Procedure to Prevent Corruption

F

franck7727

#11
Some show organizers add the " Bribery Act 2010 " (from UK) to their agents' contract, you can check this, it is quite tough on corruption .

Can't post a link as a newbie but you can easily google it.

Fran?ois
 
Elsmar Forum Sponsor
K

kgott

#13
I'm in the middle of writing a policy on this sort of thing now. Policies and procedures are just words. Its management applying, with rigor, all the requirements of clause 8.2.3 Monitoring and measurement of processes of ISO 9001 that is going to make the words on paper have any meaning.

So, this is what our anti corruption draft document says

Anti Bribery and Corruption policy

xyz is a private company who helps its clients extend the life of its infrastructure assets in various places in the world. A reference to xyz in this policy includes its related entities.


The directors are committed to responsible corporate governance and ensuring that only legitimate, legal, professional and ethical business practices are employed when doing business with its target market .
This Anti Bribery and Corruption policy is endorsed by the directors of xyz.
The purpose of this policy is to:

1. Define the company?s position on bribery and other forms of corrupt behaviours.
2. Define the responsibilities of company directors, it?s officers, employees, consultants and contactors, otherwise referred to as ?Our People? for the purposes of this policy and its subsidiary documentation.
3. Promote compliance with Anti Bribery and Corruption laws in countries in which xyz operates.
Legislative foundation

The legislative basis of this policy are the anti corruption laws of Australia namely, the Commonwealth Criminal Code and Corporations Act 2001 (Australia) and its equivalent legislation in the countries in which xyz operates. Where there is no such laws exist, the requirements of the United Nationals Anti-Corruption Convention and the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, applies.
Prohibited Actions

Corrupt payments ? Our People must not make, offer to make, promise to make or authorise any improper payments or anything of value to public officials, political candidates, political parties or party officials, private individuals or private sector officers or employees, to influence or reward any action by that party.

Indirect payments - These prohibitions also apply to any payments or provision of anything of value by a third party for or on behalf of the company. xyz employees must not make, offer to make, or authorise payment to a third party (e.g., sales agent, distributor or intermediary) with ?knowledge? that all or part of the payment will be offered or given to any individual to secure an improper advantage, or obtain or retain business.

Public and private sectors - These prohibitions apply to existing or potential business arrangements to dealings both in the public or private sectors.

Government officials - These prohibitions apply to payments made to or at the request of government officials, which are of particular concern due to the existence of specific anti-corruption laws in the countries in which we operate.

Personal safety ? These prohibitions does not apply in circumstances where Our People have a genuine concern for their personal safety or that of a colleague with whom they are in company with and as a consequence, offers or meets a demand for a payment, whether in connection with their employment or not.
Reporting of demands

Our People must report an approach for, or a demand for prohibited payments to the Business Leader as soon as practicable using the company incident reporting process and documentation.
Responsibilities

Our People including all levels of xyz leadership are responsible for regularly communicating, the Anti Bribery and Corruption policy, the Prohibited Actions and the requirements for reporting any demands made, to all Our People under their leadership, using the established communication channels.


Our People must keep complete and accurate business records including financial, human resources, payroll and environmental records. Our People must not create false, misleading or artificial entries to conceal improper payments or corrupt activity.


Our People are required to ensure all expenses relating to hospitality, gifts and gratuities provided by xyz and its related entities, are accurately recorded in sufficient detail and entered into the business records of the company.
Training

xyz will provide regular training on the requirements of the Anti Bribery and Corruption policy, Prohibited Actions and reporting requirements. They will also receive regular training and on the consequences of breaches of the policy, Prohibited Actions and reporting requirements.
Consequences of Breaching the Policy and Subsidiary Requirements.

Bribery and corruption are serious offences under the laws of Australia and the laws of countries we operate in. Consequences of breaching the policy, making, offering to make, or authorising improper payments could expose Our People to criminal and civil penalties and will be regarded by the directors as serious misconduct for which disciplinary action will be taken which will include termination of engagement contracts relating to remuneration.

cheers
 

Wes Bucey

Quite Involved in Discussions
#15
As some of you regular readers are aware, I spent a considerable portion of my life as an executive in an investment bank which specialized in "boutique" small to medium capitalization deals.

A very large portion of the "due diligence" on EVERY deal was checking and double checking the trail of money to assure no individuals or factions were getting funds that were not disclosed to every player in the transaction. This extended to learning whether relatives, girlfriends or in-laws with different names were listed in the first tier of individuals receiving money. (Cynically, the reality was that in many transactions, it was relatively easy for folks to set up "straw men" as cut-outs who would later compensate an insider.) Unless a deal is in the mega billions (never experienced by MY firm), no regulatory body looks past the first tier unless there is a whistle blower and 90% of the whistle blowers were not go-gooders, but were disappointed individuals who didn't get to feed at the trough.

On-going corruption in the awarding of contracts for goods or services is easy to spot ONLY if the person receiving kickbacks starts to live beyond his means. Even then, some notable cases I learned about over the years escaped notice for years because folks who should have been more alert believed tales of inheritances or super smart investing in the stock markets.

NOBODY in the investment banking business would have believed Walter White (Breaking Bad) that his money came from gambling. To be that much of a winner, the professional gamblers and gambling houses would have him marked as a "whale" to either cater to or ban.

The idea of "lowest bid" in awarding contracts seems self-defeating to me because it gives incentive to lowest bidders to find ways to take "short cuts" both to keep the contract profitable and to pay off a corrupt official who leaks the amounts of other bids to enable the crooked outfit to underbid. Most of those shortcuts are not discoverable without expensive forensic accounting which costs more than is saved on the low bid. Worse, the shortcuts may only be discovered when a product fails. (Some examples of the shortcuts failing include counterfeit aerospace bolts not hardened correctly; titanium tubing never inspected [the company simply Xeroxed the first and ONLY inspection report for years]; faulty insulation on wiring harnesses; dirty plating baths which allowed rapid corrosion and failed components; etc.)

Ultimately, in my opinion, the best protection against corruption in contracts for purchasing goods and services is to put much more emphasis on quality and net cost in place after all the soft costs are calculated (inspection, rejects, shipping, delays in production for late production, back-and-forth communication with suppliers, etc.) rather than on the hard dollar cost of first purchase.

Having in-house employees and prospective suppliers signing pledges against corruption is an empty gesture - everybody will probably sign, but the larcenous ones simply will ignore the pledge and look for ways to circumvent accounting controls by filtering payoffs through a network of straw men. Even some of the biggest multinational corporations indulge in this "corruption circus" by filtering sales and purchases through foreign subsidiaries and affiliated companies to raise effective prices and shelter profits from income taxes in certain countries.
 

TPMB4

Quite Involved in Discussions
#17
The reality is you'll never stop corruption or unethical practices just limit them to as low a level as possible. When corrupt or unethical practices are still accepted as ok by people from all walks of life you'll never win. From companies paying senior manager's family members a wage for not really doing much then dropping the manager's pay by that amount to avoid a higher tax rate. I've seen that happen, the wife worked 1/2 day a week when it was first set up (then got paid for 16 hours) then stopped even coming in. If we are honest humans are pretty dishonest, I think we have all probably done things unethical and known it was so. justifications obviously abound when doing so.

Then you have practices acceptable in a local region that is not acceptable in your own. Do you go local or stay true to your own nation's ethics and laws? Failure to go local could lose lucrative business. I think a lot of larger wester organizations have grappled that but can a SME do the same? Not got the same power in the global marketplace.
 

Pancho

wikineer
Super Moderator
#19
In addition to our Ethics Code, we have an independent "whistleblower hotline" run by an outside vendor. The hotline records ethics complaints anonymously and informs top management directly.
 

Randy

Super Moderator
#20
Policies are a load of horse bagels just like the death sentence is a deterrent to capital crime :horse:

Ethics are internal to each individual based upon their personal value system. You can have all the ethic and anti-corruption policies in the world and I could still steal and cheat you blind as well as your customer.....And there's no stupid ISO standard going to change it either.


How's that for Devil's Advocate?
 
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