Business Conduct & Ethics

Anti-Corruption and Bribery Policy

  1. Policy Statement
    1. It is the policy of Numata Business IT (Numata) to conduct business in an honest and ethical manner. As part of that, Numata takes a zero-tolerance approach to bribery and corruption and is committed to acting professionally, fairly and with integrity in all its business dealings and relationships, wherever it operates, and implementing and enforcing effective systems to counter bribery.

  2. Purpose
    1. Numata will uphold all laws relevant to countering bribery and corruption in all the jurisdictions in which it conducts business, including, in the UK, the Bribery Act 2010 (the Act), which applies to conduct both in the UK and abroad and including RSA, the Prevention and Combating of Corrupt Activities Act, 2004 (PCCAA)

  3. Scope and Applicability
    1. This policy applies to all individuals working for or on behalf of Numata at all levels and grades, whether permanent, fixed-term or temporary, and wherever located, including consultants, contractors, seconded staff, casual staff, agency staff, volunteers, agents, sponsors and any other person who performs services for or on behalf of Numata, (collectively referred to as Workers in this policy).

    2. In this policy, Third Party means any individual or organisation that Workers come into contact with during the course of work and the running of Numata’s business, and includes actual and potential clients, intermediaries, referrers of work, suppliers, distributors, business contacts, agents, advisers, government and public bodies (including their advisers, representatives and officials), politicians and political parties.

    3. What is Bribery?

      1. A bribe is an inducement or reward offered, promised or provided in order to improperly gain any commercial, contractual, regulatory or personal advantage, which may constitute an offence under the Act, namely:

      2. giving or offering a bribe;

      3. receiving or requesting a bribe; or

      4. bribing a foreign public official.

      5. Numata may also be liable under the Act if it fails to prevent bribery by an associated person (including but not limited to Workers) for Numata’s benefit.

    4. Gifts and Hospitality

      1. This policy does not prohibit normal and appropriate gifts and hospitality (given and received) to or from Third Parties unless otherwise specifically stated. However, we have specific internal policies and procedures which provide guidance to Workers as to what is to be regarded as normal and appropriate gifts and hospitality in terms of financial limits, subject to the principles set out below (the Overriding Principles), namely that any gift or hospitality:

        1. must not be made with the intention of improperly influencing a Third Party or Worker to obtain or retain business or a business advantage, or to reward the provision or retention of business or a business advantage, or in explicit or implicit exchange for favours or benefits;

      2. must comply with local law in all relevant countries;

      3. must be given in the name of the organisation, not in an individual’s name;

      4. must not include cash or a cash equivalent;

      5. must be appropriate in the circumstances;

      6. must be of an appropriate type and value and given at an appropriate time taking into account the reason for the gift;

      7. must be given openly, not secretly; and

      8. in the case of gifts, they must not be offered to, or accepted from, government officials or representatives, politicians or political parties, without the prior approval of either Numata’s Anti-Bribery Compliance Partner or the Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA).

    5. Numata appreciates that the practice of giving business gifts varies between countries and regions and what may be normal and acceptable in one region may not be in another. The test to be applied is whether in all the circumstances the gift or hospitality is reasonable and justifiable both in the UK,RSA or any other relevant country. The intention behind the gift should always be considered.

    6. What Is Not Acceptable?

      1. It is not acceptable for any Worker (or someone on their behalf) to:

      2. give, promise to give, or offer, a payment, gift or hospitality with the expectation or hope that they or Numata will improperly be given a business advantage, or as a reward for a business advantage already improperly given;

      3. give, promise to give, or offer, a payment, gift or hospitality to a government official, agent or representative to facilitate or expedite a routine procedure;

      4. accept payment from a Third Party where it is known or suspected that it is offered or given with the expectation that the Third Party will improperly obtain a business advantage;

      5. accept a gift or hospitality from a Third Party where it is known or suspected that it is offered or provided with an expectation that a business advantage will be improperly provided by Numata in return;

      6. threaten or retaliate against another Worker who has refused to commit a bribery offence or who has raised concerns under this policy; or

      7. engage in any activity that might lead to a breach of this policy.

    7. Facilitation Payments And Kickbacks

      1. We do not make, and will not accept, facilitation payments or “kickbacks” of any kind, such as small, unofficial payments made to secure or expedite a routine government action by a government official, or payments made in return for a business favour or advantage.

    8. Charitable Donations and Sponsorship

      1. Numata only makes charitable donations and provides sponsorship that are legal and ethical under local laws and practices, and which are in accordance with Numata’s internal policies and procedures.

    9. Record Keeping

      1. We keep appropriate financial records and have appropriate internal controls in place which evidence the business reason for gifts, hospitality and payments made and received.

    10. Responsibilities and Raising Concerns

      1. The prevention, detection and reporting of bribery and other forms of corruption are the responsibility of all those working for us or under our control. All Workers are required to avoid any activity that might lead to, or suggest, a breach of this policy.

      2. Workers are required to notify Numata as soon as possible if it is believed or suspected that a conflict with this policy has occurred, or may occur in the future, or if they are offered a bribe, are asked to make one, suspect that this may happen in the future, or believe that they are a victim of another form of unlawful activity.

      3. Any employee who breaches this policy may face disciplinary action, which could result in dismissal for gross misconduct. We reserve our right to terminate our contractual relationship with non-employee Workers if they breach this policy.

      4. If any Third Party is aware of any activity by any Worker which might lead to, or suggest, a breach of this policy, they should raise their concerns with Numata’s Anti-Bribery Compliance Office, Etienne Topham, at compliance.info@numata.co

    11. Training and Communication

      1. Training on this policy is provided for all Workers and our zero-tolerance approach to bribery and corruption will, where appropriate, be communicated to clients, suppliers, contractors and business partners.

    12. Monitoring and Review

      1. Numata monitors the effectiveness and reviews the implementation of this policy at appropriate intervals, considering its suitability, adequacy and effectiveness. Any improvements identified are made as soon as possible. Internal control systems and procedures are also subject to regular review to provide assurance that they are effective in countering any risks of bribery and corruption

      2. All Workers are aware that they are responsible for the success of this policy and should ensure they use it to disclose any suspected danger or wrongdoing.

Anti-Modern Slavery Prevention and Combating of Trafficking in Persons Policy

  1. Purpose
    1. Modern slavery is a crime and a violation of fundamental human rights. It takes various forms, such as slavery, servitude, forced and compulsory labour and human trafficking, all of which have in common the deprivation of a person’s liberty by another in order to exploit them for personal or commercial gain.

    2. The Organisation has a zero-tolerance approach to modern slavery, and we are committed to acting ethically and with integrity in all our business dealings and relationships and to implementing and enforcing effective systems and controls to ensure modern slavery is not taking place anywhere in our own business or in any of our supply chains.

    3. The Organisation is also committed to ensuring there is transparency in our own business and in our approach to tackling modern slavery throughout our supply chains, consistent with our disclosure obligations under the Modern Slavery Act 2015.(UK) and the Prevention and Combating of Trafficking in Persons Act, 2013 (Act No.7 of 2013)(RSA) We expect the same high standards from all of our contractors, suppliers and other business partners. As part of our contracting processes, we include specific prohibitions against the use of forced, compulsory or trafficked labour, or anyone held in slavery or servitude, whether adults or children, and we expect that our suppliers will hold their own suppliers to the same high standards.

  2. Scope
    1. This policy applies to all persons working for the Organisation or on our behalf in any capacity, including employees at all levels, directors, officers, agency workers, seconded workers, volunteers, interns, agents, contractors, external consultants, third-party representatives and business partners. This policy does not form part of any employee's contract of employment and the Organisation may amend it at any time. This Modern Slavery (Anti-Slavery and Human Trafficking) Policy interacts with workplace policies and procedures. If you have any queries about this policy, please contact the Compliance Officer.

  3. Responsibility For Policy
    1. The Organisation has overall responsibility for ensuring this policy with senior management; and managers have day to day responsibility to ensure compliance with our legal and ethical obligation The Compliance Officer has primary and day to-day responsibility for implementing this policy, monitoring its use and effectiveness, dealing with any queries about it, and auditing internal control systems and procedures to ensure they are effective in countering modern slavery.

    2. Management at all levels are responsible for ensuring those reporting to them understand and comply with this policy and are given adequate and regular training on it and the issue of modern slavery in supply chains.

  4. Compliance with The Policy
    1. You must ensure that you read, understand and comply with this policy. The prevention, detection and reporting of modern slavery in any part of our business or supply chains is the responsibility of all those working for us or under our control. You are required to avoid any activity that might lead to, or suggest, a breach of this policy. You must notify your manager OR the Compliance Officer as soon as possible if you believe or suspect that a conflict with this policy has occurred or may occur in the future.

    2. You are encouraged to raise concerns about any issue or suspicion of modern slavery in any parts of our business or supply chains of any supplier tier at the earliest possible stage. If you believe or suspect a breach of this policy has occurred or that it may occur, you must notify your manager or the Compliance Officer or you may report it in accordance with our Whistleblowing Policy as soon as possible.

    3. If you are unsure about whether a particular act, the treatment of workers more generally, or their working conditions within any tier of our supply chains constitutes any of the various forms of modern slavery, raise it with your manager or the Compliance Officer.

    4. We aim to encourage openness and will support anyone who raises genuine concerns in good faith under this policy, even if they turn out to be mistaken.

    5. The Organisation is committed to ensuring no one suffers any detrimental treatment as a result of reporting in good faith their suspicion that modern slavery of whatever form is or may be taking place in any part of our own business or in any of our supply chains.

    6. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If you believe that you have suffered any such treatment, you should inform the Compliance Officer immediately. If the matter is not remedied, and you are an employee, you should raise it formally using the Grievance Procedure which can be found from the HR department.

  5. Communication and Awareness of This Policy
    1. Training on this policy, and on the risk our business faces from modern slavery in its supply chains, will be provided as necessary. Our zero-tolerance approach to modern slavery must be communicated to all suppliers, contractors and business partners at the outset of our business relationship with them and reinforced as appropriate thereafter.

  6. Breaches of This Policy
    1. Any employee who breaches this policy will face disciplinary action, which could result in dismissal for misconduct or gross misconduct. The Organisation may terminate our relationship with other individuals and organisations working on our behalf if they breach this policy.