Fraud, Bribery And Corruption Policy

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Fraud, Bribery and Corruption PolicyPOLICYReferenceHR/0023Approving BodyDate ApprovedIssue DateVersionSummary of Changes fromPrevious VersionSupersedesJSPF18 February 2020February 20203Complete refresh of the Fraud, Bribery and CorruptionPolicy.1&2Document CategoryHuman ResourcesConsultation UndertakenDate of Completion of EqualityImpact AssessmentDate of Environmental ImpactAssessment (if applicable)Legal and/or AccreditationImplications20/01/2020Target AudienceAll staff including bank, agency and contractorsReview DateJanuary 2021Sponsor (Position)Director of PeopleAuthor (Position & Name)Counter Fraud SpecialistLead Division/ DirectorateCorporateN/AFraud Act 2006Bribery Act 2010Lead Specialty/ Service/Human ResourcesDepartmentPosition of Person able to provideCounter Fraud SpecialistFurther Guidance/InformationAssociated Documents/ InformationN/ADate AssociatedDocuments/Information wasreviewedN/A

CONTENTSItemTitlePage1.0INTRODUCTION32.0POLICY STATEMENT33.0DEFINITIONS/ ABBREVIATIONS44.0ROLES AND RESPONSIBILITIES55.0APPROVAL66.0STANDARDS FOR PROVIDERS67.0PROACTIVE PREVENTION AND DETECTION78.0EFFECTIVE SANCTIONS79.0SEEKING REDRESS810.0REPORTING SUSPICIONS811.0COMMUNICATION, MONITORING AND REVIEW812.0MONITORING COMPLIANCE AND EFFECTIVENESS913.0TRAINING AND IMPLEMENTATION1014.0IMPACT ASSESSMENTS1015.0EVIDENCE BASE (Relevant Legislation/ National Guidance) 10and RELATED SFHFT DOCUMENTSAPPENDICES1116.0APPENDICIESAppendix AFraud Response PlanAppendix BFraud Referral FormAppendix CPrevalent Frauds in the NHSAppendix DDo’s and Don’tsAppendix EEquality Impact AssessmentTitle:Version:121820Fraud, Bribery and Corruption Policy3Issued: February 202019Page 2 of 2221

1.0 INTRODUCTION1.1 The aim of this document is to set out the Trust’s policy on suspected and detectedfraud, bribery and corruption, and to help individuals who may identify suspectedfraud. It provides a framework for responding to suspicions of fraud.1.2 One of the basic principles of public sector organisations is the proper use of publicfunds. It is, therefore, important that all those who work in the public sector areaware of the risk of, and means of enforcing the arrangements against fraud,bribery and corruption.1.3 The NHS Counter Fraud Authority (NHSCFA) are accountable to the Department forHealth Anti-Fraud Unit and works collaboratively with key stakeholders, includingNHS England, NHS Improvement and the Cabinet Office. They have responsibilityfor overseeing the NHS Counter Fraud arrangements.2.0POLICY STATEMENT2.1 The Trust does not tolerate fraud, bribery and corruption in the NHS. The aim iseliminate this as far as possible as it ultimately leads to a reduction in the resourcesavailable for patient care. The Trust requires all staff to always act honestly and withintegrity to safeguard public resources they are responsible for. The Trust will nottolerate any acts of fraud, bribery or corruption perpetrated against it or involving itsemployees and will actively pursue all available criminal and civil actions, includingthe recovery of loss suffered as a result.2.2 The Trust is committed to taking all necessary steps to counter fraud, bribery andcorruption. To meet their objectives, they have adopted for key principles, which areset out in the NHSCFA strategy, namely:Strategic Governance: A member of the executive board is responsible for theprovision of strategic management of all counter fraud, bribery and corruption workwithin the organisation, which includes but is not limited to, employing or contractingan accredited Counter Fraud Specialist (CFS), conducting risk assessments andreporting annually on how it has met standards set by the NHSCFA.Inform and Involve: It is necessary to inform and involve those who work for, oruse the health service, on the risks of crime and how to tackle it.Prevent and Deter: To remove the opportunities for crime within the NHS to occuror re-occur.Hold to Account: The investigation of fraud and pursuance of sanctions andredress.Title:Version:Fraud, Bribery and Corruption Policy3Issued: February 2020Page 3 of 22

3.0DEFINITIONSThe following definitions apply for the purposes of this policy and the corresponding FraudResponse Plan attached at Appendix A.3.1 Fraud:The Fraud Act (2006) came into force on 15 January 2007 and introduced thegeneral offence of fraud. It is no longer necessary to provide that a person has beendeceived. The focus is now on dishonest behaviour and any intent to make gainor cause loss to another party. Put simply, fraud is a dishonest act intended forgain or to cause loss to another.The offence can be committed in three ways: Fraud by False Representation (lying about something using any means, forinstance words or actions); Fraud by Failure to Disclose (not saying something when you have a legalduty to do so ); and Fraud by Abuse of Position (abusing a position where there is an expectationto safeguard the financial interests of another person or organisation).It should be notes that all offences under The Fraud Act (2006) occur where theact or omission is committed dishonestly and with intent to cause gain or loss. Thegain or loss does not have to succeed so long as the intent is there.3.2 Bribery:The Bribery Act 2010 came into force on 1 July 2011 and created three generaloffences of bribery: Offering, promising or giving a bribe to induce someone to behaveimproperly, or to reward someone for having already done so;Requesting, agreeing or accepting a bribe either in exchange for actingimproperly, or where the request or acceptance is itself improper; andBribery of a foreign public official.A new corporate offence was also introduced: Failure by a company to prevent a bribe being paid or retain a businessadvantage.Bribing anyone is absolutely prohibited. Employees will not pay a bribe toanybody. This means you will not offer or promise reward in any way or givefinancial or other advantage to any person in order to induce that person toperform activities improperly. It does not matter whether the other person is a UKor foreign official, political candidate, party official, private individual or publicsector employee or any other person.Title:Version:Fraud, Bribery and Corruption Policy3Issued: February 2020Page 4 of 22

Bribery does not have to involve cash or an actual payment exchanging. It cantake many forms such as a gift, lavish treatment during a business trip or tickets toan event.3.3 Corruption:Bribery is a form of corruption but corruption also includes many other dishonestpractices such as fraud, nepotism, collusion and abuse of power/position.Corruption does not always result in a loss and the corrupt person may not alwaysbenefit directly from their deeds, however, they may be unreasonable using theirposition to give some advantage to another.4.0 ROLES AND RESPONSIBILITIES4.1 Director of Finance (DOF) and Deputy Director of Finance (DDOF). TheDOF/DDOF accepts overall responsibility for all matters relating to fraud, briberyand corruption within the Trust.4.2 Audit Committee. The Audit Committee should satisfy that the organisation hasadequate arrangements in place for counter fraud, bribery and corruption to meetthe NHSCFA’s standards.4.3 Counter Fraud Specialist. The CFS is responsible for conducting all anti-fraudwork locally and ensuring that the Trust has appropriate anti-fraud, bribery andcorruption arrangements in place.The Local Counter Fraud Service will: Ensure that the DOF/DDOF is informed about all referrals/cases; Be responsible for the day to day implementation of the four key principlesas set out in the NHSCFA strategy; Investigate cases of fraud; In consultation with the DOF/DDOF report any case to the Police orNHSCFA as agreed and in accordance with NHSCFA guidance; and Adhere to the fraud response plan.4.4 Managers. Line Managers are responsible for implementing and maintaining thepolicy in their area of management, including ensuring that procedures are in placeand individuals are adequately trained and controls are being complied with.4.5 Human Resources Staff. Human Resources staff provide advice, guidance andsupport to the Trust’s managers and officers investigating disciplinary matters. Alldisciplinary matters which involve suspected fraud, bribery and corruption offencesmay also be subject to parallel criminal investigation by the Trust’s CFS. Closeliaison between the CFS and HR is essential to ensure that any parallel sanctions(for instance criminal, civil and disciplinary sanctions) are applied effectively and in acoordinated manner.Title:Version:Fraud, Bribery and Corruption Policy3Issued: February 2020Page 5 of 22

4.6 Employees. All employees are expected to ensure that they are familiar with andact in accordance with this policy and attend all fraud training as required.All employees are required to comply with the Trust’s policies and procedures andapply best practice in order to prevent fraud, bribery and corruption. All employeeshave a duty to ensure that public funds are safeguarded and where they have asuspicion that a fraud exists, they should report it to the CFS (craig.bevandavies@nhs.net) or the support CFS (taelor.martin@nhs.net). Alternatively, you canreport to the NHS Fraud and Corruption Reporting Line (0800 028 40 60) or throughthe online NHS Fraud Reporting Form.4.7 Fraud Response Plan. The Trust have developed a Fraud Response Plan(Appendix A) which should be used as a checklist of actions and a guide to followin the event that fraud is suspected. It covers: Notification of suspected fraud; The investigation process; Sanctions and redress; Recovery action; Roles and responsibilities; and Monitoring and review.5.0 APPROVALJoint Staff Partnership Forum6.0 STANDARDS FOR PROVIDERS6.1 NHSCFA requires the Trust to ensure appropriate anti-fraud, corruption and briberyarrangements are in place within their organisations, as specified within theStandards for Providers.6.2 It is the responsibility of the Trust to ensure that they meet the required standards. Inorder to demonstrate compliance, NHSCFA quality inspectors requires the Trust tosubmit an annual self-review of anti-fraud, corruption and bribery activity undertakenwithin the organisation – this is achieved via the Self-Assessment Review Toolkit(SRT). Upon completion, the SRT provides a red, amber, or green (RAG) rating forthe organisation. The RAG system is a management method of rating for issues orstatus reports, based on levels of compliance with the standards. As such, the coloursare used in a traffic light rating systems with red being non-compliant, amber beingpartially complaint and green being fully compliant.6.3 The NHSCFA Quality and Compliance Team (QCT) use the completed SRT as abasis for selecting organisation for detailed assessment.Title:Version:Fraud, Bribery and Corruption Policy3Issued: February 2020Page 6 of 22

7.0 PROACTIVE PREVENTION AND DETECTION7.1 The Trust will ensure (through ‘fraud proofing’) that their systems, policies andprocesses are sufficiently robust so that the risk of fraud, corruption and bribery isreduced to a minimum. Checks will be conducted in areas identified to be most at riskto fraud, corruption or bribery in order to proactively detect instances that mightotherwise be unreported.7.2 The CFS will review new and existing policies and procedures to ensure thatappropriate counter fraud measures are included. This include (but is not limited to)policies and procedures in human resources, standing orders, standing financialinstructions and other finance and operational policies.7.3 The NHSCFA standards mandate a number of fraud prevention and detectionactivities. These activities relate to: Pre-Employment Checks: The organisation should ensure that all new staffare subject to the appropriate level of pre-employment check, as set out inGeneral Condition 5.9 of the NHS Standard Contract.Procurement: The organisation should have proportionate processes in placefor preventing, deterring and detecting fraud, bribery and corruption inprocurement.Invoicing: The organisation should ensure proportionate processes are inplace for preventing, deterring and detecting invoice fraud, includingreconciliation, segregation of duties, processes for changing supplier bankdetails and checking of deliveries.Code of Conduct: The organisation must have a fully implemented code ofconduct that includes reference to fraud, bribery and corruption and therequirement of The Bribery Act 2010.7.4 Additional preventative activities may also be conducted. These activities will betargeted at those areas of the Trust considered to be at a higher risk of fraud, briberyor corruption. The purpose of these activities is to identify gaps in the Trust’sgovernance framework which could allow fraud to be perpetrated. These activities willbe conducted in line with guidance issued by the NHSCFA where appropriate.8.0 EFFECTIVE SANCTIONSWhere fraud, bribery or corruption offences are committed, criminal sanctions (includingprosecution) will be pursued. Employees of the Trust found to have committed such offenceswill also be dealt with in accordance with internal disciplinary procedures are referred toprofessional bodies where appropriate.Title:Version:Fraud, Bribery and Corruption Policy3Issued: February 2020Page 7 of 22

9.0 SEEKING REDRESSThe Trust will consider initiating civil recovery action if this is cost-effective and desirable fordeterrence purposes. This could involve a number of options such as making an application tothe Small Claims Court and/or recovery through debt collection agencies. Each case will bediscussed with the DOF/DDOF in order to determine the most appropriate action.10.0REPORTING SUSPICIONSAll concerns or suspicions relating to fraud, bribery or corruption must be reported to the Trust’snominated Counter Fraud Specialist, Craig Bevan-Davies (telephone: 0115 883 53 22,craig.bevan-davies@nhs.net) or the Counter Fraud Support, Taelor Martin (

Bribery does not have to involve cash or an actual payment exchanging. It can take many forms such as a gift, lavish treatment during a business trip or tickets to an event. 3.3 Corruption: Bribery is a form of corruption but corruption also includes many other dishonest practices such as fraud, nepotism, collusion and abuse of power/position. Corruption does not always result in a loss and .

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