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RASID: Integrity Monitoring System

Monitoring reporting constitute the nervous system of compliance programs. Implementation of an integrity management system requires continuous monitoring of activities and service delivery to make sure that there is compliance.

RASID is an integrity monitoring system designed to recognise and reinforce ethical practices and to identify and improve unsatisfactory performance.

Integrity Monitoring Programme

Effective monitoring of the implementation of integrity plans is very important. The purpose of the integrity monitoring system is to evaluate and track the conduct and policies of employees to ensure compliance with laws, regulations and ethical standards; and to prevent, detect, and report any illegal acts, waste, fraud, abuse, or corruption.

Monitoring the implementation of an integrity program rests with the integrity and compliance function or departmental management.

Sources for Monitoring Integrity

There are many sources for monitoring integrity

  • Assessment tools
  • Integrity survey
  • Mystery Shopping
  • Whistle blowing

Balancing monitoring and privacy is attainable when organisations communicate to their employees the purpose of monitoring activities, set privacy expectations and implement reasonable monitoring policies.

Mystery Shopping

Mystery shopping is a vital part of integrity management program for any business. It is one of the most cost-effective and flexible management tools available. It can be deployed quickly and inexpensively.

Mystery shopping allows business managers to quickly gather reliable and quality feedback from a customer’s perspective. It is an invaluable tool for businesses seeking to evaluate a team’s performance levels.

Whistle-blowing (Internal Reporting)

Whistle blowing is a valuable detection, prevention and deterrent mechanism in as far as unethical conduct is concerned.

A whistleblowing system is as much a compliance tool as one of the most effective early detection tools on issues related to fraud, harassment, theft, corruption, collusion and nepotism.

The integrity management should promote whistleblowing and its whistleblowing policy and provide overall guidance for the reporting integrity violations and other concerns and enable employees to raise concerns.

The aim of the Whistle blowing Policy is to:

  1. Highlight the various channels available to employees to raise concerns and receive feedback. All employees should understand how the process works including, how the incoming reports are being handled and how investigations are conducted
  2. Reassure employees that they will be protected from reprisals or victimisation for disclosures made in good faith and this is in line with the law. Whistle-blowing process must guarantee confidentiality, anonymity and protection from any form of retaliation

Audit – Independent, Internal Assurance

The organisation should periodically plan conduct internal audits to determine whether the integrity management system conforms to planned arrangements for integrity management; and whether it is effectively implemented and maintained. The selection of auditors and conduct of audits shall ensure objectivity, impartiality and confidentiality of the audit process.

Independent internal check of the effectiveness of the internal control systems and the spotting of voids along the processes

The responsibility for all compliance audits should be with the audit department as it is typically independent from the operational management.

The integrity and compliance department would be responsible for advising the audit function about potential risk factors that need to be considered.

Integrity Multiple Reporting Systems

The organisation should report integrity as a specific sections in the general annual report and as a specific annual integrity report.

The reporting provides reasonably transparent insights into the integrity management processes and into their objectives and results.

This reporting has the potential to create structural changes to entire organisation.