Anti-Corruption Policy

OBJECT: This Policy is the company’s main document describing the basic principles and requirements for the purpose of ensuring the Company, top management, executive bodies, employees and all other individuals who may act on behalf of  and/or represent the company to comply with the rules of the anti-corruption laws and regulations and of preventing corruption.

Policy has been prepared in consideration of the requirements of the standard principles and norms of the relevant laws of the United States of America, company’s articles of association, international laws and documentation and other internal documentation of the company.

Illegal abuse of authority for the purpose of gaining benefits which appears in the form of bribery, mediation in bribery, abuse of authority, commercial corruption activities, provision of convenience in payment, acquisition of money/articles of value/other assets/ services/any right for himself or for others or illegal provision of rights and benefits to such individual by others are, as a rule, considered corruption and corruption/bribery practices/activitiesin the US and worldwide.

Corruption constitutes a threat to supremacy of law, democracy and human rights, violates the principles of good management, equity and social justice, affects competition, hinders economic development and jeopardizes the stability of the democratic institutions and ethical foundations of our society.

This policy represents the company’s and our management team’s commitment to higher ethical standards, clear and fair-trading principles, focus to improve our corporate culture, its eagerness to pursue the best practices of corporate management and to maintain the company’s commercial standing of Compliance, Integrity, Service and Security

Company has chosen the following goals:

  • To minimize the risk of the company, top management, employees and trusted business partners from involvement in corruption activities;
  • To create a clear and precise culture of the company policy as to the fact that corruption must be strictly denied in all its forms within our company, our employees, our trusted and vetted business partners and at all levels.
  • To summarize and detail the basic requirements of the anti-corruption laws of the United States and US Customs and Border Protection and related government agencies which may be applicable to our company and employees;
  • To follow all anti-corruption laws and regulations, principles and requirements of this policy and to ensure situational awareness by the company, employees and partners so that they may detect, report, eradicate and apply anti-corruption policies. 

SCOPE: All our staff members working at the JOBCO Laredo office, and all foreign branch offices/agents throughout the United States and Mexico are covered by this policy. Further, principles and requirements of this policy shall apply to any individuals who are authorized to act on behalf of and for the benefit of the company, management of the company, direct employees, sub contracted employees, trusted/vetted business partners/contracting companies, if they are assigned with any relevant responsibilities directly or through contracts and internal documents as a result of the Anti-Corruption Regulations of the United States of America and other parties. 

SUPPORTING DOCUMENTS:

  • American Anti-Corruption Act (AACA),
  • United States Department of State https://www.state.gov/policy-issues/anti-corruption-and-transparency
  • United Nations Anti-Corruption Convention ttps://www.unodc.org/unodc/en/treaties/CAC/
  • Anti-Border Corruption Act of 2010 -Committee on Homeland Security and Governmental Affairs United States Senate https://www.congress.gov/111/crpt/srpt338/CRPT-111srpt338.pdf
  • US Customs and Border Protection Regulations 19 CFR Part 111 Customs brokers–  19 CFR 111.1, 111.4, 111.5, 111.28, 111.29, 111.31, 111.34, 111.36. 111.37, 111.39, 111.42
  • JOBCO Trade Services Inc – Employee Manual, CTPAT Anti-Corruption policies and procedures CTPAT-AC

RESPONSIBLE PARTIES: JOBCO President/Licensed US Customs Broker and General Manager are responsible for the organization of the main activities for the implementation of the principles and requirements of this Policy, for the continual improvement, implementation and control of the anti-corruption policy and for the appointment of the personnel responsible for the approval of any relevant policies and other measures.

All employees, trusted business partners and agents of our company must comply with the requirements of this policy and strictly fulfil the principles and requirements of this policy.

DEFINITIONS / ABBREVIATIONS:

USA: United States of America  

USCBP:  United States Customs and Border Protection

DHS:  Department of Homeland Security

CFR:  Code of Federal Regulations 

CTPAT:  Customs Trade Partnership Against Terrorism 

APPLICATION:

  1. ANTI-CORRUPTION LEGISLATION OF THE UNITED STATES OF AMERICA:

The American Anti-Corruption Act is model policy that sets a framework for city, state and federal laws to fix our broken political system. It fundamentally reshapes the rules of American politics and restores the people as the most important stakeholders in our political system. An Anti-Corruption Act has three primary goals:

  • Stop political bribery so special interests can’t use job offers and donations to influence politicians.
  • End secret money so people know who’s buying political power.
  • Fix our broken elections so the people, not the political establishment, are the ones in control.

Legislation is comprised of the laws of the United States, government agencies and guiding international documents, regulations and actions plans. Company considers all anti-corruption regulations framed with the Anti-Corruption framework of which the basic requirements are the prohibition of abuse of confidence, forgery of official documents, impairment, destruction or concealment of official documents, forgery of private documents, bid rigging, fraud in the fulfilment of execution, disclosure of information or documentation of trade secret, banking secret or customer secret nature, embezzlement, corruption, negligence in the duty of inspection, bribing and being bribed, provision of benefits for any work in which he is not authorized, abuse of authority, disclosure of counter party-related secrets, laundering of assets arising from an offense, commercial corruption transactions and mediation in bribery and the rules related to prohibitions of the other imperative laws to be basic rules and obliges both the company and all its employees to comply with such basic rules.

  1. PRINCIPLES, STANDARDS AND REQUIREMENTS TO BE COMPLIED WITH:

Company and its employees must comply with generally accepted principles and standards of the international laws, treaties and the anti-bribery and anti-corruption laws of the United States of America as well as policy principles and requirements of all countries with which we do commercial transactions.

All employees of the company are strictly prohibited to perform the following transaction directly or indirectly in person or through the mediation of third parties:

  • To participate in any corruption activities, offer bribes, give bribes, promise to give bribes, ask or receive bribes or make or offer to make payments in the form of monetary assets, articles of value, services or other benefits to any person, corporations including business enterprises/ organization/corporations, regulatory bodies, public officials, private companies and individuals who act for their own interests or on behalf of their companies in order to facilitate any administrative, bureaucratic or other formalities;
  • To conspire to receive favorable results in any proposal or bid;
  • To abuse confidence or his/her position;
  • To forge public and/or private documents;
  • To impair, destroy or potentially conceal any actual private or public document;
  • To devise or perform any fraudulent scheme in the fulfilment of execution;
  • To disclose information of confidential nature or make it easy for others to obtain such information;
  • To gain benefits for a work in which he/she is not authorized;
  • To afford any unfair advantages or benefits through persuasion/coercion or otherwise;
  • To commit the act of misappropriation;
  • To get involved, participate in or set up a scheme for the commitment or attempt to commit any abovementioned prohibited acts; to assist in, encourage, facilitate or lead the commitment of such acts;
  • To exercise physical force, threaten or intimidate or promise, offer or provide any unfair benefits in order to interfere in ensuring unreal witness statement, testifying or producing evidence in any lawsuits related to the commitment of any abovementioned prohibited acts;

Provided that they are not limited to what is entered below, summary explanations concerning the abovementioned prohibited transactions are provided here below so that they may guide to all employees and parties:

Conspiration to rig the bid: To conspire to rig the bids related to the purchases or sales or leases of goods or services carried out by or on behalf of our company. Bids are deemed to have been conspired to rig in the following cases:

Fraudulent behaviors:

  • To prevent any people/companies that have competence or conditions to participate in any bids from participating in the bid or transaction in the bidding process;
  • To ensure any people/companies that do not have the competence or conditions to participate in bids to participate in such bids;
  • To exclude any offered goods from assessment, saying that they do not have the properties specified in the specifications although they have them;
  • To include any offered goods into assessment, saying that they have the properties specified in the specifications although they do not have them
  • To ensure others to have access to any information related to bids, which must be kept confidential as per the bidding legislation or specifications
  • To prevent any people/companies that have the competence or conditions to participate in bids to participate in bids or transactions in the bidding process by exercising force or threat or by other illegal behaviors.
  • That any people/companies that participate or want to participate in bids make explicit or implicit contract among themselves in order to influence the bidding conditions and, in particular, the price.

Abuse of Confidence:

To make disposals on any matters for which he has been entitled and authorized to make certain disposals to the disadvantage of the company but for the benefit of himself or others.

Abuse of Position:

To cause people to suffer or the company to lose or provide people with unfair benefits by neglecting or delaying in the performance of the requirements of his/her position. 

Forging Public Documents:

To draw up any document which he is authorized to issue as required by his position as a counterfeit; to revise any actual public document in a manner which will cheat other people; to issue documents in a manner contrary to facts or use such forged document.

To Forge Private Documents:

To produce/issue a private document as a counterfeit (as if it exists while it in fact does not exist); to draw up an actual private document as a counterfeit or revise and use an actual private document in a manner which will cheat others; to use any private documents drawn up as a counterfeit by others.

To Impair, Destroy or Conceal an Actual Private or Public Document:

To put any economic assets acquired by committing an offense or otherwise into the economic system by making them look legitimate; to revise and conceal any criminal evidence; to transfer abroad any assets acquired through criminal ways or conceal the illegitimate source thereof as if they have been acquired through legitimate ways; to make any writings in an actual public document by forging, coloring or erasing; to remove any picture on a document; to tear, burn, destroy or conceal a document. 

To Scheme Fraud in the Fulfilment of Execution:

To scheme fraud in the fulfilment of execution undertaken towards counter parties and third parties in the following manners:

  • To deliver or accept any goods or services other than those specified in the bid award or contract;
  • To deliver or accept any goods or services in any quantity short of that specified in the bid award or contract;
  • To accept that the execution has been fulfilled in due to time although it has not been fulfilled within the period of time as stipulated in the bid award or contract;
  • To accept any execution of service nature as if it has been delivered in complete manner although it has not been delivered in compliance with the conditions stipulated in the bid award or contract or shortly delivered.

To Disclose Any Information or Documentation of Trade Secret, Banking Secret or Customer Secret Nature:

To deliver or disclose any confidential information or documentation of trade secret or customer secret nature, Commercial or Customs documents, or privileged information, discoveries or inventions or information related to industrial practice which he comes to know due to his capacity or position, profession or arts to any unauthorized person(s).

To Disclose Any Position-Related Secrets:

To disclose or make public any documents, decisions and orders as well as any other correspondence delivered to him due to his position or which he has acquired for the same reason or facilitate others to obtain information in any manner whatsoever (it is prohibited to disclose any secrets related to his position after the termination of such position or resignation from company).

To afford any unfair advantages or benefits through persuasion/coercion:

To persuade or coerce any individual to provide benefits to him or other person or to make a promise to that effect by abusing the influence brought about by his position.

To Neglect His Duty of Inspection:

To turn a blind eye deliberately to the commitment of any offense of embezzlement or corruption or in any International Transaction or Customs formalities.

To Bribe / Be Bribed:

To bribe any individual or be bribed by any individual or reach an agreement on bribery in order to gain any unfair advantage/benefit under any agreement with such individual for the performance of any legal or illegal work in violation of the requirements of his position.

To provide any persons acting for and on behalf of any professional organization of public institution nature, companies established by the participation of public organizations or institutions or professional organizations of public institution nature, foundations operating under the foregoing organizations or institutions, associations with public interest, cooperatives or publicly traded companies with benefits in violation of the requirements of their positions in the creation of legal relations or in the process of the continuation of such legal relation.

To Gain Benefits for Any Work for Which He Is Not Authorized:

To gain advantage and benefits, do or cause to do any work which does not fall upon his position and for which he is not authorized through his position or forming an opinion that he can cause it to be done.

To Commit Embezzlement:

To make any disposal which does not accord with the requirements of his position on any movable or immovable assets and materials, special funds, stocks and securities, material and financial assets entrusted to him, of which powers of management, sales, use, consumption in production, etc. have been assigned to him due to his/her position or which he/she is obliged to protect and guard; to acquire, misuse or consume and misappropriate for him or for others such goods/materials/services and financial assets.

BASIC PRINCIPLES OF THE POLICY

  1. Mission of the Top Management:

Owner, General Manager and the department heads of the company will display an ethically adamant attitude against any corruption occurring in any form and strain at all levels, set an example with their conduct and ensure all employees, trusted business parties and counter parties with which we collaborate to know this anti-corruption policy.

Denial of bribery principle (zero tolerance principle) in any form and strain will be decisively applied in the company in cases of interaction with partners, representatives and officials of the government and public authority, political parties, management bodies and employees of the company, investors and other natural persons and legal entities during their everyday operations within the framework of the implementation of strategic projects.

  1. Periodical Risk Assessment:

Company will from periodically review, identify, and assess any corruption risks specific to commercial activities in consideration of the countries, regions and all business processes in which the company is operating both as a whole and specifically in particular aspects and areas.

  1. Anti-Corruption at Sufficient Level Policy:

Company will develop, implement and inspect the compliance with sufficient anti-corruption policies reasonably complying with the identified risks.

  1. Inspection of the Counter Party:

Company will make reasonable efforts to mitigate the risk of commercial relations with any counter parties, trusted business partners that may possibly get involved in corruption activities; in this context, investigate and verify any existing information about such tolerance to bribery and degree of detection and preparedness for bribery in order to comply with the requirements of this policy; include the anti-corruption terms and conditions (anti-corruption clauses) into any  contracts and agreements ensure reciprocal assistance for the prevention of corruption.

  1. Creation of Threat Awareness and Instructions:

Company will publish this Policy in the web site www.jobcotrade.com so that all parties may have free access to it, expressly announce that it rejects corruption and encourage and motivate any and all counter parties, their employees, members of the management bodies and employees of the company as well as any other party to comply with the principles and requirements of this policy.

Company will improve the level of anti-corruption culture and consciousness by providing its employees with regular information and instructions in order to ensure its staff members are familiar with any and all aspects of this anti-corruption policy and the ways and methods in which this policy will be applied in practice.

  1. Monitoring, Control and Continuous Improvement:

Company will periodically monitor the sufficient anti-corruption procedures put into practice, inspect compliance with the same and continuously update and improve the same when necessary.

GIFTS AND ENTERTAINMENT EXPENSES

Company considers unacceptable and improper any entertainment expenses, collaterals (acquisitions) and gifts in case any entertainment expenses and gifts will directly or indirectly have any influence of the decisions to be made to provide our company with unfair benefits by agents, business partners, or officials/individuals linked to governmental and public authorities.

In case entertainment expenses and gifts presented do not exceed set limits, contradict the international norms of our Business Ethics Policy, such entertainment expenses and gifts are permitted.

DONATIONS, SOCIAL AND POLITICAL ACTIVITIES, SPONSORSHIP

Company will apply a uniform corporate social policy in order to achieve its social responsibility principles. Company will not make donations nor finance any social and sponsorship projects in order to provide commercial concessions and privileges in certain projects. Company will not finance any political parties, organizations/institutions/ corporations and political movements in order to provide commercial concessions and privileges in certain projects.

Company will publish any information related to donations, social and sponsorship activities in the web site of the company or in any other way (if any).

INTERACTION WITH PUBLIC OFFICIALS

Regardless of the mode of payment, the company will avoid making any expense payments and providing advantage for the benefit of public officials or their close relatives or for its own account to facilitate the decision of the governmental bodies, public officials and organizations/institutions and corporations in order to provide commercial concessions and privileges in certain projects. It is not acceptable to make any references to the generally accepted modes of doing business/regional business conduct characteristics.

It is generally accepted that lawyers and public notaries are treated as public officials or civil servants in terms of the execution of their professions. Individuals are also considered to be public officials in terms of the execution of such positions as “experts, interpreters and witnesses”.

INTERACTION WITH EMPLOYEES

Company will provide its employees with information on the approved anti-corruption principles, requirements and policies put into effect and the sanctions which they will face in case of failure to comply with them. Company will publish the policy in its website, improve the level of anti-corruption culture and inform its employees for these purposes.

Human Resources Department will

  • ensure this policy to be introduced to individuals while recruiting them and ensure they familiar with it and provide them with orientation and adequate training.  It will be included in the company employee manual and CTPAT manual.

Structural departments of the company will

  • provide its employees and staff members on the information (communication) channels required to be used to report any facts related to the violation of this Policy;
  • ensure its employees know this Policy not later than one month following the effective date of this Policy; and
  • measure and assess the knowledge of its employees about this Policy while making official assessments concerning the positions of its employees.

All employees of the company will sign the Anti-Corruption Policy Acceptance and Compliance Commitment when they are introduced with this Policy. Such certificate of obligation will be kept in the employee’s personal file. Company will present/make available to its employees various “anonymous and readily available” means of communication (e-mail, mail, forms, etc.) which will be used to report to the company management any facts and cases related to any bribery and corruption activities executed by any individuals who provide services for and on behalf of any commercial corporation/organization/business concern. Company management may receive suggestions (including any requests from any non-company entities and parties) for the improvement and control of the anti-corruption policy by making use of various means of communication.

In the event that employees have doubt as to whether or not their own activities or the activities of other workers/counter parties or other parties who interact with the company, their negligent acts or suggestions are in compliance with the objects, principles and requirements of this Policy and whether or not they are legal, then each employee or any other party may report this fact to his Manager/Supervisor/any board (person) authorized by the General Manager, who may be guiding on and clarify the matter when necessary via various means of communication of the company.

Compliance of the company employees with the principles and requirements of the anti- corruption regulations and of this Policy are taken into consideration not only for the employee’s promotion to higher positions within the company but also for the application of disciplinary sanctions to him as per the relevant law.

APPLICATION OF THE POLICY AGAINST COMPANIES AND COUNTER PARTIES WITH THE PARTICIPATION OF THE COMPANY

Company makes its best possible efforts in order to ensure the basic principles and requirements of this Policy to be followed by any legal entities and by any agents, business partners, associations/ organizations in which the company will be a participant/contributor and counter parties.  Company will perform the following for this purpose:

  • To analyze any tangible facts demonstrating the existing information related to the renown and reputation of the founders of the companies with which the company is assumed to do business and the conduct of such companies and their founders concerning bribery and corruption;
  • To provide such corporations and individuals with information on the principles and requirements of this Policy; and
  • To encourage, and provide support for the adoption and acceptance of the anti-bribery policy in any associations/organizations and companies in which the company is a participant.

Company will not approach any intermediaries, partners, companies (through participation), agencies and other natural persons and legal entities of which business conduct contradicts the principles and requirements of this Policy and the regulations of the anti-corruption legislation in effect.

  • APPLICATION OF THE POLICY TO INTERMEDIARIES AND OTHER PARTIES

It is prohibited for the company and its employees to perform any activities in contradiction with the principles and requirements of this Policy and the anti-corruption regulations in effect or to employ any intermediaries, agents, business partners or other parties to that effect.

Company will issue procedures for controlling any intermediaries, partners or other parties to prevent/identify any corruption activities for the purpose of minimizing or preventing the company’s risks of getting involved in corruption. Company will include terms (clauses) related to anti-corruption in any contracts to be executed with intermediaries, business partners, agents, companies and other parties in order to sustain and apply the principles and requirements as described in this Policy. If necessary, terms (clauses) related to anti-corruption may state the responsibility to be imposed on the counter party by failure to comply with the principles and requirements of this Policy. 

EXEMPTION FROM RESPONSE REQUIRED TO BE GIVEN AND SANCTIONS

Company guarantees that it will not impose any sanctions on its employees who rejects to get involved in corruption activities or who report any conditions which is assumed to be corruption even in case the company may avoid incurring losses by merely violating the anti-corruption regulations in effect/this Policy if it loses profits or fails to gain commercial and competitive advantages.

INSPECTION AND CONTROL

Company will regularly carry out internal and external audits of any economic and financial activities. Company will check the key areas of its commercial activities including the verification of compliance with the primary records and the requirements of this Policy under its internal control policies. Such controls will be accomplished in accordance with the requirements of the Internal Inspection Procedure.

ACCOUNTING TRANSACTIONS

All financial transactions will be recorded with complete, correct and sufficient details and reflected on the commercial accounts of the company in a manner prepared for audit. The following issues are prohibited:

  • Counterfeiting and misstatement in accounting reports;
  • Issuance or use of any invoices or documents or accounting entries containing any wrong or deficient information;
  • Unfair negligence of the inclusion of any payment into the accounting records;
  • Keeping of off-the-record accounts;
  • Performance of off-the-record or insufficiently identified transactions;
  • Keeping of non-existent expense records;
  • Debiting by falsifying the subject thereof;
  • Erroneous entry of some liabilities into records;
  • Deliberate destruction of accounting documents prior to the deadline as stipulated by law.

Prohibited transactions as listed above and any and all financial, tax and managerial data related thereto will be considered pursuant to the legal regulations in effect.

REPORTS

President, General Manager or authorized body (signatory) of the company will periodically review the records of the managers of the structural departments in terms of the results of the work performed in order to ensure that the activities of the company and its employees are in compliance with the principles and requirements of this Policy or the anti-corruption regulations in effect. 

REVISIONS IN AND ADDITIONS TO THE POLICY

In cases where the provisions of this policy and relevant anti-corruption policies of the company are determined to be insufficient or where the requirements of the existing legal regulations change, the President, General Manager or authorized atty-in-fact of the company will organize the careful preparation and application of the action plan required to review and revise this Policy.

LIABILITY FOR FAILURE TO FULFIL (TO IMPROPERPLY FULFIL) THIS POLICY

Regardless of their positions, all employees of the company will be held responsible for the failure to comply with the principles and requirements of this Policy and, additionally for failure (inactivity) to properly and adequately control the activities of the subordinates who violate/transgress such principles and requirements.

In the event that any cases of corruption within the framework of the valid rules of the legal regulations in effect and in case of prudent and reasonable doubt, the person(s) authorized by the General Manager will initiate official investigations.

Individuals who are found guilty of the violation of the anti-corruption regulations in effect may be subjected to “disciplinary, administrative, legal or penal responsibility” in the initiative of the company, law enforcement agencies or other parties in accordance with this Policy and the bases as required by the legislation of the United States of America.

Individuals who are found guilty of the violation of the requirements of this Policy may be subjected to “disciplinary, administrative, legal or penal responsibility” in accordance with the bases as required by the regulatory rules of the company basing upon the anti-corruption regulations in effect.

METHOD TO REPORT ANY EVENT OF CORRUPTION

In the event that employees and other individuals have any doubts concerning the legality of the activities and conduct of the other employees or counter parties and in case they have any reasonable doubts concerning any corruption activities and other violations which cause (or may cause) any damage to the company or its employees, they must report such cases to their immediate superiors, responsible and authorized individuals in any of the following ways:

Company guarantees the following issues as part of its existing “event of corruption notification method”:

  • Company will ensure the confidentiality of the identity of any individual who reports an event of corruption in accordance with the legislative requirements.
  • Company will not apply any sanctions to its employee who provides information about the corruption activities of any employee of the company or the counter party in an impartial and fair manner on reasonable grounds and in good faith even if such act of corruption is not verified by documentation.

JOBCO TRADE SERVICES INC – PRESIDENT, LICENSED US CUSTOMS BROKER 

JUAN O. BAUTISTA III