This publication supports Australian businesses to strengthen anti-bribery risk and compliance management and align anti-bribery procedures with international best practice. Access practical guidance on building and implementing adequate procedures across six key areas: management dedication, risk assessment, due diligence, confidential reporting and investigation, communication and training, and monitoring and review. Learn how to implement adequate procedures across compliance areas.
This factsheet is designed to support small to medium sized enterprises to meet existing compliance obligations and establish a best practice anti-bribery system. Read about the key considerations and practical steps involved in implementing adequate procedures to prevent bribery.
Download and print foreign bribery resources including a brochure and poster outlining key information about the foreign bribery offence and how to report suspected foreign bribery to the AFP. These resources are designed to be printed and made available to employees and contractors who require easy to understand information about foreign bribery.
Businesses that engage in commercial activity with overseas entities involved in serious corruption or other situations of international concern should be aware of obligations arising under Australia’s sanctions laws. Sanctions impose restrictions on activities that relate to particular countries, goods, services, or entities. The Australian Sanctions Office provides information about compliance with Australia’s sanctions laws and how to apply for sanctions permits.
Informed by a survey of 229 company representatives from across 10 ASEAN countries, this report offers findings to support businesses to develop and implement anti-corruption risk management policies and practices that contribute to greater resilience and sustainable development. The report presents survey findings using accessible graphics that demonstrate the key risks facing businesses during the COVID-19 pandemic.
See how your organisation’s anti-bribery and corruption policy compares with the policies of the top ASX listed companies. If your organisation does not yet have an anti-bribery and corruption policy, identify key features that you might incorporate into a future policy. This collection contains links to policies from large organisations across a variety of industries – including the financial, materials, mining, healthcare, real estate, consumer staples, telecommunications, IT, industrials and energy industries.
Geared towards the banking sector, this briefing paper offers guidance from global experts on how to develop effective grievance mechanisms. It proposes 10 straightforward recommendations, which can be applied to other sectors. This resource explains the United Nations Guiding Principles effectiveness criteria for grievance mechanisms and applies these to case studies. It offers justification for why SMEs in high risk jurisdictions and sectors would benefit from implementing an operational-level grievance mechanism.
A useful and simply laid out tool that offers suppliers guidance on developing a site-based grievance mechanism for their workers. This resource applies the United Nations Guiding Principles effectiveness criteria for grievance mechanisms to clearly illustrate good practice in implementing such mechanisms, that align with universally accepted standards. Although tailored to the retail industry, this resource is useful for other sectors with complex supply chains.
This practical guide offers support to businesses in the resource development industry to design and implement site-level grievance mechanisms. It includes solutions to common challenges, including, building community awareness of and trust in site-level grievance mechanisms, creating organisational buy-in to make these mechanisms effective, and growing an internal culture to support the resolution of grievances.
This easy to read resource explains the importance of operational-level grievance mechanisms for businesses and offers good practice guidance on effective grievance management. While specific to the mining and metals sector, this guidance is applicable to other sectors. The use of case studies, a glossary and infographics makes this resource an excellent entry point to learning about effective operational-level grievance mechanisms.
This resource contains guidance to help Singapore businesses to develop and implement anti-corruption systems by following four key steps: ‘pledge’, ‘assess’, ‘control and communicate’ and ‘track’. The guidance also contains case studies, links to additional resources and sample versions of anti-corruption policies, codes of conduct, declaration forms for gifts and entertainment and conflicts of interest, and a risk assessment checklist.
This resource is used by prosecutors at the United States Department of Justice to assist their evaluation of the effectiveness of a corporation’s compliance program. The sample topics and questions contained in the resource may also assist businesses to self-assess their own compliance programs and ensure their programs are well-designed, adequately resourced, empowered to function effectively and work in practice.
This comprehensive guidance document provides a detailed analysis of the United States Foreign Corrupt Practices Act (FCPA) and its enforcement. Topics include who and what is covered by the FCPA, the jurisdictional reach of the FCPA, relevant definitions and features of effective compliance programs. The guidance also contains hypotheticals, examples of enforcement actions and summaries of applicable case law.
This guidance document is designed to help businesses understand the procedures they can put in place to prevent bribery and meet the requirements of the UK Bribery Act 2010. The guidance sets out six guiding principles, supported by examples and hypothetical scenarios. The resource also gives an overview of sections relevant to businesses in the UK Act.
Foreign bribery results in an inefficient allocation of resources and economic distortions. It is also a threat to democracy, corrosive of good governance and an impediment to economic development. This fact sheet provides information about the consequences for individuals and companies who bribe or attempt to bribe and the broader, far-reaching effects of foreign bribery on democratic institutions and governmental stability.
These voluntary rules from the International Chamber of Commerce offer business a method of self-regulation to comply with anti-corruption initiatives at the international level. The rules promote high standards of integrity in business transactions and provide an appropriate basis for resisting attempts at extortion or solicitation of bribes. Available in English, French, Spanish and Turkish.
Designed to promote a culture of ethical business practice in the financial services industry, this guide offers top line advice on how to develop, implement and maintain an effective anti-bribery and corruption compliance program. To be read in conjunction with authoritative guidance issued in jurisdictions where the financial institution is conducting business.
Explore how an anti-bribery management system might support your business to comply with international and domestic laws and expectations governing bribery and corruption. The ISO 37001 Anti-Bribery Management System sets out the requirements and guidance for establishing, implementing, maintaining and improving an anti-bribery management system. Applicable to organisations of varying sizes from different sectors.
Access practical guidance to create an effective anti-corruption ethics and compliance program for your business. This comprehensive guide explains the international legal framework for combatting corruption. It sets out the principles and processes for undertaking risk assessments and developing and implementing an anti-corruption ethics and compliance program. It specifically identifies challenges and opportunities for small and medium sized enterprises.
These guidelines provide non-binding principles and standards for responsible business conduct in a global context, consistent with local laws and international standards. Promoted by the Australian Government, these guidelines support business to know how to act responsibly in the areas of anti-corruption, human rights, disclosure, employment and industrial relations, environment, competition and taxation. Published in 19 languages, including English.
OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions
The OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions is a legally binding instrument that criminalises bribery of foreign public officials in international business transactions. The Convention was strengthened by the 2009 Anti-Bribery Recommendation which established additional measures to prevent, detect and investigate foreign bribery. Published in five languages.
The United Nations Convention Against Corruption is a legally binding universal anti-corruption instrument. It covers five main areas: preventive measures, criminalisation and law enforcement, international cooperation, asset recovery, and technical assistance and information exchange. The prevention chapter is relevant to both public and private sectors. Published in English, Arabic, Chinese, French, Russian and Spanish.
Understand what constitutes a facilitation payment with this guide. This resource provides a list of examples, explains associated risks, and sets out the Australian law and Austrade policy in relation to facilitation payments. It also includes a brief hypothetical scenario and offers guidance on how to resist making facilitation payments. This resource forms part of Austrade’s suite of anti-bribery materials.
Protect your organisation by putting in place clear policies and procedures that prohibit the offer, giving or receipt of gifts, hospitality or expenses where they could influence, or be reasonably perceived to influence, improper outcomes of business transactions. This resource also offers guidance on policy considerations and procedures such as record keeping. It forms part of Austrade’s suite of anti-bribery materials.
This resource offers a high-level overview on how your organisation’s anti-bribery and corruption procedures might be designed to mitigate identified risks as well as prevent deliberate unethical conduct by associated persons. It explains features of a proportionate approach to developing anti-bribery procedures and clearly sets out characteristics of such an approach. This resource is part of Austrade’s suite of anti-bribery materials.
This fourth edition of the Corporate Governance Principles and Recommendations sets out recommended corporate governance practices that promote good governance outcomes and includes suggested content for an anti-bribery and corruption policy. Conformity with the recommendations will help address issues around culture, values and trust and support ASX listed entities and other businesses to engage in ethical and responsible business conduct that meet community standards and expectations.
Detect bribery and corruption by leveraging technology based strategies such as data analytics. This resource unpacks how a data analytics strategy can help ensure effective and efficient compliance programs by automating compliance testing and going beyond manual reviews. The guidance is supported by tips, practical advice and case studies.
The Austrade 'Monitoring and Review' fact sheet helps businesses to understand what internal and external mechanisms can be used to assess the effectiveness of their bribery prevention policies and procedures. Ensure your organisation has adequate measures in place to meet stakeholder expectations and comply with regulatory frameworks. Know what records should be kept and when policies and procedures may need to be adjusted.
This suite of tools and guidance covers topics including facilitation payments, bribery red flags, and training materials to help identify and manage bribery risks. It includes a flow chart of practical steps businesses can take before entering any formal relationship with business partners or associates and what due diligence can be conducted. This resource forms part of Austrade’s suite of anti-bribery materials.
To carry out effective risk assessments, Australian businesses operating overseas should be aware of the bribery and corruption risks in the country in which they operate. Designed for Australian exporters, this resource provides risk profiles for 50 countries, including the corruption rating, sectors where corruption may occur, and applicable laws and regulatory bodies. This resource is provided as part of Austrade's suite of anti-bribery materials.
Parties to the OECD Anti-Bribery Convention, including Australia, are required to criminalise bribery of foreign public officials in international business transactions. This fact sheet provides short explanations of the OECD, the Anti‑Bribery Convention, how the Convention is monitored and background to Australia’s enforcement of the Convention.
This resource explains the role of an internal audit in an effective anti-bribery and corruption program. It provides specific guidance – including sample audit procedures and sample questions – for assessing the effectiveness of an organisation’s system of internal controls to prevent bribery and corruption. Risk types and common red flags are identified, and audit activities are suggested.
Part of Austrade’s “Guide to exporting”, this comprehensive resource offers headline points that all Australian businesses must be aware of when seeking to prevent corruption in their overseas operations. It links to a detailed guide with 12-steps to an effective anti-bribery and corruption program, and provides country-specific information.
Address corruption in public infrastructure projects by applying this framework. Learn how data analytics can be used to monitor corruption risk across the project cycle. This resource includes a case study on creating a corruption risk index during construction of an international airport in Mexico City.
Articulate company commitments and expectations by setting an anti-bribery and corruption (ABC) statement of intention. This resource suggests language and key points to include in an ABC statement of intention to support companies to communicate to internal and external stakeholders. This resource is provided as part of the Australian Government’s broader anti-bribery materials. This resource is part of Austrade’s “Guide to exporting”.
An anti-bribery checklist that helps assess where you stand on countering bribery. Provides practical guidance for companies to assess their commitments, implementation, and monitoring policies and practice, as well as their public reporting. Useful for both small and larger businesses. Both staff and senior management teams would benefit from using the checklist.
What are the incentives for a company to refrain from bribery and implement sound anti-corruption measures? This short guide provides some answers.
Remuneration and promotion structures are one of the most powerful ways that companies communicate their values and priorities to staff. Section nine of the Austrade publication "Anti-bribery and Corruption (ABC): A guide for Australians doing business overseas" gives a simple overview of how compliance, risk management and ethical behavior can be reinforced through incentive structures (and how the wrong behaviors can also be reinforced). This resource is part of Austrade’s “Guide to exporting”.
Under the Government’s proposed deferred prosecution agreement (DPA) scheme, companies that cooperate with authorities can be invited to enter a DPA for foreign bribery and related offences. If a company complies with the DPA, it will not be convicted. This draft code of practice sets out the expectations of authorities for companies that wish to enter a DPA.
CDPP and AFP Best Practice Guideline on self-reporting foreign bribery and related offending by corporations
Self-reporting is a significant first step in addressing suspected foreign bribery. This Guideline is designed to provide companies with information about how self-reporting will be taken into account by the CDPP when determining whether or not to commence a prosecution, and highlights the reasons why a company may choose to self-report including to comply with directors’ duties and limit liability. Information about early guilty pleas is also provided.
This detailed instruction manual for investigating corruption allegations can guide you through the internal investigation process. It is designed for investigations in the public sector, but the same principles will apply for internal investigations of fraud or corruption issues in the private sector. The 'whistleblowing' section of this site provides up to date guidance on recent developments in obligations relating to whistleblowers.
When allegations of fraud or corruption arise, it is important to undertake a prompt and thorough investigation. This short 'how to' guide outlines the key steps to make an investigation effective. Be sure to also consider the 'whistleblowing' section of this site for more recent developments in obligations relating to whistleblowers.
This resource unpacks the key role played by whistleblowers in identifying instances of foreign bribery. Approaches to encouraging whistleblowers to report suspected instances of bribery to law enforcement are explored, including ensuring effective legal protection from reprisals. Case studies of the various approaches are provided from around the world to offer practical examples of the recommendations in action.
Practical guidance in the form of seven considerations is provided to support business to establish and implement internal whistleblowing programs as part of their efforts to tackle corruption. The document includes a summary of the international corruption landscape and a selected overview of national and international whistleblowing laws and conventions.
Understand regulatory expectations, seek to comply with legal obligations and manage whistleblowing in accordance with the Corporations Act 2001 using this guide on whistleblowing policies. The guide offers background context to whistleblowing policies. It also provides detailed steps, examples and good practice tips on how to establish, implement and maintain a whistleblower policy.
This resource will support businesses to understand and implement risk-based due diligence as recommended by the OECD Guidelines for Multinational Enterprises – a key international standard on responsible business conduct. The guidance describes the due diligence process using six key steps and suggests practical actions business can take. Helpful tips and detailed explanations are also provided, supported by examples.
Conduct third party due diligence using this practical guidance developed to support business practitioners manage bribery and corruption risks. The guidance highlights a risk-based due diligence process with four key points. Additional considerations, lessons learned, good practice tips and sample due diligence tools are provided.
Create cost-effective due diligence procedures that help to minimise corruption risks and adhere to international anti-corruption standards. This guidance is targeted at small and medium enterprises (SMEs) and recognises the unique challenges SMEs face. It gives a detailed overview of how and when to undertake due diligence, including practical advice. Sample due diligence tools and templates are provided.
Prevent and address bribery and corruption risks with this practical training tool designed to raise employee awareness and capacity on this topic. The RESIST tool uses 22 scenarios, including a description of the possible situation, preventative steps and actions to address instances of bribery. The tool also includes good practice recommendations that can apply to many situations.
Effectively communicate bribery prevention policies and procedures to internal and external stakeholders. Practical recommendations on what communications should cover are included in this resource. Understand where training on bribery prevention policy and procedures should be focussed to mitigate the risks of bribery and maximise awareness of business policy and procedures. This resource forms part of Austrade’s suite of anti-bribery materials.
Identify red flags for bribery when dealing with business associates using the list of questions provided as part of Austrade’s anti-bribery materials. This resource will also support you to understand who is considered a business associate and how to manage any red flags and warning signs that are uncovered as part of your due diligence process. This resource forms part of Austrade’s suite of anti-bribery materials.
Australian businesses operating overseas need to be aware of their obligations under Australian and foreign laws with respect to dealing with foreign public officials. Austrade has published an anti-bribery and corruption guide for Australian businesses operating overseas and information sheets that provide businesses with practical tips and risk assessment tools.
The Australian Government is proposing reforms that will require companies to implement and maintain adequate procedures to prevent an associate (such as an employee, agent or subsidiary) from bribing foreign public officials. This draft principles-based guidance sets out the types of measures companies should consider implementing and includes case studies to demonstrate how these measures could be applied in practice.