ICAC Training Workshop for HKAS Accredited Organizations

ICAC and HKAS had co-organized a training workshop on corruption prevention and professional integrity for HKAS accredited organization for frontline and managerial staff on 14 January 2014. I attended the one for managerial staff and summarized for sharing below.

Mr. Chui (Representative of ICAC) was the speaker and his topic named "Professional Integrity and Managing Staff Integrity". The workshop content included importance of professional integrity, corruption prone areas in Testing and Certification (T&C) industry, Legal and administrative controls, Key to integrity management and corruption prevention service of ICAC.

Mr. Chui said one of important elements on T&C Industry is Integrity. Hong Kong's competitive edge is High Professional Integrity plus Good Corporate Governance. The following table showed the corruption prone areas.

Three test of Professional Integrity mentioned by Mr. Chui included "Legal Test", "Compliance Test" and "Sunshine Test".

Then he briefed the legal control over corruption by the law "Prevention of Bribery Ordinance (PBO)" which ensured fair-play, protected interest of stakeholders and prevented breach of trust between agent and principal. Per Legal Test, PBO section 9 stated for private sector.

"Advantage" is almost included everything but entertainment. The following items are defined advantage:

• Gift, loan, fee, reward or commission
• Employment or contract
• Payment, release or discharge of loan or liability
• Service or favour (except entertainment)
• Exercise of any right or power

"Entertainment" is defined as:

• Food and drinks provided for immediate consumption
• Any other entertainment connected with at the same time

PBO section 4 stated for public servants.

PBO section 8 stated for offering advantage to public servants during official dealings.

PBO section 9 (3) stated the use of false documents

For Compliance Test, HKAS accredited organization should follow the HKAS 002 regulation such as clause 5.7, 5.12 and HKAS Supplementary Criteria No. 6, as well as, company Code of Conduct / Internal Regulations. Other compliance code such as International Federation of Inspection Agencies which had 5 compliance principles.
1. Integrity
2. Conflicts of interest
3. Confidentiality
4. Anti-bribery
5. Fair marketing

The last test named "Sunshine test". You needed to ask yourself two questions below.

• Am I willing to discuss the issue openly?
• Can I disclose my decision without misgivings to others?

Finally, Mr. Chui briefed the roles of T&C professionals that one was to perform his own duties and the other was to supervise and manage his subordinates. He also briefed the corruption risk analysis in which separated into two factors. One was Management factors and the other was Staff factors.

For risk management, it was suggested to:
1. Strengthening system control
2. Managing staff integrity
3. Cultivating an ethical culture

Reference:
HKAS - http://www.itc.gov.hk/en/quality/hkas/about.htm
Hong Kong Ethics Development Centre (HKEDC) - http://www.hkedc.icac.hk/
ICAC guide book - http://www.icac.org.hk/filemanager/en/Content_1031/t_and_c.pdf
HKAS Supplementary Criteria No. 6 on Code of Conduct - http://www.itc.gov.hk/en/quality/hkas/doc/SupplementaryCriteria/HKAS_SC006.pdf
20111103 - Ethical Management Seminar for Testing and Certification Industry - http://qualityalchemist.blogspot.hk/2011/11/ethical-management-seminar-for-testing.html