Global Bribery, Fraud, Extortion, and Improper Dealings Policy

Purpose

Prevent bribery, fraud, extortion, and improper dealings by anyone acting on IJM’s behalf by:

Affirming IJM’s zero-tolerance for bribery, fraud, extortion, and improper dealings;
Equipping IJM’s people to uphold IJM’s ethical standards by providing clear direction on how to recognize, report, and investigate occurrences of bribery, fraud, and other forms of corruption;
Providing accountability mechanisms for breach of these standards; and
Protect IJM’s reputation and maintain stakeholder confidence in IJM.

Applicability

This policy applies everywhere IJM operates, to IJM Employees, Interns, Retainers, Third Party Associates, Contingent Workers, Workers by Contract, and Volunteers (collectively, referred to as “IJM People,”); and to all Third Parties with whom IJM conducts business (collectively, referred to as “Covered Person(s)”).

Approach

As an organization dedicated to building justice systems that protect vulnerable people, twisting a system for private gain has no place in our work – even when it is the norm embraced by others inside that system, and even when it appears that doing so would reap a short-term gain for our mission or someone we serve.

IJM’s leadership is committed to embed an anti-fraud and anti-corruption approach into all aspects of our work by:

Setting clear expectations and modeling appropriate behavior;
Providing training on awareness and reporting;
Establishing controls for prevention and detection;
Ensuring IJM clear response measures and consequences for misconduct;
Abiding by applicable laws and reporting to external parties where required; and
Including transparent and risk-based financial review and decision-making at the Board level.

Exclusions

An exception to this policy exists in circumstances where a Covered Person is forced under threat or intimidation to make a payment that would otherwise be characterized as improper. In such situations, Covered Persons should not put themselves at risk, but should make the payment and then report according to procedures set out in this policy.

Policy Statements

IJM Requires Covered Persons to Follow its Zero-Tolerance for Bribery, Fraud, Extortion, and Improper Dealings
1. Bribery. Covered persons, who are those defined in the applicability section above, shall not offer or accept bribes in any form, whether directly, passively or through a Third Party (see examples below). This prohibition includes causing any such payment to be made on IJM’s behalf, and applies to all kinds of improper payments, including providing Kickbacks or any form of Facilitation Payments/Speed Money.
2. Fraud. Covered Persons shall never use deception, misrepresentation, or abuse of power for unfair financial or other benefit.
3. Extortion. Covered Persons shall never use actual or threatened wrongful force, violence, or fear to obtain something of value.
4. Covered Persons shall never engage in behavior that violates local law regarding bribery, fraud, extortion, and improper dealings and are responsible for seeking legal guidance when they are unsure.
5. Exclusions. An exception to this policy exists in circumstances where a Covered Person is forced under threat or intimidation to make a payment that would otherwise be characterized as improper. In such situations, Covered Persons should not put themselves at risk, but should make the payment and then report according to procedures set out in this policy.
6. All IJM People commit to uphold the standards described in this policy in all their business dealings and relationships. Other Covered Persons commit to uphold the standards described in this policy when acting for, on behalf of, or in association with IJM.
7. IJM Employees engaging in relationships with Third Parties who are Covered Persons must ensure the commitments of this policy are embedded in contracts or otherwise incorporated into the relationship.
Political Contributions
1. IJM shall not participate in or provide financial support for any political activity including supporting political parties, candidates, or campaigns except as expressly permitted. This prohibition does not apply to lobbying activity in jurisdictions in which it is legally permitted.
Business Gifts and Hospitality
1. Gifts to government officials of any monetary value are generally not permitted because of the concern they may be viewed as bribes. However, there may be some circumstances in which cultural or other formalities require the exchange of symbolic or other items of insignificant monetary value. Such an exchange is permitted if not otherwise prohibited by this policy, upon approval in writing from legal counsel.
2. The Principle of Loyalty: Covered Persons shall adhere to a governing principle of loyalty to the mission when evaluating Business Gifts; this means using a position or authority within IJM or granted by IJM to further IJM’s mission, not to obtain personal benefit and avoiding even the appearance of a conflict.
3. IJM Employees may receive for their personal benefit gifts of de minimis value when otherwise not prohibited, defined as a cumulative value of $100 USD (total value of all gifts from one source annually). Where possible, gifts should be utilized to further and fulfill IJM’s mission.
Prevention Measures

IJM shall make reasonable efforts to embed fraud prevention and detection measures into operational procedures through risk assessment and robust internal administrative and financial controls.
Seeking Guidance

If you are uncertain about how a potential payment, gift, or other activity is classified, including whether something is a bribe as opposed to a permitted gift or act of hospitality, consult with your manager or IJM point of contact before proceeding. If the matter is still not clear, consult with the Office of the General Counsel (including Regional Counsel) before proceeding. The following are a non-exhaustive list of examples of some of the prohibited behaviors described in Section 1:
1. Payment of an unofficial fee to a judicial clerk to ensure an IJM case is heard on a timely basis or to secure copies of court records.
2. Payment of an unofficial fee to a police officer to execute a warrant of arrest or file a report.
3. Payment of an unofficial fee to secure the dropping of charges against, or release from detention of, an IJM staff member or client.
4. Payment of an unofficial fee to secure a Memorandum of Understanding or visa authorizing work in the U.S.
5. Providing a government official with cash, property or services that exceed the value of the actual expenses charged by the government office or official in order to expedite a process or obtain a benefit that would otherwise be unobtainable.
6. False claims in requesting payment for goods, services or activities not actually performed such as: submission of fake receipts on a travel expense report, falsifying timesheets to report hours not worked, forgery or alteration of a check or other financial document, submission or knowing approval of invoices for work not done or products not delivered.
Reporting Concerns

Covered Persons have an obligation to recognize and immediately report or suspected violations of this policy, or any other concerns regarding IJM business dealings.
1. All IJM People must immediately report any concerns regarding IJM business dealings, or suspected violations of this policy. Failure to do so will result in disciplinary action up to and including termination.
2. Any other Covered Person who becomes aware of a potential violation of this policy should likewise report it.
3. Any person who reports a concern should not seek to investigate or assess the merit of the instance but should simply report what they know and/or observed. The person reporting a concern must otherwise keep the matter strictly confidential.
Investigation and Incident Management

IJM will address all complaints or allegations of corruption or fraudulent activity.
1. IJM will investigate and document all alleged fraud, bribery or other corruption in a timely, professional manner, commensurate with the evidence, and considering severity, credibility, confidentiality, potential for reputational damage, and applicable donor requirements.
2. When there is suspected fraud or corruption under a grant-funded project, IJM will promptly report to the donor according to the donor agency’s reporting requirements and any mandatory reporting timelines. IJM shall update relevant donor agencies regarding reports and on the progress and outcomes of investigations as required.
3. When deemed necessary, IJM may also report an incident to law enforcement authorities.
4. Reports will be handled confidentially on a “need-to-know basis”. IJM shall take reasonable action to minimize risk of loss, such as issuing a request to relevant bank and/or credit card company to freeze resources.
Affirmation and Training

At least annually, all IJM People and other relevant Covered Persons must read and affirm compliance with this policy and, as applicable, participate in applicable training to ensure appropriate understanding of how to identify, report, investigate and manage bribery, fraud and other forms of corruption.

Compliance & Enforcement

Violations of this policy, including violations of this policy by IJM People during time off, will result in disciplinary measures and corrective action determined on a case-by-case basis, which may include the following:

Training
Warnings
Termination of employment, contract, membership on a governing body of an IJM entity, or other form of engagement with IJM; or
Other appropriate remedial or punitive action that IJM deems appropriate.

IJM reserves the right to pursue legal and/or civil and equitable remedies if noncompliance by a Covered Person results in damages or harm to IJM. This may result in personal liability and legal/financial consequences. Further, Covered Persons who violate relevant law may be subject to personal criminal liability including imprisonment, fines and other legal or financial consequences.

Definitions & Terms

Term	Description
Bribery	An undue advantage given to a person or entity in order that a person act or refrain from acting in the exercise of his or her duties1 OR any inducement, reward, or object/item of value offered to another individual, in order to gain commercial, contractual, regulatory, or personal advantage. This includes the act of offering, giving, promising, asking, agreeing, receiving, or soliciting something of value or advantage, in order to induce or influence an action or decision.
Business Gift	A gift by a Third-party to an individual or team at IJM, or a gift by someone at IJM to a Third-party.
Corruption	Dishonest and illegal behavior and conduct by those in a position of power or authority.
Covered Persons	All people and organizations covered by the policy as detailed in the Applicability section on page one of the policy.
Extortion	An act of obtaining property from another induced by wrongful use of actual or threatened force, violence, or fear, or under color of official right.
Facilitation Payments/Speed Money	A form of bribery that involves expediting or facilitating the performance of a public official for a routine governmental action (e.g., issuing licenses or permits), including the payment of nominal amounts, or amounts that are “normal” practice in the society in question.
Fraud	An act or omission, including a misrepresentation, that knowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial or other benefit, or to avoid an obligation. Fraudulent behavior can take the form of embezzlement, theft, or false claims and statements. While not limited to the financial arena, misstatements related to fraud often fall into two categories: Misstatements arising from fraudulent financial reporting includes, but is not limited to, intentional misstatements or omissions of amounts or disclosures designed to deceive financial statement users. This behavior usually involves the override of controls by management. Misstatements arising from misappropriation of assets involves, but is not limited to, theft and embezzlement of an entity’s assets.
Suspected Fraud	Some evidence that IJM deems as credible in order to launch a full investigation. See Global Complaints Management/ Internal Investigations Policy.
Credible Allegation and/or "Semblance of Truth"	An allegation is credible prior to full investigation if there is nothing manifestly false or frivolous in the allegation.
Contingent Workers or Volunteers	A worker who is outsourced by IJM to perform specific duties or obtain work experience. They are unpaid or paid outside of any of IJM’s Payroll systems. They may or may not receive employee benefits and are not typically protected under employment law.
Implementing Partner	A non-governmental organization or entity that collaborates with IJM to lead a JSS Project or carry out project activities. A formal partner that manages and/or implements an accompaniment program for justice system transformation, with whom we have a data-sharing agreement.
Kickback	An amount of money that is secretly and illegally paid to someone in exchange for having made the income possible.
Third-party	Actual and potential clients, constituents, partners, vendors, business contacts, agents, advisors, government, and public bodies—including their agents, advisors, representatives, officials, and politicians.
Subgrant Partner	A partner that receives a subgrant from IJM.
Vendor	Companies with whom IJM enters into a contract for provision of goods or services.
Volunteer	An individual who donates time of effort.
Zero tolerance	IJM will not tolerate fraud or any other form of corruption in any aspect of its operations. This means acting on every allegation in a fair and reasonable way with due regard for procedural fairness.

Global Procedures

Procedure Steps	Global Procedure	Who is Responsible?
Reporting Concerns of Bribery, Fraud, Extortion, or other policy violations, suspected or known	Any other person who becomes aware of such concerns should likewise report them, to any of the following: Their IJM point of contact, who should follow the process above. The Office of the General Counsel, at legal@ijm.org; or Through IJM’s reporting form, which allows anyone, including beneficiaries, to report allegations or concerns, including anonymous reports.	Any other person who becomes aware of such concerns
Reporting making an Improper Payment Per Policy Exception	Where a Covered Person is forced to make a payment that would otherwise be characterized as improper under threat or intimidation, the payment should be reported to IJM security and Finance teams via Kaseware when it is safe to do so.	Covered Person forced to make an improper payment under threat or intimidation