University of Bradford Anti Bribery & Corruption Policy

UNIVERSITY OF BRADFORD

ANTI BRIBERY & CORRUPTION POLICY

January 2013

ANTI BRIBERY & CORRUPTION POLICY

  1. INTRODUCTION

The Bribery Act 2010 became effective on the 1st July 2011. The Bill made radical changes to existing UK legislation on bribery and corruption and applies to all UK organisations including those in the Education Sector. The University of Bradford is committed to ensuring that policies and procedures are adopted that impose a zero tolerance policy towards bribery and corruption, this policy extends to all employees/ representatives/third parties/ business partners or agents of the University.

The University of Bradford is committed to the highest standards of openness, integrity and accountability. It seeks to conduct its affairs in a responsible manner, having regard to the principles established by the Committee on Standards in Public Life, which members of staff at all levels are expected to observe. These principles include:

  • Selflessness – Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other benefits for themselves, their family or their friends.
  • Integrity – Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties.
  • Objectivity – In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit.
  • Accountability – Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.
  • Openness – Holders of public office should be as open as possible about all the decisions and actions they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands.
  • Honesty – Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.
  • Leadership -Holders of public office should promote and support these principles by leadership and example.
  1. WHAT IS BRIBERY & CORRUPTION?

The Bribery Act 2010 was introduced to update and enhance UK law on bribery including foreign bribery. It is now among the strictest legislation internationally on bribery. Notably, it introduces a new strict liability offence for organisations of failing to prevent bribery. The introduction of this new corporate criminal offence places a burden of proof on organisations to show they have adequate procedures in place to prevent bribery. Anorganisation is guilty of an offence if an ‘associated person’ carries out an act of bribery in connection with its business. A person will be ‘associated with’ the organisation where that person performs services for or on behalf of an organisation (this could include an employee, subsidiary, intermediary, agent or supplier). The Bribery Act also provides for strict penalties for active and passive bribery by individuals as well as companies.

The Bribery Act creates four prime offences:

  • Two general offences covering the offering, promising or giving of an advantage, and requesting, agreeing to receive or accepting of an advantage;
  • A discrete offence of bribery of a foreign public official; and
  • A new offence of failure by a commercial organisation to prevent a bribe being paid to obtain or retain business or a business advantage (should an offence be committed, it will be a defence that the organisation has adequate procedures in place to prevent bribery).

Bribery can be described as the receiving of an inducement for an action which is illegal, unethical or in breach of trust. Inducements can take the form of gifts, fees, rewards or other advantages. Corruption can be defined as the misuse of entrusted power for personal gain.

  1. CONSEQUENCES

Failure to comply with the Bribery Act 2010 could result in imprisonment of up to 10 years and/or unlimited fines without taking into account the severe reputational repercussions for the University or the possibility of debarment from public procurement contracts. A statutory defence to the strict liability offence of ‘failing to prevent bribery’ is the introduction of adequate internal procedures, these will include:

•The appointment of a Responsible Officer – to deal with all matters relating to bribery and corruption;

•Top level commitment – senior University management emphasise a zero tolerance policy to bribery and corruption;

•Risk Assessment – bribery and corruption risks will be fed into the University’s overall risk assessment process, with adequate controls designed to prevent and minimise such risks;

•Due Diligence - a policy which requires an appropriate level of due-diligencefor all parties to the business relationship and supply chain to the University

•Clear practical accessible enforceable policies and procedures

•Effective implementation – the organisation will be committed to its overall anti bribery programme

•Staff Training - staff in key risk areas will be trained on the prevention and detection of bribery

•Monitoring & Review – review mechanisms will be put into place to ensure effective compliance with the University’s anti bribery programme

Failure to comply or breach any sections contained within this Anti Bribery & Corruption Policy could be regarded as gross misconduct. This may result in dismissal without notice or pay in lieu of notice in accordance with University disciplinary procedures.

  1. RESPONSIBILITIES

The prevention, detection and reporting of potential bribery and corruption is the responsibility of all employees/representatives/third parties/business partners or agents of the University. Suitable channels of communication for confidential reporting can be found under Raising a Concern. Furthermore, all employees/representatives/third parties/ business partners or agents of the University operating outside of the UK must report any instances of potential bribery and corruption in line with this policy even if the potential crime is not considered in that operating country.

The University will comply with all bribery and corruption laws both in the UK and overseas including the Foreign Corrupt Practices Act (FCPA). One of the important consequences of the Bribery Act is that facilitation payments remain illegal. This policy sets out that the University of Bradford prohibit the use of facilitation payments within its zero tolerance policy to bribery and corruption.

Your responsibility in relation to preventing and detecting bribery and/or corruption is as follows:

  • To be alert to where the University may be targeted by individuals trying to offer inducements/ gifts/loans/ rewards or other inducements which may be illegal, unethical or in breach of trust. It is further a requirement of University Financial Regulations that all gifts valued in excess of £25 be declared to Finance and recorded to ensure no conflicts of interest arise.
  • To report any concerns of potential bribery and corruption to the University’s Responsible Officer
  • To conduct business in line with all appropriate University policies and procedures.
  • The University has certain obligations to report serious financial malpractice to the Higher Education Funding Council (HEFCE), please see the Code of Practice on Serious Financial Misconduct and Irregularities for further information.
  1. IMPLEMENTATION

The University is committed to a zero tolerance policy towards bribery and corruption and will periodically review its systems and processes to ensure these reflect best practice. Theanti bribery programme will include the following:

  • A Code of Conduct for employees/ representatives/third parties/ business partners or agents of the University.
  • A culture of zero tolerance towards potential bribery and corruption issues.
  • A policy relating to acceptance of Gift’s and Hospitality foremployees/ representatives/third parties/ business partners or agents of the University.
  • Accurate and timely records of all purchasing activity.
  • A reporting mechanism within the University for employees/representatives/third parties/ business partners or agents to raise concerns.
  • Periodic review and monitoring of all systems and internal controls to ensure the risk to bribery and corruption is addressed.
  • Communication of the University’s anti bribery programme to all employees/ representatives/third parties/ business partners or agents.
  1. TRAINING

All relevant staff should receive training on the requirements of the Bribery Act 2010 and how to spot and prevent potential bribery and/or corruption. They must also sign a declaration to state that they have read this Anti Bribery & Corruption Policyand understand its requirements and their responsibilities.

Any relevant staff missing the training will receive a copy of the University’s Anti Bribery & Corruption Policyand have had an opportunity to discuss any concerns or queries with the University’s Responsible Officer prior to signing the University’s declaration of compliance.

Any new relevant staff joining the University will be provided with a copy of the Anti Bribery & Corruption Policy as part of their induction process. They will also be given the opportunity to discuss any concerns or queries with the Responsible Officer prior to signing the University’s declaration of compliance. Please see Appendix 1

  1. RAISING A CONCERN

The University is committed to creating an open and honest working environment. The reporting procedures in place allow for the choice of the most appropriate route for disclosing your genuine concerns further information can be found in the University’s Public Interest Disclosure Policy (Whistlblowing)can be found at;

All routes for raising genuine concerns are open to all employees/ representatives/third parties/contractors and agents of the University.Alternatively and as a consequence of the Bribery Act 2010 the University has appointed a Responsible Officer to deal with matters relating to bribery and corruption. All concerns raised will be dealt with in the strictest of confidence:

The Financial Governance& Risk Accountant Keith Waddingham,lephone 01274 233132 in the absence of the Responsible Officer, Angela Phillips,Director of Finance 01274 , is authorised to act as Deputy.

It will be necessary for the Responsible Officer to consult with the Vice Chancellor and Deputy Vice Chancellor Planning & Resources and involve others, including Internal Auditors as appropriate to investigate any suspected cases. The Chair of Audit Committee will also be notified of any incidents at the earliest opportunity and a report will be provided to the Audit Committee.

  1. ADDITIONAL GUIDANCE

If you require any additional information or guidance in relation to the contents of this policy and your responsibilities please contact The Financial Governance & Risk Accountant – Mr Keith Waddingham, e-mail lephone 01274 233132

This policy should be read in association with the following University finance policies:

  • Financial Regulations
  • Code of Practice on Serious Financial Misconduct and Irregularities
  • Anti Money Laundering Policy
  • Gifts & Hospitality Policy
  • Purchasing Policy

For additional guidance regarding receipt of charitable contributions and sponsorship see Appendix 2

The University and its management are committed to a zero tolerance policy and will not accept any forms of bribery or corruption taking place within its organisation or representatives/third parties/ business partners or agents of the University.

Appendix 1

THE UNIVERSITY OF BRADFORD

DECLARATION OF UNDERSTANDING OF THE UNIVERSITY OF BRADFORD ANTI BRIBERY & CORRUPTION POLICY

I confirm that I have read the University’s Anti Bribery & CorruptionPolicy. I also confirm that I have understood the requirements of this Policy and my responsibility in relation to this document. I understand that if I am party to any breach of this Policy it could be regarded as gross misconduct and that this may result in my dismissal in accordance with University disciplinary procedures.

Signed ………………………………………………

Name ……………………………………………….

Position ......

Date …………………………………………

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University of Bradford Anti Bribery & Corruption Policy

Appendix 2

University of Bradford

Anti Bribery and Corruption Policy Addendum

Guidance on acceptance of Charitable Contributions and Sponsorship

This addendum should always be read in conjunction with the University’s Anti Bribery and Corruption Policy. A zero tolerance policy towards bribery and corruption is adopted by the University and there is a commitment to the highest standards of openness, integrity and accountability.

Managers should be aware of the risks associated with accepting gifts, charitable contributions and sponsorship as these may like many other types of payment be a route to bribery. It is an offence under the Bribery Act to receive an inducement for an action which is illegal, unethical or in breach of trust. Inducements can take the form of gifts, fees, rewards or other advantages. Corruption is the misuse of entrusted power for personal gain.

The University require all charitable contributions, donations and offers of sponsorship to be; managed effectively, handled in a transparent manner and be properly recorded. To this end when accepting third party contributions the following principles should be followed;

  1. Take appropriate measures to “know the person, organisation or partner” proposing to make a contribution or to sponsor the University. This means;
  2. Relevant due diligence covering, reputation, purpose for making contributions and financial viability. It is recommended basic due diligence checks are carried out through Finance (contact Anne Gallagher) on all contributors offering over £5,000 and more comprehensive checks for offers over £25,000.
  3. Understanding if foreign public officials are involved (relevant to section 6 of the Bribery Act to avoid any risk of facilitation payments)
  4. If a foundation, trust or charity is involved that actions fall within their powers (This may require a request for documentary evidence)
  5. Officers dealing with the transactions have the authority to act on behalf of the organisation (This may require a request for evidence of delegated authority)
  6. That the level of contribution offered is commensurate with the activity proposed.
  7. That we cannot accept donations in cash if these exceed £1,000.
  1. Any contribution should not give rise to a potential conflict of interest in particular if it will;
  2. Have an impact on any other material transaction.
  3. Influence a current bidding/tendering exercise.
  4. Be seen as a reward for the awarding of a contract or other benefit providedby the University.
  1. All significant contributions or sponsorship deals (generally over £25,000) should be approved by a University senior manager in accordance with other contractual requirements as specified in the Schedule of Delegation of Authority.
  1. Donations and gifts to individuals should be avoided where possible but if any gifts are received valued over £25 these should be reported to the Finance Directorate for scrutiny and recording in the register of gifts.
  1. Hospitality received as part of any sponsorship deal should be reasonable and proportionate and reported to a line manager. If there are any doubts about accepting hospitality it should be refused.
  1. Specific accounts will be established through Finance for receipt of contributions, which need to be properly receipted and the funds should only be applied for the intended purpose. These accounts will be the subject of regular review and periodic audit.
  1. Charitable donations, gifts and sponsorship deals will be openly recorded and may be subject to disclosure under the Freedom of Information Act unless the University has signed a non-disclosure agreement with the contributor. Non-disclosure will also be observed where the donor has requested this on the donation form.

Charitable contributions and sponsorship are potentially an important source ofincome for the University and should not be discouraged. Risks are however associated with these payments and managers need to be vigilant to ensure that the University knows the contributor, where the money is coming from, the purpose and that no conflicts of interest arise from accepting these payments.

KW January 2013

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