This Anti-Bribery and Corruption Policy sets out JATO’s approach to the prevention of bribery and other forms of corruption.

Who does this apply to?

This policy applies to all employees, directors, and officers, as well as contractors under JATO’s direct supervision, working for a JATO office.

Everyone in JATO is responsible for ensuring they read and remain aware of the contents of this policy and comply fully with it. They are required also to cooperate with and support any investigation into allegations of bribery and corruption.

JATO’s Commitment

We do not tolerate bribery of any kind, whether to a public official or a private individual. JATO is committed to observing the standards of conduct set forth in the United States Foreign Corrupt Practices Act, the U.K. Bribery Act of 2010, and the applicable anti-corruption and anti-money laundering laws of all the countries where we may do business.

No JATO employee or JATO representative will suffer adverse consequences for refusing to pay or take a bribe or kickback, even if this results in the loss of business to JATO. JATO does not buy business; nor is our integrity for sale.

We never offer, provide, or authorise bribes of any kind, including facilitation payments, either directly or indirectly, to a public official or a private individual.

Improper Payments

We never, directly, or indirectly, authorise, offer, or promise to pay a bribe, kickback or facilitate payment in any circumstances.

Definitions:

A bribe may be monetary or non-monetary, tangible, or intangible. A bribe may take the form of, or be facilitated through:

• payments of money
• gifts or entertainment 
• discounts, loans and/or financing given on non-commercial terms
• rebates or kickbacks in relation to services provided
• overpayments to business partners 
• use of assets at a discount or free of charge
• sponsorships, charitable contributions, and community investments 
• political contributions 
• employment or internships, or
• information or assistance

A kickback is a payment, or receipt of a payment, in return for a business benefit such as securing a contract. It is a kind of bribe and should never be offered, paid, solicited or received.

A facilitating payment is a relatively small payment or gift to an official or government employee made to expedite routine services to which the company is already entitled. It is distinct from official "fast track" processes, is still a bribe despite being small and should not be paid in any circumstances.

In determining whether something is an improper payment, the value of the item is not the only issue; offering something for the purpose (or apparent purpose) of influencing the recipient’s actions is what makes it improper. Making or accepting such payments subjects both the company and the individual(s) involved to possible civil and criminal penalties and significant reputational damage.

If a staff member bribes (or attempts to bribe) another person, intending either to obtain or retain business for JATO or to obtain or retain an advantage in the conduct of JATO's business, this will be considered gross misconduct. Similarly, accepting or allowing another person to accept a bribe will be considered gross misconduct. In these circumstances, the staff member will be subject to formal investigation under JATO’s disciplinary procedures, and disciplinary action up to and including dismissal will be applied.

 

Gifts, Meals and Entertainment 

 

The proper management of the giving and acceptance of gifts and entertainment is key to avoiding the risk they present of actual or perceived bribery or corruption and raising ethical and legal concerns. 

JATO only gives or accepts gifts and entertainment that are:

• in good faith, occasional, reasonable, and appropriate
• a normal business courtesy (e.g., in line with customary local practice), and 
• transparent

JATO doesn’t give or accept gifts and entertainment: 

• with the intent or prospect of influencing decision-making or other conduct
• with the intent of obtaining any improper or undue advantage
• which are reasonably capable of being regarded in any way as a bribe, or
• in the form of cash, which includes prepaid cards or gift cards which can be redeemed for cash

More detailed guidance on gifts and hospitality can be found at Annex A.

Legal Position

Employees, directors, and officers, as well as contractors under JATO’s direct supervision, working for a JATO office must abide by all applicable Anti-Bribery laws, including the United States Foreign Corrupt Practices Act (‘FCPA’), the U.K. Bribery Act of 2010, and the local laws in every country in which we do business (for example, federal, regional, provincial, and state laws). Virtually every country in which we operate prohibits bribery. These laws generally prohibit both bribery of government officials and private sector (commercial) bribery. In addition to the prohibition of bribery, the FCPA mandates that companies establish and maintain accurate books and records and adequate internal controls.

UK businesses, including JATO, are subject to the UK Bribery Act 2010 wherever in the world they do business. Under this Act it is a crime, punishable by up to ten years’ imprisonment, for any person:

• to pay or offer to pay a bribe
• to receive or agree to receive a bribe
• to bribe a foreign public official

Also, under the Bribery Act 2010 a commercial organisation, such as JATO, commits a crime, punishable by an unlimited fine, if a person associated with it bribes another intending thereby to obtain or retain business or a business advantage for that organisation. The Bribery Act 2010 makes no exception for facilitating payments. 

It does not matter whether the bribery or corruption occurs in the UK or abroad. An act of bribery or corruption committed abroad may well result in a prosecution in the UK as well as the country where the bribery occurred. It does not matter whether the act was done directly or indirectly.

 

Assessing the Risk

JATO will conduct a bribery and corruption risk assessment for the territories in which it operates and will review the risk assessment at least annually. In so doing, we will have regard to internal reports on the business climate in which we work and to other resources, such as Transparency International’s Annual Corruption Perceptions Index, relating to that territory.

Every year, JATO will also assess the risk associated with the way it does business. In so doing, we will have regards to internal reports within the company, including those submitted in accordance with this policy, and to current open-source resources, such as the Ministry of Justice’s Guidance on the Bribery Act 2010. As a result of such an assessment, we have issued more detailed guidance on gifts and hospitality to be found at Annex A and on political and charitable donations to be found at Annex B. 

Due Diligence

JATO regards due diligence as a key element of corporate good governance. It is both a specific form of bribery risk assessment and a means of mitigating any risk. 

Anti-Corruption Training

JATO is committed to ensuring our employees understand what is expected of them and to grow their skills around ethical decision-making. Our training programme focuses on policy requirements, values, and culture-based learning through in-person and online courses.

Monitoring and Record-Keeping

It is essential that we keep full and accurate records of:

• all our financial dealings
• any and all suspicions of bribery or attempted bribery
• all anti-bribery and corruption training (all staff will receive training on this policy and a record will be made of their attendance)

Transparency is vital; false or misleading records could be very damaging to us. 

Further information about JATO’s Gifts and Hospitality Policy can be found in Annex A, and the Charitable and Political Donations Policy in Annex B.

 

How to report suspicions of Bribery & Corruption

All JATO staff have a responsibility to speak out if we discover anything corrupt or otherwise improper occurring in relation to our business. We cannot maintain our integrity unless we do this. If you come across information which causes you to suspect bribery or corruption, whether by:

• another staff member 
• a third party who represents us 
• one of our suppliers or competitors 
• anyone else with connections to JATO

you have a responsibility to report this. 

Should you suspect any such behaviours which could constitute bribery and/or corruption, you must report the matter to the Director of Operational Effectiveness in accordance with JATO's Whistleblowing Policy found on InSite. Reporting suspicions can be done anonymously. You are encouraged to report your suspicions as soon as possible.

Failing to Comply with this Policy

JATO takes compliance with this policy very seriously. It sets out the way in which we will maintain our reputation as a business that operates to the highest legal and ethical standards. A failure to comply with it would damage the business and expose you to the risk of criminal sanction and imprisonment. Separate from any action the prosecuting authorities may take, a failure to comply with any requirement of this policy may lead to disciplinary action under our procedures, and this action may 
result in dismissal for gross misconduct.

Further Information 

If you have any questions or concerns about anything in this policy, or any comments on how it could be improved, please do not hesitate to contact the Director of Operational Effectiveness or the General Counsel.

 

Annexes accompanying Anti-Bribery 
and Corruption Policy (All Staff)

 

Annex A – Gifts and Hospitality Policy 

Annex B- Charitable and Political Donations Policy

 

Annex A

Gifts and Hospitality Policy

Introduction 

 

Almost every business involved in the delivery of professional services provides some form of corporate hospitality to existing or potential business partners or clients. 

Gifts and hospitality can encompass a wide range of activity, and we need to ensure that corporate hospitality does not tip over into bribery or corruption. 

You should be aware that bribery and corruption is an area where perception can sometimes be more important than fact. Regardless of whether a gift or hospitality has been offered or accepted with purely innocent motives if an external observer could put an adverse construction on that gift or hospitality, it puts the business—and the person giving or receiving the gift/hospitality—at risk. 

This policy contains controls to minimise this risk, but we rely on staff to exercise judgment about how any gift/hospitality might be perceived. 

This policy covers the offer or receipt of gifts, hospitality or expenses to ensure that any legitimate expenditure is recorded and does not improperly affect the business.

 
Offering Gifts and Hospitality 

You must not offer or give gifts or hospitality that may influence or appear to influence the recipient’s ability (or any relevant third party’s ability) to make objective business decisions. Therefore, JATO forbids its staff from making any gift or offering any hospitality which is unduly lavish or extravagant or otherwise inappropriate, or which could be seen as an improper inducement or reward for any preferential treatment.

JATO prohibits the following: 

• any gift or hospitality offered or given in secret 
• any gift or hospitality offered or given via a third party 
• any gift or hospitality offered or given in the name of an individual rather than JATO 
• any gift that is in cash, cash equivalent (for example, gift cards) or securities 
• any gift or hospitality offered where there is an expectation that the business relationship will be influenced, or the gift or hospitality is in exchange for or expectation of something in return (quid pro quo) 
• any gift or hospitality given at a time when you and the other party are negotiating a contract 
• any pattern of giving frequent gifts or hospitality, even if of low or nominal value 
• indecent or sexually-oriented gifts or hospitality 
• any gifts or hospitality which would be a breach of the laws of the country in which the gift or hospitality is offered or given 

JATO permits the offer or giving of gifts or hospitality undertaken in order to:

• establish and maintain good business relationships on JATO’s behalf
• improve JATO’s image and reputation
• present JATO’s products, services and solutions as effectively as possible
• the gifts or hospitality JATO permits must be proportionate to the business objective being pursued, reasonable in the circumstances and offered in good faith
• JATO distinguishes between two categories of permissible gifts and hospitality: tier 1 gifts and hospitality and tier 2 gifts and hospitality

Offering Tier 1 Gifts and Hospitality

The concept of Tier 1 gifts and hospitality covers gifts and hospitality that are normal and unexceptional, having regard to the occasion on which the gift or hospitality is given, the frequency with which gifts or hospitality have been offered or given to the same recipient and the nature and cost of the gift or hospitality. An example of a Tier 1 gift is a small gift of food or drink to mark a national or religious festival. An example of Tier 1 hospitality is the occasional, inexpensive business drinks or meal. If you have any doubt whether a proposal to make a gift or offer hospitality would amount to a making of a Tier 1 gift and hospitality, you should treat such proposal as a Tier 2 gift and hospitality and seek prior approval in accordance with this policy. 

The upper spending limits for Tier 1 gifts and hospitality (per person receiving the gift or hospitality) are set out below. Note that these are upper limits only, they are not guidelines on how much to ordinarily spend and if locally it would be usual to spend less, you should spend less. 

 

Prior authorisation is not required under this policy before giving Tier 1 gifts or hospitality, although it is still required that they meet all the requirements set out above. You should also ensure that you have authorisation from the relevant budget holder to incur the expense. Any accompanying expenses claim must be supported by records and receipts, in accordance with JATO’s Expenses Policy.

Offering Tier 2 Gifts and Hospitality

In exceptional circumstances, JATO may allow the offer or giving of gifts and hospitality that are not Tier 1 gifts and hospitality. Examples include any gifts of a value in excess of those set out above or hospitality at a high-profile sporting event, for example, an international football match or tennis at Wimbledon, where the cost of tickets and food exceed the limits set out above. 

The offering or giving of Tier 2 gifts or hospitality is only permissible where prior approval to it has been given under this Policy. Requests should be made in the Business Gift Provision Form available on InSite (Organisational Effectiveness – Human Resources – HR Forms) in which you should set out, as fully as possible the following:

• the business objective of the proposed gift or hospitality
• the identity of the proposed recipients and the organisations they represent
• information about any previous gifts or hospitality offered to the client
• details of the proposed gift or hospitality
• an explanation of why the proposed gift or hospitality is proportionate to the business objective and reasonable in the circumstances
• confirmation that the offer of a gift or hospitality is made in good faith

You should submit the completed form to the relevant Senior Leadership Team Member, who will consider it. If they authorise the request, they will submit it to both the Director of Operational Effectiveness and Chief Financial Officer for approval.

If approval is given as above and you do provide Tier 2 gifts or hospitality to a business contact, you must keep a record of the gift or event. Any accompanying expenses claim must be supported by records and receipts, in accordance with JATO’s expenses policy. JATO will reject any expense claims for Tier 2 hospitality for which prior approval was not sought or obtained and you will not be reimbursed.

Giving Tier 2 gifts or hospitality without prior authorisation is strictly forbidden, and a suspected breach of this policy will be the subject of disciplinary action which may result in a sanction up to and including dismissal.

 

Acceptance of Tier 1 Gifts and Hospitality

 

You must never ask for or invite the offer of a Tier 1 gift or hospitality. 

Where a gift or hospitality is offered to you and its value amounts to no more than the limits applicable to the country in which it is offered as set out in the table, then it may be accepted provided:

• it is not of a kind that JATO would refuse to give for reasons set out above; and 
• it is not part of a pattern of gifts or hospitality or otherwise gives the appearance of being intended improperly to influence you in the performance of your duties at work 

 

Acceptance of Tier 2 Gifts and Hospitality

 

You must never ask for or invite the offer of a Tier 2 gift or hospitality. 

Where a gift is offered to you and its value exceeds the limits applicable to the country in which it is offered as set out in the table, then in the first instance you should decline to accept it. If you cannot do so without causing offence, then you may take the gift and must hand it over to JATO. Where JATO retains the gift it may either decide to donate it to charity or apply the gift for corporate use. 

Whether you take the gift or not, you must report it to the Senior Leadership Team Member who has responsibility for your area or function, and the Director of Operational Effectiveness and Head of Compliance. They will decide whether you may retain any gifts you were not able to decline at the time or whether the gift should be surrendered to JATO.

In reaching their decision they will consider whether:

• it is not of a kind that JATO would refuse to give for reasons set out above; and 
• it is not part of a pattern of gifts or hospitality or otherwise gives the appearance of being intended improperly to influence you in the performance of your duties at work 

Where hospitality is offered to you and its value exceeds the limits applicable to the country in which it is offered as set out in the table above, you should report the offer to the Senior Leadership Team Member, who has responsibility for your area or function, and to the Director of Operational Effectiveness. They will decide whether you may accept the hospitality, and will base their decision on whether:

• it is of a kind that JATO would refuse to give for reasons set out above; and
• it is part of a pattern of gifts or hospitality or otherwise gives the appearance of being intended improperly to influence you in the performance of your duties at work.

Annex B 

 

Charitable and Political 
Donations Policy 

Introduction

 
JATO has a proud tradition of making generous contributions to charities and good causes. We are committed to conducting ourselves with the highest standards of probity in continuing to offer such support. 

This policy covers political and charitable donations made by JATO or on its behalf. This is to ensure that any legitimate contribution is recorded and is not improper.

JATO will not use charitable donations as a substitute for political payments.

 

Charitable Donations

 

A charitable donation is a gift made by an individual or company to a non-profit organisation or charity. 

A charity means a body of persons or trust established for charitable purposes only. 

Charitable donations are commonly in the form of cash or other assets. 

Bribes may be disguised as charitable donations. For that reason, any donations JATO makes require prior approval in accordance with paragraph 5 below and will be made subject to the controls set out in paragraphs 6 and 7 below. 

While individuals may of course make personal donations to charity, they must not do so on behalf of JATO without prior approval.

 

Political Donations

 

Political donations are contributions made to a politician, a political campaign or a political party. 

You should be aware that such contributions can be (or be seen as) bribes in disguise. 

JATO does not make donations to political parties. 

No individual is to make a political donation which could be taken to be made on behalf of JATO. 

You may, of course, make political donations in a personal capacity, but please be sensitive to how such contributions could be perceived, especially by those who are aware of your connection to JATO.

 

Personal Political Donations

 

This policy is not intended to interfere with your individual personal political donations. You may make personal political contributions and be involved in political activity in your own time. 

However, you must not make personal political donations where:

• they could be connected, or be seen to be connected, with a decision by a public sector body in relation to JATO’s business
• they could be mistaken to be for the activities of JATO
• company time, property or equipment is needed to carry out or support your personal political activities

Any personal political donations you make are completely independent of JATO and JATO will never pay, reimburse, co-ordinate or organise these types of donation.

You must always make clear that your views and actions are your own and not those of JATO.

 

Charitable Donations

 

JATO forbids any staff member from directly or indirectly making an offer of, or a donation to, any charitable, non-profit or political organisation in the course of their employment as a way to obtain an advantage in a business transaction or other business matter. 

JATO has proud tradition of making donations to well-established charities with no connection to its business or to organisations or individuals with which JATO is involved or is likely to be involved. Such donations are made with the approval of the Board or the Director of Organisational Effectiveness and Head of Compliance.
 
Before approving the donation, the following points will be reviewed:

• the amount it is proposed to donate
• the intention behind the donation
• the perception; and

the legal and regulatory environment both in the United Kingdom and where the donation is to be made (if different).

 

Reporting Concerns

 

Every member of staff has a responsibility to speak out if they suspect bribery or corruption or are concerned about a charitable or political donation. Any such concern must be reported in accordance with the JATO Whistleblowing Policy found on InSite. This can be done anonymously.

JATO will investigate all allegations immediately and thoroughly and will promptly sever any on-going relationships which give cause for concern.