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TRAC: TRANSPRENCY IN REPORTING OF Bribery & Corruption IPCAA Compliance Seminar 2014 NH Vienna TRAC: TRANSPRENCY IN REPORTING OF Bribery & Corruption IPCAA Compliance Seminar 2014 NH Vienna Airport Hotel ‘Compliance, Transparency and Disclosure’ March 18 th 2014 Nick Maxwell, Transparency International UK

Transparency International Founded in 1993 Chapters in over 100 countries Specialist anti-corruption NGO Transparency Transparency International Founded in 1993 Chapters in over 100 countries Specialist anti-corruption NGO Transparency International’s Approach: • Zero tolerance • Corruption has victims • Any bribery embeds corruption in the system • Fighting corruption often requires collective action to achieve systemic change

Corruption and Bribery What is corruption? “The abuse of entrusted power for private gain” Corruption and Bribery What is corruption? “The abuse of entrusted power for private gain” What is bribery? “The offering, promising, giving, accepting or soliciting of an advantage as an inducement for an action which is illegal, unethical or a breach of trust. ” 3

How Does Bribe Paying Happen? Offsets Grand Corruption (Large bribes) Facilitation payments Benefits & How Does Bribe Paying Happen? Offsets Grand Corruption (Large bribes) Facilitation payments Benefits & Perks to Relatives Gifts Employing of Relatives Hospitality Bribery Education & Training Projects Political donations In-kind help & Charitable donations support Copyright Transparency International UK 2011 Enhanced commissions Agents 4

Five Types of Risks (Mo. J) • • • Country Risk Sectoral Risk Transactional Five Types of Risks (Mo. J) • • • Country Risk Sectoral Risk Transactional Risk Business Opportunity Risk Business Partnership Risk • Also legal/ regulatory framework risks

Corruption Perception Index (CPI) 2013 Corruption Perception Index (CPI) 2013

Global Corruption Barometer Global Corruption Barometer

Global Corruption Barometer 2013 Global Corruption Barometer 2013

Bribe Payers Index Bribe Payers Index

THE SCALE OF THE PROBLEM 1. Historically, bribery has been very common. 2. Companies THE SCALE OF THE PROBLEM 1. Historically, bribery has been very common. 2. Companies have challenges with adequate procedures. 3. Regulation is rapidly increasing worldwide. 4. It is part of a wider trend. 5. Changing attitudes from regulators, JV partners, auditors.

The tightening net 18 The tightening net 18

Legislation and Regulation increasing 19 Legislation and Regulation increasing 19

UNCAC Anti-corruption Laws • Signatories encouraged to criminalise: – – – Passive bribery of UNCAC Anti-corruption Laws • Signatories encouraged to criminalise: – – – Passive bribery of all public officials Illicit enrichment Abuse of function Trading in influence Private sector bribery and embezzlement Money laundering and concealment of assets • Whistleblower reporting and protection measures 20

Common features of anti-bribery laws • • • They seek to punish bribe givers Common features of anti-bribery laws • • • They seek to punish bribe givers and takers Extra-territoriality Criminal offence Foreign public officials Penalties for individuals and organisations Corporate liability 21

UK Bribery Act “It is correct to describe the Act as the most draconian UK Bribery Act “It is correct to describe the Act as the most draconian anti-bribery law. ” Vivian Robinson QC, General Counsel, Serious Fraud Office (UK) • Came into force on 1 July 2011 • Several tiers of liability: – Personal – Corporate – Director and Officer 22

UK Bribery Act • Introduces four new offences: 1. The offering, promising or giving UK Bribery Act • Introduces four new offences: 1. The offering, promising or giving of an advantage with the intent to induce a person to act improperly 2. Requesting, agreeing to receive, accepting of an advantage intending that a function be performed improperly 3. Bribery of a foreign public official 4. Failure by a commercial organisation to prevent a bribe being paid for or on its behalf. 23

UK Bribery Act – Applies to any British citizen or “person with a close UK Bribery Act – Applies to any British citizen or “person with a close connection with” the UK – Covers bribe-paying anywhere in the world – Covers bribes of any size – Applies to any company if it has commercial operations in the UK – Extends to ‘associated persons’ – Personal liability (up to 10 years in jail) – Corporate liability (unlimited fines) – Director & Officer liability 24

Managing Risks Managing Risks

Risks • Legal – Prosecution – Fines and imprisonment – Large legal and compliance Risks • Legal – Prosecution – Fines and imprisonment – Large legal and compliance costs. • Organisational – Loss of focus – takes up management time – Huge internal disruption • Reputational – – Loss of face Brand reputation damage Loss of Key Customers decrease in morale 26

SOLVING THE PROBLEM You must have… 1. An active corruption risk assessment process 2. SOLVING THE PROBLEM You must have… 1. An active corruption risk assessment process 2. Full support of your top leadership 3. Detailed policies, procedures and training 4. A genuine approach to whistleblowers 5. Serious monitoring & review at Board level Serious challenges remain for companies

EXAMPLE: GLOBAL DEFENCE COMPANIES • Detailed analysis of company ethics and anticorruption programmes • EXAMPLE: GLOBAL DEFENCE COMPANIES • Detailed analysis of company ethics and anticorruption programmes • 129 large companies • Only 1 company in Band A • 70% of the companies have inadequate programmes

CONCLUSIONS 1. Anti-bribery regulation is rapidly increasing worldwide. 2. The UK Bribery Act is CONCLUSIONS 1. Anti-bribery regulation is rapidly increasing worldwide. 2. The UK Bribery Act is important; but just one of several legislative developments globally 3. There is a wider global trend of corporate transparency and citizen reporting. 4. Companies generally have challenges in adequate procedures against corruption. 5. A strong ethics and a-c programme is essential.

Pharmaceuticals & healthcare Pharmaceuticals & healthcare

 • In 2012, Global spending on health was $7. 2 trillion. • An • In 2012, Global spending on health was $7. 2 trillion. • An estimated 10% - 25% of global spending on health public procurement was lost to corruption (Global Corruption report, TI, 2006). • Out of a global survey of over 114, 000 people, on average, 45% believed medical and health services to be corrupt or extremely corrupt (The Global Corruption Barometer 2013) • In 17 countries surveyed in 2013, over 70% of the public believed medical and health services to be corrupt or extremely corrupt – these are Serbia; Albania; Tanzania; Bulgaria; Kyrgyzstan; Morocco; Ukraine; Bosnia and Herzegovina; Russia; Egypt; Greece; Lithuania; Mongolia; Kosovo; Malawi; Moldova; Mozambique (The Global Corruption Barometer 2013)

Pharmaceuticals & healthcare • What can research do? Pharmaceuticals & healthcare • What can research do?

Examples from the TI Network • TI Georgia – research around lack of competition Examples from the TI Network • TI Georgia – research around lack of competition in the Pharmaceutical sector, drug prices soared and disposable income. Average household spending 34% of its disposable income on healthcare. • TI Slovakia – research and advocacy around competitive bidding for Slovakian public health procurement and potential savings of EUR 35 million identified. • TI Uganda – ICT implementation project for Health Service Delivery. Empowering communities, improving accountability and communication between service providers and users

GUIDANCE FROM TI Available at www. transparency. org. uk GUIDANCE FROM TI Available at www. transparency. org. uk

TI Pharmaceuticals & healthcare programme Further information James Sale Pharmaceuticals and Healthcare Programme Transparency TI Pharmaceuticals & healthcare programme Further information James Sale Pharmaceuticals and Healthcare Programme Transparency International UK James. Sale@transparency. org. uk www. transparency. org. uk - www. transparency. org