Integrity Self-assessment – Integrity Initiative

Integrity Self-assessment – Integrity Initiative

Integrity Self-assessment – Integrity Initiative

Integrity Self-assessment

Welcome!

Thank you for taking the time to participate in this Integrity Assessment.

This assessment was designed for your organization, as a signatory of the Integrity Pledge, to help in gauging the extent to which your organization’s existing policies and practices are aligned with the Unified Code of Conduct for Business. We consider this process as a crucial first step in realizing our collective aim of institutionalizing common standards of integrity among organizations conducting business in the Philippines.

The Integrity Initiative Team

https://www.integrityinitiative.net/index.php/home/index

ROJoson’s Notes: Click on one of the choices: not done; beginning; expanding; consistent; and advanced.  There is NOT APPLICABLE option.


Go to the website of Integrity Initiative to do the online self-assessment: http://www.integrityinitiative.com/

For details of the self-assessment tool, see attached file also.

Integrity Assessment Tool


 

FOCUS AREA 1: TOP MANAGEMENTTop management refers to the highest ranking executives in the organization including the chairperson, CEO, managing director, executive directors and other senior managers. For smaller companies, this includes business owners and those in the position to make decisions on behalf of the entire company. Not Done Beginning Expanding Consistent Advanced
1 Top management actively promotes and enforces a culture of integrity in the company
2 Top management has communicated clear instructions against bribery and other corrupt practices and the consequences on non-conformance
3 The company has a code of conduct that is consistent with the provisions in the Integrity Initiative’s Unified Code of Business Conduct
4 Top management has cascaded its company’s code of conduct to all employees
5 The company regularly reviews the content of the company’s code of conduct
6 Top management has a clearly laid out integrity governance and policy structure (or counterpart)
7 Integrity and ethical track record is part of the process for selecting members of top management
8 Top management participates in the conduct of regular integrity risk assessment process
9 Top management allocates enough resources to support the implementation and maintenance of integrity practices
10 The company has a mechanism to ensure that emerging integrity risks related to unethical conduct are identified and addressed through an action plan explaining ways to mitigate and address these risks
11 Results of integrity risk assessment exercises are disseminated to relevant employees
12 The corporate secretary and/or other responsible employees ensure the preservation of the integrity of corporate records
13 Top management has a process for reviewing compliance with the following (consider only those applicable to your organization):Company’s corporate governance manualCorporate governance laws

Labour laws

Local ordinances

Applicable environment, health & safety (EHS) laws

14 Members of board of directors and other senior managers disclose conflicts of interest
15 Top management takes part in regular trainings, seminars or conventions on ethical standards and corporate governance, either as participant or resource person

 

 

FOCUS AREA 2: DEALING WITH EMPLOYEES Not Done Beginning Expanding Consistent Advanced
1 The company has mechanisms that monitor employees’ compliance with the code of conduct
2 The company has clear levels of authority when dealing with cases of unethical conduct
3 Each employee has been informed of the risks associated to his/her position, including sanctions and penalties, in relation to committing unethical practices
4 Each employee has been given instructions on how to handle risks associated to unethical practices
5 Employees take part in education and training programs on ethical decisionmaking that are appropriate for their rank and responsibilities
6 Managers and supervisors are constantly updated on the global best practices on business ethics
7 The company has programs that engage employees and strengthen their values (e.g. “Integrity Circles”)
8 The company has formal channels where suspicions of corrupt practices committed by employees and top management can be reported (whistle blowing facilities)
9 Track record of integrity is considered when hiring new employees
10 Track record of integrity is considered in employee evaluation and promotion
11 Track record of integrity is significant in employee separation in the sense that employees voluntarily separating from the company are commended for their ethical conduct during their tenure while employees discharged due to unethical conduct are made aware of the circumstances of their termination
12 There is/are employee/s specifically designated to monitor fellow employees’ compliance with integrity policies

 

 

FOCUS AREA 3: DEALING WITH CLIENTS Not Done Beginning Expanding Consistent Advanced
Business ethics is integrated in the development of sales and marketing plans, as indicated in the following statements:
1 Market research adheres to ethical standards particularly in data collection
2 Laws and regulatory restrictions are considered in the planning process
3 Employees involved in the bidding process are given clear instructions to strictly follow the rules of bidding
4 The company discloses all relevant information when dealing with clients
5 Sales and marketing employees (or counterparts) have been given clear instructions to act honestly and fairly at all times
6 Employees and sales agents have been informed of their responsibility to comply with the following (consider only those applicable to your organization):Consumer Act of the Philippines (RA 7394)Code of Conduct and Ethical Standards for Public Officials and Employees (RA 6713)

Requirements of regulatory agencies to protect the interests of customers, the market and society

Regulations on advertising

Obligations with industry associations

Government Procurement Reform Act (RA 9184)

Applicable international laws, trade agreements, etc.

7 Employees as well as agents have been given clear guidelines on resolving ethical dilemmas or conflicts of interest. Guidelines may be on giving gifts and tokens of hospitality to clients, representation and entertainment, sponsorships and donations, political campaign contributions, etc.
8 Sales and marketing representatives participate in the regular integrity risk assessment process
9 Employees are given explicit instructions when dealing with clients asking for bribes or gifts
10 The company has mechanisms for employees to report clients demanding bribes and facilitation fees
11 Track record of integrity is considered when accrediting sales agents
12 The company has a system for recording, safekeeping and backing up contracts, invoices, receipts and the like

 

 

FOCUS AREA 4: DEALING WITH BUSINESS PARTNERS

 Business partners refer to the company’s suppliers of both goods and services. These may be vendors, contractors, consultants, financial partners (e.g. banks), intermediaries/agents/ brokers, and others involved in supply chain management. Not Done Beginning Expanding Consistent Advanced
Business ethics is integrated in procurement procedures and supply chain management, as indicated in the following statements:
1 The company has a clear written policy and procedures on bidding, negotiations, supplier selection and performance evaluation
2 Track record of integrity is a criterion for selecting suppliers and other business partners
3 The company has clear written rules on receiving gifts from suppliers and other third parties
4 There is a clear written policy on disclosures of relatives and affiliates of procurement officers and other employees involved in the supply chain management from bidding to delivery
5 There is a clear written policy on its own employees participating in bids for materials or services the company is procuring
6 The company has a clear written policy on sanctions to penalize suppliers that have committed unethical practices
7 The company enters into integrity pacts with selected suppliers
8 There are procedures to audit suppliers’ compliance with integrity pact
9 There are procedures to audit procurement officers (or counterpart)
10 Procurement/Logistics representatives participate in the regular integrity risk assessment process including the identification of fraud risk areas
11 The company conducts thorough examination and due diligence prior to hiring third party consultants, suppliers, contractors, intermediaries and agents particularly in relation to their risk of involvement in bribery and corrupt practices
12 There is a procedure for suppliers, procurement agents and business partners to report employees demanding bribes/facilitation payments and committing unethical business practice
13 There are processes to regularly evaluate the effectiveness of integrity policies when dealing with suppliers and third parties
14 Procurement officers/agents receive training on business ethics appropriate for their rank and responsibilities
15 Procurement officers have access to third party certification (ex: Certified Professional in Supply Chain Management)

 

 

FOCUS AREA 5: DEALING WITH FINANCES Not Done Beginning Expanding Consistent Advanced
Business ethics is integrated in budget development and financial planning , as indicated in the following statements:
1 The company has a mechanism to ensure the accuracy of financial records
2 The company conforms to standard accounting and auditing principles, local and international, as appropriate
3 The company clearly segregates duties and responsibilities of finance and accounting positions
4 The company has a process for evaluating the effectiveness of its financial management system
5 The company has a specific policy for handling bank accounts and cash payments
6 The company has an independent auditor as prescribed by law
7 The company has a process for selecting a qualified auditor
8 Finance and accounting employees participate in regular risk assessment process
9 The company has mechanisms to prevent, detect and respond to accounting-related fraud
10 Board members have access to corporate financial reports
11 Financial reports are disseminated to relevant persons in a timely manner
12 There is a secure mechanism to store, back up, readily access and retain financial records

 

 

 

FOCUS AREA 6: DEALING WITH GOVERNMENT, COMMUNITIES,ENVIRONMENT, AND OTHER KEY STAKEHOLDERS Not Done Beginning Expanding Consistent Advanced
1 All employees have been informed of their legal obligations and rights associated to their rank and responsibilities
2 Employees have been informed of their position’s vulnerability to unethical practices when dealing with government
3 Employees have been trained on ethical decision-making when dealing with cases of extortion and other forms of unethical conduct
4 There are mechanisms for employees dealing with government officials to report incidents of corruption
5 The company has a process to ensure employees comply with the following (consider only those applicable to your organization)::

  • Anti-Money Laundering Act (RA 9160)
  • National Internal Revenue Code (RA 8424)
  • Government Procurement Reform Act (RA 9184)
  • Philippine Financial Reporting Standards
6 The company pays the right taxes
7 The company pays mandated employee benefits (e.g. SSS, PhilHealth, Pag-ibig)
8 The company has clear programs and policies that guide its conduct and outline its social responsibilities towards the community and the environment

 


Attached are samples of results of self-assessment using the Department of Surgery of Ospital ng Maynila Medical Center as an example. (Integrity_Initiative_10132012_094524.pdf and Integrity_Initiative_10132012_094652.pdf).

Integrity_Initiative_10132012_094652

Integrity_Initiative_10132012_094524

I can assure you the self-assessment is very helpful.

Dr. Rey

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