FINAL ASSESSMENT NAVANTIA, S.A.companies.defenceindex.org/pdf/navantia.pdfNavantia Anti-corruption...

NAVANTIA, S.A. 16/06/14 HTTP://WWW.NAVANTIA.ES/ HTTP://WWW.NAVANTIA.ES/INDEX.PHP

FINAL ASSESSMENT

NAVANTIA, S.A.

The following pages contain the detailed scoring for your company based on

public information.

The following table represents a summary of your scores:

Topic Number of

questions

% score based

on public

information

Leadership, Governance and Organisation 10 0%

Risk Management 7 0%

Company Policy and Codes 12 58.3%

Training 5 0%

Personnel and Helplines 7 35.7%

Total 41 23.2%


A1:

Does the company publish a statement from the Chief Executive Officer or the Chair of the Board supporting the ethics and anti-corruption agenda of the company?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company publishes a statement from the Chief Executive Officer or the Chair of the Board supporting the ethics and anti-corruption agenda of the company.

References:

Public:

NA


A2:

Does the company’s Chief Executive Officer or the Chair of the Board demonstrate a strong personal, external facing commitment to the ethics and anti-corruption agenda of the company?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company's Chief Executive Officer or the Chair of the Board demonstrate a strong personal, external facing commitment to the ethics and anti-corruption agenda of the company.

References:

Public:

NA


A3:

Does the company’s Chief Executive Officer demonstrate a strong personal, internal-facing commitment to the ethics and anti-corruption agenda of the company, actively promoting the ethics and anti-corruption agenda at all levels of the company structure?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company’s Chief Executive Officer demonstrates a strong personal, internal-facing commitment to the ethics and anti-corruption agenda of the company, actively promoting the ethics and anti-corruption agenda at all levels of the company structure.

References:

Public:

NA


A4:

Does the company publish a statement of values or principles representing high standards of business conduct, including honesty, trust, transparency, openness, integrity and accountability?

Score:

0

Comments:

Based on public information, there is insufficient evidence that the company publishes a statement of values or principles representing high standards of business conduct. TI notes that the company website sets out a company mission statement with values that include an ethical commitment, and states that the company is governed by an ethical and transparency framework. However, no values are listed and no further information is provided on how this commitment and framework is implemented in practice.

References:

Public:

TI notes:

Company Website:

Company Mission Statement:

‘Vision: Our vision is to be a strategic company for the National Defense in the naval sector, with international projection, able to provide technologically advanced global solutions in both naval and civil fields.

Mission: Design and execution of naval programs with a high level of excellence and technological innovation, in order to respond to our clients requirements, as well as being an economic tractor in our influence areas.

Values: Commitment with the results – Technological leadership - Teamwork – Orientation to the client – Ethical commitment.’

http://www.navantia.es/interior.php?id_sec=1&id_pag=217

CSR:

‘Corporate governance in Navantia follows an ethical and transparency framework, subject to public regulations.’



A5:

Does the company belong to one or more national or international initiatives that promote anti-corruption or business ethics with a significant focus on anti-corruption?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company belongs to one or more national or international initiatives that promote anti-corruption or business ethics with a significant focus on anti-corruption.

References:

Public:

NA


A6:

Has the company appointed a Board committee or individual Board member with overall corporate responsibility for its ethics and anti-corruption agenda?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has appointed a Board committee or individual Board member with overall corporate responsibility for its ethics and anti-corruption agenda. TI notes that public information suggests that the responsibility for implementing the company’s anti-corruption agenda may be distributed across different departments and committees.

References:

Public:

TI notes:

Navantia Anti-corruption policy, 3. Responsibilities, 2014, pp.3-4: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf

‘The leadership of Administration and Finances is responsible for having books and records in good order without any transactions that could conceal or mask any illegal payments.

The leadership of Human Resources is responsible that everyone involved with Navantia, S.A. is aware of the Anti-Corruption Policy.

The leadership of Purchases and Commerce is responsible that respective laws on corruption are followed in sub-contracts and any contract with other agents; they are responsible for reporting any suspicion of corruption risk in regard to the Anti-Corruption Policy to the Direction of Legal Advice.

The leadership of Legal Advice is responsible for support and advice in case of any doubts in the application of the Anti-Corruption Policy.The person responsible for Business Conduct in the Workcenters is responsible for solving any doubts regarding the content or application of the Anti-Corruption Policy and they will keep a record of all revisions of records in regards to the Anti-Corruption Policy.

The leadership of Internal Audit is responsible for conducting audits to detect any deficiency

http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf



in implementation of the Anti-Corruption Policy.’

Navantia, Norma Anticorrupción, 3. Responsabilidad, 2014, p.3-4: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf




A7:

Has the company appointed a person at a senior level within the company to have responsibility for implementing the company’s ethics and anti-corruption agenda, and who has a direct reporting line to the Board?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has appointed a person at a senior level within the company to have responsibility for implementing the company’s ethics and anti-corruption agenda. TI notes that publicly available information suggests that the responsibility for implementing the company’s anti-corruption agenda may be distributed across different departments and committees. Further, it is not clear that any of these departments have a reporting line to the Board.

References:

Public:

TI notes:

Navantia Anti-corruption policy, (2014), pp.3-4:

3. Responsibilities


‘The leadership of Administration and Finances is responsible for having books and records in good order without any transactions that could conceal or mask any illegal payments.

The leadership of Human Resources is responsible that everyone involved with Navantia, S.A. is aware of the Anti-Corruption Policy.

The leadership of Purchases and Commerce is responsible that respective laws on corruption are followed in sub-contracts and any contract with other agents; they are responsible for reporting any suspicion of corruption risk in regard to the Anti-Corruption Policy to the Direction of Legal Advice.




The leadership of Legal Advice is responsible for support and advice in case of any doubts in the application of the Anti-Corruption Policy.

The person responsible for Business Conduct in the Workcenters is responsible for solving any doubts regarding the content or application of the Anti-Corruption Policy and they will keep a record of all revisions of records in regards to the Anti-Corruption Policy.

The leadership of Internal Audit is responsible for conducting audits to detect any deficiency in implementation of the Anti-Corruption Policy.’

Navantia, Norma Anticorrupción, 3. Responsabilidad, 2014, p.3-4: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf




A8:

Is there regular Board level monitoring and review of the performance of the company’s ethics and anti-corruption agenda?

Score:

0

Comments:

Based on public information, there is no readily available evidence that there is regular Board level monitoring and review of the performance of the company’s ethics and anti-corruption agenda.

References:

Public:

NA


A8(a):

Is there a formal, clear, written plan in place on which the review of the ethics and anti-corruption agenda by the Board or senior management is based, and evidence of improvement plans being implemented when issues are identified?

Score:

0

Comments:

Based on public information, there is no readily available evidence that there is a formal, clear, written plan in place on which the review of the ethics and anti-corruption agenda by the Board or senior management is based, or evidence of improvement plans being implemented when issues are identified.

References:

Public:

NA


A9:

Does the company have a formal process for review and where appropriate update its policies and practices in response to actual or alleged instances of corruption?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a formal process for review and where appropriate updates its policies and practices in response to actual or alleged instances of corruption.

References:

Public:

NA


A9(a):

Does the company have a formal anti-corruption risk assessment procedure implemented enterprise-wide?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a formal anti-corruption risk assessment procedure implemented enterprise-wide.

References:

Public:

NA


A10:

Does the company have a formal anti-corruption risk assessment procedure for assessing proposed business decisions, with clear requirements on the circumstances under which such a procedure should be applied?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a formal anti-corruption risk assessment procedure for assessing proposed business decisions.

References:

Public:

NA


A11:

Does the company conduct due diligence that minimises corruption risk when selecting or reappointing its agents?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company conducts due diligence that minimises corruption risk when selecting or reappointing its agents.

References:

Public:

NA


A12:

Does the company have contractual rights and processes for the behaviour, monitoring, control, and audit of agents with respect to countering corruption?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has contractual rights and processes for the behaviour, monitoring, control, and audit of agents with respect to countering corruption.

References:

Public:

NA


A13:

Does the company make clear to contractors, sub-contractors, and suppliers, through policy and contractual terms, its stance on bribery and corruption and the consequences of breaches to this stance?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company makes clear to contractors, sub-contractors, and suppliers, through policy and contractual terms, its stance on bribery and corruption and the consequences of breaches to this stance.

References:

Public:

NA


A13(a):

Does the company explicitly address the corruption risks associated with offset contracting?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company explicitly addresses the corruption risks associated with offset contracting.

References:

Public:

TI notes:

Navaltoday website: Spain: NDLO, Navantia Ink Life Cycle Support Deal

‘The program of construction is considered to be successfully completed and the offset program is totally accomplished, which means this contract has generated positive industrial and commercial exchange that has enforced the relationship between Norway and Spain, and especially between Navantia and NDLO.’

http://navaltoday.com/2013/06/27/spain-ndlo-navantia-inks-life-cycle-support-deal/

SMEs and Offsets - Development through Industrial Cooperation

‘Through the offset program, NAVANTIA created new business opportunities for the Norwegian SMEs in the Spanish, US and other international markets.’

http://www.workshop3.ifi.cta.br/apresentacoes/6.SMEs_JacquesPurewal.pdf

http://navaltoday.com/2013/06/27/spain-ndlo-navantia-inks-life-cycle-support-deal/

http://www.workshop3.ifi.cta.br/apresentacoes/6.SMEs_JacquesPurewal.pdf


A13(b):

Does the company conduct due diligence that minimises corruption risk when selecting its offset partners and offset brokers?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company conducts due diligence that minimises corruption risk when selecting its offset partners and offset brokers.

References:

Public:

See references from A13(a).


A15:

Does the company have an anti-corruption policy that prohibits corruption in its various forms?

Score:

2

Comments:

Based on public information, there is evidence that the company has an anti-corruption policy that prohibits corruption in its various forms.

References:

Public:

Navantia, Anti-corruption policy, (2014), pp. 6-11:

‘6. Development

6.1 Anti-Corruption Policy

The Code of Business Conduct of Navantia explicitly prohibits any kind of corrupt practices, including bribes, by employees or representatives of Navantia.

This way, all the decisions in which Navantia is involved are based on merit.

No employee or representative of Navantia is allowed to promise, offer, pay, realize or receive payments to/from third parties, in money or any other tpye of value, which have the objective of

- Influencing any kind of action or decision - Initiating procedures that bypass local laws - Inducing a third party to report or omit any action that imply that responsabilities

are infringed - Securing any imporper advantage - Inducing a third party to use his/her influence to affect a decision of another agent

with the objective that Navantia, its employees, representatives and related people obtain or maintain any kind of commercial relation.


It is prohibited to effect any kind of corrupt payments through a third party.

6.2. Due Diligence

Navantia needs to employ a legal revision of its business partners with the objective of evaluating corruption risks before establishing business contracts.

6.4. Gifts and Hospitality

Employees of Navantia are allowed to receive and give gifts and demonstrations of hospitality, however very carefully and if the following requirements are met :

- They are not prohibited through law or local practices - They don’t create the impression nor an implied obligation that who provides gifts

and demonstrates hospitality has the right to preferential treatment, better price conditions or other, more favourable conditions

- Are not composed of money or equivalents - Do not result in embarrassing situtations for neither Navantia or the partner

company - Do not exceed the value indicated in this or other relevant policies

Gifts or demonstrations of hospitality that employees of Navantia wish to express need to be authorized in a written manner by the respective superior. Gifts and demonstrations of hospitality do not have to be authorized if they do not exceed the following:

- A meal or drink consumed during a business marketing event - Gifts of a maximum value of 40 Euros

6.5. Accounting Requirements

Navantia has the obligation to make and maintain accounting books and records with reasonable details, in a precise manner and listing the totals. It is forbidden to use falsified documents or engage in any other type of accounting activities which could omit or mask illegal payments.’


Navantia, Norma Anticorrupción, 6. Desarrollo, 2014, pp. 6-11: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf






A16:

Is the anti-corruption policy explicitly one of zero tolerance?

Score:

2

Comments:

Based on public information, there is evidence of a zero-tolerance anti-corruption policy.

References:

Public:

Navantia, Anti-corruption policy (2014), p.6:

‘6. Development

6.1 Anti-Corruption Policy

The Code of Business Conduct of Navantia explicitely prohibits any kind of corrupt practices, including bribes, by employees or representatives of Navantia. ‘


Navantia, Norma Anticorrupción, 6. Desarrollo, 2014, p.6: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf






A17:

Is the company's anti-corruption policy easily accessible to Board members, employees, contracted staff and any other organisations acting with or on behalf of the company?

Score:

1

Comments:

Based on public information, there is evidence that the company has an anti-corruption policy and an ethical code. However, the anti-corruption policy can only be found when doing a key word search on an internet search engine and the Ethical Code is only available in Spanish. The company therefore scores 1.

References:

Public:

Navantia, official website :


Navantia, Anti-corruption policy (2014): http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf

Ethical Code:

https://www.navantia.es/ckfinder/userfiles/files/empresa/Codigo%20de%20Conducta%20Empresarial.pdf







A17(a):

Is the company’s anti-corruption policy easily understandable and clear to Board members, employees and third parties?

Score:

2

Comments:

Based on public information, there is evidence that the company has an anti-corruption policy and an Ethical Code that are easily understandable and clear to Board members, employees and third parties.

References:

Public:

Navantia, Anti-corruption policy (2014): http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf

Ethical Code:







A18:

Does the anti-corruption policy explicitly apply to all employees and

members of the Board?

Score:

1

Comments:

Based on public information, there is evidence that the company has an anti-corruption policy that applies to all personnel of the company. However, evidence does not suggest that this includes Board members. The company therefore scores 1.

References:

Public:

Navantia, Anti-corruption policy, 2. Alcance, 2014, p.3: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf

‘2. Scope

The present policy is applicable to all personnel of Navanto in all work centers.’

Navantia, Norma Anticorrupción, 3. Alcance, 2014, p.3: http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf






A20:

Does the company have a policy on potential conflicts of interest, and does it apply to both employees and board members?

Score:

2

Comments:

Based on public information, there is evidence that the company has a policy on potential conflicts of interest, which includes a definition and examples. Evidence suggests that this policy applies to both employees and Board members.

References:

Public:

Navantia, Policy on the management of conflict of interest (2014), p.5:

‘People subject to the regulations on conflict of interest

- Everybody who is part of Navantia by providing their services in any professional function, position or responsibility.’

http://cuaderna.navantia.es/ckfinder/userfiles/files/cuaderna/N%C3%BAmero%205/Norma%20N-029%20-%20Conflicto%20de%20Interes.pdf

Navantia, Norma sobre la gestión de los conflictos de intereses (2014), p.5: http://cuaderna.navantia.es/ckfinder/userfiles/files/cuaderna/N%C3%BAmero%205/Norma%20N-029%20-%20Conflicto%20de%20Interes.pdf

‘« Persona/ as sometidas e reglas de conflicto de intereses ».- Todas y cada una las personas que integran Navantia, prestando sus servicios en cualquier función, categoría o responsabilidad profesional.’

Code of Conduct, p.8:

'Conflict of interest

Conflict of interest exists when one of the recipients of the code of conduct must make a decision that affects both Navantia's interests and the interests of the recipient himself, his






family or persons with whom it has a bond of affection equivalent, intimate friends, or with companies, businesses or entities in which the recipient or all persons mentioned have interests that may be affected by the outcome of the decision.

For example, it would be a conflict of interest:

- To decide or recommend the award of a contract to a company Navantia that worked in a family of the person responsible for making the decision.

- Take a business decision that can directly benefit a close friend of the person in charge of deciding whether that is one of the make money with the decision or because the company where you work is what will get the benefit.'

'Conflicto de intereses

Existe conflicto de intereses cuando uno de los destinatarios del código de conducta debe tomar una decisión que afecta a la vez a los intereses de Navantia y a los intereses del propio destinatario, sus familiares o personas con las que mantiene un vínculo de afectividad equivalente, sus amigos íntimos, o con empresas, negocios o entidades en las que el destinatario o todas las personas mencionadas tienen intereses que pueden verse afectados por el resultado de la decisión.

Por ejemplo, sería conflicto de intereses:

- Decidir o recomendar la adjudicación de un contrato de Navantia a una empresa en la que trabajase un familiar de la persona encargada de tomar la decisión.

- Tomar una decisión de negocios que puede beneficiar directamente a un amigo íntimo de la persona encargada de decidir, ya sea porque es uno de los ganan dinero con la decisión o porque la empresa en la que trabaja es la que va obtener el beneficio.'

http://www.navantia.es/ckfinder/userfiles/files/empresa/Codigo%20de%20Conducta%20Empresarial.pdf




A21:

Does the company have a policy for the giving and receipt of gifts to ensure that such transactions are bona fide and not a subterfuge for bribery?

Score:

2

Comments:

Based on public information, there is evidence that the company has a policy for the giving and receipt of gifts to ensure that such transactions are bona fide and not a subterfuge for bribery. It sets out under which circumstances gift exchange is accepted, as well as upper limits and value thresholds necessitating senior management authorisation.

References:

Public:

Navantia, Anti-corruption policys (2014), p.5:

‘5. Definitions

« Gifts » or « gifts of the company »

- Anything given or received as a consequence of a amical or commercial relationship for which the person who receives it does not have to pay the marketvalue and the person who gives it does not expect to receive anything in return. The gift can be of any kind or nature and the recipient can by either directly the person who is aimed to be entertained, or his/her relatives.’

« Demonstration of Hospitality »

- Are all types of invitations and attentions received by or given to the people who provide their services to Navantia, S.A., with the objective to represent the company in front of client (actual or potential) institutions, entities and providers, with the intention, assistance to events and payment of displacement when the person who receives them, encounters her/himself outside of her/his residence.’


Navantia, Norma Anticorrupción, (2014), p.5:





‘5. Definiciones

« Obsequios » o « regalos de empresa »

- Cualquier cosa dada o recibida como consecuencia de una relación de amistad o comercial por la cual la persona que lo recibe no paga el valor justo de mercado y el que la da no espera recibir nada a cambio. El regalo puede ser de cualquier tipo y el destinatario de obsequio puede ser directamente la persona a la cual se pretende agasajar o sus familiares.’

« Muestras de Hospitalidad »

- Son todos aquellas invitaciones y atenciones recibidas o dadas por las personas que prestan servicios en Navantia, S.A. con el objeto de representar a su empresa ante clientes (actuales o potenciales) instituciones, entidades y proveedores con la intención, asistencia a eventos y pago de desplazamientos, cuado la persona que los recibe se encuentra fuera de su domicilio.’

Navantia, Anti-corruption policy, (2014), pp.8- 10:

‘6.4. Gifts and hospitality

As a consequence, employees of Navantia have to be very careful with gifts and demonstrations of hospitality ; employees can accept and provide gifts and attentions to providers, clients and other commercial relations, as long as gifts and invitations fulfill the following :

They are not prohibited by law or local practice

They do not create or imply the impression that the one who receives them has the right to preferential treatment, and the one who provides them the right to better prices or other more favourable conditions

Do not result in embarrassing situations for Navantia nor for the other company who receives or provides gifts and invitations, if those become public

Do not exceed the indicated price in this policy or other policies de Navantia

They are not intended to improperly influence the recipient, or could have the appearance to do so

This way, gifts and attentions received by an employe of Navantia need to be communicated in a written format to the respective superior, with a copy to the responsible of business conduct in the respective work centre, unless the gift/attention is

A dinner or drink consumed at a business marketing event

Business gifts that do not exceed a value of 40 Euros

Moreover, gifts/attentions received from or given to one employee of Navantia or another employee of another company, cannot exceed 200 Euros annually.’

http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf (English Summary of Original)






Navantia, Norma Anticorrupción (2014), pp.8-10:

‘6.4. Obsequios y hospitalidad

(…) En consequencia los empleados de Navantia deben ser muy cuidadosos con los regalos y muestras de hospitalidad que dan o que reciben y como regla general, los empleados de Navantia pueden aceptar y facilitar reglaos y atenciones a proveedores, clientes u otras relaciones comerciales, siempre que esos obsequios e invitaciones :

No estén prohibidos por ley o prácticas locales,

No creen la impresión (ni la obligación implícita) de que quien los hace tiene derecho a un trato preferente, a que se le concedan contratos, mejores precios o unas condiciones de ventas más favorables,

No resulten embarazosos para Navantia ni para la otra empresa empleadora de quien los hace o los recibe, si su existencia se hiciera pública

No excedan el precio indicado por la presente Norma e en otras Normas de Navantia más restrictivas ; o bien,

No estén destinados a influir indebidamente en el destinatario o que pudiera tener la apariencia de estarlo

(…) Asimismo, los regalos y la atenciones empresariales recibidas por un empleado de Navantia deben ser comunicados por escrito a su Superior Jerárquico Competente y con copia la Responsable de Conducta Empresarial de su Centro de Trabajo (…), a menos que se trate de :

Una comida y/o bebida consumida en un evento de marketing empresarial

Regalos empresariales de un valor máximo de 40 euros

El valor total acumulado de todos los regalos e invitaciones recibidas por un empleado de Navantia de una misma persona, empresa u organización o las dadas por Navantia a un empleado de otra empresa u organización con la que se mantenga o se intente mantener una relación comercial no pueden sobrepasar los 200€ anuales.’





A22:

Does the company’s anti-corruption policy include a statement on the giving and receipt of hospitality that ensures that such transactions are bona fide and not a subterfuge for bribery?

Score:

2

Comments:

Based on public information, there is evidence that the company has a policy for the giving and receipt of hospitality to ensure that such transactions are bona fide and not a subterfuge for bribery. It sets out under which circumstances hospitality exchange is accepted, as well as upper limits and value thresholds necessitating senior management authorisation.

References:

Public:


‘5. Definitions

« Demonstration of Hospitality ».- Are all types of invitations and attentions received by or given to the people who provide their services to Navantia, S.A., with the objective to represent the company in front of client (actual or potential) institutions, entities and providers, with the intention, assistance to events and payment of displacement when the person who receives them, encounters her/himself outside of her/his residence.’


Navantia, Norma Anticorrupción (2014), p.5:

‘5. Definiciones

« Muestras de Hospitalidad ».- Son todos aquellas invitaciones y atenciones recibidas o dadas por las personas que prestan servicios en Navantia, S.A. con el objeto de representar a su empresa ante clientes (actuales o potenciales) instituciones, entidades y proveedores con la intención, asistencia a eventos y pago de desplazamientos, cuado la persona que los recibe se encuentra fuera de su domicilio.’





Navantia, Anti-corruption policy (2014), pp.8- 10:

‘6.4. Gifts and hospitality

As a consequence, employees of Navantia have to be very careful with gifts and demonstrations of hospitality ; employees can accept and provide gifts and attentions to providers, clients and other commercial relations, as long as gifts and invitations fulfill the following :

They are not prohibited by law or local practice

They do not create or imply the impression that the one who receives them has the right to preferential treatment, and the one who provides them the right to better prices or other more favourable conditions

Do not result in embarrassing situations for Navantia nor for the other company who receives or provides gifts and invitations, if those become public

Do not exceed the indicated price in this policy or other policies de Navantia

They are not intended to improperly influence the recipient, or could have the appearance to do so

This way, gifts and attentions received by an employe of Navantia need to be communicated in a written format to the respective superior, with a copy to the responsible of business conduct in the respective work centre, unless the gift/attention is

A dinner or drink consumed at a business marketing event

Business gifts that do not exceed a value of 40 Euros

Moreover, gifts/attentions received from or given to one employee of Navantia or another employee of another company, cannot exceed 200 Euros annually.’

http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf (English Summary of Original)

Navantia, Norma Anticorrupción (2014), pp.8- 10:

‘6.4. Obsequios y hospitalidad

(…) En consequencia los empleados de Navantia deben ser muy cuidadosos con los regalos y muestras de hospitalidad que dan o que reciben y como regla general, los empleados de Navantia pueden aceptar y facilitar reglaos y atenciones a proveedores, clientes u otras relaciones comerciales, siempre que esos obsequios e invitaciones :

No estén prohibidos por ley o prácticas locales,

No creen la impresión (ni la obligación implícita) de que quien los hace tiene derecho a un trato preferente, a que se le concedan contratos, mejores precios o unas condiciones de ventas más favorables,

No resulten embarazosos para Navantia ni para la otra empresa empleadora de quien los hace o los recibe, si su existencia se hiciera pública

No excedan el precio indicado por la presente Norma e en otras Normas de Navantia






más restrictivas ; o bien,

No estén destinados a influir indebidamente en el destinatario o que pudiera tener la apariencia de estarlo

(…) Asimismo, los regalos y la atenciones empresariales recibidas por un empleado de Navantia deben ser comunicados por escrito a su Superior Jerárquico Competente y con copia la Responsable de Conducta Empresarial de su Centro de Trabajo (…), a menos que se trate de :

Una comida y/o bebida consumida en un evento de marketing empresarial

Regalos empresariales de un valor máximo de 40 euros

El valor total acumulado de todos los regalos e invitaciones recibidas por un empleado de Navantia de una misma persona, empresa u organización o las dadas por Navantia a un empleado de otra empresa u organización con la que se mantenga o se intente mantener una relación comercial no pueden sobrepasar los 200€ anuales.’





A23:

Does the company have a policy that explicitly prohibits facilitation payments?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a policy that explicitly prohibits facilitation payments.

References:

Public:

NA


A24:

Does the company prohibit political contributions, or regulate such contributions in order to prevent undue influence or other corrupt intent? Does the company record and publicly disclose all political contributions?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company prohibits political contributions, or regulates such contributions in order to prevent undue influence or other corrupt intent.

References:

Public:

NA


A25:

Does the company have a clear policy on engagement in lobbying activities, in order to prevent undue influence or other corrupt intent, and discloses the issues on which the company lobbies?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a clear policy on engagement in lobbying activities, in order to prevent undue influence or other corrupt intent, or discloses the issues on which the company lobbies.

References:

Public:

NA


A25(a):

Does the company prohibit charitable contributions, or regulate such contributions in order to prevent undue influence or other corrupt intent?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company prohibits charitable contributions, or regulates such contributions in order to prevent undue influence or other corrupt intent.

References:

Public:

NA


A26:

Does the company provide written guidance to help Board members and

employees understand and implement the firm’s ethics and anti-corruption

agenda?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company provides written guidance to help Board members and employees understand and implement the firm’s ethics and anti-corruption agenda.

References:

Public:

NA


A27:

Does the company have a training programme that explicitly covers anti-corruption?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has a training programme that explicitly covers anti-corruption.

References:

Public:

NA


A28:

Is anti-corruption training provided in all countries where the company operates or has company sites?

Score:

0

Comments:

Based on public information, there is no readily available evidence that anti-corruption training is provided in all countries where the company operates or has company sites.

References:

Public:

NA


A29:

Does the company provide targeted anti-corruption training to members of the Board?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company provides targeted anti-corruption training to members of the Board.

References:

Public:

NA


A30:

Does the company provide tailored ethics and anti-corruption training for employees in sensitive positions?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company provides tailored ethics and anti-corruption training for employees in sensitive positions.

References:

Public:

NA


A31:

Does the company have a clear and formal process by which employees declare conflicts of interest?

Score:

2

Comments:

Based on public information, there is evidence that the company has a clear and formal process by which employees declare conflicts of interest. The policy on conflict of interests contains a declaration form, while conflicts of interest can also be declared via email.

References:

Public:


‘6.6. Registration of conflict of interest and communication of resolutions

A register of all declaraions, communication and resolution is kept of the entire record of the indicated « conflcit of interests ».

If the investigation results in the existence of a « conflict of interest » the resolution will be communicated to the directors and to the affected people.’


Navantia, Norma sobre la gestión de los conflictos de intereses (2014), p.9:

‘6.6. Registro de los conflictos de intereses y comunicación de resoluciones

Se guardará registro de las declaraciones, comunicaciones y resoluciones de la totalidad de los expedientes de « Conflicto de Intereses » iniciados.

Si de la investigación resultará la existrencia del « Conflicto de interés » la pertinente resolución será comunicada además a las Direcciones a las que afecte.’







A32:

Is the company explicit in its commitment to apply disciplinary procedures to employees, Directors and Board members found to have engaged in corrupt activities?

Score:

1

Comments:

Based on public information, there is evidence that the company has an explicit commitment to apply disciplinary procedures to employees. However, it is unclear if this also applies to Board members. The company therefore scores 1.

References:

Public:


9. Sanctions

The violation or breach of this policy constitutes a professionally related deficiency, and it will be sanctioned with a arrangement related to the disciplinary regime of Navantia, without harming other responsibilities the enfactor might be entrusted with.


Navantia, Norma sobre la gestión de los conflictos de intereses (2014), p.10:

‘9. Sanciones

La vulneración o incumplimiento de esta Norma que constituya una falta de carácter laboral, se sancionará con arreglo a lo establecido en el Régimen Disciplinario de Navantia, sin perjuicio de otras responsablidades en que el enfractor hubiera podido incurrir.’



‘9. Sanctions






The violation or breach of this policy constitutes a professionally related deficiency, and itwill be sanctioned with a arrangement related to the disciplinary regime of Navantia, without harming other responsibilities the enfactor might be entrusted with.’ http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf




A33:

Does the company have multiple, well-publicised channels that are easily accessible and secure, to guarantee confidentiality or anonymity where requested by the employee (e.g. web, phone, in person), to report concerns or instances of suspected corrupt activity?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has multiple, well-publicised channels that are easily accessible and secure, to guarantee confidentiality or anonymity where requested by the employee (e.g. web, phone, in person), to report concerns or instances of suspected corrupt activity.

References:

Public:

NA


A33(a):

Are the whistleblowing channels available to all employees in all geographies?

Score:

0

Comments:

Based on public information, there is no readily available evidence that whistleblowing channels are available to all employees in all geographies.

References:

Public:

NA


A33(b):

Does the company have formal and comprehensive mechanisms to assure itself that whistleblowing by employees is not deterred, and that whistleblowers are treated supportively?

Score:

0

Comments:

Based on public information, there is no readily available evidence that the company has formal and comprehensive mechanisms to assure itself that whistleblowing by employees is not deterred, or that whistleblowers are treated supportively.

References:

Public:

NA


A34:

Does the company have well-publicised resources available to all employees where help and advice can be sought on corruption-related issues?

Score:

2

Comments:

Based on public information, there is evidence that the company has well-publicised resources available to all employees where help and advice can be sought on corruption-related issues. Specifically, the Department of Legal Advice is responsible for providing support and advice in regard to the Anti-Corruption Policy.

References:

Public:


‘3. Responsibilities

The Direction of Legal Advice is responsible to support and advice in case of any doubts in the application of the Anti-Corruption Policy.’


Navantia, Norma Anticorrupción (2014), p.3:

‘3. Responsabilidad







A35:

Is there a commitment to non-retaliation for bona fide reporting of corruption?

Score:

0

Comments:

Based on public information, there is no readily available evidence that there is a commitment to non-retaliation for bona fide reporting of corruption.

References:

Public:

NA


Information Sources:

Company Website:

http://www.navantia.es/ [Spanish]

http://www.navantia.es/eng/index_.php [English]

Anti-Corruption Policy (November 2013):

http://cuaderna.navantia.es/ckfinder/userfiles/files/N-030%20-%20ANTICORRUPCI%C3%93N.pdf [Spanish]

Conflict of Interest Policy (May 2014):

http://cuaderna.navantia.es/ckfinder/userfiles/files/cuaderna/N%C3%BAmero%205/Norma%20N-029%20-%20Conflicto%20de%20Interes.pdf [Spanish]

Code of Conduct (date not known):

http://www.navantia.es/ckfinder/userfiles/files/empresa/Codigo%20de%20Conducta%20Empresarial.pdf [Spanish]

http://www.navantia.es/

http://www.navantia.es/eng/index_.php







FINAL ASSESSMENT NAVANTIA, S.A.companies.defenceindex.org/pdf/navantia.pdfNavantia Anti-corruption...

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