This self-guided online tool provides junior mining companies operating in high-risk jurisdictions with practical strategies to help keep corruption out of new projects, with a particular focus on the licensing and permitting stages. Also available in a printable format, the guide features practical scenarios, sample policies and procedures, and other helpful resources.
Launched in 2021, this interactive tools is designed for a diversity of small and medium sized enterprises. The tool supports businesses to implement corruption risk assessments throughout global supply chains. It offers a good first step for understanding what actions can be taken to improve business corruption risk assessments and provides a list of information sources to do so.
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.
Prepared by the Business Council of Australia and Asia Society Australia Asia Taskforce, this discussion paper includes guidance specifically for Australian companies looking to operate in Asia. It incorporates a risk management framework and case studies, and explains strategies for managing bribery and corruption incidents.
Ranks 180 countries and territories by their perceived levels of public sector corruption. Helps companies to understand and compare the corruption risks of operating in different countries. Useful for undertaking third party risk analysis and due diligence. Learn about regional trends, and the areas that have the greatest bribery and corruption risks.
The Australian National Contact Point (AusNCP) is responsible for promoting the OECD Guidelines for Multinational Enterprises and to contribute to the resolution of issues relating to their implementation when cases against a company are raised. The complaint mechanism helps parties resolve conflicts. The website provides useful information on how to submit a complaint, track a case and view a closed complaint.
This online and interactive tool helps mining companies evaluate and strengthen their anti-corruption controls and procedures, with a specific focus on project licensing, permitting and acquisitions. With indicators selected from close to 40 international best practice standards and frameworks, this tool helps companies reduce their corruption risk exposure.
This toolkit offers a step by step guide on how to design and implement a grievance mechanism. It explains the purpose of having a grievance mechanism, including why this is a good business investment, issues to consider when establishing a grievance mechanism, how to build and operate an effective mechanism, and how to use feedback to improve a mechanism. This resource includes links to other useful tools.
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.
Part of a comprehensive toolbox on human rights duties developed for the Federal Institute of Sustainable Development (Belgium), this resource offers an accessible introduction to operational-level grievance mechanisms. Learn how such mechanisms can support your business to identify potential human rights risks and impacts stemming from your business operations. This resource includes extensive links to useful grievance frameworks and mechanisms. Published in English, French and Dutch.
The Whispli platform has a resource centre with practical tools, videos and guidance on how organisations can establish a culture of whistleblowing protection and support. It provides free access to the ‘Open Line’ App to enable open and secure communication with employees who may want to speak up. These resources have been developed by experts in the field of whistleblower protection.
Seek to understand key anti-bribery and corruption laws in China with this online resource. A range of topics relevant to the enforcement of bribery and corruption laws in China are covered including key legislation, offences, penalties and enforcement agencies. This resource also provides information about corporate liability for the acts of intermediaries and the liability of individuals.
This website provides a diverse range of resources to assist Hong Kong businesses to prevent bribery and corruption. The website contains links to practical guides, tools, best practice checklists and training and includes sector and industry-specific information. This website is available in English, Cantonese and Mandarin.
This collection of resources makes clear the link between corruption and sustainable development. Corruption undermines human development and increases inequality. The Sustainable Development Goals (SDGs) make an explicit link between corruption and peaceful, just and inclusive societies. They recognise that unless corruption is tackled, achieving any of the SDGs will be hindered.
This video highlights research undertaken by Transparency International with 47, 000 citizens from 35 African countries who shared their lived experience of paying a bribe for basic services. It found that paying bribes is far too common, is getting worse and that the poorest in society are twice as likely to have to pay a bribe.
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.
This article identifies key global impacts of corruption, including its effect on healthcare outcomes, education and on women, children and the world's poor. It explains how aligning anti-corruption strategies with the United Nations Sustainable Development Goals, can support business to promote the five pillars of sustainable development: people, planet, prosperity, peace, and partnerships.
Transparency International defines whistleblowing as "Making a disclosure in the public interest by an employee, director or external person, in an attempt to reveal neglect or abuses within the activities of an organisation, government body or company (or one of its business partners) that threaten public interest, its integrity and reputation." Find other definitions for key bribery and corruption terms in Transparency International's Corruption A-Z.
Transparency International defines a facilitation payment as "A small bribe, also called a ‘facilitating’, ‘speed’ or ‘grease’ payment; made to secure or expedite the performance of a routine or necessary action to which the payer has legal or other entitlement." Find other definitions for key bribery and corruption terms in Transparency International's Corruption A-Z.
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.
There are many layers to remediating bribery and corruption issues, including: identifying root causes, addressing weaknesses in systems and processes, imposing consequences on the people who have done the wrong thing, putting commercial relationships onto the right footing and paying reparations where appropriate. This incident response map works through some of the key issues related to a remediation response.
The Partnering Against Corruption Initiative (PACI) is a leading business voice on anti-corruption and transparency. This CEO-led platform is founded on the principles of public-private cooperation, responsible leadership and technological advancement. This website offers background information on how business leaders can take part in PACI, which currently has around 90 signatories from different sectors.
Establish a culture of integrity in your business. The Ten Principles of the United Nations Global Compact can be incorporated into your business’ strategies, policies and procedures as a foundation for long-term success that aligns with responsible business conduct. These principles promote corporate sustainability by encouraging business to meet fundamental responsibilities in the areas of anti-corruption, human rights, labour and environment.
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.
The OECD Anti-Corruption and Integrity Hub aims to strengthen our collective impact by providing a point of reference to learn, connect, and act. Access current anti-corruption and integrity news, events and recordings of past webinars, case studies, and links to global networks and initiatives in which you can get involved.
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. Scroll down to the downloadable PDF.
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. Scroll down to the downloadable PDF.
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.
Design and operationalise compliance monitoring systems using the practical guidance provided in this resource. The article unpacks why compliance systems should be monitored, who should monitor, what should be monitored and how this can be done. Practical steps to designing and testing business compliance programs are provided as part of three broad monitoring stages.
Use this Word document template to quickly summarise results of risk assessments undertaken through compliance programs. Specific questions are provided to assess the risk of bribery and corruption for each country the business operates in, and sectors that may be more prone to bribery. This information can be used to identify risks and define business priorities. Download this risk assessment template from the GAN Compliance Program Guide.
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. Scroll to the bottom of this webpage to access.
This short, 15 minute learning module can be used by businesses to help develop employees’ awareness of the foreign bribery offence. The module provides information about Australia’s anti-bribery policy, relevant laws and how to report foreign bribery. It features video interviews with Australian Federal Police representatives, links to relevant agencies and a short quiz, and supports users with accessibility requirements.
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.
Support the delivery of an effective compliance program by ensuring business leaders and senior managers demonstrate commitment to compliance programs. This resource discusses the importance of setting the tone from the top and identifies practical steps to demonstrate top level commitment and build a culture of compliance. This webpage is available in three languages: English, Spanish and Portuguese.
A resource on the process to use when commissioning independent assurance of anti-bribery programs. Provides benchmarks in the form of control objectives for use in designing and evaluating programs in anticipation of independent assurance. Includes clear step-by-step instructions broken into five stages.
A resource to help develop an understanding of how internal reporting mechanisms can strengthen a business. Provides guidance on the components required for a business to have effective reporting mechanisms and early detection. Covers the benefits of whistleblower reporting mechanisms and having employees speak up about legal or ethical misconduct.
Practical guidance for developing anti-bribery programs that suit the size and structure of small and medium enterprises. Includes clear steps on how to develop and implement an anti-bribery program. It recognises the resource constraints of smaller businesses and provides clear examples of how to assess bribery issues. Learn about internal communication, controls and monitoring.
This resource offers a road map for better corporate practice on anti-corruption disclosures. It demonstrates the business case for advancing corporate governance and transparency. Direction is provided for disclosure across five high risk areas. It responds to some of the legal challenges that might inhibit a business from disclosing information.
A practical corruption glossary that provides definitions with animated images. Useful as a training tool to help staff develop their understanding of corruption terminology. Each term includes a paragraph defining the phrase, as well as a description of why it matters.
A practical sector specific fact sheet on business integrity. Demonstrates that having effective systems in place to detect, prevent and manage corruption risks is good for business. Offers headline points on the consequences for a mining company of being associated with corruption. Provides steps for how to enhance transparency and reduce corruption risks among company partners.
A 30-minute training module that provides good practice anti-bribery training for companies facing requests for bribes. A useful benchmark to assess training programs against. Offers headline points on the potential damage of bribes and some prevention steps. The tool includes a trainer’s handbook with PowerPoint slides.
A concise fact sheet that is linked to a detailed tool for assessing mining approvals corruption risks. It provides a succinct business case for why mining companies should undertake an assessment of their risk factors that create vulnerabilities to corruption. Useful for both small and large mining companies for understanding how to use the risk assessment tool.
A tool that can be used by the mining sector to identify and assess the underlying causes of corruption in mining sector approval processes. This third edition includes guidance on how to conduct a gender-sensitive corruption risk assessment. Specifically, the updated MACRA Tool helps identify the gendered impacts of corruption on women as well as the barriers that hinder women’s participation in decision-making and accountability efforts, particularly at a community level.
A sector specific resource that provides a clear framework for understanding how corruption can get a foothold in mining approvals processes. It provides mining companies with a roadmap to understanding the vulnerabilities to corruption that exist in the mining approval regimes of jurisdictions across the world. It links to a detailed report with examples from 18 resource rich countries.
The United States (US) Securities Exchange Commission (SEC) is the regulator for companies that are listed in, or raise capital in, the US. It frequently brings enforcement action against companies for 'books and records' offences related to foreign bribery under the Foreign Corrupt Practices Act. This resource includes an annotated list of enforcement actions under this Act.
The United States (US) Department of Justice has an extensive track record of enforcing foreign bribery matters, including against companies that are not registered in the US. This site shows the Department of Justice's foreign bribery enforcement track record.
In January 2020, Airbus entered into a deferred prosecution agreement (DPA) which included a fine of €991m in the United Kingdom (UK), as part of a total €3.6bn settlement across France, the UK and the United States for five counts of failure to prevent bribery. The conduct took place across Sri Lanka, Malaysia, Indonesia, Taiwan and Ghana between 2011 and 2015.
In 2016, Rolls Royce agreed to pay a fine of over £500 million in a deferred prosecution agreement relating to bribery in China, India, Indonesia, Malaysia, Nigeria, Russia and Thailand. Rolls Royce received significant discounts in penalties for cooperating with the Serious Fraud Office in the investigation and implementing strong anti-bribery policies and procedures after the misconduct was uncovered.
In 2019 the Serious Fraud Office in the United Kingdom (UK) entered into a deferred prosecution agreement with a small UK resources sector company concerning bribery in South Korea. The company was required to disgorge its profits from the bribery but did not receive a penalty because of its small size and the fact that it had thoroughly investigated and self-reported the issues.
In 2015 Standard Bank PLC entered into a deferred prosecution agreement with the Serious Fraud Office in the United Kingdom to pay penalties of over US$25 million and US$7 million of compensation in connection with its role in an equity raising in Tanzania. The case highlights the risks of using agents to help win government contracts.
This news story reports on the 2017 case where three individuals pleaded guilty and were convicted of conspiring to bribe an Iraqi foreign public official to secure infrastructure contracts for their construction company. One, a middleman who facilitated the bribe, was sentenced to four years’ imprisonment. The other two, directors of the company, were sentenced to imprisonment for three years and four months and fined A$250,000 each.
Companies that have paid bribes can try to undo some of the harm through reparations. Enforcement agencies might also compel reparations to be made. This article outlines some of the forms that reparations can take and provides case studies from past enforcement actions.
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 guide 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”.
This case study of the AWB class action examines allegations that can be made when a company does not report suspected corruption. Bribery and corruption allegations can have serious consequences for companies, including fines, loss of business and reputation, loss of licenses and inability to recover payments. For listed companies, those potential consequences may be material enough to need to be reported to the ASX.
Authorities in the United Kingdom (UK) can investigate and prosecute foreign bribery that took place outside of the UK. This includes where UK citizens are involved, if some of the conduct occurred in the UK or for foreign companies that 'carry out business or part of a business', or are listed in the UK. This portal puts you in touch with the correct authorities in the UK if you wish to report foreign bribery. An A-Z of company cases is included.
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.
Suspected bribery of foreign public officials can be reported to the Australian Federal Police (AFP). This fact sheet tells you how. Companies that discover foreign bribery and do not report to the AFP may face increased liability for maintaining a corporate culture that tolerates bribery. Companies that report their own conduct can receive discounted penalties (and may not be prosecuted at all).
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 offers an introductory summary of corporate sector whistleblower protection requirements under the Corporations Act 2001. It includes links to further guidance for companies on handling whistleblower disclosures and creating whistleblowing policies. This guidance can be used by companies even if they are not required to have a whistleblower policy under the law.
Undertake due diligence with these five practical online tools when seeking to prevent and address bribery and corruption in business operations. These include guidance on public procurement due diligence and interactive risk assessment tools. Flowcharts are provided to support businesses in screening partners, agents and contractors. The tools are provided as part of GAN Integrity’s guide to building a compliance program.
Create a compliance program that seeks to prevent and address bribery and corruption with this guide. It includes country risk reports that outline risks associated when engaging with state-owned enterprises. Also included are key actions to take when building a compliance program, a six-step process for conducting third party due diligence, sample policies, training procedures, risk assessment templates and due diligence tools.
Recognise red flags for corruption in third party behaviours or activity using this list of common warning signs of corruption. Red flags are organised around the themes of reputational risk, government relationship, insufficient capabilities, type and method of compensation, and unusual circumstances. The webpage is available in three languages: English, Spanish and Portuguese.
Understand what red flags for bribery can look like with this list of warning signs provided as part of the “Guide to Combating Corruption and Fraud in Development Projects”. The list includes specific actions and signs that can indicate an increased risk of bribes or kickbacks occurring.
This resource provides interactive guidance on anti-bribery and corruption good practice for companies operating in the United Kingdom and overseas. It includes practical guidance on conducting risk assessment and third party due diligence, implementing ABC training and identifying high risk areas. It also provides country-by-country summaries of anti-bribery laws to assist companies operating abroad.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, section 236 of the Northern Territory Criminal Code contains offences for secret commissions.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, section 266 of the Tasmanian Criminal Code contains secret commissions offences for corruption in relation to business.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, sections 529 and 530 of the Western Australian Criminal Code contain offences for corrupt rewards.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, section 150 of the South Australian Criminal Law Consolidation Act contains an offence for bribery of a fiduciary.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, sections 442B and 442BA of the Queensland Criminal Code contain offences for secret commissions.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, section 176 of the Victorian Crimes Act contains offences for secret commissions.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, sections 356 and 357 of the ACT Criminal Code contain offences for bribery and corrupting benefits.
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.
Exporters need to be aware of the risks of bribery and corruption in international transactions and requirements to comply with laws in multiple jurisdictions. Bribery committed outside Australia can be captured under Australian laws and have serious consequences. Export Finance Australia provides useful links to assist exporters in understanding their obligations to comply with relevant laws against bribery and corruption.
This information pack provides key information on the Commonwealth offence for bribing a foreign public official, examples of foreign bribery, steps for reporting suspected foreign bribery and a list of useful links for further information. The pack contains six fact sheets as well as a poster and brochure that are available to download.
This legislation proposes to strengthen Australia’s enforcement response to foreign bribery. It will introduce a new corporate offence for failure to prevent an associate (such as an employee, agent or subsidiary) from bribing a foreign public official and introduces a Commonwealth deferred prosecution agreement scheme for specified corporate offences related to bribery and other financial crimes.
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.
Liability for bribery and corruption can arise under multiple jurisdictions both inside and outside Australia. In Australia, individuals and corporations can be liable for a range of state and territory offences including offences that apply to conduct in the private sector. For example, section 249B of the NSW Crimes Act contains offences for corrupt commissions or rewards.
Australia’s powerful confiscation laws ensure there can be no profit in bribery. Under the Proceeds of Crime Act, law enforcement agencies are equipped with a range of powers to trace, restrain and confiscate proceeds of crime against Commonwealth laws such as foreign bribery. Any asset can potentially be subject to confiscation if it is the ‘proceeds' or an 'instrument' of a Commonwealth offence.
Foreign bribery is a serious offence attracting significant penalties. Under section 70.2 of the Criminal Code, individuals face a fine of up to AUD$2.2 million and 10 years imprisonment for the bribery of foreign public officials. Companies face even larger fines including up to 10% of their annual turnover. There are also offences for related misconduct, such as false accounting and money laundering.