you are looking for a single page guide to the care and feeding of your global FCPA compliance program, this could be for you. If you would appreciate a flowchart that walks you through best practices involved in keeping your global Anti-Bribery, Anti-Corruption (ABAC) compliance program up to snuff, this may be for you, too. The diagram is an at-a-glance reference, and by necessity omits a great deal of relevant detail. It may also be helpful as an internal tool for justifying the program costs involved in the keeping a large-scale anti-corruption program up to date with the evolving global regulatory landscape.
Although this is really a single diagram, the PDF of the slide deck comes out to 23-pages to show the animations of the logical progression through the process. To walk through the slide deck, click on the up and down arrows in the lower left of the PDF viewer.
One of my favorite law school classes was Alternative Dispute Resolution (ADA). Among the many resources that we covered, the one that I keep find myself returning to over the years is a book titled, “Getting to Yes” by Fisher, Ury, and Patton, published through the Harvard Negotiation Program. The book introduced me to the five propositions of principled negotiation:
Separate people from problems (Not who said it, but what they said.)
Focus on interests, not positions (Don’t insist on more stoplights, focus on getting people to drive more carefully around the school.)
Invent options for mutual gain (Acme Spice Co. v. Beta Juice Co. – write me if you want to know about this one.)
Insist on objective criteria (Data trumps adjectives.)
Know BATNA and WATNA (best and worst alternatives to negotiated agreement.)
These five propositions and their application to problem resolution are deeper than they appear. Some people find them to be counter-intuitive. Or at least they find the propositions to be counter to their typical experience with “zero sum” negotiation. I’ve found that these propositions are not as easy for students to absorb as you might think. In an effort to reduce the 5 big ideas from Getting to Yes onto a few slides, I went to the effort of diagramming them and came up with the attached slides a couple of years. I’ve used them since to teach or demonstrate the concepts in the context of problem-solving, dispute resolution and negotiation. If you find this helpful, please buy a copy of Getting to Yes!
DO THE RIGHT THING. STAY IN BUSINESS. WE CAN HELP.
I prepared these slides for a best practices seminar aimed at entities that have implemented compliance programs but may lack facilities to demonstrate compliance on short notice. Doing the right thing in business operations is crucial. But just doing the right thing may not be enough. Someday you may be called on to prove that your company has been doing the right thing. Evidence of a robust compliance program, that systematically addresses the prevention, detection, and discipline of compliance failures with periodic training and guidance can help mitigate the fallout from small and even large compliance failures. Can you document what you did and why? Can you demonstrate your business process rationale? Can you provide evidence of your guidance and training? Don’t delegate your story to the media. Own it.
If you have any comments or questions about particular applicability your business, please contact the author at firstname.lastname@example.org.