Anti-Fraud, Bribery And Corruption Policy And Procedure

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Anti-Fraud, Bribery andCorruption Policy andProcedureCG09Beware when using a printed version of this document. It may have been subsequently amended.Please check online for the latest version.Applies to:All NHS Resolution employees,Non-Executive Directors, contractors,secondees and consultants.Version:V3.0Date of SMT review:23 October 2020Date of Board Approval:November 2020Next Review date:November 2023Author:Catherine O’SullivanOwner:Joanne Evans

Contents1.Executive summary . 32.Introduction . 43.Scope . 44.Policy . 55.Definitions . 96.Codes of conduct . 107.Roles and responsibilities . 118.Reporting fraud, bribery or other illegal acts . 199.Disciplinary action . 2010. Sanctions and redress. 20Monitoring effectiveness . 2211. Related policies . 2312. Document control . 24Appendix A . 25Appendix B . 302

1. Executive summary1.1 NHS Resolution is committed to tackling fraud, bribery and corruption within theNHS, reducing it to an absolute minimum and keeping it at that level, freeing uppublic resources for better patient care. In so doing NHS Resolution will takeappropriate measures as set out under the NHS Counter Fraud Authority’s KeyPrinciples of Strategic Governance; Inform and Involve; Prevent and Deter; andHold to Account.1.2 The table below sets out the action to be taken if you discover or suspect anyfraudulent activityThis includes FraudAny deliberate intention tomake a gain forthemselves or anyoneelse, or inflicting a loss(or a risk of loss) onanother i.e. the NHS. Thiscould be through thefalsification of any recordsor documents or obtainingany service(s) and/or failingto disclose information. BriberyAnything that induces orintends to induceimproper performance.This covers offering,promising or giving a bribe,requesting, agreeing toreceive or accepting abribe, and failing to preventbribery.Where someone isinfluenced by bribery,payment of benefit-in-kindto unreasonably use theirposition to give someadvantage to another.What to doIf any of these concerns come tolight you must immediatelyreport your suspicions and whatyou have discovered to one ofthe following:The Local Counter FraudSpecialist:Gemma Higginson07800 718 etDirector of Finance andCorporate Planning:Joanne EvansDo Tell someone!Confidentiality will berespected.Any delay might cause theorganisation to suffer furtherfinancial loss. Make a note of yourconcerns!Note all relevant details, whatwas said, the date time andnames of all parties involved.Keep a record or copy anydocumentation that arousesyour suspicionDo notThe NHS Fraud ReportingLine:0800 0284060 Confront the individual(s)with your suspicions.Confidentiality will be maintainedand all matters will be dealt within accordance with NHS CounterFraud standards. Try to investigate thematter yourself.You will not suffer anyrecriminations as a result ofraising concerns – You haveprotection under The PublicInterest Disclosure Act 1998. Convey your suspicions toanyone other than thosewith the proper authority aslisted. Contact the police directly. Do nothing!3

2. Introduction2.1 This policy relates to all forms of fraud, corruption and bribery and is intended toprovide direction and help to all those who may identify or suspect fraud. Thepolicy details the organisation’s commitment to the proper use of public fundsand outlines the roles and responsibilities for the prevention of fraud. It providesa framework for responding to suspicions of fraud, advice and information onvarious aspects of fraud and implications of an investigation. It is not intended toprovide a comprehensive approach to preventing and detecting fraud andcorruption. The overall aims of this policy are to: Improve the knowledge and understanding of everyone in NHS Resolution,irrespective of their position, about the risk of fraud and corruption within theorganisation and its unacceptability assist in promoting a climate of openness and a culture and environmentwhere staff feel able to raise concerns sensibly and responsibly set out NHS Resolution’s responsibilities in terms of the deterrence,prevention, detection and investigation of fraud and corruption ensure that appropriate sanctions are considered following an investigation,which may include criminal prosecution, civil proceedings, disciplinary actionand regulatory body action.2.2 This document sets out NHS Resolution’s policy for dealing with detected orsuspected fraud and bribery, as incorporated in NHS Counter Fraud AuthorityAnti-Fraud, Bribery and Corruption Standards for Providers.3. Scope3.1 This policy applies to all employees of NHS Resolution, regardless of positionheld, as well as Non-Executive Directors (NEDS) consultants, vendors,contractors, and/or any other parties who have a business relationship with NHSResolution. It will be brought to the attention of all employees and form part ofthe induction process for new staff. It is incumbent on all of the above to reportany concerns they may have concerning fraud and bribery.3.2 In implementing this policy, managers must ensure that all staff are treated fairlyand within the provisions and spirit of NHS Resolution’s Equality, Diversity andInclusion Policy and Procedure. Special attention should be paid to ensuring thepolicy is understood where there may be barriers to understanding caused by theindividual’s circumstances, where the individual’s literacy or use of English isweak, or where the individual has little experience of working life.4

3.3 Equality impact assessmentAs part of its development, this policy and its impact on equality have beenreviewed in consultation with trade union and other employee representatives inline with NHS Resolution’s Equality, Diversity and Inclusion Policy andProcedure and the Public Sector Equality Duty. The purpose of the assessmentis to minimise and if possible remove any disproportionate impact on employeesand service users in relation to the protected characteristics: race, sex, disability,age, sexual orientation, religious or other belief, marriage and civil partnership,gender reassignment and pregnancy and maternity. No detriment was identified.4. Policy4.1 All employees have a personal responsibility to protect the assets of NHSResolution, including all buildings, equipment and monies from fraud, theft, orbribery.4.2 It is expected that Non-Executive Directors and staff at all levels will lead byexample in acting with the utmost integrity and ensuring adherence to all relevantregulations, policies and procedures.4.3 NHS Resolution is absolutely committed to maintaining an honest and openenvironment within NHS Resolution, so as to best fulfil the objectives of NHSResolution and of the NHS. It is, therefore, also committed to the elimination offraud within NHS Resolution, to the rigorous investigation of any such allegationsand to taking appropriate action against wrong doers, including possible criminalprosecution, as well as undertaking steps to recover any assets lost as a resultof fraud.4.4 NHS Resolution wishes to encourage anyone having reasonable suspicions offraud to report them. NHS Resolution’s policy, which will be rigorously enforced,is that no individual will suffer any detrimental treatment as a result of reportingreasonably held suspicions. The Public Interest Disclosure Act 1998 came intoforce in July 1999 and gives statutory protection, within defined parameters, tostaff who make disclosures about a range of subjects, including fraud andbribery, which they believe to be happening within NHS Resolution employingthem. Within this context, ‘reasonably held’ means suspicions other than thosewhich are raised maliciously and are subsequently found to be groundless.4.5 Any malicious allegations will be subject to a full investigation and appropriatedisciplinary action.4.6 NHS Resolution expects anyone having reasonable suspicions of fraud to reportthem. It recognises that, while cases of theft are usually obvious, there mayinitially only be a suspicion regarding potential fraud and, thus, employeesshould report the matter to their Local Counter Fraud Specialist who will thenensure that procedures are followed.5

4.7 NHS Resolution has procedures in place that reduce the likelihood of fraudoccurring. These include Standing Orders, Standing Financial Instructions,documented procedures, a system of internal control (including Internal andExternal Audit) and a system of risk assessment. In addition, NHS Resolutionseeks to ensure that a comprehensive anti-fraud and bribery culture existsthroughout the Authority via the appointment of a dedicated Local Counter FraudSpecialist (LCFS) in accordance with NHS Counter Fraud Authority Anti-Fraud,Bribery and Corruption Standards.4.8 Bribing anybody is absolutely prohibited. NHS Resolution employees will not paya bribe to anybody. This means that you will not offer, promise, reward in anyway or give a financial or other advantage to any person in order to induce thatperson to perform his/her function or activities improperly (including creating theappearance of an effort to improperly influence another person). It does notmatter whether the other person is a UK or foreign public official, politicalcandidate, party official, private individual, private or public sector employee orany other person. Similarly, you are not permitted to receive a financial or otheradvantage from any person in order to induce you to perform your function oractivities improperly.4.9 Off-the-book accounts and false or deceptive booking entries are strictlyprohibited. All gifts, payments or any other contribution, whether in cash or inkind, shall be documented, regularly reviewed, and properly accounted for on thebooks of NHS Resolution. Record retention and archival policy must beconsistent with NHS Resolution’s accounting standards, tax and other applicablelaws and regulations.4.10 NHS Resolution procures goods and services ethically and transparently withthe quality, price and value for money determining the successfulsupplier/contractor, not by receiving (or offering) improper benefits. NHSResolution will not engage in any form of bribery, neither in the UK nor abroad.NHS Resolution and all employees, independent of their grade and position,shall at all times comply with the Bribery Act 2010 and with this policy.4.11 NHS Resolution may, in certain circumstances, be held responsible for acts ofbribery committed by intermediaries acting on its behalf such as subsidiaries,clients, business partners, contractors, suppliers, agents, advisors, consultantsor other third parties. The use of intermediaries for the purpose of committingacts of bribery is prohibited4.12 All intermediaries shall be selected with care, and all agreements withintermediaries shall be concluded under terms that are in line with this policy.NHS Resolution will contractually require its agents and other intermediaries tocomply with the Anti-Fraud and Bribery Policy and to keep proper books andrecords available for inspection by NHS Resolution, auditors or investigatingauthorities. Agreements with agents and other intermediaries shall at all timesprovide for the necessary contractual mechanisms to enforce compliance with6

the anti-bribery regime. NHS Resolution will monitor performance and, in case ofnon-compliance, require the correction of deficiencies, apply sanctions, oreventually terminate the agreement even if this may result in a loss of business4.13 Where NHS Resolution is engaged in commercial activity (irrespective as to whathappens to the profit) it could be considered guilty of a corporate bribery offenceif an employee, agent, subsidiary or any other person acting on its behalf bribesanother person intending to obtain or retain business or an advantage in theconduct of business for NHS Resolution and it cannot demonstrate that it hasadequate procedures in place to prevent such.4.14 The adequate procedures put in place by the organisation to prevent bribery areinformed by six principles – proportionate procedures, top-level commitment, riskassessment, due diligence, communication (including training), monitoring andreview.4.15 Proportionate procedures in place to mitigate the

bribery committed by intermediaries acting on its behalf such as subsidiaries, clients, business partners, contractors, suppliers, agents, advisors, consultants or other third parties. The use of intermediaries for the purpose of committing acts of bribery is prohibited . 4.12 All intermediaries shall be selected with care, and all agreements with intermediaries shall be concluded under terms .

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bribery risks associated with the conduct of their business. The supplier must undertake a regular anti-bribery risk assessment in order to identify and mitigate the bribery risks associated with the conduct of its business. The supplier must ensure that all risks identified are managed and mitigated by the application of its anti-bribery controls. Due diligence The purpose of due diligence is .

3 Fraud and Corruption Control Framework Prevention – pro-active measures designed to help reduce the risk of fraud and corruption occurring in the first place. Detection – measures designed to identify attempts or acts in preparation before the fraud or corruption occurs or to uncover incidents of fraud and corruption as soon as possible after it occurs;

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