Bribery Prevention Policy

BRIBERY PREVENTION POLICY

(INCLUDING GIFTS AND HOSPITALITY POLICYAND PROCEDURES)

FINANCE AND PLANNING SERVICE

NB. This policy is available on the University of Cumbria website and it should be noted that any printed copies are uncontrolled and cannot be guaranteed to constitute the current version of the policy.

POLICY SCHEDULE
Policy title / Bribery Prevention Policy
Policy owner / Director of Finance and Resources
Policy lead contact / Deputy Director of Finance and Planning
Approving body / Audit and Risk Committee
Date of approval / 9 March 2017
Date of implementation / 1 May 2017
Version no. / 3
Related Guidelines, Procedures, Codes of Practice etc. / UoC Financial Regulations, UoC Counter Fraud Policy, HEFCE Memorandum of Assurance and Accountability
Review interval / Three yearly

Introduction

The University requires all individuals acting on its behalf to conduct business fairly, honestly and professionally. The University is committed to the prevention of bribery and does not tolerate bribery, corruption, fraud or dishonesty in any of its activities.

The University is committed to abide by all legislation relevant to the prevention of bribery and corruption in all nation states in which it operates, and is bound by the Bribery Act in respect of its conduct both in the UK and overseas.

The University takes its responsibility to prevent bribery under the Bribery Act seriously. This Policy is part of its approach to ensuring that there are“adequate procedures” in place to prevent bribery.

This Policy applies to all staff of the University, its Board of Directors and all individuals, including overseas agents, who act on its behalf.

Related Policies

This document should be read in conjunction with the following University Policies:

• Financial Regulations;

• Counter-fraud Policy and Response Plan;

• Student Code of Conduct

• Disciplinary Policy and Procedures; and

• Policy on Public Interest Disclosure (Whistleblowing).

What is Bribery?

Bribery is defined within the 2010 Bribery Act (“the Act”) as:

“offering, promising or giving of financial or other advantage with the intention of inducing a person to carry out their business improperly in breach of what a reasonable person would expect”.

Examples of briberyinclude:

• Potentialsuppliers offering cash payments, excessive hospitality or lavish gifts to staff in return for contracts being unfairly awarded.

• Payments being offered in return for a student receiving favourable assessment marks that they did not merit.

• Cash payments being made, in addition to legal requirements, to overseas officials in order to secure partnerships or opportunities to recruit students.

• Agents offering potential students cash in order to persuade them to apply to the University.

• Staff being offered personal discounts in return for treating a supplier or customer favourably.

The Act makes offering or receiving these or any other form ofbribes illegal.

Risk Management

The risk or perception of bribery taking place must be assessed by Departments and Services as part of their approach to risk management. Appropriate mitigation measures must be put in place where risks are identified.

In addition, Departments and Services must assess specific business transactions where there may be particular risks, for instance, where third parties are acting on behalf of the University or where they are dealing with individuals or organisations located in areas where corruption is relatively prevalent.

An assessment of the risk of bribery must form an element of the due diligence undertaken when consideration is being given to entering into a business or academic partnership or new contracts, acknowledging that such due diligence should be proportionate.

As part of proactive mitigation of the risks of bribery, the Director of Finance and Resources will ensure that staff are aware of this Policy and the key principles and procedures contained within it. Awareness raising and training sessions will be held periodically and will be prioritised in areas of higher risk. Records of attendance at these sessions will be retained.

Some areas of operation have a higher inherent risk of encountering attempted bribery. Therefore, in addition to the declarations required for specific offers and acceptances of gifts and hospitality, an annual statement of compliance will be required from those with responsibilities in these areas including UEG members and their immediate reports. The Director of Finance and Resources will assess the risk annually and will identify the areas from which such statements are required. The statements will confirm that they are unaware of any offers or incidents beyond what is recorded in the declarations and that they are comfortable that staff are aware of the policy and the associated risks.

In order to provide assurance to the Board of Directors and management that controls are in place and are effective, the University’s internal auditors will review controls related to counter-fraud, bribery and corruption as part of their cyclical audit plan. Specific reviews of these areas may be commissioned at any point in order to provide additional assurance.

Gifts and hospitality

The Bribery Act does not criminalise the offer or acceptance of gifts and hospitality. There are circumstances, in the course of normal business, where the offer or acceptance of gifts or hospitality is appropriate, or indeed where not doing so may cause offence or be detrimental to the University's interests.

In the context of the Act, however, the giving or receiving of certain gifts or hospitality mayplace staff and others acting on its behalf into situations that may lay them open to accusations of bribery.

This section of the Policy sets out a series of guidelines and principles to ensure that staff and those acting on the University’s behalf do not put themselves in a position where their integrity might be called into question or the University's reputation might be damaged.

Key questions and principles

When considering whether to accept or offer gifts or hospitality, the following questions must be asked and the principles set out followed. There may be instances when an individual remains unsure about the best course of action. If in any doubt, advice should be sought from a line manager or from the Deputy Director of Finance and Planning.

Is it proportionate?

Gifts and hospitality must be reasonable and proportionate, both in frequency and scale, to the nature of the relationship. They must not exceed normal business courtesy. They must be offered or accepted for the primary purpose of better presenting the University or establishing cordial relationships with business partners.

Why is it being offered?

Consider the reasons behind the offer. Could the gift or hospitality be anything other than a simple “thank you” or the type of arrangement that is an incidental part of the normal conduct of business?

Gifts and hospitality should not be offered with the intention of influencing a decision. Neither should they be received if it is suspected that it is intended to influence the University’s judgement or decision.

Are there ongoing or forthcoming procurement or contract negotiations?

Care must be taken in the receipt of a gift or hospitality from an individual or organisation that hopes to, or has the potential to, have a business relationship with the University.

Gifts and hospitality must not be offered or accepted during procurement exercises, student assessments, award submissions, research bid processes or other decision-making processes.

Would you feel obliged to act differently as a result of the gift or hospitality?

Staff, or those acting on behalf of the University, must not accept gifts, hospitality or other possible inducements from anyone that would, or might appear to, place them under an obligation.

How is it being offered?

Gifts and hospitality that are part of normal business courtesy will usually be offered openly. If there is any secrecy, this may be an indication that the gift or hospitality should not be accepted. When the University offers gifts or hospitality, they must be provided in an open way.

How might it look to others?

Even if there is no obvious attempt to unduly influence someone, how might the offer or acceptance be perceived?

Does it represent good value for money?

The offer of gifts and corporate hospitality should have a demonstrable link to the work of the University and represent good value for money.

Is it in line with the University’s objectives or values?

The offering or acceptance of gifts or hospitality must not conflict with the University’s objectives or values.

Accepting or offering gifts or hospitality

If, after considering the questions and principles and seeking any advice necessary, it is decided to accept or offer gifts or hospitality, the following guidelines and procedures apply.

Accepting gifts:

Gifts of cash, vouchers or trade discounts must never be accepted by a staff member or someone acting on the University’s behalf.

It is acceptable to accept low value (under £30) gifts such as pens, calendars and mugs, flowers and chocolates without prior approval and without making a declaration.

Gifts of a higher value (over £30) require prior approval by a staff member’sline manager before acceptance. If accepted, such gifts should not usually be retained by an individual staff member and should become the University’s property either for retention or alternative distribution.

Whether accepted or declined, a declaration of such gifts must be made. If accepted, how the gift has been used should be stated.

The Registrar and Secretary will review any cash donations to the University before acceptance in line with this Policy and other Policies and relevant legislation.

Accepting hospitality:

Unless it may be perceived as a possible inducement, normal courtesies of meetings, training courses and conferences including tea, coffee, soft drinks, biscuits, working lunches (e.g. sandwiches and buffet food) and evening meals at conferences can be accepted without a declaration. Similarly, accommodation and entertainment provided as part of a conference or training course where attendance has been paid for by the University may be accepted provided it is proportionate.

Modest hospitality (of up to £30 per person), may be received without prior approval and without making a declaration.

Hospitality over £30 per person in value must be approved beforehand by a staff member’s line manager. Whether accepted or declined, a declaration of such hospitality must be made.

Offering gifts:

Low value token or promotional gifts such as pens, calendars and mugs may be offered by the University without prior approval.

Cash must never be offered as a gift.

Gifts to staff should not be funded by the University except where part of an approved scheme such as Long Service Awards.

Prior to purchase, the approval of a UEG memberor, for members of UEG, the Vice-Chancellor, is required for all gifts of giftcards or vouchers,all gifts intended for a foreign public official, and all individual gifts with a value of over £30.

Offering hospitality

Normal courtesies of meetings, training courses and conferences, as set out above, may be offered without prior approval.

Prior to purchase, the approval of a UEG member or, for members of UEG, the Vice-Chancellor, is required forall hospitality all hospitality over the value of £30 per person and, irrespective of value, hospitality intended for a foreign public official.

Record Keeping

Where approvalor a declaration is required, as set out above, the form available on StaffNet at be completed and returned to the Deputy Director of Finance and Resources. A register will be maintained by the Finance and Planning Service.

Declining Gifts

In the rare circumstances where declining the gift or hospitality is likely to cause major offence (e.g. gifts from foreign dignitaries or religious leaders), the staff member or person acting on the University’s behalf should speak to their line manager or seek advice from the Deputy Director of Finance and Planning. If it is decided to accept such a gift, the details must be recorded in the Gifts and Hospitality Register.

Reporting Inappropriate Behaviour

In order to ensure that the University effectively tackles bribery and corruption, it is vital that staff raise any concerns that they may have in this area.

If staff are approached by individuals or organisations with the offer of reward for providing them with favourable service such as the awarding of a contract, this must be reported. Similarly, if staff are suspicious of the relationships between a colleague or manager and a third party such as a supplier or a customer, this should also be reported.

Any such suspicions will be treated seriously and should be made according to the process set out in the Policy on Public Interest Disclosure (Whistleblowing) Policy.

If a case of inappropriate solicitation or receipt of gifts or hospitality is proven, staff will face the sanctions set out in the Disciplinary Policy and they may face prosecution.

Any such cases will be reported to the Audit and Risk Committee in line with the Policy on Public Interest Disclosure (Whistleblowing) Policy and the Counter Fraud Policy and Response Plan.

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