ACTIVE AC Certificate

Transcription

1 Belgium Canada China France Italy USA ETHIC Intelligence CERTIFICATION COMMITTEE ACTIVE AC Certificate Decision to award and registration of DHV s Compliance Program to prevent corruption Paris, 7 October 2010 CONTACT Philippe Montigny 10, rue Pergolèse Paris - France Tel 33 (0) Fax 33 (0) GSM 33 (0) Philippe.Montigny@ ETHIC-Intelligence.com La marque et les procédés de certification ETHIC Intelligence sont la propriété exclusive de IDS: 10, rue Pergolèse F Paris. RCS Paris B ETHIC Intelligence brand and certification procedures are wholly owned, in all countries, by IDS: 10, rue Pergolèse F Paris. RCS Paris B

2 The ETHIC Intelligence Certification Committee, composed of: Kevin Abikoff, Partner and Executive Committee Member, Chairman of the Anti-Corruption and Internal Investigations Practice Group of Hughes Hubbard & Reed (Washington), Michael Davies, Vice-Chair and Director, Canadian Centre for Ethics & Corporate Policy (Toronto), François Vincke, Chairman of the Anti-corruption Commission of the International Chamber of Commerce and lawyer at the Brussels bar, completed, on 7 October 2010, its examination of the certification file presented by SGS regarding DHV s compliance policy to prevent corruption (hereafter the Compliance Policy ) The ETHIC Intelligence Certification Committee, - having taken note of the letter from the President of the Executive Board stating his intention to have DHV s Compliance Policy audited by SGS with a view to obtaining a Active AC certificate (Annex1); - having taken note that the methodology applied by SGS during the audit respected the requirements established by ETHIC Intelligence (Annex 2); - considering that the Compliance Policy meets the requirements of the aforementioned Certificate (Annex 3); - noting that the SGS auditors involved in the review process have been accredited by ETHIC Intelligence, third condition of the aforementioned Certificate (Annex 4); AWARDS DHV (Trade Register NL), on this day and for a duration of two (2) years, the ACTIVE AC Certificate for its Compliance Policy to prevent corruption; AND TRANSMITS this file to Professor Mark Pieth, President of the Basel Institute on Governance, who may verify and carry out quality control of the certification process during the Certificate s validity period. Paris, 7 October 2010 Chairman of the ETHIC Intelligence Certification Committee Philippe Montigny 2

3 ANNEX 1 Letter of Intent by Letter of Intent by DHV s President of the Executive Board 3

4 ANNEX 2 ETHIC Intelligence review methodology 1. Reference texts and guidelines ETHIC Intelligence certification criteria are built upon the various texts that define international best practices. Such texts include in particular: A. International anti-corruption conventions a. United Nations Convention on Corruption (2003) b. OECD Convention on combating bribery in international business transactions (1997) c. Convention on the fight against corruption involving officials of the European communities and officials of the Member States of the European Union (1997) d. European Union Framework Convention on combating corruption in the private sector (2003) e. Council of Europe Civil and Criminal law Conventions (1999) B. National legislation and guidelines a. United States Foreign Corrupt Practices Act (FCPA) of 1977 b. Chapter 8 of the US Federal Sentencing Guidelines (USFG): Sentencing of organisations effective compliance and ethics programs (also known as the Seven Steps ). c. Italy s Anti-corruption Law Decree 231 (2001) d. UK Bribery Act (2009) C. International guidelines a. OECD Guidelines for Multinational Enterprises (2000) b. OECD Working Group on Bribery in International Business Transactions Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions (2009) c. The World Economic Forum s Partnering Against Corruption Initiative Principles for Countering Bribery (2004) d. The ICC Rules of Conduct and Observations to Combat Extortion and Bribery (2005) e. TI and SAI Business principles for countering bribery 4

5 2. ETHIC Intelligence Active AC Certificate terms of reference Active AC Certificate overview The ETHIC Intelligence Active AC Certificate requires that for a given business entity: the risk of exposure to corruption be assessed; the compliance policy be designed and implemented in a way which addresses corruption risk according to international best practices standards. Overall risk exposure assessment According to ETHIC Intelligence methodology, the risk of corruption must be assessed according the following categories: Objective risk encompassing criteria such as country of operation, type of client (public, private, consumer) and sector of activity. Business risk depending on the working practices (ways contracts are signed and executed, use of commercial agents, joint venture and/or merger-acquisition contracts, etc.). Strategic risks related to the business environment in which the company operates (competitors behaviour, regulatory environment, etc.). Compliance policy assessment According to ETHIC Intelligence methodology, the compliance policy is assessed against ETHIC Intelligence s Review Framework, as follows: 1. Information: How does the company communicate on its Compliance Policy? 2. Training: How does the company conduct trainings on its Compliance Policy? 3. Tools: What processes and tools does the company use to develop and implement the Compliance Policy? 4. Control: How is the Compliance Policy monitored and controlled? ETHIC Intelligence Review Framework encompasses the Seven Steps described in the US Federal Sentencing Guidelines (termed hereafter USFSG ). ETHIC Intelligence Seven Steps (*) Review Framework Criteria US Federal Sentencing Guidelines (USFSG) 1. Information 2. Show commitment at the highest level («tone at the top») 2. Training 4. Carry out training on compliance from senior management to employees 3. Tools/process 1. Develop a compliance program to prevent and detect law violations 3. Carry out due diligence (employees and intermediaries) 6. Promote and improve compliance 4. Control 5. Assess and respond to legal compliance issues through ongoing evaluations 7. Respond appropriately to law violations 5

6 (*) the numbering corresponds to the order in which each step appears in the USFSG Chapter 8 Sentencing of Organizations. Compliance policy assessment Taking into account the corruption risk assessment, each of the four Framework Review Criteria (Information, Training, Tools/process and Control) is reviewed in order to determine its conformity or non-conformity to international best practices. Issues considered by the Reviewer as non-conformant are characterized as major or minor and treated as follows: Major Non-Conformity Reporting of major m weaknesses in the compliance system that compromise its efficiency and effectiveness. The Certification File cannot be presented as such to the Committee. Remedial action must be taken within one year and be submitted to an additional review prior to presenting the Certification File to the Committee. Minor Non-Conformity Reporting of minor weaknesses in the compliance system that can be fixed as soon as reasonably possible. The certification File can be presented to the Certification Committee. The status of this non-conformity must be reported to the Reviewer and the Committee Chairman within one year of the certificate s award date. The non conformity will be specifically examined during certification renewal two years following the certificate s award date. Observations Reporting on opportunities for continuous improvement of the compliance system. The company is invited to consider if it would be worthwhile to address this issue in order to keep up with evolving international best practices. 6

7 ANNEX 3 DHV DHV s compliance policy review 1. Scope of the review The review was conducted on DHV Group, a global provider of consultancy and engineering services employing 5,487 persons and active in the following areas: - Transportation, including aviation; - Water; - Building and industry; - Spatial planning and environment. The services provided by DHV Group cover the entire project cycle and include: - Business and policy consultancy; - Technical advice; - Planning; - Design and engineering; - Program, project and construction management; - Project development and turnkey delivery; - Operations management; - Asset management. DHV Group s has particular expertise in: - Airports; - Buildings; - Environmental Management; - Highways, Bridges, and Tunnels; - Intelligent Transport Systems; - Marine, Ports, and Waterways; - Mass Transit and Rail; - Urban and Regional Planning; - Water Management; - Water Treatment. Its major clients are: - Governments; - Public sector and semi-government; - Industry, commercial services, contractors and developers; - International Development Agencies. 7

8 2. The review process The Certification Review was led by Céleste Cornu (the Reviewer ), SGS CSRS Regional Manager, and Dominique Démarquet, SGS Senior Auditor. The review was monitored by Jean-Pierre Méan, President of ETHIC Intelligence Switzlerand, followed by Philippe Montigny, President of ETHIC Intelligence France (the Monitor ). The review began in July 2009 in DHV s head office in Amersfoort as well as in a sampling of different subsidiaries and/or affiliates: The Hague (Netherlands), Delhi (India), Jakarta (Indonesia), Johannesburg (South Africa), Warsaw (Poland) and Beijing (China). The Certification File was issued in September 2010 and presented to DHV, who validated all information contained therein before submitting it to the ETHIC Intelligence Certification Committee. The Monitor (Philippe Montigny) received the certification file on 6 September 2010 and transmitted it the following day to the Certification Committee, comprised of: Kevin Abikoff, Partner and Executive Committee Member, Chairman of the Anti- Corruption and Internal Investigations Practice Group of Hughes Hubbard & Reed (Washington); Michael Davies, Vice-Chair and Director, Canadian Centre for Ethics & Corporate Policy (Toronto); François Vincke, Chairman of the Anti-corruption Commission of the International Chamber of Commerce and lawyer at the Brussels bar. 3. Compliance Policy Review with a view to obtaining the Active AC Certificate Review of criterion n 1: Information 1 Taking into account DHV s risk of corruption: Is communication on the Compliance Policy consistent with international best practices? Is communication on the Compliance Policy implemented in ways which correspond to international best practices? Conclusion on the review of criterion n 1 DHV s communication on its Compliance Policy and the way it is implemented correspond to international best practices. Review of criterion n 2: Training 2 Taking into account DHV s risk of corruption: Is training on the Compliance Policy consistent with international best practices? 1 Criterion n 1 corresponds to the 2nd USFSG step ( tone at the top ) 2 Criterion n 2 corresponds to the 4 th USFSG step ( carry out training on compliance from senior management to employees ). 8

9 Is training implemented in ways which correspond to international best practices? Conclusion of review of criterion n 2 DHV s training on its Compliance Policy and the way it is implemented correspond to international best practices. Review of criterion n 3: Tools/processes 3 Taking into account DHV s risk of corruption: Are Compliance Policy processes consistent with International best practices? Are the Compliance Policy processes implemented in ways which correspond to international best practices? Conclusion of review of criterion n 3 DHV s Compliance Policy processes and the way they are implemented correspond to international best practices. Review of criterion n 4: Control 4 Taking into account DHV s risk of corruption: Are Compliance Policy control processes consistent with International best practices? Are the Compliance Policy s Control processes implemented in ways which correspond to international best practices? Conclusion of review of criterion n 4 DHV s Compliance Policy control processes and the way they are implemented correspond to international best practices. 4. Opinion of the reviewer Based on the documents analysed and the interviews conducted at DHV headquarters and various other locations, the Reviewer considers that: DHV s Compliance Policy to prevent corruption corresponds to international best t practices. 3 Criterion n 3 corresponds to the 1 st, 3 rd and 6 th USFSG steps: 1: Develop a compliance program to prevent and detect law violations, 3: Carry out due diligence 6: Promote and improve compliance. 4 Criterion n 4 corresponds to the 5 th and 7 th USFSG steps: 5: Assess and respond to legal compliance issues through ongoing evaluations 7: Respond appropriately to law violations. 9

10 ANNEX 4 Reviewer qualifications The following SGS team members conducted the audit: Ms Céleste Cornu, Project Leader (FR) Mr. Dominique Démarquet, Auditor (FR) Mr. Chris Trott, Auditor (UK) Ms Céleste Cornu has received training and accreditation by ETHIC Intelligence to carry out certification audits within ETHIC Intelligence certification process. Mr Dominique Démarquet and Mr. Chris Trott have received training on ETHIC Intelligence certification processes by SGS with prior approval by ETHIC Intelligence. 10