as easy as abc anti-bribery & corruption programme ...€¦ · anti-bribery & corruption...

As Easy as ABC... Anti-Bribery & Corruption Programme

Responding to Bribery Risk

Continue...

Welcome.

Welcome to the University’s Anti-Bribery & Corruption Programme. This module is ‘Responding to Bribery Risk’. In order to proceed please click on the button below.

Imag

e ©

Jon

atha

n Si

lk 2

013

v.130510

This module is ‘Responding to Bribery Risk’. Through considering a number of scenarios, it aims to provide you with an understanding of how to deal with particular potential bribery risks within a University context if and when they occur. It is one of a series of modules designed to enable you to identify and understand: - what is bribery and the damage it causes; - the University’s response to bribery, the rules and your obligations; - specific bribery risks and how to respond to them. You do not have to complete the programme all in one sitting. Using the menu and navigation buttons you can select those areas you wish to cover and work through each as often as you wish. You may return at any time to work through new areas or to review those you have already covered. The first two modules also contain interactive questions designed to test your understanding of the material provided.



Continue...

Introduction – aims and approach.


From the Registrar: “The University of Oxford operates on a global basis in pursuit of its mission to achieve and sustain excellence in every area of its teaching and research. Integrity and fairness, both actual and perceived, are vital to the University’s success in achieving this mission. The University has an excellent track record of operating with high levels of probity in all we do, and has never tolerated bribery or fraud. Council has adopted a Policy and a set of Standards on bribery and fraud. These are a clear statement of our zero-tolerance approach to these activities. I expect every University employee, wherever they work in the world, to uphold our Policy and Standards and attach considerable importance to training sessions of this type which are designed to ensure that you are informed of the content of our Policy and Standards and are equipped to implement them in your daily work. Thank you for your support in ensuring that the University of Oxford continues to operate with the highest levels of integrity around the world.”

Continue...


Responding to Bribery Risk About this module

This module covers a number of topic areas relevant to the University’s activities, grouped by type of activity. For each topic it examines some of the key potential bribery risks as well as suggestions for how to avoid them – or how to respond if you encounter them. Unlike the prior modules, this one is constructed on the basis that you have a basic knowledge and awareness of the Bribery Act, University policies on Bribery & Fraud and Gifts & Hospitality and how they apply within the University. If this is not the case, then to get the most benefit you should start with the other modules first before you work through this one.

Continue...



Return to Introduction

Please select one of the sections below by clicking on the adjacent button: A. Travel and working overseas... B. Buying and selling... C. Giving and receiving... D. Other University activities...

Module menu.


A. Travel & Working Overseas

Please select one of the topics below by clicking on the adjacent button: A1. Visas and licences... A2. At the airport... A3. Shipping and customs... A4. Gifts and hospitality overseas... A5. Official visits...

Topic menu.

Return to Module Menu


A. Travel & Working Overseas A1. Visas and licences.

Return to Topic Menu

Overseas visits or work often require that a visa be obtained for the people involved. Certain activities may also require additional licences. Sometimes it is not possible to apply for visas in good time and sometimes, even when a timely application has been made, there are delays. When deadlines are looming, therefore, is it possible to expedite the issue of visas or licences without falling foul of bribery regulations? The short answer is that it may be possible, but it depends...

Continue...



Official fees for expediting applications are perfectly legitimate and acceptable. If a fee is official there should be an official schedule of rates available (on the web or elsewhere) to support it. You could also check with the UK embassy or consulate of the country concerned. Unofficial fees and facilitation payments are illegal and unacceptable. If there is no independent official evidence, or if the amount requested by officials is greater than the published rates then do not pay – this may be a request for a facilitation payment from a foreign public official and to pay it could be an offence under the Bribery Act.

Continue... Back... Return to Topic Menu



Do not assume that anti-bribery legislation prevents you from making all additional payments to public officials – where such payments are official and can be verified it is perfectly acceptable to use them if circumstances dictate. Care must be taken, however, to ensure that such payments are official and cannot be construed as facilitation payments or bribery. Ask yourself: is the payment going to an individual or to an organization? If an individual is benefitting then it is highly unlikely to be an officially sanctioned payment, so should be avoided. You should only ever pay the correct official fees in respect of visa applications or similar transactions.

Back... Return to Topic Menu


A. Travel & Working Overseas A2. At the airport.


Airports and other ports of entry are sometimes places where officials might expect, ask or demand additional payments in order to facilitate a smooth passage. These could be represented as ‘entry fees’, ‘taxes’, ‘administrative payments’ or similar but a simple principle stands: You should only ever pay correct official fees that are demanded of you by a public official. This is sometimes easier said than done, particularly if the official has the ability to refuse or delay your entry to the country. The following pages offer some tips for how you might respond if a request of this type is ever made of you...

Continue...



(a) Ask to see where the requirement for the fee is written down If a fee is official there should be an official schedule of rates available – a notice or a written law that supports it. If there is no notice or you are not directed to a specific law then this is an indication that it is probably an invalid charge.

(b) Ask to speak to the official’s supervisor Sometimes this is a worthwhile approach since an official may be reluctant to repeat the request in front of his or her supervisor. It will not work, however, if the official refuses or if the supervisor sanctions such behaviour.

(c) Ask for a formal receipt If you make the payment can the official provide a formal receipt? If it is legitimate then this is likely; less likely for an invalid payment.




(d) Explain that it is against the law for you to pay If you suspect that the payment is unofficial then it would be illegal for you to pay it, under the UK Bribery Act, anywhere in the world. Explain that you will have to take the official’s details and report them after the event. This may help your case but only if the official believes that they may be investigated or punished as a result.

(e) Contact help if you can If possible, contact the people you are visiting – they may be able to help (more so, perhaps, if they have some official capacity or standing). Alternatively, contact the British embassy or consulate and advise them of the situation – if you have their number to hand against this eventuality then this will be easier.




Only where there is immediate threat to life, limb or liberty is it permitted to make such payments without further protest.

If there is no immediate threat you must first try the actions described in the previous pages. Should the official still refuse to allow you to proceed, however, and the only alternative is to turn back, then you may make the payment demanded under protest.

In either case, take note of any identifying details relating to the official if you can and when you are clear of the problem report the matter as soon as possible to your Department. Further guidance on what should be reported is available in Quick Guide 03. You should also report the matter to the British embassy or consulate and the local police.

Back... Continue... Return to Topic Menu

http://www.admin.ox.ac.uk/media/global/wwwadminoxacuk/localsites/councilsecretariat/compliance/briberyandfraud/QG03-Reporting-BandF.pdf



You should only ever give in to demands for facilitation payments in situations of duress, where there is immediate threat to life, limb or liberty, or where all other reasonable channels of protest have been tried and exhausted – every incident must be reported as soon as possible afterwards.


Sometimes it may be necessary to ship equipment or goods to overseas territories in support of research, sales, or other activities. If you are dealing directly with officials then the same approach should be adopted as outlined for visas and licences in Topic A1 of this section. If, as is often the case, however, you use the services of a shipping agency then there may be further risks to be aware of. For example:

– are you certain that the shipping agency is not paying bribes to clear items through customs on your behalf? – how do they deal with resolving items that are delayed or held up in customs?

There are two checks that can be carried out relatively easily to help answer these questions...


A. Travel & Working Overseas A3. Shipping and customs.

Return to Topic Menu Continue...

(a) Check the bills Bills provided by such agencies should be itemized – if not, then insist that they are (or go elsewhere). An itemized bill should provide some assurance that there are no hidden costs, such as extra payments to customs officials, although do not expect to see a line for ‘bribes’. If possible, compare costs with similar deliveries (if not within the department, then elsewhere in the University) and make sure that they appear reasonable and not inflated in any unexplained manner.

(b) Ask for a copy of the agent’s anti-bribery policy If an agent is able to provide a copy without difficulty then this is a good indicator that they are aware of their obligations on your behalf; if they struggle or cannot provide one, however, this should be a warning that they are inadequately prepared or controlled.






In short: Be aware of what you are paying for. A shipping agent is the same as any other agent acting on your behalf and, as such, if they offer bribes as part of their means of transacting business then the University could also be liable. For more details on agents, see Module 2 – ‘Anti-bribery Measures’ and Section D of this module - ‘Other University Activities.’



A. Travel & Working Overseas A4. Gifts and hospitality overseas.


When travelling on short-term visits overseas or on longer-term placements, you are likely to encounter situations where gifts and hospitality are given or received. How do you ensure that you stay within the rules? This topic covers some of the specific cultural differences and expectations that might be encountered when dealing with gifts and hospitality overseas. The general principles relating to gifts and hospitality are described in Module 2 – ‘Anti-bribery Measures’ and considered in Section C of this module – ‘Giving & Receiving’. Specific issues relating to public officials are described in Topic A5 of this section – ‘Official visits’.

Continue...



Cultural differences Be aware that in many cultures the giving and receiving of gifts and hospitality is an expected part of establishing relationships or doing business.

Whilst it is clearly important not to cause offence, it is equally important that you stick to the rules on Gifts and Hospitality.

This does not mean that you cannot give or receive gifts and hospitality when overseas, but you must ensure that any instance where you offer or accept gifts or hospitality complies with University Gifts & Hospitality Policy. If you do not then there is a risk that you may be deemed to be offering or accepting a bribe.




It may prove necessary, therefore, to decline an offer and to do so in a manner that does not cause offence: – explain that although the University allows you to accept (or give) gifts and hospitality in a limited fashion, you cannot accept (or give) something that might appear over-generous. It may be possible to accept part of an offer but decline the rest, for example a meal but not the proposed visit to the races afterwards.

Such compromises allow the person making the offer not to lose face, permit you not to appear ungrateful, yet also stay within the rules.



A. Travel & Working Overseas A5. Official visits.


Particularly in instances where there are established overseas collaborations, research groups or facilities, it is likely at some point that there will be an official visit or inspection. This could be by politicians or dignitaries keen to be associated with the work being undertaken, or by public officials charged with issuing licences, approvals, etc. Similarly, overseas development trips may specifically include meetings or dealings with government ministers, civil servants, local officials and similar. From an anti-bribery perspective you should treat all foreign public officials in the same manner and with caution, there being a specific offence under section 6 of the Bribery Act – bribery of a foreign public official.

Continue...



Points to consider in respect of official visits: (a) Hospitality offered to officials There is nothing inherently wrong in offering hospitality to public officials (unless the law or the officials’ own code of operation forbids it), as long as it is for a proper purpose and cannot be construed as unduly influencing the recipient(s). To be absolutely safe, you should always ensure that:

- the principles of the Gifts & Hospitality Policy are applied (as set out in Module 2 – ‘Anti-bribery Measures’ and further detailed in Section C of this module – ‘Giving & Receiving’); - there is no impropriety or appearance of impropriety; - there is no infringement of the Bribery and Fraud Policy; and - anything offered cannot be construed as a political donation.




(b) Hospitality offered by officials Hospitality or gifts offered by public officials should only be accepted if they are in line with the University Gifts & Hospitality Policy. Strategies for dealing with inappropriate offers are outlined in the previous topic of this module – ‘Gifts and hospitality overseas’.

(c) Unusual requests Be wary when dealing with visits by public officials overseas of any requests that appear unusual or cannot be readily explained, particularly if these relate to payments of any type, hospitality or gifts – e.g. if an inspection visit is due to last one day, but officials have requested accommodation for three days, why is this? If there is a reasonable explanation then there is no problem, but if it cannot be explained this may be a cover to extract facilitation payments.



B. Buying & Selling

Please select one of the scenarios below by clicking on the adjacent button: B1. Supplier and customer gifts and hospitality... B2. Supplier selection... B3. Due diligence... B4. Bidding for government contracts... B5. ‘Hidden’ public officials...

Scenario menu.



B. Buying & Selling B1. Supplier and customer gifts and hospitality.


The offer of gifts and hospitality by commercial suppliers (and sometimes customers) is often seen as a normal part of doing business. Equally, you may be placed in a situation where it is expected or required to provide gifts or hospitality to customers (or sometimes suppliers). How do you ensure that you stay within the rules? This topic covers some of the specific issues and expectations that might be encountered when dealing with gifts and hospitality in the context of commercial suppliers or customers.

The general principles relating to gifts and hospitality are described in Module 2 ‘Anti-bribery Measures’ and considered further in Section C of this module – ‘Giving & Receiving’. Gifts and hospitality in an overseas context is dealt with in Section A of this module – ‘Travel & Working Overseas’.

Continue...



(a) Motive and intent Gifts and hospitality received from or offered to commercial suppliers and customers are not forbidden, but you must ensure that they comply with University Gifts & Hospitality Policy. If you do not then there is a risk that you may be deemed to be offering or accepting a bribe. Consider the motive and intent behind a supplier’s offer – commercial suppliers in particular have a focus on making and increasing sales: Is the supplier interested in making a specific sale? If the answer is ‘yes’ then the offer of gifts or hospitality might be construed as influencing the decision on that sale – and thereby would be inappropriate. If the interest is more general – maintaining good relationships – then the offer is acceptable if it also fits with Gifts & Hospitality Policy rules.




(b) Tenders and similar procurement exercises To avoid any appearance of undue influence, University staff and representatives are expressly prohibited from accepting gifts or hospitality from suppliers involved in tendering or procurement exercises.

(c) When the position is reversed If you are involved in sales to commercial customers then the same general principles as outlined above also apply: - do not offer gifts and hospitality in association with a specific sale; - do not offer gifts or hospitality when involved in a tendering or procurement exercise.



B. Buying & Selling B2. Supplier selection.


Some suppliers will go to great lengths to ensure that the University purchases their products or services over those of the competition. In some instances their methods may be questionable. Bribery, by its nature, is not an open and transparent activity and sometimes it is only revealed through the behaviour of those accepting the bribes. The selection of suppliers, therefore, is an area where attention should be focused to ensure that nothing untoward is going on right beneath your nose.

Continue...



Why do we always use so-and-so? Bribery is not just a risk around single ‘big-ticket’ items but can also occur when the volume of low-value transactions is sufficiently tempting, so consider any frequent purchases from the same source (e.g. stationery, lab-ware, etc.) and ask whether there is a justifiable business reason for using that supplier. Use of University preferred suppliers reduces this risk (unless you discover that someone is buying lots of items un-necessarily) so more attention should be given to those not on the preferred supplier list.




If you discover unjustified use of particular suppliers or unexplained volumes of purchases then this does not automatically mean that there is a bribery problem. There may, however, be value for money, control, or complacency issues that need to be addressed. Although it may be appropriate for you to ask individuals to explain, you should not confront them with accusations – if there are genuine concerns about bribery then these should be reported through the Procedures for dealing with actual or suspected breach of the University’s Bribery and Fraud Policy.



B. Buying & Selling B3. Due diligence.


How do you know that a supplier (or customer) is free from bribery themselves? This is an important consideration, in particular: - association with individuals or organizations that have been accused of or involved in bribery is damaging to the reputation of the University; - if agents and associated persons use bribery they can also cause the University to be prosecuted because it benefits from that bribery and has failed to prevent it.

It is important to check whether suppliers are clear from bribery.

This process is part of what is referred to as ‘due diligence’.

Continue...



Which suppliers should be checked? If you use a University preferred supplier then you do not need to check its background – this will have been carried out on behalf of the wider University by the Finance Procurement Team. If you use a supplier that is already set-up on the University’s Oracle Financials system then the need to check is also reduced – unless you are the only department that uses that supplier. If you are the only department (enquiries either on Oracle or of the Procurement Team will tell you this), then periodic checks should be carried out. If you identify a new supplier that is not already on the University’s Oracle Financials system then you should carry out due diligence checks before you request that the supplier be set-up and before you place any orders with them.




How and what do I check? Guidance is provided on what to check in the ‘Bribery & Fraud Risk Awareness Toolkit’, available on the University’s website. This covers consideration of: - financial controls; - reputation and history; - basis of agreement; and - conflicts of interest. The guidance focuses in particular upon bribery and fraud risk, although formal due diligence can also be much wider.


http://www.admin.ox.ac.uk/councilsec/compliance/briberyfraud/riskawarenesstoolkit/












B. Buying & Selling B4. Bidding for government contracts.


If you are involved in selling University products or services (which might include expertise and advice, executive or continuing education programmes, etc.) then there may be instances where you sell to government departments (within the UK or overseas) or bid for government contracts offered via a tendering process. There are particular considerations to take into account when dealing with governmental bodies (including both central and local government, health services, police authorities, etc.) in this way.

Continue...



(a) Government tenders Within the UK and Europe most publicly funded bodies are required to undertake open procurement exercises for large purchases. Where this is the case, you should apply the principles relating to tendering outlined in Topic B1 of this section – ‘Supplier and customer gifts and hospitality’. (b) Bidding for UK governmental contracts The UK government is proposing to take a very strong line in enforcing anti-bribery legislation which may include dis-allowing organizations that are convicted of bribery offences from bidding for government contracts. Against this possibility, therefore, it is imperative that no department places the wider University in such a position that it cannot take part in government tendering exercises.




(a) Bidding for overseas government contracts There is a specific offence under section 6 of the UK Bribery Act – bribery of a foreign public official. It is important that in dealing with overseas governmental bodies, therefore, no cause is given to consider an offence under that section. In addition to the general rules on Bribery and Fraud, the principles and approach outlined in Topics A4 and A5 of Section A of this module – ‘Travel & Working Overseas’ – should be applied.



B. Buying & Selling B5. ‘Hidden’ public officials.


Module 2 – ‘Anti-bribery Measures’ outlines situations where public officials can be ‘hidden’ or appear as employees of private or commercial bodies. This can include: - ‘QUANGOS’ such as the Law Commission, British Library, Civil Aviation Authority, etc. - world bodies, such as the World Bank, Red Cross and International Standards Organization; - commercial and other bodies in countries where enterprise is largely state-owned, most notably China. Particular care must be taken, therefore, since individuals working for such bodies may not regard themselves as public officials but, for the purposes of the Bribery Act, you should treat them as such and, as a result, apply the same level of caution as though you were dealing with any public official.

Continue...


B. Buying & Selling B5. ‘Hidden’ public officials.

Know who you are dealing with.

In some countries universities and research institutes are considered to be state bodies and their employees civil servants – this is not the case in the UK as although institutions receive state funding their governance and legal status is separate from the state. If there is any doubt then it is always safer to treat individuals and organizations as though they were public officials.



C. Giving & Receiving

Please select one of the scenarios below by clicking on the adjacent button: C1. General principles... C2. Donors... C3. Charities... C4. Gifts and hospitality for staff...

Scenario menu.



C. Giving & Receiving C1. General principles.


The University’s Gifts & Hospitality Policy is an integral part, together with the Bribery & Fraud Policy, of the institution’s response to bribery and fraud risk. This is because misuse of gifts and hospitality is one of the means by which undue influence can be exerted. For this reason, the Policy requires adherence to a set of standards and that a record be kept of gifts and hospitality given and received over a value of £100. These standards are set out in Module 2 – ‘Anti-bribery Measures’. In applying the standards there are 7 practical questions that you can ask to help assess whether it is appropriate to accept or offer gifts and hospitality. These are outlined on the following pages.

Continue...



(1) What is the form of the gift or hospitality? Cash or equivalent vouchers, credit, personal discounts, etc. should never be offered or accepted as personal gifts. Note, this does not rule out: - discounts for an organization offered or won as part of a negotiation process; - prizes won in open competition; - charitable or philanthropic donations (although these should be made to bodies and not individuals). Additionally, hospitality of an illegal or improper nature is not acceptable – e.g. ‘adult’ entertainment.




(2) What is the actual or estimated value? Disproportionately lavish gifts or hospitality should always be avoided – is the value (known or estimated) in proportion with the circumstances? Thus a small gift of drink or foodstuffs from a supplier at Christmas might be deemed acceptable as a token of the ongoing business relationship, whereas tickets to the Wimbledon tennis finals for the same purpose would not. If you are uncertain over whether the gifts or hospitality offered is of reasonable value, consider in particular also question (6) ‘What if the situation were reversed?’




(3) How and when is it offered? Offers made immediately prior to or during a decision-making process that might affect the person making the offer are unlikely to be legitimate gifts and hospitality but an attempt to influence the decision improperly to favour the person or body making the offer. As a general rule, therefore, do not accept gifts or hospitality from: - individuals involved in an application for employment; - individuals applying to be students of the University; - suppliers or potential suppliers bidding in a tendering process. Third parties, friends or family may sometimes make an offer on behalf of any of the above, so to be absolutely safe you must be sure there is no connection – direct or indirect – between an offer made and an ongoing decision-making process.




(4) What is the intent? The building or maintenance of academic, collaborative, professional or business relationships is generally an acceptable reason for offering or accepting gifts and hospitality. But how can you be certain that this is sole or primary intent? Consider whether the offer is general or specific, i.e. could it be linked to the making of a specific decision or is it more general? This is more difficult when considering the gifts or hospitality offered to potential donors since arguably the ultimate intent is to secure a donation – this particular scenario is considered in Topic C2 – ‘Donors’.




(5) Is there any expectation of return? There should be no expectation of a particular return in response to any legitimate gift or hospitality offered. Common courtesy may require that some form of acknowledgement or reciprocal gift-giving takes place, but no constraint should be placed by the giver upon the receiver’s freedom to choose. A donor may expect mention in University news or publicity material, for example, the naming of a building or chair, or inclusion in the Chancellor’s Court of Benefactors, but the final decision in each of these cases must be taken freely by the University and should not be a set condition of the donation being made.




(6) What if the situation were reversed? Is the offer equivalent to what might reasonably be provided in return? Bearing in mind the previous point that there should be no expectation of a particular return, in accepting a gift or hospitality you should ask whether it is similar to what would normally be provided in return by the University. If there is an imbalance then this may create the appearance of undue influence being exerted by the party offering the ‘bigger’ or ‘better’ gifts or hospitality.




(7) How would it look in the public domain? Would you be content if the details of the item(s) in question appeared in the public domain? If you saw an article about someone else offering or accepting gifts or hospitality in similar circumstances, what be your reaction? If you feel uncomfortable about this possibility or your answer to these questions is negative then this is a strong indicator that the offer may be inappropriate. With the requirement for departments to maintain a Gifts & Hospitality Register and record all items over a certain value, the likelihood of information of this nature being published in the public domain is increased.


Back...


C. Giving & Receiving C2. Donors.


Philanthropic donations to the University should be handled through the procedures set out in Finance Processes and promoted by the Development Office. In respect of bribery risk and donors (or potential donors), however, you may also need to consider the following:

(a) Are there any activities or situations that associate the donor with bribery? If the University accepts money from a donor who commits bribery from which the University ultimately benefits then not only is there a strong risk of reputational damage by association but also the possibility that the University may be prosecuted for failing to prevent bribery in an associated person.

Continue...

http://www.admin.ox.ac.uk/finance/processes/cashmanagement/candb/donation/





(b) What does the donor get in return? Depending upon what is offered, donors may expect certain recognition in return for their money – e.g. naming of a facility or position, membership of the Chancellor’s Court of Benefactors. These are all normally acceptable as long as the donation is not conditional upon these expectations and the University has some leeway to agree or decline. If the donor has other interests, however – e.g. a trading relationship or connection to an applicant, either for employment or a student place – then the donation might be construed as a bribe for facilitating a beneficial outcome for those other interests. Donors are likely to have some form of connection or other interest in the University but care needs to be taken in assessing whether it conflicts, or appears to conflict, in any way with the donation offered.




(c) Entertaining donors The rules on gifts and hospitality should not be relaxed simply because you are expected to entertain a donor, or potential donor. In order to avoid any inference of influencing a donor’s decision, you should ensure that the Gifts & Hospitality Policy is adhered to at all times.

If you encounter any situations where there is doubt or concern over a donor, their relationship with the University, or the nature of gifts and hospitality provided to them, then these should be raised with the Compliance Team in the first instance.


mailto:[email protected]




Charitable donations are permitted under Financial Regulations and University Gifts & Hospitality Policy, but only where the donation is for exclusively charitable purposes and cannot be construed as improperly influencing a decision or activity. This limitation is because charitable donations can be used by unscrupulous third parties as a means of exerting influence, or as a means of hiding payments that are in fact bribes. If a donation is being considered, therefore, ensure that the charity concerned is not only of an appropriate nature, but also registered with the Charity Commission (or equivalent body if overseas) and has a track-record of well-regulated work in support of its stated aims. The Registrar must authorize any charitable donations made by the University.


C. Giving & Receiving C3. Charities.


Where the University provides gifts and hospitality to its own staff (in accordance with the financial processes set out in the Expenses and Benefits Guide), this is not exempt from the principles of the Gifts & Hospitality Policy. It is entirely possible, after all, that such mechanisms could be used to influence staff improperly. In addition to the rules set out in the Expenses and Benefits Guide, therefore, all gifts and hospitality provided to staff should also be considered against the principles of the University Gifts & Hospitality Policy.


C. Giving & Receiving C4. Gifts and hospitality for staff.



D. Other University Activities

Please select one of the scenarios below by clicking on the adjacent button: D1. Raising awareness... D2. Research activity... D3. Expenses and other financial transactions... D4. Handling instances of bribery and fraud...

Scenario menu.



D. Other University Activities D1. Raising awareness.


If bribery occurs within an organization it is likely to involve staff and associated persons either actively (as the person requesting or offering a bribe) or passively (as the person approached by a third party and invited either to accept or make a bribe). Fraud also will often involve ‘insiders’ as well as instances where a third party operates entirely alone. The key control in both cases is awareness: - awareness of the rules; - awareness of the sanctions; - awareness of how to handle situations.

Continue...


D. Other University Activities D1. Raising awareness.

Staff and associated persons need to be made aware of the University’s policies and guidance and this can be achieved through directing them to: - the web-site; - the Quick Guides that summarize policy and procedures; - these self-service interactive modules. All of the above are publicly available via the University web-site. In addition, for University staff and associated persons training or guidance sessions can be arranged on request for any group or team. Contact the Council Secretariat Compliance Team in the first instance to discuss your needs.


http://www.admin.ox.ac.uk/councilsec/compliance/briberyfraud/

mailto:[email protected]?subject=Training and further guidance query


D. Other University Activities D2. Research activity.


Research grant applications and management should be handled through the procedures set out in Financial Regulations and by Research Support. Although research funding does not fall within the remit of the Gifts & Hospitality policy, you may need to consider the following in respect of bribery and fraud compliance:

(a) Is the funding body clear of any association with bribery? The government-backed and established funding bodies (e.g. the Research Councils, British Academy, Wellcome Trust, Levehulme Trust, etc.) should all be low-risk prospects and not require further scrutiny but if you are considering an application to a small charity or an overseas body not previously used within the University then it may be wise to consider some of the due diligence checks outlined in Section B of this module – ‘Buying and Selling.’

Continue...

(b) Are there particular requirements made by the funding body in respect of anti-bribery procedures? The conditions under which a grant might be given may include specific reference to anti-bribery procedures and obligations placed on the University (to protect the funder from any malpractice that occurs within the University). This could include warranties that the University is required to make in addition to demonstrating the existence of policy and procedure. Where this is the case advice should be sought in the first instance from Research Services.


C. Giving & Receiving D2. Research activity.




(c) Is the activity itself at any heightened risk of bribery? Generally, the likelihood of research activity being at risk of bribery should be low, although consider the following factors that might raise risk: Overseas research Bribery may be the norm in some countries where fieldwork takes place. Staff and associated persons involved need to be briefed in advance, therefore, of what is permitted and what is not. If the research involves partners then consider whether this also requires additional guidance to be provided to the staff of associated bodies – perhaps not necessary if they are employed by, say, the Wellcome Trust, but a sensible precaution if they are employed by a body within the country concerned.


Sensitive research Research that could lead to further exploitation of Intellectual Property or development of spin-outs is a more attractive target for competitors. Similarly, research (or results) that could be exploited for political ends – by politicians or the media – or research involving socially-sensitive issues, such as that involving animals, may be targeted by certain interest groups. Both factors increase the risk that someone involve in or connected with the research may be targeted to provide information to third parties. Trust in research partners is as important as trust in your own staff or colleagues in these cases.




(d) Are there opportunities to manipulate the research grant? A particular risk arises if there are opportunities to manipulate the funding stream or how items are classified against the costs of research. Although in itself such manipulation may actually be closer to fraud than bribery, the likelihood of its discovery is increased by funding bodies keen to ensure that there is no evidence of bribery within any projects that they support. Any suggestions of such practices must not be tolerated since the risk of discovery and the consequential risks of loss of research funding are too great.


C. Giving & Receiving D2. Research activity.


Back...


D. Other University Activities D3. Expenses and other financial transactions.


Bribery and fraud generally (although not exclusively) have a financial dimension that may be reflected through use or abuse of the University’s financial systems and processes. In guarding against them, particular attention should be given to the following areas. (a) Expenses claims: Can be both the place where the costs of disallowed activities (particularly in respect of Gifts & Hospitality) are reclaimed, as well as the vehicle for committing fraud by claiming for expenditure that did not take place or has already been reimbursed. Departmental staff responsible for authorizing expenses claims should pay particular attention to detail, therefore, and ask for clarification of any uncertain items before signing-off on a claim.

Continue...




(b) Supplier invoices: Are you sure that the supplier has charged only the agreed amounts and not submitted a duplicate invoice? Have the payment (bank) details on the invoice changed – which could arise as the result of someone re-directing sums due to a supplier to their own account? Particularly in respect of agents, consultants and other suppliers who act on your behalf, is the invoice sufficiently itemized so that you can be certain that the supplier has not paid any bribes on your behalf?

Continue... Back...



(c) Financial reporting: Any untoward financial transactions that pass through the system will end up as part of your regular month-end financial reports. You should consider variations from budgets carefully, therefore, and query any that cannot readily be explained. Variations can arise for a whole range of legitimate reasons which should always be considered first. However, if variations remain unexplained after exhausting the legitimate possibilities, the likelihood of bribery or fraud should be considered.



D. Other University Activities D4. Handling instances of bribery and fraud.

There are Procedures for dealing with actual or suspected breach of the University Bribery & Fraud Policy. These provide for the reporting and investigation of suspected cases and should be used for any instance where bribery or fraud is reasonably suspected in relation to the activities of the University. This includes: - if you are asked to pay a bribe or facilitation payment; - if you are forced under duress to pay a bribe; - if you are offered a bribe for any reason; - if you are asked to undertake any fraudulent activity; - if you suspect bribery or fraud is occurring.

Return to Topic Menu Continue...
































Any report made will be treated as a disclosure under the University’s Public Interest Disclosure Code of Practice, which means that you will not be penalized or disadvantaged for making a disclosure. Concerns should be reported as soon as possible to the Director of Finance or Registrar. The Registrar will consider all submissions made and determine whether there is a case to answer. If this is so the matter will be considered by a Bribery and Fraud Review Group convened by the Registrar that will determine how to investigate or take the matter forward. At all times information submitted will be treated in strictest confidence.

Return to Topic Menu Continue... Back...

http://www.admin.ox.ac.uk/personnel/cops/pid/













There is no prescribed form or format for reports. Quick Guide 03 sets out the type of information that should be included, however, when making a disclosure. In summary, this includes: Who you are The nature of the alleged misconduct Who is involved What happened What evidence exists to support your account If you are making a report then the more information you can provide as soon as possible after the event or discovery, the better.


Back...



as easy as abc anti-bribery & corruption programme ...€¦ · anti-bribery & corruption...

Documents