Anti Corruption

Performance Against Goal


Performance Summary 2023

Governance and Anti-Corruption Training and Assessment

Employees of CP ALL

Communicated

87490  persons

Written/Digital Acknowledgement

87490  persons

Training Provided

87490  persons

Employees of Subsidiaries

Communicated

7544  persons

Written/Digital Acknowledgement

7544  persons

Training Provided

7544  persons

คู่ค้าลำดับที่ 1

Communicated

2242  persons

Written/Digital Acknowledgement

2242  persons

Training Provided

2242  persons

Corruption cases identified

Average corruption rate at 7-Eleven stores per year


Proportion of operations with corruption cases

7-Eleven

98.70%

Distribution Center

0%

Office

0.01%

Subsidiaries

0.92%

Grievance regarding personal data violation (if any) investigated and confirmed

Customers’ data

0  Case

Suppliers’ data

0  Case

Regulatory bodies

0  Case

Management Approach


Business Ethics and Code of Conduct

The Company has made the Business Ethics and Code of Conduct Handbook. for all levels of employees, from management to employees, as well as suppliers and contractors. They adhered as a guideline for honest work, including refutation against corruption and human rights violations. In 2O23, 1OO% of employees of CP ALL, Subsidiary, Store Business Partners and suppliers were communicated Anti-Corruption policy through the ethics handbook and code of conduct.

Management of complaints regarding business ethics violations and workplace code of conduct

"Types of complaints, suspicions, business ethics violations" All complaints received from employees and/or stakeholders Corruption cases Investigated and confirmed Disciplinary punishment measures Remediation (if applicable)
Verbal warning Warning in writing Work suspension Lay off
Corruption
897
868
1
1
2
864
0
Corruption and bribery
2
2
0
0
0
2
0
Trade competition and trade monopoly
0
0
0
0
0
0
0
Not following regulations or have inappropriate behavior
192
177
13
158
2
4
0
Collection, usage, and/or disclosure of personal information
0
0
0
0
0
0
0
Human rights
0
0
0
0
0
0
0
Money laundering or insider trading 0 0 0 0 0 0 0

Create a work culture in compliance with laws, rules, and regulations

The Company has established a law office for Marketing and Distribution Business, by having Legal and Compliance department as a part of the law office. The office is responsible for regularly studying and researching new legal announcements, as well as monitoring new laws passed weekly at ministerial meetings. This information is then communicated to relevant departments for consideration every month. Additionally, the law office creates mechanisms for legal compliance, regulations, and ordinances through legal consultation and opinions provided to various departments. It also assesses risk processes, conducts legal compliance checks, and provides regulations and ordinances to high-risk departments.

In 2O23, the Company developed policies for legal compliance and Charter of the Compliance Department, reviewing and updating the Company's important legal registry. Training sessions were conducted to provide knowledge on competition law and trade practices to procurement, marketing, product management, Office of Government Coordination, Law Office, Audit Bureau, and employees of the Company and its subsidiaries who are interested. A total of 618 employees attended these training sessions. Additionally, intellectual property law training was provided to employees of the Panyapiwat Institute of Management (PIM): 6O employees participated in the session. Furthermore, training on the standards of the Halal trademark was conducted for operational staff, with 8,4OO employees attending. These initiatives aimed to ensure that employees understand the Company's key legal aspects, and that they are aware of legal risks in the case of non-compliant, and thus can implement legal requirements accurately in their work.

Furthermore, to enhance the efficiency of legal screening and monitoring for implementation, the Company is currently developing the IT system (Compliance Universe System) and applications. These will serve as platforms for collecting and filtering relevant laws for each department in CP ALL and its subsidiaries. This also includes developing governance mechanisms and a system for inspecting and reporting to ensure compliance with the law for each department of the Company and its subsidiaries.

Communicate, Educate, Campaign, and Raise Awareness

The Company builds awareness of ethical conduct and sustainability practices through communication with employees at all levels, from management to employees in both office and operations lines, including companies within the CP Group. This ensures that the organization's business operations align with the corporate governance mantra of "integrity, transparency, fairness, and caring for community, society, and the environment." Additionally, the Company creates proactive media campaigns to educate target groups through various offline and online channels.

  • Knowledge review and learning assessment test, CG Quiz for employees at all levels
  • Posters in the office and 7-Eleven stores
  • Communication videos and training “Ready to be a pillar, standing strong with the public and the communities”
  • “CP ALL People” Facebook Page
  • Public relations information on emails and LINE application
  • Installation of Tent Cards about "Channels for Reporting Concerns and Complaints" in all offices within the business
  • Videos communicating about corporate governance
  • Conducting awareness campaigns to communicate the corporate governance mantra and creating a protective environment for employee safety
  • Establishment of the "Mister & Miss Good Governance" program to cultivate new ethical leaders, serving as ambassadors to exemplify good practices to colleagues, promoting understanding and serving as role models for future conduct. This includes job shadowing to provide operational guidance, fostering sustainable corporate governance, and sharing knowledge with all selected representatives.

In 2O23, a DNA of Goodness 24 hours initiative was created, which acknowledges employees who perform commendable deeds such as helping to improve society, impressing customers, and assisting communities, such as providing basic medical care or firefighting support, as well as returning money or valuable goods to customers. Employees recognized for their good deeds shall receive ALL Member points. In 2O23, a total of 74 employees received awards, valued at 41,5OO Baht each.

In 2O23, training were organized for 94,569 employees across the country. Furthermore, the Company conducted an assessment to evaluate all levels of employees’ governance and Anti-Corruption understanding of CP ALL business group. 1OO% of employees have demonstrated comprehension and understanding.

Additionally, the Company received the ANTI-CORRUPTION AWARDS 2O23, which promotes anti-corruption and corporate governance for 2O23, organized by the Association of correspondents for Anti-Corruption (Thailand), to honor, commend, and encourage organizations, agencies, individuals, and the media who adhere to corporate governance principles and perform their duties with transparency,
honesty, and integrity.

Management of complaints and corruption cases

The Company has established a policy for whistle blowing and the protection of whistleblowers (Whistleblowing Policy), along with establishing channels for reporting information or complaints related to fraud or unethical behavior within the organization. The channels for receiving complaints are as follows:

Whistleblowing Channels

Telephone Numbers

02 826 7744

Receiver:

Call Service

Telephone Numbers

02 071 2770 / FAX Number 02 071 8623

Receiver:

Internal Audit Division

Postal Address

Audit Committee, CP ALL Plc. 119, 16th floor, Thara Sathorn Bldg., Sathorn 5, South Sathorn Rd., Maha Mek, Sathorn, Bangkok 10120

Receiver:

Internal Audit Division

Email

AuditCommittee@cpall.co.th
CGcommittee@cpall.co.th
BOD@cpall.co.th

Receiver:

1. Audit Committee
2. Sustainability and Corporate Governance Committee
3. Board of Directors

Company's Online

www.cpall.co.th/whistleblowing or www.facebook.com/CPALL7 (Inbox)
Application for Employees
CP ALL Connect>More>Portal>Whistleblowing

Receiver:

Corporate Communications Management Division
Receiver:
Internal Audit Division

Upon receiving reports of misconduct or allegations of wrongdoing through various channels, the Company’s Audit Office or Human Resources department shall conduct preliminary investigations transparently and fairly. Only individuals responsible for investigating the specific complaint will have access to the information. If the complaint is found to be valid, a committee will be appointed to further investigate. If wrongdoing is confirmed, the Company's prescribed disciplinary measures will be enforced, and the findings will be reported to the Company's Board of Directors. Furthermore, to prevent recurrence of an incident, the Company conducts reviews and implements additional measures to enhance regular work processes and communicates these to stakeholders for future compliance. In 2O23, all complaints were thoroughly investigated and resolved without any outstanding issues. Among these, there were cases where actual misconduct was found, totaling 87O cases, resulting in total damages of 35.79 million Baht to the Company.

Handling complaints of corruption cases in 2O23

Total number of complaints and whistleblowing of wrongdoing (cases) Audit status The number of cases reviewed and completed, and found to be guilty of corruption (cases) Establishing measures to prevent recurrence
Under investigation Completed In Process Completed
899
9
890
870
0
870

Breach Type (Cases) 2020 2021 2022 2023 Measures of Penalty
Verbal warning Warning in writing Work suspension Lay off
Conflict of interests
0
0
0
0
0
0
0
0
Corruption in reports (document forgery and fraud)
5
7
6
13
0
0
2
11
Embezzlement
404
427
803
855
1
1
0
853
Corruption
0
0
0
2
0
0
0
2

Examples of Corrective Actions and Measures against Recurrence

Corruption, in the case of embezzlement at 7-Eleven stores’ operations

Supervision to ensure that employees correctly follow the specified procedures Communicating and raising awareness among 7-Eleven store employees: Mechanisms for monitoring and inspection:
  • Set up corruption reduction target for 7-Eleven stores’ operation line
  • Appoint a corruption prevention committee for 7-Eleven stores’ operation line
  • Review the reg u lation s and guidelines regarding the sales of the store's products
  • Improve work standards of 7-Eleven stores, such as financial transactions of employees
  • Improving standards for inspecting store quality systems, such as cash verification by Field Consultants, monitoring cash register usage, inspecting employee personal financial transactions, and conducting immediate cash counts upon store arrival
  • Updating the identity verification standard by implementing TwoFactor Authentication (2FA) using One-Time Passwords (OTP) along with the User ID to enhance the security level of accessing operational systems. For example, when changing the password for Mobile POS, adding a step to send the OTP (One Time Password) to the personal mobile number of the employee who owns the User ID for identity confirmation, along with the national ID number and other personal information
  • Following up on the outcomes of corruption cases at monthly senior executives meeting
  • Communicate business ethics and code of conduct in meetings of 7-Eleven stores' operation line of each area quarterly, as well as communication through the poster "Gigi wants to say.”
  • Communicate and emphasize that employees at all levels should strictly comply with the policy and guidelines
  • Organize training and education representatives of 7-Eleven’s operation line representatives through the project Mister & Miss Good Governance
  • Having an emphasis on store managers the importance of keeping employee records up to date in the system and count cash at every branch and at every point. money storage. If any discrepancies are found, promptly investigate the cause, and inform superiors
  • Organizing meetings to promote positive attitudes toward life and work for employees and caution against common pitfalls
  • Supervisors monitor/examine employees' work regularly, such as: 1. Random cash counts at branch stores without prior notice. 2. Reviewing wage reimbursement by comparing the store branch's task roster with the work performance certificates in the system
  • Develop the transaction notification system through Alert Banking Agent to categorize those performing transactions, unusual accounting items, or suspicious items through the counter service channel, enabling faster identification of abno rmal cases and damage prevention
  • Set up a monitoring system and a lock system preventing employees from doing Banking Agent transactions in the stores where they work
  • Develop an alert system for sales in all channels (Offline/Delivery/All Online) through the website “Buddy” to monitor and close the sale of the stores with abnormal transactions

  • Develop alert notification systems and inspect abnormal money top-up and payments through the 7 Delivery app and Mobile POS. Examples are the cases of riders with high top-up frequency and amounts in TMW or customers requesting cash payments but paying via TMW
  • Increase operation measures when it is found that sales do not comply with regulations
  • Develop a system to control and monitor product orders to prevent products from being
  • Monitor abnormalities in sales cancellation transactions (voided receipts)
  • Implement control systems to monitor sales during promotional periods, such as generating reports on irregular sales transactions during stamp promotions and notify supervisors to inspect branch store sales
  • Enhance data storage systems by managing additional logs when processing product sales via Mobile OS, including device information, location, and MAC address
  • Develop a device verification system (Mobile POS) to comply with the Company security standards; transactions will not be allowed if the device is not registered with the Company
  • Conduct inventory audits by the accounting team to ensure the completeness and accuracy of store products
  • Follow up operations through CCTV cameras in an online format
  • Inspection of the store quality system by the store quality system inspection unit

Related Policy and Guideline

Anti-Corruption PolicyDownload
Anti-Corruption ProceduresDownload
Gift and Hospitality ProceduresDownload
Charitable Contribution ProceduesDownload
Sponsorship ProceduresDownload
Whistleblowing PolicyDownload
Anti-Money Laundering PolicyDownload
Anti-Corruption Regulatory Violation GuidelineDownload

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