Common use of COMPONENTS OF THE PLAN Clause in Contracts

COMPONENTS OF THE PLAN. The main principles of the Plan are the following:  Creating a culture which is intolerant to fraud and corruption;  Deterrence of fraud and corruption;  Preventing fraud and corruption which cannot be deterred e.g. misuse of internet, conducting private affairs during official hours, etc.;  Detection of fraud and corruption;  Investigating detected fraud and corruption;  Taking appropriate action against fraudsters and corrupt individuals, e.g. prosecution, disciplinary action, etc.; and  Applying sanctions, which include redress in respect of financial losses. The objectives of the Plan could be summarised as follows:  Encouraging a culture within Mintek where all employees, the public and other stakeholders continuously behave ethically in their dealings with, or on behalf of Mintek;  Improving accountability, efficiency and effective administration within Mintek;  Improving the application of systems, policies, procedures and regulations;  Effectively managing aspects of Mintek which could facilitate fraud and corruption and allow these to go unnoticed or unreported; and  Encouraging all employees and other stakeholders to strive towards the prevention and detection of fraud and corruption impacting or having the potential to impact on Mintek’s activities. The above is not intended to detract from the premise that all the components are equally essential for the successful realisation of the Plan. The components of the Plan for Mintek are the following: (a) The Code of Conduct and Business Ethics policy in which the management of Mintek believes, and requires their employees to subscribe; (b) Mintek’s systems, policies, procedures, rules and regulations; (c) The Disciplinary and Grievance Code; (d) Sound control environment; (e) Sound internal controls to prevent and detect fraud and corruption; (f) Physical and information security management; (g) Internal Audit; (h) Ongoing risk assessment and management, which includes systems for fraud and corruption detection; (i) Reporting and monitoring of allegations of fraud and corruption; (j) A Fraud Policy which includes the policy stance of Mintek on fraud and corruption and a response plan which incorporates steps for the reporting as well as proper resolution of reported and detected incidents and allegations of fraud and corruption; (k) Creating awareness amongst employees, the public and other stakeholders (e.g. goods and service providers) through communication and education relating to relevant components of the Plan, the Code and the Fraud Policy; and (l) Ongoing maintenance and review of the Plan to ensure effective project-management of its further implementation and maintenance. An illustration of the Plan is contained in the figure below:

COMPONENTS OF THE PLAN. The main principles of the Plan are the following:  • Creating a culture which is intolerant to fraud and corruption;  • Deterrence of fraud and corruption;  • Preventing fraud and corruption which cannot be deterred e.g. misuse miss use of internet, conducting private affairs during official hours, etc.;  • Detection of fraud and corruption;  • Investigating detected fraud and corruption;  • Taking appropriate action against fraudsters and corrupt individuals, e.g. prosecution, disciplinary action, etc.; and  • Applying sanctions, which include redress in respect of financial losses. The objectives of the Plan could be summarised as follows:  • Encouraging a culture within Mintek where all employees, the public and other stakeholders continuously behave ethically in their dealings with, or on behalf of Mintek;  • Improving accountability, efficiency and effective administration within Mintek;  • Improving the application of systems, policies, procedures and regulations;  Effectively managing • Changing aspects of Mintek which could facilitate fraud and corruption and allow these to go unnoticed or unreported; and  • Encouraging all employees and other stakeholders to strive towards toward the prevention and detection of fraud and corruption impacting or having the potential to impact on Mintek’s Mintek‟s activities. The above is not intended to detract from the premise that all the components are equally essential for the successful realisation of the Plan. The components of the Plan for Mintek are the following: (a) The A Code of Conduct and Business Ethics policy Policy in which the management of Mintek believes, and requires their employees to subscribe; (b) Mintek’s Mintek‟s systems, policies, procedures, rules and regulations; (c) The Disciplinary and Grievance Code; (d) Sound control environment; (e) Sound internal controls to prevent and detect fraud and corruption; (fe) Physical and information security management; (gf) Internal Audit; (hg) Ongoing risk assessment and management, which includes systems for fraud and corruption detection; (ih) Reporting and monitoring of allegations of fraud and corruption; (ji) A Fraud Policy which includes the policy stance of Mintek on fraud and corruption and a response plan which incorporates steps for the reporting as well as proper resolution of reported and detected incidents and allegations of fraud and corruption; (kj) Creating awareness amongst employees, the public and other stakeholders (e.g. goods and service providers) through communication and education relating to relevant components of the Plan, the Code and the Fraud Policy; and (lk) Ongoing maintenance and review of the Plan to ensure effective project-management of its further implementation and maintenance. RESPONSE PLAN An illustration of the Plan is contained in the figure below:

COMPONENTS OF THE PLAN. The main principles of the Plan are the following:  Creating a culture which is intolerant to fraud and corruption;  Deterrence of fraud and corruption;  Preventing fraud and corruption which cannot be deterred e.g. misuse of internet, conducting private affairs during official hours, etc.;  Detection of fraud and corruption;  Investigating detected fraud and corruption;  Taking appropriate action against fraudsters and corrupt individuals, e.g. prosecution, disciplinary action, etc.; and  Applying sanctions, which include redress in respect of financial losses. The objectives of the Plan could be summarised as follows:  Encouraging a culture within Mintek where all employees, the public and other stakeholders continuously behave ethically in their dealings with, or on behalf of Mintek;  Improving accountability, efficiency and effective administration within Mintek;  Improving the application of systems, policies, procedures and regulations;  Effectively managing aspects of Mintek which could facilitate fraud and corruption and allow these to go unnoticed or unreported; and  Encouraging all employees and other stakeholders to strive towards the prevention and detection of fraud and corruption impacting or having the potential to impact on Mintek’s activities;  Encouraging all employees and stakeholders to report suspicions of fraudulent activities without fear of reprisals or recriminations; and  Providing a focus point for the allocation of accountability and authority. The above is not intended to detract from the premise that all the components are equally essential for the successful realisation of the Plan. The components of the Plan for Mintek are the following: (a) The Code of Conduct and Business Ethics policy in which the management of Mintek believes, and requires their employees to subscribe; (b) Mintek’s systems, policies, procedures, rules and regulations; (c) The Disciplinary and Grievance Code; (d) Sound control environment; (e) Sound internal controls to prevent and detect fraud and corruption; (f) Physical and information security management; (g) Internal Audit; (h) Ongoing risk assessment and management, which includes systems for fraud and corruption detection; (i) Reporting and monitoring of allegations of fraud and corruption; (j) A Fraud Policy which includes the policy stance of Mintek on fraud and corruption and a response plan which incorporates steps for the reporting as well as proper resolution of reported and detected incidents and allegations of fraud and corruption; (k) Creating awareness amongst employees, the public and other stakeholders (e.g. goods and service providers) through communication and education relating to relevant components of the Plan, the Code and the Fraud Policy; and (l) Ongoing maintenance and review of the Plan to ensure effective project-management of its further implementation and maintenance. An illustration of the Plan is contained in the figure below: