Anti-Corruption Rules
1. For the purposes of these anti-corruption and compliance rules, a person confirming that they are compliant with these rules shall be defined as the Confirmor. The Confirmor must comply with the United Kingdom Bribery Act 2010 (UKBA 2010), the United States of America Foreign Corrupt Practices Act 1977, and any other anti-bribery, corruption or fraud laws, regulations or orders applicable to the Confirmor’s performance of the CDA Membership Agreement executed by the Confirmor (together ABC Laws).
2. In connection with these rules the Confirmor must not engage in any activity, practice or conduct which would constitute an offence under sections 1, 2 or 6 of UKBA 2010 if the activity, practice or conduct had been carried out in the UK.
Adequate Procedures
3. The Confirmor confirms that he exercises his profession to high ethical standards and that to the extent that he employs or otherwise engages other persons, he has in place adequate and appropriate:
i) policies, procedures and controls intended to prevent bribery, corruption and fraud and enforces them;
ii) training for all the Confirmor’s personnel on compliance with ABC Laws and on the Confirmor’s related policies and procedures; and
iii) reporting procedures and mechanisms in place to enable the Confirmor’s personnel to report a breach or suspected breach of ABC Laws and to ensure that any reports are investigated and acted upon.
4. The Confirmor must keep and maintain accurate and complete books of account and records of all payments and any other transactions made or received in connection with these rules. The books and records must be capable of being audited by an internationally recognized firm of public or chartered accountants or their equivalent and must be kept consistent with the accounting principles, practices and standards contained in the International Reporting Standard.
5. The Confirmor will make his books of accounts and records available and provide all reasonable assistance to the CDA’s internationally recognized firm of public or chartered auditors to the extent necessary to enable such firm to audit, on behalf of and at the cost of the CDA, the Confirmor’s compliance with these rules, provided that such audit shall not breach any of the Confirmor’s confidentiality or other fiduciary obligations to his clients or in respect of any other mediation, litigation or arbitration in which the Confirmor or any of his personnel is engaged.
6. The Confirmor agrees to co-operate and assist with any investigation by the CDA’s internationally recognized firm of public or chartered auditors acting on behalf of the CDA into any alleged or actual non-compliance with these rules by the Confirmor or by any of the Confirmor’s personnel, except that the Confirmor is not required to provide the CDA with access to documents or other information in any form that is legally privileged or that would otherwise breach any of the Confirmor’s confidentiality or other fiduciary obligations to his other clients or in respect of any other mediation, litigation or arbitration in which the Confirmor or any of his personnel is engaged.
Due Diligence Warranties
7. The Confirmor confirms that:
neither he nor any of his personnel have been convicted of any offence involving bribery, corruption, fraud of dishonesty;
neither he nor any of his personnel have been or are currently listed as debarred, suspended, proposed for suspension or debarment; and
he is not currently to the best of his knowledge the subject of any investigation, inquiry or enforcement proceedings by any governmental, administrative or regulatory body regarding any offence or alleged offence under the ABC Laws.
Public Official Connections Disclosure
8. In these rules Public Officialmeans any individual, including but not limited to any officer, employee, director, principal, consultant, agent or representative, who is:
8.1. an official of, or agent of, or is acting in an official capacity for or on behalf of:
(a) any government (whether national, central, federal, state, provincial, local or municipal), ministry, body, department, agency, instrumentality or part thereof; or
(b) any state-owned or state-controlled enterprise or joint venture/partnership excluding a state-owned or controlled enterprise which is a joint venture partner of KPO or any KPO Parent CDA; or
(c) any public international organisation;
(d) or any political party;
8.2. holds a legislative, administrative or judicial position of any kind (whether appointed or elected); or
8.3. exercises a public function; or
8.4. is a candidate for political office.
9. The Confirmor confirms that no Public Official is employed or engaged by the Confirmor or has any personal interest (whether legal or beneficial) in any payments made by or through the CDA to the Confirmor under these rules.
10. The Confirmor confirms that at the time of executing a Membership Agreement he is not aware, having made all reasonable enquiries, of any relationship (whether personal, familial, social, political, or business) between any Public Official and any of the Confirmor’s personnel or their immediate families that may have influence over the Public Official or the Confirmor’s performance of his duties and/or give rise to a conflict of interest or breach of ABC Laws. If the Confirmor becomes aware of any such relationship, he will promptly notify the CDA and take all steps as may be necessary or reasonably requested by the CDA to ensure that the relationship does not give rise to any conflict of interest or any breach of ABC Laws.
Breach Notification
11. To the extent permitted by law the Confirmor will promptly notify and report to the CDA if at any time the Confirmor receives any request or demand for any bribe or any other undue financial or other advantage of any kind in connection with the performance of these rules.
12. To the extent permitted by law the Confirmor will promptly notify and report to the CDA if he becomes aware or reasonably believes that he or any of the Confirmor’s personnel has breached any ABC Laws in connection with these rules. As soon as reasonably practicable after any such breach or suspected breach the Confirmor must provide the CDA with reasonable detail (including information about what steps are being taken to remedy the situation or prevent reoccurrence) and take all appropriate steps (including any reasonable requests from the CDA) to remedy the breach and comply with the ABC Laws in all respects. The Confirmor shall keep the CDA updated on the status of the breach.
Subcontractor
13. The Confirmor confirms that he has conducted adequate due diligence on any subcontractors in relation to their ABC Laws compliance.
14. The Confirmor confirms that he has in place written contracts with his subcontractors which require his subcontractors to comply with terms at least equivalent to these rules of these rules and that he requires all of his subcontractors to co-operate with any audit or investigation by the Confirmor’s auditors into their compliance with such terms.
Agents and Intermediaries
15. The Confirmor confirms that the Confirmor has not and will not use:
i) the services of an agent or intermediary; or
ii) made or offered to make, and will not make any payment or transfer of anything of value directly or indirectly to any agent or intermediary;
in connection with Confirmor’s membership of the CDA nor in connection with any work performed in connection with the CDA.
Rights to Terminate
16. Notwithstanding any other express remedies referred to elsewhere in these rules or any rights or remedies available at law or in equity, if the Confirmor is in breach of any of these rules the CDA has the right to take any action it considers to be appropriate, at its sole discretion and without compensation to the Confirmor including the immediate termination of the Membership Agreement.
17. If the CDA terminates the Membership Agreement under these rules, the CDA will not be liable to pay any compensation to the Confirmor as a consequence of termination.
18. The Confirmor is not entitled to receive any payment on termination of any amounts which are due or may otherwise be due under the terms of the Membership Agreement where the payment would be in breach of any law or regulation or any order from any law enforcement or regulatory body that the CDA is subject to.
Certification of Compliance
19. During the term of his membership of the CDA the Confirmor must confirm to the CDA by 31stof January of each calendar year that the Confirmor has in the 12 months complied with ABC Laws and with these rules. This can be done online on the CDA Website by just completing the form below.