Enforcing Anti-corruption procedures

Procedures should be proportionate to the bribery risks that an organisation faces. They are ascertained by a risk assessment and depend on a number of factors that may be shared by large and smaller organisation, such as the size, nature and complexity of the business and the type and nature of persons associated with it. The procedures put in place to deal with the corruption risks vary depending on the level of the risk associated with the activities of the company or organisation. Procedures must also be designed to prevent bribery by associated people.

The MOJ guidance contains a non-exhaustive list of considerations relating to implementation of bribery prevention procedures, which includes: 

• The involvement of top-level management.
• Risk assessment procedures.
• Due diligence of existing or prospective associated persons.
• Gifts, hospitality and promotional expenditure, charitable and political donations and demands for facilitation payments.
• Direct and indirect employment.
• Business relationships with all other associated persons including pre- and post-contractual agreements.
• Financial and commercial controls, such as adequate bookkeeping, auditing and approval of expenditure.
• Transparency of transactions and disclosure of information.
• Enforcement, detailing discipline processes and sanctions for breaches of the organisation’s anti-bribery rules.
• Detail of the process by which the organisation plans to implement its bribery prevention procedures.

An implementation strategy should be established, setting out who is responsible for implementation and how policies and procedures are communicated internally and externally. External communication could range from publication on the organisation's website, to face to face meetings with key partners, emphasising the gravity of infringement. When using intermediaries, it is important to asses how both legal parties will comply with one another's anti-corruption policies and procedures.

There also needs to be information on training. This could cover the risks facing the organisation and the organisation's anti-bribery commercial policies and procedures. Training can be tailored according to the role of the trainees and it can be extended to business partners. The effectiveness of the anti-bribery policy depends, to a certain extent, on how reporting procedures are carried out and how they are monitored.