An Introduction to Anti-Bribery Management Systems (BS 10500)

An Introduction to Anti-Bribery Management Systems (BS 10500): Doing right things

ALAN FIELD
Copyright Date: 2015
Published by: IT Governance Publishing
Pages: 72
https://www.jstor.org/stable/j.ctt155j46f
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  • Book Info
    An Introduction to Anti-Bribery Management Systems (BS 10500)
    Book Description:

    When is a gift not a gift?

    When it's a bribe. For many, corporate hospitality oils the wheels of commerce. But where do you draw the line? Bribes, incentives and inducements are not just a matter of used banknotes stuffed in brown envelopes. Expenses, corporate settlement of personal bills, gifts and hospitality can all be used to influence business partners, clients and contractors.

    Can you afford unlimited fines?

    Under the Bribery Act 2010, a maximum of ten years' imprisonment and an unlimited fine may be imposed for offering, promising, giving, requesting, agreeing, receiving or accepting bribes. With such strict penalties, it's astonishing that so few companies have few or no measures in place to ensure that they are not liable for prosecution. This is especially astonishing as the Ministry of Justice's Quick start guide to the Bribery Act makes it clear that "There is a full defence if you can show you had adequate procedures in place to prevent bribery." Such procedures can be found in BS 10500:2010, the British Standard for anti-bribery management systems (ABMSs).

    How to implement an ABMS

    An Introduction to Anti-Bribery Management Systems (BS 10500)explains how to implement an ABMS that meets the requirements of BS 10500, from initial gap analysis to due diligence management:

    * An introduction to BS 10500

    * An explanation of an ABMS

    * Management processes within an ABMS

    * Implementing an ABMS

    * Risk assessment in due diligence

    * Whistleblowing and bribery investigations

    * Internal auditing and corrective action

    * Certification to BS 10500

    It provides helpful guidance on the importance of clearly defining policies; logging gifts and hospitality in auditable records; ensuring a consistent approach across the organisation; controls for contractors; facilitation payments; charitable and political donations; risk assessment in due diligence; whistle-blowing and bribery investigations; and internal auditing and corrective action.

    Meet the stringent requirements of the Bribery Act

    Not only will a BS 10500-compliant ABMS help your organisation prove its probity by meeting the stringent requirements of the Bribery Act, it can also be adapted to most legal or compliance systems. An ethical approach to business is not just a legal obligation but a way to protect your reputation.

    About the author

    Alan Field, MA, LL.B (Hons), PgC, MCQI CQP, MIIRSM, AIEMA, GIFireE, GradIOSH is a Chartered Quality Professional, an IRCA Registered Lead Auditor and member of the Society of Authors. Alan has particular expertise in auditing and assessing anti-bribery management systems to BS 10500 and public-sector counter-fraud systems to ISO9001. Alan has many years' experience with quality and integrated management systems in the legal, financial, property services and project management sectors in auditing, assessment and gap analysis roles.

    Your company's integrity is important. An Introduction to Anti-Bribery Management Systems (BS 10500) shows you how to maintain and prove it.

    eISBN: 978-1-84928-725-8
    Subjects: Management & Organizational Behavior, Technology, Business

Table of Contents

  1. Front Matter
    (pp. 2-4)
  2. ABOUT THE AUTHOR
    (pp. 5-5)
  3. ACKNOWLEDGEMENTS
    (pp. 6-6)
  4. Table of Contents
    (pp. 7-8)
  5. CHAPTER 1: NO OSTRICHES ALLOWED: AN INTRODUCTION TO BS 10500
    (pp. 9-13)

    The purpose of this guide is to provide guidance on implementing a management system to the requirements of BS 10500:2010, the British Standard relating to an anti-bribery management system (ABMS). This will apply whether you are considering formal assessment or not.

    Each ABMS will be as unique as any organisation’s culture and circumstances are. This guide will focus on the key areas that may need particular consideration and it will highlight other areas that may need to be researched further.

    It is also important that a copy of BS 10500 is obtained, and its exact requirements read and considered in...

  6. CHAPTER 2: AN ABMS BY ANY OTHER NAME
    (pp. 14-20)

    An ABMS is an anti-bribery management system. Yet this needs to be qualified.

    An ABMS is not the same as financial and corporate governance rules to prevent bribery and fraud. However, it can be integrated as a part of it. For organisations in the UK, corporate governance or financial controls should already be in place to meet the requirements of the Bribery Act 2010. However, implementing an ABMS is still entirely optional.

    BS 10500 is currently the basis for most ABMS implementations. BS 10500 is similar in approach to the family of international standards, such as ISO9001:2008 (quality management systems)...

  7. CHAPTER 3: MANAGEMENT PROCESSES WITHIN AN ABMS
    (pp. 21-24)

    This is the shortest but, in many respects, the most important chapter of this guide. It is about how top and other senior management are involved with the ABMS.

    Since BS 10500 is a plan-do-check-act (PDCA) based management system, the concepts of management responsibility are embedded and are very similar to that of ISO9001 and ISO27001. There are a few differences, however, and this chapter will explain the BS 10500 concepts.

    In BS 10500, the chief role of top management is to conduct the management review of the ABMS (Clause 5.3). The top manager may be an individual or a...

  8. CHAPTER 4: IMPLEMENTING AN ABMS: ONE KEY ISSUE
    (pp. 25-32)

    When implementing an ABMS, a gifts and hospitality policy is one the most discussed and potentially contentious areas to roll out to all staff.

    If this can be done successfully, many of the other areas of the ABMS will be comparatively plain sailing.

    Gifts may be cash, or other items or activities of value. Value will be relative to the organisation, culture and purpose of the gift. In simple terms, a promotional biro with a logo on it is almost certainly not a bribe; whereas a sports car would be! The difficulty resides with the items in between the two...

  9. CHAPTER 5: RISK ASSESSMENT IN DUE DILIGENCE
    (pp. 33-39)

    As with any other compliance risk, there should be an agreed programme of risk assessments for the risks of bribery and corruption, including matters, such as any perceived risk of blackmail or other forms of intimidation.

    Some risk assessments will be combined with others within the organisation, e.g. treasury or procurement controls and wider security assessments, especially if business activities are regularly undertaken in higher risk sectors or areas of the world.

    This guide will assist in highlighting the specific areas of risk that an ABMS should consider.

    Some organisations will go to great lengths to classify sectors and countries...

  10. CHAPTER 6: WHO DO YOU THINK THEY ARE?
    (pp. 40-44)

    An ABMS can help an organisation achieve accurate information on the people employed in the organisation, from the most senior to the most junior.

    As mentioned back in Chapter 2, BS 10500 assumes that an organisation risk assesses new staff and new roles, including how documentation is used to assist in achieving this goal. Even if fully attaining BS 10500 is not a goal, an ABMS needs to consider the processes in place to verify what may just be assumed about new staff.

    Clause 4.10 in BS 10500 gives a list of required processes and records which provide a good...

  11. CHAPTER 7: BLOWING THE WHISTLE
    (pp. 45-50)

    BS 10500 talks about raising concerns, or ‘whistle-blowing’, as it is sometimes more commonly known.

    Whistle-blowing has been in the media recently and, normally, in a fairly negative way – chiefly suggesting that even where genuine concerns may be reported, the whistle-blowers might receive little or no thanks for doing so, and may even have to face allegations themselves, or find that they are ostracised.

    This guide cannot change the world but it can explain how an effective whistle-blowing process can be established. Whistle-blowing is like many aspects of an ABMS, where top management really do need to lead from the...

  12. CHAPTER 8: INVESTIGATING BRIBERY
    (pp. 51-56)

    It is essential that the organisation’s compliance policies about investigation and consequences are fully understood before any BS 10500 implementation is planned.

    Clause 4.17 of BS 10500 requires that there are procedures for investigating bribery or any weakness in the ABMS and, secondly, that appropriate action is taken in the event that the investigation reveals bribery or any breach or weakness within the ABMS. This is a good starting point for any ABMS.

    Some organisations, particularly smaller ones, may have no formal investigation processes at all, and some consultancy assistance may be needed initially. Other organisations prefer to use specialist...

  13. CHAPTER 9: INTERNAL AUDITING AND CORRECTIVE ACTION
    (pp. 57-60)

    ABMS internal audit is an important part of BS 10500, and those with existing management systems, such as ISO9001 or ISO27001, will be familiar with the concept.

    Internal audit here means an entirely different concept to internal audit in a financial sense, and relates to testing whether the ABMS is meeting the requirements of BS 10500 and the documented management system that supports it in the organisation concerned.

    This chapter is an expanded version of some material in IT Governance’sBS 10500 Toolkitwhich has a number of model forms to support the internal audit process discussed below.

    1. Define...

  14. CHAPTER 10: GOING FOR GOLD
    (pp. 61-66)

    This final chapter considers the matter of certification to BS 10500. Is it worth doing?

    If an organisation already has, say, ISO9001 then the process of external assessment to achieve BS 10500 will be clear. However, this final chapter will examine the pros and cons of certification and the process itself.

    Implementing an ABMS that meets the requirements of BS 10500 is a goal in itself. The desire to be externally assessed shouldn’t be seen as an obligation. Rather, it is a specific goal in itself.

    The key determinant with any assessment product is to decide why you want it....

  15. ITG RESOURCES
    (pp. 67-72)