Síntesis de principales resultados de encuesta anti-corrupción a en grandes empresas a nivel global, realizada por Alix Partner.

1. March 2012
AlixPartners 2012
Global Anti-Corruption Survey
Insights for General Counsels and Compliance Executives
inside:
A Global Concern
Impact of Anti-Bribery Laws and Other Regulations
Addressing the Risks
The Challenges of Compliance
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
Over the past few years, tougher enforcement approach to anti-corruption. We asked
of anti-corruption laws has become the norm. participants about their compliance policies and
In 2011 that trend continued, as there were the regulations that are having the most impact.
numerous Foreign Corrupt Practices Act (FCPA) In addition, we wanted to know how successful
enforcement actions taken by the SEC while new they have been at preventing risks, and if so,
laws such as the U.K. Bribery Act were enacted. which business practices they believed to be the
It is against this backdrop that AlixPartners most effective.
wanted to explore the ways in which companies
are thinking about their anti-corruption efforts. Here is what they had to say.
To do so, we surveyed general counsels and
other senior executives at multinational companies In our survey, two-thirds of participants indicated
with annual revenues of $250 million or more. In that they have reassessed their anti-corruption
particular, we focused on those executives who activities due to regulations such as Dodd-Frank
are responsible for business ethics and compli- and the U.K. Bribery Act. In addition, 90% of
ance with anti-corruption and anti-bribery laws. participants said they have implemented or
planned to implement anti-corruption training.
Our goal was to better understand the ways in Participants indicated that their companies
which companies are preventing, identifying and operated in industries such as technology,
addressing corruption risk. We wanted to deter- manufacturing, business services, aerospace,
mine whether executives were confident about and insurance, among others. Of note, 41% of
their compliance policies and, in light of new participants perceived their industry to be at
regulations and strict enforcement of existing significant risk for corruption; 54% said there
laws, whether they were altering their was some risk.
A global concern
Corruption has clearly become a global problem, Participants were asked to identify the geographic
according to our survey. Given this trend, regions and countries in which their companies
we wondered which parts of the world were did business and those that they perceived to
perceived as having the most exposure to pose the most risk. Southeast Asia led all regions,
corruption and bribery risk. with 83% of participants identifying that region as
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
Figure 1: Which Countries or Geographic Regions Pose Significant Corruption
Risks? (Choose all that apply.)
Southeast Asia1 83%
Africa 81%
China 77%
Russia 74%
Middle East 71%
Mexico 69%
Central/South America2 69%
India 66%
Brazil 63%
Eastern Europe 56%
United States 30%
Japan 23%
Canada 17%
United Kingdom 12%
Notes:
Western Europe 11% [1] Indonesia, the Philippines, Vietnam.
[2] Other than Brazil and Mexico.
Note: Totals add to >100% due to multiple response options
the one that posed the most corruption risk (par- indicated that the United States posed a signifi-
ticipants were allowed to select multiple regions). cant risk. It is perhaps not surprising that China,
Africa came next, followed by China, Russia, and Southeast Asia, the Middle East, and Russia were
the Middle East. Mexico and Central/South identified as having significant risk, as doing
America (excluding Brazil) each received 69% business in these countries often requires
of responses. Interestingly, 30% of participants involvement of government officials.
Impact of Anti-Bribery Laws and Other Regulations
Our survey shows that the new laws and the uptick increased in the past year. Two-thirds of
in FCPA enforcement actions are clearly having participants said that they were reassessing their
an impact on the way companies do business. internal anti-corruption compliance activities due
In particular, 74% of participants said that their to the U.K. Bribery Act, which is perceived by
activities related to compliance with the FCPA many to be a tougher law than the FCPA.
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
Figure 2: How have the following regulations
In light of the new whistleblower protections
led you to reassess your organization’s in Dodd-Frank, companies are also making a
compliance with anti-bribery laws? concerted effort to identify and address
None
corruption issues internally. As a result, many
35% Somewhat
Significantly 34% appear to be developing mechanisms that
33% 33%
Don’t Know
facilitate the reporting of incidents or other
26%
concerns. Accordingly, 80% of participants
20% said their company has already implemented or
12% plans to implement a hotline for reporting issues.
7% Perhaps it is not surprising, given that the SEC’s
whistleblower awards fund continues to increase
Dodd-Frank U.K. Bribery Act
the monies available for payout to qualifying
whistleblowers.
Addressing the Risks
Amid a heightened enforcement environment, ment of audit committees and boards of directors
companies are committing more resources and in anti-corruption compliance programs.
adopting new policies to address the risk of
corruption, according to our survey. Participants also noted that they have been
placing foreign subsidiaries under a greater level
Which policies are being implemented? of scrutiny. Nearly half of all participants said that
And, more important, which ones have been their companies have training efforts focused
effective in helping to identify and address specifically on this group. As we noted earlier,
corruption risk? regions such as Southeast Asia, China and the
Middle East are clearly perceived as risky places
The results of our survey indicate that three busi- to do business. Yet when asked whether they had
ness practices stand out as the most effective in reduced their exposure to some regions of the
reducing corruption risk: employee training, world, a majority of participants (59%) said no.
scrutiny over books and records, and involve-
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
Figure 3: Which of the following business practices has your company implemented to reduce
corruption risk and how successful have they been?
High/Moderate Low Success Not Attempted
83%
Increased the amount of training given to employees 5%
10%
77%
Increased scrutiny over books and records 4%
20%
70%
Increased involvement of audit committee/board in 7%
anti-corruption compliance programs 23%
62%
Expanded the scope of audits of foreign subsidiaries 7%
30%
55%
Involved outside counsel in an investigation 9%
37%
48%
Adopted new technology 10%
43%
37%
Reduced your company’s business 5%
exposure to certain regions or countries 59%
32%
Decreased the number of relationships 9%
with vendors and third parties 60%
17%
Increased use of incentives 6%
77%
Note: Totals add to >100% due to multiple response options
In addition, 60% said they had not scaled back increase their due diligence of third parties,
their relationships with vendors and other particularly in light of the U.K. Bribery Act’s
third parties, such as agents, consultants and strict liability offense for commercial organiza-
distributors. It will be interesting to observe tions that fail to prevent bribes paid by persons
whether these trends continue in 2012. It will associated with their business.
also be interesting to see whether companies
The Challenges of Compliance
Despite establishing new policies and expand- significant constraint. And while most participants
ing the use of practices to prevent corruption risk, (90%) said their companies already have or
companies still face hurdles when implementing plan to implement employee training, a third
anti-corruption programs, according to our said they do not evaluate whether those programs
survey. Nearly half (46%) of participants cited are adequate. It will be interesting to see wheth-
inadequate staffing as a problem, while 40% er companies take steps to fully understand the
said the need to customize policies and effectiveness of their compliance programs
procedures on a country-by-country basis was a in the future.
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
Figure 4: Which of the Following Do You Consider Constraints in Widening
your Anti-Corruption Program?
Inadequate staffing resources 46%
Variation of policies and procedures on a country-by-country basis 40%
Compliance viewed as lower priority than operating results 35%
Lack of available financial resources 30%
Lack of involvement from senior management and Board of Directors 16%
Other 15%
Inadequate training 15%
Absence of a dedicated anti-corruption policy 10%
Note: Totals add to >100% due to multiple response options
Conclusion
We’d like to thank those professionals who the challenges in preventing, identifying,
participated in our survey for providing valuable and addressing corruption risks loom large.
insights into the state of anti-corruption As companies seek to take advantage of growth
compliance. Based on their responses, we be- overseas and become subject to local laws
lieve that there are a number of trends in anti- and practices, the need to adopt policies and
corruption compliance worth watching in 2012. develop due diligence protocols that can
For general counsels and compliance executives, account for these risks will only increase.
© 2012 AlixPartners, LLP

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AlixPartners 2012 Global Anti-Corruption Survey
For more information, please contact:
Harvey Kelly
Managing Director and Global Head of Corporate Investigations
hkelly@alixpartners.com
+1 (646) 746-2422
About AlixPartners
AlixPartners conducts a broad range of surveys and research in industries around the globe. To learn more
about our publications, or to contact the AlixPartners professional nearest you, please visit www.alixpartners.com.
AlixPartners is a global firm of senior business and consulting professionals that specializes in improving
corporate financial and operational performance, executing corporate turnarounds, and providing litigation
consulting and forensic accounting services when it really matters—in urgent, high-impact situations.
© 2012 AlixPartners, LLP