Anti-bribery risk assessment (template, with yachting scenarios)

Regulators and courts look for evidence that a company has thought about where it is exposed. A short written assessment, honestly done and kept up to date, is some of the best evidence you can have. The scenarios below are typical of yachting. Add your own.

Completed by: ____________ Date: ________ Reviewed by a director: ____________

How to score

• Likelihood: 1 (rare) to 5 (almost certain) that it could happen in your business, given how you actually work.
• Impact: 1 (minor) to 5 (severe: criminal liability, loss of a licence or customers, reputation).
• Risk score: likelihood × impact. Anything of 12 or more needs a named owner and a dated action.

The assessment

#	Scenario	Who is exposed	Likelihood	Impact	Score	Controls in place	Further action, owner, date
1	A broker, captain or crew member asks us for a commission or "something for the boat" on an order	Sales, customer service				Policy, sales code, register, script
2	A supplier or competitor offers us a payment or benefit for introducing business or for a decision we make for a customer	Purchasing, management				Policy rule 2, register
3	An agent or introducer pays someone on our behalf, or takes a fee that is passed on	Management, finance				Due diligence, written agreement, payments controls
4	Gifts, hospitality or samples offered to people who place orders (including at shows and tastings)	Sales, marketing				Limits, approvals, register
5	Sponsorship of a show or event, or exhibiting, that is linked to orders or to individuals' benefits	Management, marketing				Sponsorship rule, prior approval
6	Fuel, bunkering or port services where a percentage per tonne, litre or call is paid to a captain, manager or agent	Suppliers of fuel and port services				No payments to individuals, invoice transparency
7	Yard, refit, paint, repair or new-build work where a percentage is paid to a captain, project manager or sales broker	Yards, contractors				Written commission only to firms, disclosure to owner
8	Tenders, toys, electronics, interiors and equipment where a specifier or buyer asks for a "thank-you"	Equipment suppliers				Policy, written quotes, comparison
9	Crew placement, recruitment or travel arrangements where fees go to the person who chooses the supplier	Agencies				Fees disclosed to the employer
10	Insurance, survey, legal or other professional referrals where the introducer is paid by the provider	Professional services				Disclosure to the client
11	Payments, discounts or credits that bypass the customer's invoice or accounts	Finance, sales				Invoice review, credit note controls
12	A customer's staff asks that part of an invoice be paid into a private account, or invoices be split or altered	Finance, sales				Payments controls, escalation
13	Pressure from a customer, supplier or colleague to keep a commission secret	Everyone				Rule 3, speak-up procedure
14	A new market, language or country where norms differ and local advice is thin	Management				Country supplement, local counsel
15	A sales incentive scheme that rewards results by any means	Sales management				Pay structure review
16	A staff member with a personal link to a customer or competitor	Everyone				Conflicts declarations
17	Staff do not understand the rules, or have never been tested on them	Everyone				Training, quiz, certification
18	No one is checking whether the policy is followed	Directors				Self-audit, register review

Summary for the directors

• Top three risks this year: 1. ____________ 2. ____________ 3. ____________
• Actions agreed, with owners and dates: ____________________
• Changes since the last assessment (new countries, products, intermediaries, staff, incidents): ____________________
• Date of next assessment: ________

General information, not legal advice.