Current Global Best Practices for Prevention of ...
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___________________________________________________________________________ 2013/SOM3/ACT/WKSP/011 Current Global Best Practices for Prevention of Facilitation Payments and Managing Gratuities Submitted by: ethiXbase Workshop on Strengthening Integrity Through Public-Private Partnership: Preventing Facilitation Payment and Managing Gift Rules Medan, Indonesia 24 June 2013
Transcript of Current Global Best Practices for Prevention of ...
___________________________________________________________________________
2013/SOM3/ACT/WKSP/011
Current Global Best Practices for Prevention of Facilitation Payments and Managing Gratuities
Submitted by: ethiXbase
Workshop on Strengthening Integrity Through Public-Private Partnership: Preventing
Facilitation Payment and Managing Gift Rules Medan, Indonesia
24 June 2013
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Current Global Best Practices for prevention of facilitation payments and managing
gratuities
Enforcement
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Top Ten Corporate Corruption FinesForeign Corrupt Practises Act
Siemens (Germany)
KBR / Halliburton (USA)
BAE (UK)
Total S.A (France)
Snamprogetti / ENI (Holland / Italy)
Technip S.A. (France)
JGC Corporation (Japan)
Daimler AG (Germany)
Alctel ‐ Lucent (France)
Magyar Telekom / Deutsche Telekom (Hungary / Germany)
$800 million in 2008
$579 million in 2009
$400 million in 2010
$398 million in 2013
$365 million in 2010
$338 million in 2010
$218.8 million in 2012
$185 million in 2010
$137 million in 2010
$95 million in 2011
Nine of the ten biggest corporate corruption cases prosecuted by the US DoJ involve non‐U.S. companies.
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Individuals Charged: FCPA 2002‐2011
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Awareness
Upsurge in awareness
0
200000
400000
600000
800000
1000000
1200000
2007 2008 2009 2010 2011 2012
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Mainstream Press
March 2012 to March 2013
0
500
1000
1500
2000
2500
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3500
4000
4500
Mar May Jul Sept Nov Jan Mar
Circulation of daily FCPA Blog emails is expected to reach 10,000 by end of 2013
Executive Level Subscribers
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Audit
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93 Companies under InvestigationEvery FCPA Investigation in 2012 identified corruption by third party intermediaries.
1) ABM Industries Inc2) Accenture plc3) Alcoa Inc4) Allied Defense Group Inc5) Alstom SA6) Analogic Corporation7) Anheuser‐Busch InBev SA/NV8) Archer‐Daniels‐Midland Company9) AstraZeneca plc10) Avon Products Inc11) Baker Hughes Incorporated (BJ Services)12) Barclays plc13) Baxter International Inc14) Beam Inc15) BHP Billiton Ltd
16) Bio‐Rad Laboratories Inc17) Bristol‐Myers Squibb Company18) Brookfield Asset Management Inc19) Bruker Corporation20) Central European Distribution Corporation21) Cobalt International Energy Inc22) Dialogic Inc23) Diebold Incorporated24) DreamWorks Animation SKG Inc25) Dun & Bradstreet Corporation26) Eli Lilly and Company27) Embraer SA28) Eni SpA29) Expro International Group plc30) Fresenius Medical Care AG & Co. KGaA
93 Companies under InvestigationEvery FCPA Investigation in 2012 identified corruption by third party intermediaries.
31) Furmanite Corporation32) GlaxoSmithKline plc33) Goldman Sachs Group Inc34) Goodyear Tire and Rubber Company35) Halliburton Company36) Harris Corporation37) Hewlett‐Packard Company38) IDT Corporation39) Image Sensing Systems40) Ingersoll‐Rand plc41) International Business Machines Corporation42) Kimco Realty Corporation43) KKR & Company LP44) Koninklijke Philips Electronics NV45) Kosmos Energy Ltd (Modec Inc)
46) Kraft Foods Inc47) Las Vegas Sands Corp48) Layne Christensen Company49) LyondellBasell Industries50) Marathon Oil Corporation51) Medtronic Inc52) Merck & Co Inc53) Microsoft Corporation54) Motorola Solutions Inc55) MTS Systems Corporation56) NBCUniversal Media LLC57) NCR Corporation58) Net 1 UEPS Technologies Inc59) News Corporation60) Nordion Inc
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93 Companies under InvestigationEvery FCPA Investigation in 2012 identified corruption by third party intermediaries.
61) Olympus Corp62) Optimer Pharmaceuticals Inc63) Oracle Corporation64) Owens‐Illinois Group Inc65) Panasonic Corporation66) Parametric Technology Corporation67) Parker Drilling Company68) Protective Products of America Inc69) Qualcomm Incorporated70) RINO International Corporation71) Sciclone Pharmaceuticals Inc72) Sensata Technologies Holding NV73) Siemens AG74) SL Industries Inc75) Smith & Wesson Holding Corporation
76) Sojitz Corp77) Sony Corporation78) STR Holdings Inc79) Stryker Corporation80) Tata Communications Limited81) Tesco Corporation82) Teva Pharmaceutical Industries Limited83) Time Warner Inc84) Total SA85) Tyco International Ltd*86) Viacom (Paramount Pictures)87) Wal‐mart Stores Inc88) Walt Disney Company89) Walters Power International LLC90) Weatherford International Ltd91) WS Atkins plc (PBSJ Corp)92) WW Grainger Inc93) Wynn Resorts Limited
2,000,000+ Suppliers & Vendors
The Ten Hallmarks of an Effective Compliance Program
Training and Continuing Advice
‘Compliance policies cannot work unless effectively communicated throughouta company. Accordingly, DOJ and SEC will evaluate whether a company hastaken steps to ensure that relevant policies and procedures have beencommunicated throughout the organization, including through periodictraining and certification for all directors, officers, relevant employees, and,where appropriate, agents and business partners.’
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Education &
Training
The Ethical AllianceThe world’s largest provider of free education and awareness training on ethics
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Founded by Richard L. CassinFounder of the FCPA Blog and now serving
as Publisher and Editor
Named one of the 100 Most Influential People in Business Ethics in 2010 and 2011 by Ethisphere Magazine
FCPA Blog was listed by the Risk Management Monitor as one of the ten best risk‐management and insurance‐industry blogs
Pro business and pro compliance
Dedicated to helping companies find practical compliance solutions
His opinions published in the New York Times, The Wall Street Journal, the Washington Post, Business Week, Variety, Bloomberg’s news wire, Reuters, NPR, Fox News, CNN, and other
Previously a senior partner in a major international law firm and head of its Asia practice
Gaining Increased Market Status
“By way of background, [Richard Cassin] is a friend to TI‐USA and the anti‐corruption movement at large. The FCPA blog is definitely the most widely read blog on foreign bribery issues in the US”
‐ Shruti ShahSenior Policy DirectorTransparency International‐USA
__________________________________________________________
The FCPA Blog currently has 15 editors, including many of the compliance industry’s leading practitioners, academics, industry representatives, and NGO officials.
Free Awareness material
•Associate Member status of The Ethical Alliance
•Code of Conduct distribution & attestation
•The Ethical Alliance Journal monthly, edited by Richard L. Cassin
•Multilingual
•Covers anti‐corruption, trafficking, conflict minerals and other ethical issues
•Subscription to our daily newsletters
•Quarterly webinars and additional training and educational material
•Access to ethiXbase Monitor – lite
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The Ethical AllianceThe world’s largest provider of free education and awareness training on ethics
Thank youScott Graham
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