ANTI-BRIBERY POLICY. Reviewed by: Finance and General Purposes Committee Approved: February 2017 Next review date: February 2021

Transcription

1 ANTI-BRIBERY POLICY Reviewed by: Finance and General Purpses Cmmittee Apprved: February 2017 Next review date: February 2021

2 Cntents Intrductin 1 Scpe 1-2 Public Service Values 2-3 Plicy 3-5 Definitins 5-6 Raising Cncerns 6 Rles and respnsibilities 6-9 External Cmmunicatins 9 Appendix A Summary f the Bribery Act

3 1. Intrductin 1.1 This dcument sets ut West Nrflk Academies Trust plicy and advice t emplyees in dealing with bribery r suspected bribery. This plicy details the arrangements made by West Nrflk Academies Trust fr such cncerns t be raised by emplyees r members f the public. 1.2 The Bribery Act 2010 intrduces a new, clearer regime fr tackling bribery that will apply t all businesses based r perating in the UK. It cvers all srts f bribery, the ffering and receiving f a bribe, directly r indirectly, whether r nt it invlves a public fficial, in the UK r abrad. There are ffences by individuals (and a crprate ffence fr crprates and partnerships), and penalties fr nn-cmpliance are serius. 1.3 Bribery is a criminal ffence fr bth individuals and cmmercial rganisatins and can be punished with imprisnment f up t 10 years r unlimited fines. If any emplyee was accused f bribery, West Nrflk Academies Trust reputatin might be damaged cnsiderably, and subsequent enfrcement actin will be time-cnsuming and hinder West Nrflk Academies Trust frm fcussing n its cre business and service delivery. 1.4 It therefre is the plicy f the Trust t prhibit any frm f bribery cvered by the Bribery Act The plicy applies t West Nrflk Academies Trust and all its emplyees, independent f their grade and psitin, and shall be respected at all times. 1.5 This dcument sets ut West Nrflk Academies Trust plicy fr dealing with detected r suspected bribery and crruptin. 2. Scpe 2.1 This plicy relates t all frms f bribery and is intended t prvide directin and help t emplyees wh may identify suspected bribery. The verall aims f this plicy are t: imprve the knwledge and understanding f everyne in West Nrflk Academies Trust, irrespective f their psitin, abut the risk f bribery within the rganisatin and its unacceptability assist in prmting a climate f penness and a culture and envirnment where staff feel able t raise cncerns sensibly and respnsibly set ut the Trusts respnsibilities in terms f the deterrence, preventin, detectin and investigatin f bribery and crruptin ensure the apprpriate sanctins are cnsidered fllwing an investigatin, which may include any r all f the fllwing: criminal prsecutin civil prceedings internal / external disciplinary actin(including prfessinal / regulatry bdies) 1

4 2.2 This plicy applies t all emplyees f West Nrflk Academies Trust, regardless f psitin held, as well as cnsultants, vendrs, cntractrs, and / r any ther parties wh have a business relatinship with the Trust. It will be brught t the attentin f all emplyees and frm part f the inductin prcess fr new staff. It is incumbent n all f the abve t reprt any cncerns they may have cncerning bribery. 2.3 In implementing this plicy, managers must ensure that all staff are treated fairly and within the prvisins and spirit f the Trust s Equal Opprtunities Plicy. Special attentin shuld be paid t ensuring the plicy is understd where there may be barriers t understanding caused by the individual s circumstances, where the individual s literacy r use f English is weak, r where the individual has little experience f wrking life. 3. Public Service Values 3.1 The three fundamental public service values are: Accuntability Everything dne by thse wh wrk in the Trust must be able t stand the tests f parliamentary scrutiny, public judgements n prperty and prfessinal cdes f cnduct. Prbity Abslute hnesty and integrity shuld be exercised in dealing with assets, emplyees, suppliers and custmers. Openness The Trusts actins shuld be sufficiently public and transparent t prmte cnfidence between the Trusts, ur emplyees and the public. 3.2 In additin, all thse wh wrk fr r are in cntract with the Trust shuld exercise the fllwing when undertaking their duties: Selflessness.shuld take decisins slely in terms f the public interest. They shuld nt d s in rder t gain financial r ther material benefits fr themselves, their family r their friends Integrity.shuld nt place themselves under any financial r ther bligatin t utside individuals r rganisatins that might influence them in the perfrmance f their fficial duties Objectivity.shuld, in carrying ut public nsiness (including making public appintments, awarding cntracts r recmmending individuals fr rewards and benefits) make chices n merit 2

5 Accuntability.are accuntable fr their decisins and actins t the public and must submit themselves t whatever scrutiny is apprpriate t their ffice Openness.shuld be as pen as pssible abut all the decisins and actins that they take. They shuld give reasns fr their decisins and restrict infrmatin nly when the wider public interest demands Hnesty.have a duty t declare any private interest relating t their public duties and t take steps t reslve any cnflicts arising in a way that prtects the public interest Leadership.shuld prmte and supprt these principles by leadership and example 4. Plicy 4.1 All emplyees have a persnal respnsibility t prtect the Trust frm bribery r crruptin. 4.2 The Trust is abslutely cmmitted t maintaining an hnest, pen and well-intentined atmsphere, s as t best fulfil its bjectives. It is, therefre, als cmmitted t the eliminatin f bribery, t the rigrus investigatin f any such allegatins and t taking apprpriate actin against wrng ders, including pssible criminal prsecutin. 4.3 Off-the-bk accunts and false r deceptive bking entries are strictly prhibited. All gifts, payments r any ther cntributin made under the Anti-Bribery Plicy and these guidelines, whether in cash r in kind, shall be dcumented, regularly reviewed, and prperly accunted fr n the bks f the Trust. Recrd retentin and archival plicy must be cnsistent with the Trusts accunting standards, tax and ther applicable laws and regulatins. 4.4 The Trust prcures gds and services ethically and transparently with the quality, price and value fr mney determining the successful supplier / cntractr, nt by receiving (r ffering) imprper benefits. The Trust will nt engage in any frm f bribery, neither in the UK nr abrad. The Trust and all emplyees, independent f their grade and psitin, shall at all times cmply with the Bribery Act 2010 and with this plicy. 4.5 The Trust s emplyees will nt request r receive a bribe frm anybdy, nr imply that such an act might be cnsidered. This means that yu will nt agree t receive r accept a financial r ther advantage frm a frmer, current r future client, business partner, cntractr r supplier r any ther persn as an incentive r reward t perfrm imprperly yur functin r activities. 4.6 Bribing anybdy is abslutely prhibited. The Trust s emplyees will nt pay a bribe t anybdy. This means that yu will nt ffer, prmise, reward in any way r give a financial r ther advantage t any persn in rder t induce that persn t perfrm his / her functin r activities imprperly. 3

6 4.7 The Trust may, in certain circumstances, be held respnsible fr acts f bribery cmmitted by intermediaries acting n its behalf such as subsidiaries, clients, business partners, cntractrs, suppliers, agents, advisrs, cnsultants r ther third parties. The use f intermediaries fr the purpse f cmmitting acts f bribery is prhibited. 4.8 All intermediaries shall be selected with care, and all agreements with intermediaries shall be cncluded under terms that are in line with this plicy. The Trust will cntractually require its agents and ther intermediaries t cmply with the Anti-Bribery Plicy and t keep prper bks and recrds available fr inspectin by the Trust s, auditrs r investigating authrities. Agreements with agents and ther intermediaries shall at all times prvide fr the necessary cntractual mechanisms t enfrce cmpliance with the Anti-Bribery regime. The Trust s will mnitr perfrmance and, in case f nn-cmpliance, require the crrectin f deficiencies, apply sanctins, r eventually terminate the agreement even if this may result in a lss f business. 4.9 All emplyees shuld be aware that bribery will nrmally, dependant upn the circumstances f the case, be regarded as grss miscnduct thus warranting summary dismissal withut previus warnings. Hwever, n such actin will be taken befre a prper investigatin and a disciplinary hearing have taken place. Such actins may be in additin t the pssibility f criminal prsecutin. 5. Facilitatin Payments 5.1 Facilitatin payments are small payments made t secure r expedite the perfrmance f a rutine actin by a gvernment fficial r agency (e.g. issuing licenses r permits, installatin f a telephne line, prcessing gds thrugh custms, etc.) t which the payer (r the cmpany) has legal r ther entitlement. 5.2 Facilitatin payments are prhibited under the Bribery Act like any ther frm f bribe. They shall nt be given by the Trust r the Trust s emplyees in the UK r any ther cuntry. 6. Gifts and Hspitality 6.1 Curtesy gifts and hspitality must nt be given r received in return fr services prvided r t btain r retain business but shall be handled penly and uncnditinally as a gesture f esteem and gdwill nly. Gifts and hspitality shall always be f symblic value, apprpriate and prprtinate in the circumstances, and cnsistent with lcal custms and practices. They shall nt be made in cash. (Please refer t the Trust s Gifts and Hspitality plicy and register fr mre guidance). 7. Plitical and Charitable Cntributins 7.1 West Nrflk Academies Trust des nt make any cntributins t pliticians, plitical parties r electin campaigns. 4

7 7.2 As a respnsible member f sciety, the Trust may make charitable dnatins. Hwever, these payments shall nt be prvided t any rganisatin upn suggestin f any persn f the public r private sectr in rder t induce that persn t perfrm imprperly the functin r activities which he r she is expected t perfrm in gd faith, impartially r in a psitin f trust r t reward that persn fr the imprper perfrmance f such functin r activities. 7.3 Any dnatins and cntributins must be ethical and transparent. The recipient s identity and planned use f the dnatin must be clear, and the reasn and purpse fr the dnatin must be justifiable and dcumented. All charitable dnatins will be publicly disclsed. 7.4 Dnatins t individuals and fr-prfit rganisatins and dnatins paid t private accunts are incmpatible with the Trust s ethical standards and are prhibited. 8. Spnsring 8.1 Spnsring means any cntributin in mney r in kind by the Trust s twards an event rganised by a third party in return fr the pprtunity raise Trust s prfile. All spnsring cntributins must be transparent, pursuant t a written agreement, fr legitimate business purpses, and prprtinate t the cnsideratin ffered by the event hst. They may nt be made twards events rganised by individuals r rganisatins that have gals incmpatible with the Trust s ethical standards r that wuld damage the Trust s reputatin. All spnsrships will be publicly disclsed. 8.2 Where cmmercial spnsrship is used t fund the Trust s training events, training materials and general meetings, the spnsrship must be transparent, pursuant t a written agreement, fr legitimate business purpses, and prprtinate t the ccasin. When meetings are spnsred by external surces, then that fact must be disclsed in the papers relating t the meeting and in any published minutes / prceedings. 8.3 Where spnsrship links t the develpment f guidelines and advice, this shuld be carried ut in cnsultatin with the Principal in cnjunctin with the apprpriate Trust s wrking grup independent f the spnsrs. While it is recgnised that cnsultatin with the industry may be necessary when develping a guideline, the verall decisin n what is included shuld lie with the Trust s wrking grup. 9. Definitins 9.1 Definitins fr bribery and crruptin vary. Sme cmmn definitins are: Bribery Inducement fr an actin which is illegal, unethical r a breach f trust. Inducements can take the frm f gifts, lans, fees, rewards r ther advantages. Appendix A is a summary f the Bribery Act

8 Crruptin This can be bradly defined as the ffering r acceptance f inducements, gifts, favurs, payment r benefit-in-kind which may influence the actin f any persn. Crruptin des nt always result in a lss. The crrupt persn may nt benefit directly frm their deeds; hwever, they may be unreasnably using their psitin t give sme advantage t anther. It is a cmmn law ffence f crruptin t bribe the hlder f a public ffice and it is similarly an ffence fr the ffice hlder t accept a bribe. 9.3 West Nrflk Academies Trust has prcedures in place that reduce the likelihd f bribery ccurring. These include Financial Regulatins, dcumented prcedures, a system f internal cntrl (including Internal and External Audit) and a system f risk assessment. 10. Raising Cncerns 10.1 The Trust wishes t encurage anyne having reasnable suspicins f bribery t reprt them. The Trust s plicy, which will be rigrusly enfrced, is that n individual will suffer any detrimental treatment as a result f reprting reasnably held suspicins. The Public Interest Disclsure Act 1998 came int frce in July 1999 and gives statutry prtectin, within defined parameters, t staff that make disclsures abut a range f subjects, including bribery and crruptin, which they believe t be happening within the rganisatin emplying them. Within this cntext, reasnably held means suspicins ther than thse which are raised maliciusly and are subsequently fund t be grundless Any unfunded r malicius allegatins will be subject t a full investigatin and apprpriate disciplinary actin West Nrflk Academies Trust expects anyne having reasnable suspicins f bribery t reprt them t the Finance Directr wh will then ensure that prcedures are fllwed. Cncerns can als be raised thrugh the Trust s Whistleblwing Plicy. 11. Rles and Respnsibilities The Bard The Bard has a duty t ensure that it prvides a secure envirnment in which t wrk, and ne where peple are cnfident t raise cncerns withut wrrying that it will reflect badly n them. This extends t ensuring that staff feel prtected when carrying ut their fficial duties and are nt placed in a vulnerable psitin. If staff have cncerns abut any prcedures r prcesses that they are asked t be invlved in, the Trust has a duty t ensure that thse cncerns are listened t and addressed. The Bard will be liable t be called t accunt fr failing t prevent bribery. West Nrflk Academies Trust therefre has a duty t ensure emplyees receive adequate training and supprt in rder t carry ut their respnsibilities. 6

9 Emplyees Fr the purpses f this plicy, Emplyees include West Nrflk Academies Trust staff, Trustees (including C-Opted Members) and Gvernrs. It is expected that: Gvernrs and staff at all levels will lead by example in acting with the utmst integrity and ensuring adherence t all relevant regulatins, plicies and prcedures. Emplyees must act in accrdance with the Trust s Gifts and Hspitality and Declaratin f Interest Plicies which include guidance n the receipt f gifts r hspitality. Emplyees wh are invlved in receiving ffers f spnsrship, funding r gifts frm utside agencies als shuld cmply with their wn prfessinal cdes f practice. Prfessinal staff must als make themselves aware f their wn prfessinal bdy cdes f cnduct. Managers Line managers at all levels have a respnsibility t ensure that an adequate system f internal cntrl exists within their areas f respnsibility and that cntrls perate effectively. The respnsibility fr the preventin and detectin f bribery therefre primarily rests with managers but requires the c-peratin f all emplyees. As part f that respnsibility, line managers need t: Infrm staff f the Trust s cde f gifts and hspitality, declaratin f interest and cunter fraud and Anti-Bribery plicies as part f their inductin prcess, paying particular attentin t the need fr accurate cmpletin f persnal recrds and frms; ensure that all emplyees fr whm they are accuntable are made aware f the requirements f the plicy; assess the types f risk invlved in the peratins fr which they are respnsible; ensure that adequate cntrl measures are put in place t minimise the risks. This must include clear rles and respnsibilities, supervisry checks, staff rtatin (particularly in key psts), separatin f duties wherever pssible s that cntrl f a key functin is nt invested in ne individual, and regular reviews, recnciliatins and test checks t ensure that cntrl measures cntinue t perate effectively; be aware f the West Nrflk Academies Trust Anti-Bribery Plicy; identify sensitive / at-risk psts; ensure that cntrls are being cmplied with; cntribute t their assessment f the risks and cntrls within their business area, which feeds int the Trust s statements f accuntability and internal cntrl. 7

10 All instances f actual r suspected bribery, which cme t the attentin f a manager, must be reprted immediately. It is appreciated that sme emplyees will initially raise cncerns with their manager, hwever, in such cases managers must nt attempt t investigate the allegatin themselves, and they have the clear respnsibility t refer the cncerns t the Finance Directr as sn as pssible. Senir Cmpliance Officer The West Nrflk Academies Trust has appinted a Finance Directr wh will be respnsible fr implementing the Anti-Bribery Plicy and these guidelines, prviding guidance and training, mnitring cmpliance and sanctining vilatin f the plicy. The Finance Directr will review annually the suitability, adequacy and effectiveness f Trust s Anti-Bribery arrangements and implement imprvements as and when apprpriate. The Finance Directr reprts t the Accunting Officer (Head Teacher). Once a year, the Finance Directr reprts the results f the reviews t the Bard. Any incident r suspicin that cmes t attentin f the Senir Cmpliance Officer will be immediately investigated. Finance Directr The Finance Directr mnitrs and ensures cmpliance with anti-fraud and crruptin measures and activity. The Finance Directr will decide whether there is sufficient cause t cnduct an investigatin, and whether the Plice and External Audit need t be infrmed. The Finance Directr will cnsult and take advice frm Head Teacher if a member f staff is t be interviewed r disciplined. The Finance Directr will nt cnduct a disciplinary investigatin, but the emplyee may be the subject f a separate investigatin by the Head Teacher. The Finance Directr will, depending n the utcme f investigatins (whether n an interim / nging r a cncluding basis) and / r the ptential significance f suspicins that have been raised, infrm the Chair f West Nrflk Academies Trust and the Auditrs f cases, as may be deemed apprpriate r necessary. Internal and External Audit Any incident r suspicin that cmes t Internal r External Audit s attentin will be passed immediately t the Head Teacher. Human Resurces Issues Head Teacher will liaise clsely with Managers and frm the utset, where an emplyee is suspected f being invlved in bribery r crruptin in accrdance with agreed liaisn prtcls. The Head Teacher is respnsible fr ensuring the apprpriate use f the Trust s Disciplinary Prcedure. The Head Teacher will cnsult Educatinal Persnnel Management (EPM) and shall advise thse invlved in the investigatin in matters f emplyment law and in ther prcedural matters, such as disciplinary and cmplaints prcedures. 8

11 Clse liaisn between the Plice and EPM will be essential t ensure that any parallel sanctins (i.e. criminal and disciplinary) are applied effectively and in a crdinated manner. EPM will take steps at the recruitment stage t establish, as far as pssible, the previus recrd f ptential emplyees as well as the veracity f required qualificatins and memberships f prfessinal bdies, in terms f their prpriety and integrity. In this regard, temprary and fixed term cntract emplyees are treated in the same manner as permanent emplyees. EPM will ensure that applicants are vetted befre they are emplyed t ascertain, as far as is reasnable, that they are the type f persn wh is likely t cmply with the Trust s Anti-Bribery Plicy. New jiners will be bund by a cntractual bligatin in the emplyment cntracts nt t engage in bribery as defined in the Anti-Bribery Plicy. Infrmatin Management and Technlgy The Netwrk Manager will cntact the Head Teacher immediately in all cases where there is suspicin that IT is being used fr bribery purpses. This includes inapprpriate internet / intranet, , telephnes and PDAs. The Finance Directr will be infrmed if there is a suspicin that an emplyee is invlved. Prcurement Prcurement practices will be cnducted in a fair and transparent manner and nt deal with cntractrs r suppliers knwn r reasnably suspected t be paying bribes. Befre engaging cntractrs and suppliers, the Trust s will undertake prperly dcumented due diligence. Unless prspective cntractrs and suppliers have effective Anti-Bribery prgrammes in place, West Nrflk Academies Trust will cntractually require them t cmply with the Anti-Bribery Plicy. Agreements with cntractrs and suppliers shall, at all times, prvide fr the necessary cntractual mechanisms t enfrce cmpliance with the Anti-Bribery arrangements. West Nrflk Academies Trust will mnitr perfrmance and, in case f nn-cmpliance, require the crrectin f deficiencies, apply sanctins, r eventually terminate the agreement. 12. External Cmmunicatins 16.1 Individuals (be they emplyees, agency staff, lcums, cntractrs r suppliers) must nt cmmunicate with any member f the press, media r anther third party abut a suspected act f bribery as this may seriusly damage the investigatin and any subsequent actins t be taken. Anyne wh wishes t raise such issues shuld discuss the matter with either the Finance Directr r the Spnsrs Representative. 9

12 Appendix A Offences under the Bribery Act 2010 The fllwing business practices cnstitute criminal ffences under the Bribery Act 2010 and are therefre prhibited: Offences f bribing anther persn Case 1 is where a West Nrflk Academies Trust emplyee ffers, prmises r gives a financial r ther advantage t anther persn and intends the advantage (i) t induce that r anther persn t perfrm imprperly a relevant functin r activity, r (ii) t reward that r anther persn fr the imprper perfrmance f such a functin r activity. Case 2 is where a West Nrflk Academies Trust emplyee ffers, prmises r gives a financial r ther advantage t anther persn and knws r believes that the acceptance f the advantage wuld itself cnstitute the imprper perfrmance f a relevant functin r activity by that persn. The bribery must relate t (i) a functin f a public nature, (ii) an activity cnnected with a business, (iii) an activity perfrmed in the curse f a persn s emplyment, r (iv) an activity perfrmed by r n behalf f a bdy f persns (whether crprate r unincrprate). The persn perfrming the functin r activity must be expected t perfrm it in gd faith, impartially r in a psitin f trust. It des nt matter whether the functin r activity is perfrmed inside r utside the UK, whether the ther persn(s) invlved is / are in the public r private sectr and whether the advantage is ffered, prmised r given directly by West Nrflk Academies Trust emplyee r thrugh a third party, e.g. an agent r ther intermediary. Offences relating t being bribed Case 3 is where a West Nrflk Academies Trust emplyee requests, agrees t receive r accepts a financial r ther advantage intending that, in cnsequence, a relevant functin r activity shuld be perfrmed imprperly (whether by him / herself r anther persn). Case 4 is where a West Nrflk Academies Trust emplyee requests, agrees t receive r accepts a financial r ther advantage, and the request, agreement r acceptance itself cnstitutes the imprper perfrmance by him / herself f a relevant functin r activity. Case 5 is where a West Nrflk Academies Trust emplyee requests, agrees t receive r accepts a financial r ther advantage as a reward fr the imprper perfrmance (whether by him / herself r anther persn) f a relevant functin r activity. Case 6 is where, in anticipatin f r in cnsequence f a West Nrflk Academies Trust emplyee requesting, agreeing t receive r accepting a financial r ther advantage, a relevant functin r activity is perfrmed imprperly (i) by that West Nrflk Academies Trust emplyee, r (ii) by anther persn at his / her request r with his / her assent r acquiescence. Again, the bribery must relate t (i) a functin f a public nature, (ii) an activity cnnected with a business, (iii) an activity perfrmed in the curse f a persn s emplyment, r (iv) an activity perfrmed by r n behalf f a bdy f persns (whether crprate r unincrprate). The persn perfrming the functin r activity must be expected t perfrm it in gd faith, impartially r in a psitin f trust. 10

13 It des nt matter whether the functin r activity is perfrmed inside r utside the UK, whether the ther persn(s) invlved is / are in the public r private sectr, whether West Nrflk Academies Trust emplyee requests, agrees t receive r accepts the advantage directly r thrugh a third party, e.g. an agent r ther intermediary, and whether the advantage is fr the benefit f a West Nrflk Academies Trust emplyee r anther persn. In Cases 4 t 6, it des nt matter whether West Nrflk Academies Trust emplyee knws r believes that the perfrmance f the functin r activity is imprper. Bribery f freign public fficials Case 7 is where a West Nrflk Academies Trust emplyee bribes a freign public fficial and intends (i) t influence that fficial in his / her capacity as a freign public fficial and (ii) t btain r retain a business r an advantage in the cnduct f business. A freign public fficial is smene wh hlds a legislative, administrative r judicial psitin f any kind r exercises a public functin f a cuntry utside the UK, r is an fficial r agent f a public internatinal rganisatin. The fllwing paragraph will apply if any part f the rganisatin is cnsidered as a cmmercial ne. Failure f cmmercial rganisatins t prevent bribery (applicable nly t crprates and partnerships - included fr infrmatin) A crprate r partnership is guilty f a crprate bribery ffence if an emplyee, agent, subsidiary r any ther persn acting n its behalf bribes anther persn intending t btain r retain business r an advantage in the cnduct f business fr the crprate r partnership Fr a definitin f bribery, please refer t Cases 1, 2 and 7 abve. It shuld be the plicy f a crprate r partnership nt t tlerate any bribery n its behalf, even if this might result in a lss f business fr it. Criminal liability must be prevented at all times. 11