Thesis (Ph. D.)--University of Chicago, Irving B. Harris School of Public Policy Studies, 2002. / Includes bibliographical references. Also available on the Internet.

No description available.

Abstract Environmental compliance is defined as conformance with the requirements of environmental laws, regulations, industry and organizational codes of practice and standards. As a step towards a more in-depth study of environmental compliance, the present research was undertaken to examine the process of environmental compliance management in one of the Business Units at Manitoba Hydro. Research methods for this research included semi-structured interviews, observation, and document review. The research broadly concludes that the environmental compliance management process in the Customer Service and Distribution Business Unit follows the compliance process PDCA system and has the structural, functional and continuous improvement elements of the compliance framework presented in this research. However, given Manitoba Hydro’s commitment to meet or surpass the regulatory requirements and the Customer Service and Distribution Business Unit’s mandate to comply with all government and regulatory mandated requirements, the compliance management process in the Customer Service and Distribution Business Unit may benefit from a systematic and uniform monitoring process for compliance and performance as well as a uniform document to demonstrate compliance.

Abstract Environmental compliance is defined as conformance with the requirements of environmental laws, regulations, industry and organizational codes of practice and standards. As a step towards a more in-depth study of environmental compliance, the present research was undertaken to examine the process of environmental compliance management in one of the Business Units at Manitoba Hydro. Research methods for this research included semi-structured interviews, observation, and document review. The research broadly concludes that the environmental compliance management process in the Customer Service and Distribution Business Unit follows the compliance process PDCA system and has the structural, functional and continuous improvement elements of the compliance framework presented in this research. However, given Manitoba Hydro’s commitment to meet or surpass the regulatory requirements and the Customer Service and Distribution Business Unit’s mandate to comply with all government and regulatory mandated requirements, the compliance management process in the Customer Service and Distribution Business Unit may benefit from a systematic and uniform monitoring process for compliance and performance as well as a uniform document to demonstrate compliance.

No description available.

Academic literature is limited on how to coordinate the compliance and operational risk functions in organisations. The functional overlap between these two functions in financial institutions, such as banks, may result in oversight gaps or unintentional duplication. This paper describes a study on the overlap between these two functions in the second line of risk and control defence. A number of documents were analysed including relevant Basel Committee documents; South African banking legislation and regulations; integrated annual results, risk and capital reports of the four largest South African (the Big Four) banks; as well as internal operational risk and compliance documents of one of the Big Four banks. Based on this study, regulatory and practice based guidelines are proposed, which may be used to improve the efficiency of the compliance and operational risk functions in banks.

Academic literature is limited on how to coordinate the compliance and operational risk functions in organisations. The functional overlap between these two functions in financial institutions, such as banks, may result in oversight gaps or unintentional duplication. This paper describes a study on the overlap between these two functions in the second line of risk and control defence. A number of documents were analysed including relevant Basel Committee documents; South African banking legislation and regulations; integrated annual results, risk and capital reports of the four largest South African (the Big Four) banks; as well as internal operational risk and compliance documents of one of the Big Four banks. Based on this study, regulatory and practice based guidelines are proposed, which may be used to improve the efficiency of the compliance and operational risk functions in banks.

O estudo apresentou como tema o Programa de Compliance na organização. O objetivo consistiu em identificar a validação e a aderência em relação ao Programa de Compliance no Sistema de Crédito Cooperativo (Sicredi) na concepção dos pesquisados, verificando também as oportunidades de melhoria aplicáveis à implementação prática do mesmo. No estudo encontram-se abordados os aspectos relativos aos principais conceitos de Compliance e de riscos, e à elucidação das distinções e interações de Compliance com outras disciplinas e áreas relevantes das organizações. Além disto, foram esclarecidos os temas de conduta e ética, além da explicação do que é efetivamente um programa de Compliance e quais são os seus componentes. Foram apresentados também quais os requisitos básicos presentes na literatura de referência, quanto à implantação de um programa de Compliance, inclusive considerando-se como base os Acordos de Basileia. As aplicações das pesquisas quantitativa e qualitativa oportunizaram a verificação da situação do Programa de Compliance na organização em estudo e as oportunidades de melhoria aplicáveis à implementação prática do mesmo. Os resultados apresentaram a importância da aplicação de um Programa de Compliance nas organizações, bem como os principais fatores que devem ser praticados para a sua implementação efetiva, quais sejam: treinamento para todos os envolvidos no Programa; definição de indicadores de gestão; suporte e patrocínio da Alta Administração, além da necessária implementação da cultura de Compliance em toda a organização. / The study presented the Compliance Program in the organization. The objective was to identify the validation and adherence to the Compliance Program by the Sistema de Crédito Cooperativo (Sicredi), in the opinion of the respondents, also verifying the improvement opportunities applicable to the practical implementation of the Program. Addressed in the study are the main concepts related to compliance and risk, and the elucidation of Compliance distinctions and interactions with other disciplines and relevant areas of the organizations. In addition, the topics of conduct and ethics have been clarified, as well as an explanation of what a Compliance Program is and what its components are. Also presented the basic requirements in the reference literature regarding the implementation of a Compliance Program, including considerations on Basel Accords. Quantitative and qualitative research application provided the opportunity to verify the Compliance Program situation the organization under study and the improvement opportunities applicable to the practical implementation of the Program. The results presented the importance of applying a Compliance Program in the organizations, as well as the main factors that should be practiced for its effective implementation, namely: training for all those involved in the Program; definition of Key Performance Indicators; support and sponsorship of the Senior Management, as well as the necessary implementation of the Compliance’s culture throughout the organization.

O estudo apresentou como tema o Programa de Compliance na organização. O objetivo consistiu em identificar a validação e a aderência em relação ao Programa de Compliance no Sistema de Crédito Cooperativo (Sicredi) na concepção dos pesquisados, verificando também as oportunidades de melhoria aplicáveis à implementação prática do mesmo. No estudo encontram-se abordados os aspectos relativos aos principais conceitos de Compliance e de riscos, e à elucidação das distinções e interações de Compliance com outras disciplinas e áreas relevantes das organizações. Além disto, foram esclarecidos os temas de conduta e ética, além da explicação do que é efetivamente um programa de Compliance e quais são os seus componentes. Foram apresentados também quais os requisitos básicos presentes na literatura de referência, quanto à implantação de um programa de Compliance, inclusive considerando-se como base os Acordos de Basileia. As aplicações das pesquisas quantitativa e qualitativa oportunizaram a verificação da situação do Programa de Compliance na organização em estudo e as oportunidades de melhoria aplicáveis à implementação prática do mesmo. Os resultados apresentaram a importância da aplicação de um Programa de Compliance nas organizações, bem como os principais fatores que devem ser praticados para a sua implementação efetiva, quais sejam: treinamento para todos os envolvidos no Programa; definição de indicadores de gestão; suporte e patrocínio da Alta Administração, além da necessária implementação da cultura de Compliance em toda a organização. / The study presented the Compliance Program in the organization. The objective was to identify the validation and adherence to the Compliance Program by the Sistema de Crédito Cooperativo (Sicredi), in the opinion of the respondents, also verifying the improvement opportunities applicable to the practical implementation of the Program. Addressed in the study are the main concepts related to compliance and risk, and the elucidation of Compliance distinctions and interactions with other disciplines and relevant areas of the organizations. In addition, the topics of conduct and ethics have been clarified, as well as an explanation of what a Compliance Program is and what its components are. Also presented the basic requirements in the reference literature regarding the implementation of a Compliance Program, including considerations on Basel Accords. Quantitative and qualitative research application provided the opportunity to verify the Compliance Program situation the organization under study and the improvement opportunities applicable to the practical implementation of the Program. The results presented the importance of applying a Compliance Program in the organizations, as well as the main factors that should be practiced for its effective implementation, namely: training for all those involved in the Program; definition of Key Performance Indicators; support and sponsorship of the Senior Management, as well as the necessary implementation of the Compliance’s culture throughout the organization.

O estudo apresentou como tema o Programa de Compliance na organização. O objetivo consistiu em identificar a validação e a aderência em relação ao Programa de Compliance no Sistema de Crédito Cooperativo (Sicredi) na concepção dos pesquisados, verificando também as oportunidades de melhoria aplicáveis à implementação prática do mesmo. No estudo encontram-se abordados os aspectos relativos aos principais conceitos de Compliance e de riscos, e à elucidação das distinções e interações de Compliance com outras disciplinas e áreas relevantes das organizações. Além disto, foram esclarecidos os temas de conduta e ética, além da explicação do que é efetivamente um programa de Compliance e quais são os seus componentes. Foram apresentados também quais os requisitos básicos presentes na literatura de referência, quanto à implantação de um programa de Compliance, inclusive considerando-se como base os Acordos de Basileia. As aplicações das pesquisas quantitativa e qualitativa oportunizaram a verificação da situação do Programa de Compliance na organização em estudo e as oportunidades de melhoria aplicáveis à implementação prática do mesmo. Os resultados apresentaram a importância da aplicação de um Programa de Compliance nas organizações, bem como os principais fatores que devem ser praticados para a sua implementação efetiva, quais sejam: treinamento para todos os envolvidos no Programa; definição de indicadores de gestão; suporte e patrocínio da Alta Administração, além da necessária implementação da cultura de Compliance em toda a organização. / The study presented the Compliance Program in the organization. The objective was to identify the validation and adherence to the Compliance Program by the Sistema de Crédito Cooperativo (Sicredi), in the opinion of the respondents, also verifying the improvement opportunities applicable to the practical implementation of the Program. Addressed in the study are the main concepts related to compliance and risk, and the elucidation of Compliance distinctions and interactions with other disciplines and relevant areas of the organizations. In addition, the topics of conduct and ethics have been clarified, as well as an explanation of what a Compliance Program is and what its components are. Also presented the basic requirements in the reference literature regarding the implementation of a Compliance Program, including considerations on Basel Accords. Quantitative and qualitative research application provided the opportunity to verify the Compliance Program situation the organization under study and the improvement opportunities applicable to the practical implementation of the Program. The results presented the importance of applying a Compliance Program in the organizations, as well as the main factors that should be practiced for its effective implementation, namely: training for all those involved in the Program; definition of Key Performance Indicators; support and sponsorship of the Senior Management, as well as the necessary implementation of the Compliance’s culture throughout the organization.