7.1 Agents and Intermediaries
7.1.1公司对代理使用有明确的政策吗?
HII与该术语通常在国际业务环境中通常使用,因此很少有“代理”。特别是,我们不允许我们参与的任何第三方在没有大量监督的情况下运作。我们参与非常有限的第三方来协助业务发展活动。我们仅在特殊情况下就可以在佣金基础上进行补偿的“代理商”或商业顾问。
HII’s business strategy does require collaboration with a wide array of individuals and external companies in other capacities, from technical consultants, to lobbyists, to customs clearance and freight-forwarders. We consider these third-party business partners to be “Representatives,” because they represent HII with respect to external parties. We understand that we could be held legally responsible for actions that Representatives take on our behalf.
我们已经实施了全面的程序来适当审查代表。这俩Foreign Corrupt Practices and Anti-Bribery Procedure和与第三方代表程序的协议制定国际最佳实践,以识别,管理和减轻与我们使用代表相关的腐败风险。在参与任何代表之前,我们对代表进行基于风险的尽职调查,以便我们知道谁代表我们行事,并确保存在合法的业务依据来参与代表。HII政策旨在验证我们的代表的所有权,获得遵守反腐败法的证书,并在付款前需要服务证明。
上述程序适用于HII的公司办公室,部门,子公司,受控合资公司和其他由HII有效控制的实体。
7.1.2公司在参与或重新参与其代理商和中介机构时是否会进行基于风险的反贿赂和腐败尽职调查?
HII采用了强大的基于风险的尽职调查过程,旨在识别和适当降低风险,包括所有代表。
根据hii的与第三方代表程序的协议, prior to entering into a business relationship with any Representative, we conduct risk-based due diligence to verify the identity of the party and detect potential risks. We utilize a risk categorization metric to determine the risk category for a particular Representative and the related level of due diligence that will be required, with all medium and high-risk agents and intermediaries subject to enhanced due diligence.
在他们批准工作之后,代表在与HII的整个互动过程中都受到了基于风险的监督。基于风险的监督的目的是验证代表以与HII的价值观,程序以及适用的反贿赂和腐败法相一致的方式进行业务。
代表还需要年度认证要求,以确保HII了解其风险概况的任何变化。至少每两年或提出对代表性协议进行实质性修改(在范围或补偿中)进行实质性修改时,需要进行更新的尽职调查。
7.1.3公司是否旨在建立其代理商和中介机构的最终实益拥有?
HII employees must establish the beneficial ownership of all Representatives prior to engagement. The与第三方代表程序的协议sets forth a risk-based beneficial ownership verification process whereby searches are performed to identify and screen all beneficial owners of each Representative. HII employs questionnaires, as well as public record searches, to verify beneficial ownership. For medium and high-risk Representatives, the Corporate Compliance Manager is responsible for independently verifying the results of the beneficial ownership search.
如果尚不清楚,HII将不会与代表交往,或引起人们的关注。
7.1.4公司的反贿赂和腐败政策是否适用于代理或代表公司行事的所有代理商和中介机构,它是否需要与这些实体的合同中的反贿赂和腐败条款?
为了确认我们的代表遵守反贿赂和腐败法,在启动关系并在此后每年遵守,要求代表证明他们不知道违反《外国腐败习俗法》和其他反贿赂法律,他们将继续按照HII行动道德与商业守则和适用的反腐败法。
All Representative agreements with medium and high risk representatives must be coordinated by the Law Department and must include anti-corruption clauses, including representations and warranties, termination rights, and, where appropriate, audit rights.
HII将拒绝参与或将终止与任何代表贿赂或腐败行为的代表。
7.1.5公司是否确保其对代理商的激励计划的设计方式以促进道德行为并阻止腐败的做法?
Effective compliance programs reward compliance and ethical behavior and discourage misconduct through proper incentives and disciplinary measures.
HII认识到与代表的激励付款相关的腐败风险,并严格控制了对代表的赔偿。HII仅在特殊情况下才依靠基于佣金的代表,并且只有在建立有效的业务依据和控制措施时才依靠。此类控件可能包括合理的佣金百分比上限,与客户合同期限的付款以及服务证明。HII通常没有利用基于佣金的薪酬,而是根据提供的服务与代表在付款指标上同意。这避免了不当赔偿激励措施,并阻止腐败的做法。
赔偿金的总数和类型都是确定代表风险概况的关键因素。结果,基于佣金的代表受到更大的审查和提高的尽职调查过程。
作为每个代表进行的风险评估的一部分,HII还评估了代表的财务稳定性,请求金融或银行参考,并确保代表在不引起危险信号的国家 /地区拥有正确建立的银行帐户。
此外,HII非常重视围绕付款过程的控件。作为对HII进行的任何工作进行补偿的条件,代表必须提交每月的活动报告和适当的发票。HII员工负责审查这些活动报告和发票,以确保寻求的薪酬是合理且适合与所提供的服务有关的。
7.1.6公司是否发布目前与公司合同并代表公司采取行动并代表公司的详细信息?
HII将不会与希望保持其身份或隐藏的参与的代表达成协议。但是,HII的代表通常希望HII在发布合同信息时行使酌处权,尤其是通常被认为是私人的信息。结果,出于商业原因,HII通常不会发布其参与的所有代表的细节。
7.1.7 Does the company publish high-level results from incident investigations and sanctions applied against agents?
HII对贿赂或腐败的容忍度为零。我们的反腐败合规计划对劳动力的每个成员负有许多责任。这些职责中的主要负责人是有义务报告已知或潜在违反我们的反腐败政策和适用法律的义务。
HII对违反贿赂和腐败行为(包括代表犯下的贿赂和腐败行为)进行了迅速而彻底的调查。如果违反我们的政策或法律要求,HII将立即援引许多纪律处分,从增强监控和合规性工作到终止业务关系。
HII历史上没有很多关于涉及代表的贿赂或腐败行为的报道。在过去的12个月中,HII没有一份报告或指控涉及代表的贿赂或腐败。由少量报告和涉及贿赂的调查产生的有限数据不利于高级报告。结果,HII在实践中不会发布内部调查的详细信息或结果,除非这些结果会影响HII的财务报告或披露,否则美国证券法也要求。
7.2 Joint Ventures
7.2.1公司在作为合资企业的一部分进行并运营时是否会进行基于风险的反贿赂和腐败尽职调查?
HII在进入和运营合资企业之前进行全面的基于风险的尽职调查。基于风险的尽职调查过程的主要目标是系统地调查和评估合作伙伴公司的财务,合同,法律,战略,管理,人力资源和其他方面与合资企业有关的腐败风险。
加强的尽职调查是针对具有较高风险的合资安排进行的,包括涉及高风险论坛和政府实体的风险。如果HII没有足够的信息来确定合作伙伴公司的最终好处,或者当HII无法减轻潜在风险时,HII将不会从事合资企业。
Following the approval of a joint venture, HII seeks to negotiate implementation of ethics, compliance, and operational policies and procedures and joint venture governance mechanics that provide for the ongoing monitoring of the joint operation to ensure that such operations comply with anti-bribery and corruption laws.
7.2.2 Does the company commit to incorporating anti-bribery and corruption policies and procedures in all of its joint venture partnerships, and does it require anti-bribery and corruption clauses in its contracts with joint venture partners?
HII致力于确保其合资企业以与HII本身相同的道德方式运作。为此,我们采取措施,以确保我们的每个合资企业至少采用合规性控制,至少像我们自己一样坚固。
HII仅包括反腐败条款(包括适当的陈述和保修,终止权,以及在适当的审计权利)的情况下,仅签订合资合同。值得注意的是,只要可能,我们就会包括要求每个合资合作伙伴的规定,以删除其任命为合资企业的任何董事,官员或雇员,如果该合伙人合理地怀疑该雇员已经从事不道德或不当行为。
7.2.3 Does the company commit to take an active role in preventing bribery and corruption in all of its joint ventures?
HII takes a very active role in preventing bribery and corruption in all of its joint ventures. Our commitment to anti-corruption compliance is such that we demand an equal commitment from the companies with which we conduct business. As stated clearly in our道德与商业守则, “HII does not tolerate bribery or corruption, regardless of where we are located when we do business.”
HII will refuse to engage, or will terminate engagement with, any joint venture partner who commits acts of bribery or corruption. Moreover, HII will actively seek to prevent bribery and corruption within its joint ventures by, as dictated by the circumstances, ensuring the joint venture adopts appropriate anti-bribery controls, appointing a compliance officer within the joint venture, and conducting regular monitoring and auditing of the joint venture.