Anti-Bribery Policy – Greater London Locks
1 January 2013
1. POLICY STATEMENT
1.1 Greater London Locks (“GLL”) is committed to carrying out its business in an honest and ethical manner and to observing the provisions of the Bribery Act 2010, in respect of its conduct both at home and overseas.
1.2 On 1 July 2011, the Bribery Act came into force, and its provisions apply to all GLL business. The Bribery Act created a number of new bribery and corruption offences and holds businesses and institutions liable for failing to prevent bribery carried out on their behalf, irrespective of whether the bribe takes place in the UK or overseas. The sanctions for these offences include up to 10 years’ imprisonment for the individuals responsible. In addition, if GLL is found to have connived in or consented to acts of corruption undertaken in its name, the penalties include personal liability for senior managers and an unlimited fine and significant reputational damage for GLL.
1.3 This policy outlines how GLL is implementing and enforcing effective systems to counter bribery. The purpose of this policy is to:
(a) Set out GLL’s responsibilities, and of those working for us, in observing and upholding our position on bribery and corruption; and
(b) Provide information and guidance to those working for us on how to recognise and deal with bribery and corruption issues.
1.4 This statement of policy is adopted and endorsed by the Board. The Managing Director is GLL’s Bribery Act compliance officer.
2. WHO IS COVERED BY THE POLICY?
This policy applies to all individuals working at all levels and grades, including senior managers, directors, employees (whether permanent, fixed-term or temporary), consultants, seconded staff, agency staff, volunteers, interns, agents, sponsors, or any other person associated with GLL wherever located, or otherwise engaged in GLL business.
Top-level commitment is an essential feature of compliance of the Bribery Act and colleagues and associates with management responsibility are expected to share our Management Board’s commitment to observe and implement the spirit and terms of this policy.
3. WHAT IS BRIBERY?
A bribe is an inducement or reward offered, promised or provided in order to gain any commercial, contractual, regulatory or personal advantage.
Acts of bribery or corruption are designed to influence the individual in the performance of their duty and incline them to act dishonestly.
It is an offence under the Bribery Act to:
– Offer a bribe;
– Receive a bribe;
– Bribe an Official; and
– Consent or connive to the commission of a bribery offence by anyone associated with GLL in respect of business carried out on behalf of GLL.
Offering a bribe
You offer a potential business partner or client tickets to a major sporting event, on condition that they agree to do business with you/GLL as a result.
This would be an offence as you are making the offer to gain a commercial and contractual advantage. GLL may also be found to have committed an offence because the offer has been made to obtain business for GLL. (See below for Hospitality Guidance).
Receiving a bribe
A supplier gives a member of your family a job, but makes it clear that in return they expect you to use your position to influence the chances of obtaining GLL business or another advantage to them in return.
It is an offence for a supplier to make such an offer. It would be an offence for you to accept the offer as you would be doing so to gain a personal advantage. Suppliers who are found to have committed a bribery offence are automatically debarred from any future public authority tender process.
Bribing an official
You pay or make arrangements to pay an additional payment to an official to speed up an administrative process or to gain an extra unwarranted payment. For example, a colleague pays a sum to an official to sanction payment for work not undertaken.
The offence of bribing a foreign public official has been committed as soon as the offer is made. This is because it is made to gain a business advantage for you or for GLL.
POTENTIAL RISK SCENARIOS:
The matters set out below illustrate a number of scenarios which indicate an increased risk of an offence under the Bribery Act being committed:
(a) You become aware that a third party engages in, or has been accused of engaging in, improper business practices;
(b) You learn that a third party has a reputation for paying bribes, or requiring that bribes are paid to them, or has a reputation for having a “special relationship” with government officials;
(c) A third party insists on receiving a commission or fee payment before committing to sign up to a contract, or carrying out a government function or process;
(d) A third party requests payment in cash and/or refuses to sign a formal commission or fee agreement, or to provide an invoice or receipt for a payment made;
(e) A third party requests that payment is made to a country or geographic location different from where the third party resides or conducts business;
(f) A third party requests an unexpected additional fee or commission to “facilitate” a service;
(g) A third party demands lavish entertainment or gifts before commencing or continuing contractual negotiations or provision of services;
(h) A third party requests that a payment is made to “overlook” potential legal violations;
(i) A third party requests that you provide employment, or some other advantage to a friend or relative;
(j) You receive an invoice from a third party that appears to be non-standard or customised;
(k) A third party insists on the use of side letters or refuses to put terms agreed in writing;
(l) You notice that GLL has been invoiced for a commission or fee payment that appears large given the service stated to have been provided;
(m) A third party requests or requires the use of an agent, intermediary, consultant, distributor or supplier that is not typically used by or known to GLL; and
(n) You are offered an unusually generous gift or offered lavish hospitality by a third party.
4. GIFTS AND HOSPITALITY
4.1 This policy does not prohibit normal and appropriate hospitality (given and received) to or from third parties. However, gifts, hospitality and political or charitable donations will be bribes if they are given or received with the intention of influencing business decisions.
In addition, when giving or receiving gifts and hospitality, you should consider whether the following requirements are met:
(a) It is not made with the intention of influencing a third party to obtain or retain business or a business advantage, or to reward the provision or retention of business or a business advantage, or in explicit or implicit exchange for favours or benefits;
(b) It complies with any or local law;
(c) It does not include cash or a cash equivalent (such as gift certificates or vouchers);
(d) Taking into account the reason for the gift, it is of an appropriate type and value and given at an appropriate time; and
(e) It is given openly, not secretly.
(f) Gifts should not be offered to, or accepted from, government officials or representatives, or politicians or political parties, without the prior approval of GLL’s managing director.
5. WHAT IS NOT ACCEPTABLE?
It is not acceptable for you (or someone on your behalf) to:
(a) Give, promise to give, or offer, a payment, gift or hospitality with the expectation or hope that a business advantage will be received, or to reward a business advantage already given.
(b) Give, promise to give, or offer, a payment, gift or hospitality to a government official, agent or representative to “facilitate” or expedite a routine procedure.
(c) Accept payment from a third party that you know or suspect is offered with the expectation that it will obtain a business advantage for them.
(d) Accept a gift or hospitality from a third party if you know or suspect that it is offered or provided with an expectation that a business advantage will be provided by us in return.
(e) Threaten or retaliate against a colleague or third party who has refused to commit a bribery offence or who has raised concerns under this policy.
(f) Engage in any activity that might lead to a breach of this policy.
6. FACILITATION PAYMENTS
6.1 In some countries it is customary practice to make payments or gifts of small value to junior government officials in order to speed up or facilitate a routine action or process. However, this is not permitted under the Bribery Act and GLL does not, therefore, support or endorse the making or accepting of facilitation payments by staff and anyone carrying out business on behalf of GLL.
6.2 If you are asked to make a payment on behalf of GLL, you should always be mindful of what the payment is for and whether the amount requested is proportionate to the goods or services provided. You should always ask for a receipt which details the reason for the payment.
6.3 In the event that a facilitation payment is being extorted, or if you are forced to pay under duress, you must record the payment and report it without delay under the procedure set out in paragraph 10.
GLL does not make contributions to political parties. GLL supports charitable giving and initiatives by colleagues, however, it is only open to GLL to make charitable donations at an institutional level in limited prescribed circumstances, and any such requests should first be referred to the Managing Director.
8.1 You must ensure that you read, understand and comply with this policy.
8.2 The prevention, detection and reporting of bribery and other forms of
corruption are the responsibility of all those working for or associated with GLL. You are required to avoid any activity that might lead to, or suggest, a breach of this policy.
8.3 Effective risk assessment in order to evaluate and mitigate risk is an essential element of this policy. Colleagues must assess the vulnerability of their activities, particularly overseas, on an ongoing basis.
8.4 You must notify your manager and GLL’s Managing Director as soon as possible if you believe or suspect that a conflict with this policy has occurred, or may occur in the future.
8.5 Any employee who breaches this policy will face disciplinary action, which could result in dismissal for gross misconduct.
9.1 GLL has a duty to monitor the fact that the terms of the Bribery Act are being observed by employees, workers and those associated with GLL. GLL is required to keep financial records and to have appropriate internal controls in place which will evidence the business reason for making payments to third parties.
9.2 You must declare and keep a written record of all hospitality or gifts accepted or offered and report them to the Managing Director.
9.3 You must ensure all expenses claims relating to hospitality, gifts or expenses incurred to third parties are specifically recorded with the reason for the expenditure.
10. HOW TO RAISE A CONCERN
You are encouraged to raise concerns about any issue or suspicion of malpractice at the earliest possible stage. If you are unsure whether a particular act constitutes bribery or corruption, or if you have any other queries, these should be raised with your line manager in the first instance. If you or your line manager requires further guidance, you should contact the Managing director’s Office. Malpractice may be reported by following the procedure set out in GLL’s Whistleblowing policy.
11. WHAT TO DO IF YOU ARE A VICTIM OF BRIBERY OR CORRUPTION
It is important that you tell the Managing Director as soon as possible if you are offered a bribe by a third party, are asked to make one, suspect that this may happen in the future, or believe that you are a victim of another form of unlawful activity. Any instances of bribery or attempted bribery should also be reported promptly to the Managing director. If the bribery concerns your line manager, your concern may be reported directly to the Managing Director’s Office.
12.1 Colleagues who refuse to accept or offer a bribe, or those who raise concerns or report another’s wrongdoing, are sometimes worried about possible repercussions. GLL will support anyone who raises genuine concerns in good faith under this policy.
12.2 GLL is committed to ensuring no one suffers any detrimental treatment as a result of refusing to take part in bribery or corruption, or because of reporting in good faith their suspicion that an actual or potential bribery or other corruption offence has taken place, or may take place in the future. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If you believe that you have suffered any such treatment, you should inform your line manager. GLL’s HR Department may be contacted for advice and support. If the matter is not remedied, and you are an employee, you should raise it formally using GLL’s Grievance Procedures.