INTRODUCTION
It is the School’s policy to conduct its business in an honest and ethical manner. The School takes a zero-tolerance approach to bribery and corruption and is committed to acting professionally, fairly, and with integrity in all of its business dealings and relationships wherever the School operates.
The School will uphold all laws relevant to countering bribery and corruption including the Bribery Act 2010 (‘the Act’), in respect of its conduct both at home and abroad.
The purpose of this policy is:
(a) To set out the responsibilities of the School, and of those working for it, in observing and upholding our position on bribery and corruption; and
(b) To provide information and guidance to those working for the School on how to recognize and deal with bribery and corruption issues.
Bribery and corruption are punishable for individuals by up to ten years imprisonment and if the School is found to have taken part in corruption it could face an unlimited fine, be excluded from tendering for public contracts, and face damage to its reputation. The School, therefore, takes its legal responsibilities very seriously.
In this policy, the third party means any individual or organization you come into contact with during the course of your work for the School and includes students, external funders, customers, suppliers, distributors, business contacts, agents, advisers, and government and public bodies, including their advisors, representatives and officials, politicians and political parties.
References in this policy to obtaining written approval include obtaining approval by e-mail.
WHO IS COVERED BY THE POLICY?
This policy applies to all individuals working at all levels and grades and includes all employees (whether permanent, fixed-term, or temporary), honorary staff, consultants, contractors, trainees, seconded staff, homeworkers, casual workers and agency staff, volunteers, interns, agents, sponsors, or any other person associated with us, or any of our subsidiaries or their employees, wherever located (collectively referred to as workers in this policy), The Act applies to conduct both within and outside the UK.
WHAT IS BRIBERY?
A bribe is an inducement or reward offered, promised, or provided in order to gain any commercial, contractual, regulatory, or personal advantage. At the end of this document, there is a schedule setting out some scenarios that illustrate potential bribery.
GIFTS AND HOSPITALITY
In addition to the requirements set out below, you must register any gifts or hospitality given or received with an estimated value in excess of £100 with either your Faculty Manager or Divisional Head. The details of how to do this are set out in Paragraph 9.2 below. Further, you must obtain the written approval (which includes by e-mail) of your line manager in relation to any gifts or hospitality given or received with an estimated monetary value in excess of £500 (see paragraph 9.2 below). You may register or obtain consent on a voluntary basis in relation to gifts or hospitality below the relevant figures. Paragraph 4.5 also contains a registration requirement.
The School recognizes that the practice of the giving and receiving of business gifts or hospitality 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. The intention behind the gift or hospitality should always be considered.
Hospitality
This policy does not prohibit normal and appropriate hospitality (given and received) to or from third parties, for the purposes of establishing or maintaining good business relationships or improving or maintaining our reputation or image.
Gifts
The giving or receipt of gifts is not prohibited, if the following requirements are met:
(a) it is not made with the intention of influencing a third party 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 favors or benefits;
(b) it is given in the School’s name, not in your name;
(c) it does not include cash or a cash equivalent (such as gift certificates or vouchers);
(d) it is appropriate in the circumstances. For example, in the UK it is customary for small gifts to be given at Christmas time;
(e) taking into account the reason for the gift, it is of an appropriate type and value and given at an appropriate time; and
(f) it is given openly, not secretly.
Gifts should not be offered to, or accepted from, government officials or representatives, or politicians or political parties, without the prior approval of your manager. Any such gifts must be registered regardless of value.
WHAT IS NOT ACCEPTABLE?
It is not acceptable for you (or someone on your behalf) to:
(a) give, promise to give, or offer, a payment, gift or hospitality with the expectation or hope that either a personal or business advantage will be received, or to reward either a personal or business advantage already given;
(b) 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;
(c) accept payment from a third party that you know or suspect is offered with the expectation that it will obtain either a personal or business advantage for them;
(d) accept a gift or hospitality from a third party if you know or suspect that it is offered or provided with an expectation that either a personal or business advantage will be provided by the School in return;
(e) accept a gift or hospitality from a third party who is tendering for a contract to be awarded by the School either on its own or jointly with other parties and for a period of three months after the award of the contract;
(f) turn a blind eye to any of the above;
(g) threaten or retaliate against another worker who has refused to commit a bribery offense or who has raised concerns under this policy; or
(h) engage in any activity that might lead to a breach of this policy.
FACILITATION PAYMENTS AND KICKBACKS
The School does not make, and will not accept, facilitation payments or "kickbacks" of any kind. Facilitation payments are typically small, unofficial payments made to secure or expedite a routine government action by a government official. They are not commonly paid in the UK but are common in some other jurisdictions.
If you are asked to make a payment on the School’s behalf, you should always be mindful of what the payment is for and whether the amount requested is proportionate to the goods or services provided. You should always ask for a receipt that details the reason for the payment. If you have any suspicions, concerns, or queries regarding a payment, you should raise these with the Secretary’s Office.
All workers must avoid any activity that might lead to, or suggest, that a facilitation payment or kickback will be made or accepted by the School.
DONATIONS
We do not make any contributions to political parties.
YOUR RESPONSIBILITIES
You must ensure that you read, understand, and comply with this policy.
The prevention, detection, and reporting of bribery and other forms of corruption are the responsibility of all those working for the School or under its control. All workers are required to avoid any activity that might lead to, or suggest, a breach of this policy.
You must notify either the Secretary’s Office or follow the steps set out in the Whistleblowing Policy as soon as possible if you believe or suspect that a conflict with this policy has occurred, or may occur in the future. If you are unsure whether a particular act constitutes bribery or corruption, please contact the Secretary’s Office.
Any employee who breaches this policy will face disciplinary action, which could result in dismissal for gross misconduct. We reserve our right to terminate our contractual relationship with other workers if they breach this policy.
RECORD-KEEPING
The School must keep financial records and have appropriate internal controls in place which will evidence the business reason for making payments to third parties.
If you are required to register a gift or hospitality under this policy you must complete the Gifts and Hospitality Registration form and send it to either your Faculty Manager or Divisional Head who will maintain a Register of Gifts and Hospitality (which can consist of storing the forms electronically). You must register any gift or hospitality within 28 days. Requests to your line manager for written approval (which includes by e-mail) of gifts or hospitality must be submitted in advance where possible to allow time for a decision to be made.
You must ensure that all claims relating to hospitality and gifts and other payments to third parties are submitted in accordance with the relevant School policy and specifically record the reason for the expenditure.
All accounts, invoices, memoranda, and other documents and records relating to dealings with third parties, such as clients, suppliers, and business contacts, should be prepared and maintained with strict accuracy and completeness. No accounts must be kept "off-book" to facilitate or conceal improper payments.
- RISK ASSESSMENT AND KNOWING WHO YOU ARE DEALING WITH
The Secretary’s Office will review annually the corruption and bribery risk that the School faces.
It is also the responsibility of all workers to bring to the attention of the Secretary’s Office any potential new risk which may arise when it arises, rather than waiting to report it in the annual risk assessment.
All workers must understand who they doing business with and guidance on this issue can be obtained from the Secretary’s Office. This process is known as due diligence.
- WHAT TO DO IF YOU BECOME INVOLVED IN BRIBERY OR CORRUPTION
It is important that you inform your Head of Department as soon as possible even if you suspect that it may happen in the future.
PROTECTION
Workers who refuse to accept or offer a bribe, or those who raise concerns or report another's wrongdoing, are sometimes worried about possible repercussions. The School aims 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.
The School is committed to ensuring no one suffers any detrimental treatment as a result of refusing to take part in bribery or corruption, or because of reporting in good faith their suspicion that actual or potential bribery or other corruption offense has taken place, or may take place in the future. Detrimental treatment includes dismissal, disciplinary action, threats, or other unfavorable treatment connected with raising a concern. If you believe that you have suffered any such treatment, you should inform your Head of Department immediately.
POLICY COMMUNICATION
Our zero-tolerance approach to bribery and corruption should be communicated to all suppliers, contractors, and business partners. A standard Anti-Corruption and Bribery clause, which is available on the Anti-Corruption and Bribery web pages should be inserted into all contracts where possible, and where not, the contract should contain a clause that provides the School with the same level of protection as afforded by the standard clause unless otherwise advised by the Secretary’s Office.
WHO IS RESPONSIBLE FOR THE POLICY?
The School Council has overall responsibility for ensuring that this policy complies with our legal and ethical obligations and that all those under the School’s control comply with it.
The Secretary’s Office has primary and day-to-day responsibility for implementing this policy, for monitoring its use and effectiveness, and dealing with any queries on its interpretation.