D1. Business Integrity and No Improper Advantage

Code 8.0

The highest standards of integrity shall be upheld in all business interactions. Participants shall have a zero-tolerance policy to prohibit any and all forms of bribery, corruption, extortion, and embezzlement. Bribes or other means of obtaining undue or improper advantage shall not be promised, offered, authorized, given, or accepted. This prohibition covers promising, offering, authorizing, giving, or accepting anything of value, either directly or indirectly through a third party, in order to obtain or retain business, direct business to any person, or otherwise gain an improper advantage. Monitoring, record keeping, and enforcement procedures shall be implemented to ensure compliance with anti-corruption laws.

Elements to Demonstrate Compliance to RBA Code

1. Policy

Ensure the facility ethics/or and business integrity policy includes the following elements:

• a. The facility has established a formal set of "standards of business conduct" signed by senior management. Among those standards are policies and procedures with zero tolerance for staff, workers or suppliers engaging in bribery, corruption, conflict of interest, anti-competitive behavior, embezzlement, falsifying documents, mishandling IP and other sensitive and private data including personnel files, allegations, and investigations.
• b. Staff, workers, and suppliers have the right to refuse doing anything in non-conformance to the 'highest standard of integrity" policy and do not experience any retribution for such refusal.
• c. Gifts: Gifts to or from suppliers and customers is not excessive in cost and frequency.
• d. Prohibition of Bribes: Bribes or other methods of obtaining undue or improper advantage are not being promised, offered, authorized, given, or accepted.
• e. Encouragement of workers/employees and suppliers to declare potential and actual conflicts of interest.

NOTE: Ensure compliance with anti-corruption and local laws

• f. Staff, workers, or suppliers have the right to refuse doing anything in non-conformance to the 'highest standard of integrity" policy and do not experience any retribution for such refusal.

2. Procedures & Practices

Procedures & Practices are in place such that:

• a. You uphold the highest standards of integrity in all business interactions with zero tolerance to any and all forms of bribery, corruption, extortion, embezzlement, etc. as noted in the policy.
• b. You provide workers and managers with information and training on the company's business conduct standards.
• c. Staff and contractors are provided with information to make them aware of their ethical and legal requirements.
• d. Staff and workers report, investigate and take action on suspected cases of ethical breach including corruption, extortion, embezzlement, etc.
• e. Workers, supervisors, and managers are prohibited if not also prevented from soliciting or accepting kickbacks, bribes, commissions, or other unlawful payments for the purpose of receiving favorable treatment contracts or sales from others through education, role-modelling.
• f. The facility has a written "gift giving" policy that ensures gifts to or from suppliers and/or customers are not excessive in value or frequency.

3. Controls & Monitoring

Controls & Monitoring should include:

• a. Adequate and effective monitoring, investigation, and sanctions program
  • i. Regularly monitor its business to ensure:
    1. Workers or agents do not make or accept improper offers, bribes, or undue/improper advantage.
    2. Records are accurate and not falsified (financial, production, quality, etc.).
    3. Fair business including advertising and competition.
    4. Protection of identity and non-retaliation
    5. Protection of personal information
• b. Appropriate investigation process when there is an alleged violation including misrepresentation by workers, managers, and their agents.
  • i. The process must ensure staff, workers, and supplier workers' privacy is protected and they do not face any retaliation for cooperating with the investigation.
  • ii. Process should be timely and appropriate parties informed of outcomes and corrective action plans.

NOTE: Do not allow investigations or corrective action plans to become dormant.

• c. Appropriate sanctions when a violation is confirmed/proven and preventive action plan.
• d. Adequate and effective procedure is in place to protect workers/employees from retribution for refusing to do anything in Non-conformance with the "highest standard of integrity" policy and communicate/volunteer their decision.
• e. Assessment, monitoring, assessment, and investigation findings are reviewed by senior management.
• f. The facility regularly monitors its business practices to ensure its workers or agents do not make or accept improper offers of payments or gifts.

4. Serious conditions to ensure do not occur include

• There are any confirmed cases of bribery, improper advantage, corruption, extortion, or embezzlement and corrective action plans are not in place and being managed.

1.0.0 (2024-01-01)

Changed

• Initial release for RBA Code of Conduct 8.0: Establishes requirements for business integrity, anti-corruption, and prohibition of improper advantage in business dealings.

Added

• Enhanced anti-bribery requirements: Explicit prohibition of bribes, kickbacks, and improper payments to government officials, customers, or their representatives.

• Gifts and hospitality guidelines: Requirements for policies governing gifts, entertainment, and hospitality to prevent improper influence on business decisions.

• Third-party due diligence: Requirements for due diligence on agents, consultants, and other third parties acting on behalf of the company.