Bribery And Corruption - University Of Hertfordshire

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Bribery and Corruption – V05.0 UPR GV12 - Effective: 9 June 2020Bribery and CorruptionUPR GV12 version 05.0Policies superseded by this documentThis document replaces version 04.0 of UPR GV12, with effect from 9 June 2020.Summary of significant changes to the previous versionThe threshold for personal gifts in section 8.2.2 has been raised from 20 to 60.References to HEFCE and other UPRs have been updated. Other minor amendments havebeen made for clarification purposes only.GlossaryA glossary of approved University terminology can be found in UPR GV08.Table of contents1Introduction . 32Definitions . 32.1.1‘Bribery’: . 32.1.2‘Corruption’: . 42.1.3‘University’: . 42.1.4'Member of the University': . 43Scope . 44Policy . 54.25Disciplinary action . 5Regulations . 55.3Conflicts with local law or custom . 75.4Facilitation Payments . 75.5Threats and blackmail. 85.6Declaration and Registration of Interests, Benefits and Gifts . 85.7Subsidiary Companies . 85.8Negotiation and formation of contracts . 95.9Public Interest Disclosure . 95.10Compliance . 96Registers of Interests . 96.2Retention, archiving and access . 106.3Register of Interests A . 10

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 20206.4Register of Interests C . 116.5Register of Interests B . 1177.17.1.488.2Declaration and registration of interests, benefits and gifts . 12Reporting of information . 12Reportable items/matters . 12Reportable items/matters . 13Gifts (including scholarly works) . 138.2.1Scholarly works . 138.2.2Personal gifts . 138.3Corporate gifts . 148.4Interests and potential conflicts of interest, including conflicts of interest in relationto research . 148.4.1Conflicts of interest in relation to research . 158.5Hospitality . 158.6Travel, accommodation and subsistence . 158.7Private work, including private consultancies, directorships and paid membershipsof external committees . 168.8Any other reportable item/matter which falls within the scope of UPR GV12 offeredand declined . 168.9Family and close personal relationships . 168.9.1Family and close personal relationships that may affect students or the studentexperience . 168.9.2Other family and close personal relationships . 179Roles and Responsibilities . 179.1Board of Governors . 179.2Audit Committee . 179.3Vice-Chancellor . 179.4Secretary and Registrar . 189.5Heads of SBU . 189.6Managers (including Heads of SBU and line managers) . 199.7Members of the University . 19University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)2/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 20201Introduction1.1The purpose of the policies and regulations set out in this document is to ensurethat the University is able to comply with the Bribery Act 2010 and the Office forStudents (OfS) Audit Code of Practice (or equivalent document). UPR GV12superseded UPR GV02 1 with effect from 1 April 2011. UPR GV12 should be readin conjunction with UPR FR05 2, and UPR FR08 3.1.2The regulations and procedures set out in this document have been approved bythe Board of Governors 4 which considers that the University’s continued success isdependent upon its values and good reputation.2Definitions2.1For the purposes of this document the following definition will apply:2.1.1‘Bribery’:the offering, promising, giving, accepting or soliciting of an advantage as aninducement for action which is illegal or a breach of trust;(Note for guidance1234oThe following constitute offences under the Bribery Act 2010:obribing another person;oaccepting a bribe;obribing a foreign official;ofailing to prevent bribery within a commercial organisation.oOffering, promising or actually giving a financial or other advantage to anotherperson, where it is intended that the advantage should induce another personto perform improperly a relevant function or activity or to reward a person forthe improper performance of such a function or activity, is an offence under theBribery Act 2010. An individual or organisation that offers, promises or gives afinancial or other advantage to another person, knowing or believing thatacceptance of the advantage would itself constitute the improper performanceof a relevant function or activity, is committing an offence under the Bribery Act2010.UPR GV01 ‘Declaration and Registration of Interests, Benefits and Gifts’UPR FR05 ‘Travel, Expenses and Allowances’UPR FR08 ‘Fraud and Corruption - Anti-Fraud and Anti-Corruption Policy’Board of Governors Minutes 435.2, 29 June 2000; 466.1, 14 December 2000, 501, 23 October 2001;487.2, 22 March 2011, 832, 79 July 2012, refer; Audit Committee minute 436, 23 September 2003,refers.University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)3/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 20202.1.2oIn either of the above cases, it does not matter whether the advantage isoffered, promised or given by an individual or organisation directly or through athird party.oWhere an act of bribery is committed overseas, it will constitute an offenceunder UK law. Convictions under the Bribery Act 2010 may have far-reachingconsequences for individuals, and for organisations and employers.)‘Corruption’:the misuse of public office or power for private gain or the misuse of private powerin relation to business outside of the realm of the government;2.1.3‘University’:the University of Hertfordshire Higher Education Corporation, companies whollyowned by the Corporation and their wholly-owned subsidiaries and companies ofwhich the Corporation is a member or otherwise has an interest, for example, underthe terms of a Shareholders Agreement;2.1.4'Member of the University':any of the individuals listed in section 3.3ScopeThese regulations and procedures apply to:iall employees of the University;iistudents of the University where they undertake work for or on behalf of theUniversity;(Note for guidanceExamples would include, but are not limited to, the involvement of researchstudents in work associated with consultancy contracts/applied research.)iiiall members of the Board of Governors and committees of the Board;ivany Trustee of the University of Hertfordshire Charitable Trust;vall employees of the University's subsidiary companies including whollyowned, technology transfer, associated and any other company in which theUniversity has an interest;viall Directors and officers of the University's subsidiary companies includingwholly- owned, technology transfer, associated and any other company inwhich the University has an interest;viiany other persons associated with or contracted to provide services to theUniversity or its subsidiary companies, including, but not limited to,consultants;viiithird party representatives including, but not limited to, agents, managingagents, recruitment agents, distributors, consultants and Joint Venturepartners.University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)4/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 2020(Note for guidanceUnder the Bribery Act 2010, bribery and corrupt behaviour can be committed by anemployee, officer or director; by any person acting on behalf of these individuals (athird party representative); and by individuals and organisations where theyauthorise someone else to carry out these acts.)4Policy4.1The University:4.2iis committed to the highest standards of openness, probity and accountability;iiwill at all times act honestly and with integrity and conduct its business withoutthe use of any corrupt, unfair or unlawful practices, such as bribery, fraud andthe use of Facilitation Payments (see section 5.4);iiiseeks to conduct its affairs in a responsible manner taking into account therequirements of relevant funding bodies and the standards in public lifedetermined by the Nolan Committee;ivwill undertake risk assessments in relation to specific areas in which it mayface bribery and corruption risks;vregards the creation of false, misleading or inaccurate records as a breach ofthis policy;viwill maintain accurate books, records and financial reporting throughout itsstructures and subsidiaries and in its relationships with third partyrepresentatives;viiis committed to a programme of action to ensure that this policy isimplemented, is effective and is brought to the attention of all members of theUniversity, relevant third parties and, as necessary, other individuals and legalentities.Disciplinary actionThe University will take disciplinary action in cases where it is alleged that thispolicy has been breached (see UPR HR02 5/UPR SA13 6).5Regulations5.1All members of the University:56ihave a personal duty to act in accordance with this policy and all relevantlegislation and are required to comply with the regulations set out in thisdocument (UPR GV12);iiwill lead by example and will act and conduct the affairs of the Universityhonestly, fairly, legally and transparently;UPR HR02 ‘Staff Disciplinary Policy’UPR SA13 ‘Student Discipline’University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)5/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 2020iiiwill ensure that this policy is drawn to the attention of:astaff for whom they have responsibility;bwhere relevant, students (see section 3, ii);cbusiness clients, prospective business clients;dproviders of goods and services; prospective providers of goods andservices;ethird party representatives and prospective third party representatives;fany other individual or organisation, as appropriate, under the terms ofUPR GV12;(Note for guidanceAlthough students are clients of the University, there is no requirement atpresent to bring this policy to their specific attention other than by means of itsinclusion in the UPR series, unless section 3, ii, applies or in cases where agift is offered by a student (see section 7).)ivwill, where they are responsible for existing contracts and/or thenegotiation/formation of new contracts with:abusiness clients/prospective business clients;bproviders of goods and services/prospective providers of goods andservices;cthird party representatives/prospective third party representatives ordother individuals or organisations:1at the outset of negotiations provide the other party with a copy of thedocument ‘Anti-Bribery and Corruption’ approved from time-to-time bythe Secretary and Registrar and for seven (7) years maintain a recordthat they have done so;2circulate annually to business clients, providers of goods and services,third party representatives and any other party with whom the Universityis contracted, a copy of the document ‘Anti-Bribery and Corruption’approved from time-to-time by the Secretary and Registrar and forseven (7) years maintain a record that they have done so;3ensure that contracts include appropriate clauses to provide forimmediate termination where it is discovered that the conduct of a partyto the contract is inconsistent with the policy and regulations set out inthis document or any relevant legislation;University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)6/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 20204when instructing third party representatives, have regard for thesignificant potential risks to the University of sucharrangements/relationships in the event that the individuals ororganisations concerned conduct University business in a manner thatis inconsistent with the policy and regulations set out in this document orwith relevant legislation and will, therefore, make an assessment of riskin each case prior to entering such an arrangement/relationship andprior to the renewal of any such arrangement/relationship;(Note for guidanceIn some circumstances, the University may be at risk of being heldresponsible for the acts of individuals working on its behalf and will nottolerate the use of bribes or any other corrupt business practices.)5maintain accurate and transparent records and financial reports whichreflect each underlying transaction, concerning business activities andrelationships, including relationships with third party representatives.5.2No member of the University shall intentionally offer or receive any bribe or engagein any corrupt practice nor instruct others to do so.5.3Conflicts with local law or custom5.3.1It is recognised that the policy and regulations set out in this document may conflictwith local law or custom and practice in countries outside the United Kingdom.iLocal lawWhere a local law conflicts with the policy and regulations in this document orwith relevant UK legislation and/or imposes stricter obligations, members ofthe University must comply with the local law.iiLocal custom and practiceWhere a local custom or practice departs from the policy and regulations inthis document or from relevant UK legislation, members of the University mustcomply with the policy and regulations set out in this document and withrelevant legislation.5.3.2All members of the University will, therefore, consider the policy and regulations inthis document as minimum requirements to be followed at all times.5.4Facilitation Payments(Notes for guidanceFacilitation paymentsoIn certain countries, it is customary business practice to make payments or giftsof small value in order to speed up or facilitate a routine action or process.These are often referred to as Facilitation Payments. Facilitation Payments areusually understood as small payments made to expedite the performance ofroutine administrative functions to which the payer is entitled. Under UK law itis illegal to make a Facilitation Payment, either in the UK or overseas,regardless of whether such a payment is made by an employee or a third partyrepresentative.University Policies and Regulations (UPRs) University of Hertfordshire Higher Education Corporation (2020)7/20

Bribery and Corruption – V04.0 UPR GV12 - Effective: 1 September 2020oFacilitation payments are distinct from corporate gifts such as those which maybe given by the University to another organisation (or vice versa) as acourtesy.)5.4.1Members of the University are forbidden from making or accepting FacilitationPayments unless the circumstances described in this section (5.4) apply.5.4.2Where a Facilitation Payment is being extorted from a member of the Universityunder duress, they should seek immediate guidance from the Secretary andRegistrar (or nominee). However, in extreme circumstances, where it is impossibleor impractical to obtain advice from the Secretary and Registrar (or nominee),members of the University are authorised to make Facilitation Payments where theybelieve that their safety is at real risk or that there is a real risk of harm.5.4.3Where a Facilitation Payment is made by a member of the University, either on theauthority of the Secretary and Registrar (or nominee) or in the extremecircumstances described in section 5.4.2, the member of the University must withinten (10) working days make a written report to the Secretary and Registrar settingout:5.4.4athe circumstances of the incident andbthe reason why the Facilitation Payment was made andcthe nature of the goods or service facilitated by the Facilitation Payment anddthe amount of the Facilitation Payment.This report will be noted formally by the Audit Committee of the Board of Governorsat the earliest opportunity.(Note for guidanceFor the purposes of section 5.4, the nominee of the Secretary and Registrar is theDirector of Legal Services and University Solicitor.)5.5Threats and blackmailThreats or blackmail,

Bribery and Corruption – V05.0 UPR GV12 - Effective: 9 June 2020 Bribery and Corruption . UPR GV12 version 05.0 . Policies superseded by this document . This document replaces version 04.0 of UPR GV12, with effect from 9 June 2020. Summary of significant changes to the previous version . The threshold for personal gifts in section 8.2.2 has been raised from 20 to 60. References to HEFCE .

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