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Neville Tiffen - Rio Tinto - UNAA Business Integrity Seminar 27.02.13
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Neville Tiffen - Rio Tinto - UNAA Business Integrity Seminar 27.02.13


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Neville Tiffen (Global Head of Compliance, Rio Tinto) - Presentation at the United Nations Association of Australia (Victorian Division) Corporate Sustainability Leadership Seminar ‘Building Business …

Neville Tiffen (Global Head of Compliance, Rio Tinto) - Presentation at the United Nations Association of Australia (Victorian Division) Corporate Sustainability Leadership Seminar ‘Building Business Integrity, Preventing Corruption’ held on Wednesday 27 February 2013, in partnership with ANZ.

The seminar explored some of the key issues facing Australian businesses operating in high-risk environments and provide examples of how different companies have addressed these challenges through anti-corruption programs and transparency mechanisms.

Guest Speakers included:
• Michael Ahrens (Executive Director, Transparency International Australia)
• Neville Tiffen (Global Head of Compliance, Rio Tinto)
• Mathew Bastianon (Manager, Anti-Money Laundering, Bribery and Corruption, ANZ)
• Dean Newlan (Partner, McgrathNicol and Former Chair of Standards Australia’s Fraud and Corruption Control Standard and Whistleblower Protection Standard Working Parties).
• Rachel Nicolson (Director, UN Global Compact Networks Australia and Senior Associate, Allens)

• Rosemary Sainty (Adviser, Corporate Engagement, Transparency International Australia and Former Head, Secretariat, UN Global Compact Network Australia)

The panel discussion addressed:
• Implementing corporate anti-corruption programs: challenges and opportunities;
• Key issues for the extractive industry, financial and professional services, and SMEs;
• Opportunities for collective action, sectoral initiatives and engaging suppliers and business partners;
• Beyond compliance: building business integrity and transparency;
• Transparency International’s Business Principles for Countering Bribery: revision and update, and 2012 report on Transparency in Corporate Reporting;
• UN Convention Against Corruption;
• UN Global Compact Principal 10 on Anti-Corruption; and the
• B20 Task Force on Improving Transparency and Anti-Corruption.

More information available at:

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  • 1. Corporate Sustainability Leadership:Building business integrity,Preventing corruptionNeville TiffenGlobal Head of Compliancentcompliance@gmail.comFebruary 2013
  • 2. Global spread of operations Key Aluminium Mines and mining projects Copper Diamonds & Minerals Smelters, refineries, power facilities and processing Energy plants remote from mine Iron Ore North America Europe Asia Africa South America Australasia
  • 3. Corruption perception index by location
  • 4. Collective action• Transparency International • Business Principles • Transparency in Reporting on Anti-Corruption• WEF’s PACI • Anti-corruption principles • Mongolia project• G20/B20• UN Global Compact Principle 10
  • 5. Transparency International Business Principles • Continuing risk assessment • Conflicts of interest • Lobbyists • Facilitation payments prohibition • Board commitment • Business relationships • Independent assurance TRAC  Standards on website  SD and Global Compact reports on website  Country reporting  Reporting on monitoring  Transparency: stakeholders’ understanding of how we work
  • 6. Partnering Against Corruption Initiative Principles • Based on TI principles Mongolia • Local company participation B20 • Public procurement • SMEs • Collective action • High level reporting mechanisms
  • 7. Designing the programme“The Age”
  • 8. Designing the programme• Bribery laws – Australia, UK, US • US Federal sentencing guidelines/FCPA guidance • Morgan Stanley • UK Bribery Act guidance • “corporate culture”• Sarbanes Oxley• Dodd Frank• Australian and British standards• TI Business Principles• PACI principles
  • 9. The way we work Our global Code of Business Conduct• Each of us has a responsibility to work with integrity when acting on behalf of Rio Tinto…• In every country in which we operate, all Rio Tinto personnel are expected to comply with the law, The way we work and Rio Tinto policies and standards.
  • 10. Our 9 Standards
  • 11. Our 9 standards
  • 12. Compliance Standard Overview Compliance obligations & risks Risk Group business reduction audit forums training Compliance Standard Monitoring Communication & (incl portal) review Speak-OUT Investigations
  • 13. Investigations standard – serious wrongdoing
  • 14. 14Speaking up Various options: – Your manager or supervisor – Human Resources – Senior management – Rio Tinto Compliance or Speak-OUT
  • 15. Speak-OUT • Toll free numbers 24/7 • Translation available • Confidential • Anonymous option  EU restrictions • Operated by independent 3rd party • Calls answered by trained interviewers • Managed by Compliance Team • No recrimination • 50% of calls result in some action
  • 16. Morgan Stanley • Updated policies • Frequent training • Due diligence and transaction monitoring • State owned enterprises • Reminders about the code of conduct and related matters • Certifications • Conflicts of interest
  • 17. Questions/Comments
  • 18. Neville