1. Introduction

1.1 Purpose of Policy

1.1.1

The University is committed to the highest standards of integrity, probity and ethics in all its dealings - wherever they may take place and in whatever context. Bribery is both illegal and unethical, and brings with it the potential for criminal liability and severe penalties - at both University and individual level.

1.1.2

The University has a zero tolerance approach to bribery and serious action will be taken against anyone found to be involved in bribery, up to and including dismissal under the University’s disciplinary processes. For associated persons, breach of this policy may result in contractual, legal and/or other sanction(s).

1.1.3

The University will uphold relevant laws for countering bribery and corruption, in particular the Bribery Act 2010. This policy is intended to set out the University’s approach to monitoring, identifying and ultimately avoiding incidents and/or risks of bribery.

1.2 Scope

1.2.1

This policy applies to all University staff and students. It also applies to agency and self- employed workers working for the University, and all other persons associated with and acting for the University, whether directly or indirectly. This definition includes external members of University Committees, representatives, agents, subsidiaries, individuals appointed as directors of any company, consultants, contractors and partners. To the fullest extent permissible by law, this policy shall apply in all jurisdictions in which the University operates.

1.2.2

The University expects any person or company (public or private) associated with the University to act with integrity and without any actions that may be considered an offence within the meaning of the Bribery Act 2010.

1.2.3

The University requires any potential breaches of this policy and bribery offers to be reported under the University’s reporting processes (see 3.3 and 3.4). The prevention, detection and reporting of bribery is the responsibility of everyone associated with the University.

1.2.4

Countering bribery and corruption and reporting suspected bribery in line with this policy is the responsibility of all those outlined in paragraphs 1.2.1 and 1.2.2.

1.2.5

Breach of this policy may constitute a disciplinary offence for staff and students and will be subject to investigation under the University’s disciplinary procedures. In the most severe instances, this could result in dismissal and or exclusion. For other associated persons, breach of this policy may result in other contractual or legal or other sanction. Criminal penalties may also apply.

1.2.6

Individuals found guilty of a bribery offence can face fines or prison sentences of up to ten years.

1.2.7

The University may face unlimited fines if it is found to have “failed to prevent” bribes being made or received by staff or associated persons. This is why this policy extends to individuals and companies who, whilst not directly employed by the University, are acting on its behalf. The University may also find itself excluded from certain public contracts, potentially affecting its income.

2. Definitions

2.1.

Corruption can be defined as dishonest or fraudulent conduct, typically involving bribery.

2.2.

Bribery can be defined as the offering, giving, receiving or soliciting of any item of value (money, goods, favours or other forms of recompense) to influence the actions of an official or other person in charge of a public or legal duty.

3. Roles and responsibilities

3.1.1

University Council has overall responsibility for approving the Anti-Bribery & Corruption Policy and for ensuring that it complies with the University’s legal and ethical obligations. The Audit & Risk Assurance Committee receives an Annual Report on Financial Crime Prevention, which includes a review of the control arrangements with respect to Anti-Bribery and Corruption. The University Executive Board exercises responsibility for the implementation, monitoring and review of the Anti-Bribery & Corruption Policy, for the periodic review of the institutional risk assessment, and for providing such assurance as Council requires to discharge its responsibilities.

3.1.2

The University Executive Board has established a Financial Probity Standing Group which is responsible for preparing and monitoring the control environment with respect to the Anti-Bribery & Corruption Policy and preparing an annual report on the arrangements to the University Executive Board.

3.1.3

The University Secretary & Registrar has operational responsibility for ensuring that the control arrangements in place are operating as designed.

3.1.4

For guidance on any aspect of the University's Anti-Bribery & Corruption Policy, colleagues can contact the Standing Group by email at financial-probity@bath.ac.uk

4. Defining bribery according to the Bribery Act 2010 and other legislation

4.1 The Bribery Act 2010

4.1.1

According to the Act, bribery is where someone requires, gives or promises a financial (or other) advantage with the intention of inducing or rewarding improper performance. Improper performance is a key concept and generally means where an individual does not act in good faith, impartially and/or properly. The test of what is proper is based upon what a person in the UK would reasonably expect.

4.1.2

Under the Act, there are two general forms of bribery where individuals are personally criminally liable:

offering, promising or giving of a bribe (either directly or indirectly) with the intent to induce a person to improperly perform a relevant function - known as active bribery
requesting, agreeing to receive or accepting a bribe (either directly or indirectly) such that a relevant function is, or will be, improperly performed - known as passive bribery

There are two other related offences:

bribing a foreign public official in order to obtain or retain business or an advantage to the conduct of business.
corporate liability where a body, such as a University, fails to prevent bribery.

It is important to note that:

so-called ‘facilitation payments’ - payments typically to government officials to facilitate special treatment, such as prioritisation in an approval process - are also bribes. The University does not offer or make, and shall not demand or accept, facilitation payments of any kind. Advice should be sought if required in order to distinguish between properly payable fees and disguised requests for facilitation payments
the timing of bribery payments - before, during and or after a relevant function -does not affect the offence

4.2 Overseas reach

4.2.1

The Bribery Act has extensive global reach and holds UK organisations liable for failing to implement adequate procedures sufficient to prevent such acts by those working for the University or on its behalf, no matter where in the world the act takes place. In addition, current US legislation (Foreign Corrupt Practices Act or FCPA) offers similar prohibitions and potential penalties, and is enforced robustly by the US authorities, supported by extensive inter-agency co-operation on an international basis.

4.3 Mitigation

4.3.1

There is a statutory defence against the Act if the University can demonstrate that it had in place appropriate and adequate procedures designed to prevent bribery.

4.3.2

The ’Bribery Triangle’ shows the three key drivers of bribery and corruption; environment and culture, supply of money, goods, services and favours as the currency of bribery, and demand for that currency:

4.3.3

The University’s anti-bribery and corruption approach is intended to directly mitigate its risk of bribery and corruption by impacting the three elements of the bribery triangle - by changing the organisational environment and culture, by removing/restricting the supply of money, goods, services and favours and/or reducing the demand for bribery.

5. Identifying the risk of bribery

5.1 Risk Management

5.1.1

Effective risk management lies at the heart of this policy. Risk management operates through the development of a risk assessment, and forms a crucial element of the University’s overall governance process. It facilitates identification of the specific areas where the University does, or could, face bribery and corruption risks and allows mitigation plans, actions and protections to be put in place.

5.2 Areas of Risk

5.2.1

The University’s high risks are subject to ongoing risk assessment, the areas of continuing bribery high risk that will require enhanced levels of due diligence and caution may include (but are not limited to):

agents and Intermediaries, particularly those who operate in jurisdictions where bribery is prevalent or endemic
joint ventures and consultancies, where the University could be held liable for any bribery or corruption committed by a third party with whom the University is associated by means of a joint venture or consultancy agreement
contracts, particularly construction contracts where the values involved are likely to be high - and the industry has a perceived propensity for bribery
all aspects of procurement of services (particularly) and goods undertaken by the University.
travel to countries identified in the Corruption Perceptions Index (see 4.2.1)

5.3 What to do if you suspect bribery

5.3.1

The University's procedures for reporting financial irregularities, including the giving or receiving of a bribe, can be found in the Fraud Response Plan.

5.3.2

Our Financial Regulations state that:

any person who has reason to believe that an irregularity with financial implications for the University has or is about to take place, is required to inform their Head of Department and the Head of Internal Audit immediately
the Head of Department will in turn, notify the Director of Finance immediately
if it is suspected that the Head of Department is involved in the irregularity, the matter should be notified to the Director of Finance or Internal Auditor directly. If it is suspected that the either the Director of Finance or Head of Internal Audit is involved in the irregularity, the matter should be notified to the Vice Chancellor directly. If it is suspected that the Vice Chancellor is involved in the irregularity, the matter should be notified to the Chair of Council directly
failure to inform the appropriate person immediately may mean that further losses are incurred or that evidence is lost

5.4 If you are worried about reporting

5.4.1

The University encourages everyone to speak up and report any concerns they may have about bribery activity. This is a key part of the University’s commitment to ethical and legal compliance. The University is committed to ensuring that individuals making reports in good faith do not suffer detriment as a result.

5.4.2

If a person feels they are not able to report their concerns through the route detailed above, they should still consider reporting the by means of the University's Public Interest Disclosure Policy (Whistleblowing Policy).

5.5 Failure to comply

5.5.1

Members of the University found to be in breach of the Anti-Bribery & Corruption Policy will be subject to disciplinary or legal action. Employees may be subject to dismissal for gross misconduct. The University reserves the right to terminate contractual relationships with third parties if they fail to comply with the terms of this Anti-Bribery & Corruption Policy.

5.6 Overseas jurisdictions

5.6.1

Certain jurisdictions present a heightened risk of bribery. Transparency International publishes a helpful Corruption Perceptions index by jurisdiction which can be used by staff to access the perceived risks of bribery activity associated with a particular part of the world.

5.6.2

Staff travelling, as part of their research, teaching or for any other reason, to countries identified in the index as having a perceived high risk of corruption should be especially vigilant and prepared to identify and resist bribery. Completion of the University’s online Anti-Bribery training is mandatory for any member of staff travelling to a country identified in the index.

5.6.3

Offering, promising or giving any financial or other advantage (either directly or indirectly) to a foreign public official with the intention of influencing that official in order to obtain or retain business or other advantage in the conduct of business constitutes bribery. This includes the offering, promising or giving of facilitation payments to foreign public officials to speed up administrative processes for which they are responsible. The offence of bribing a foreign public official is committed as soon as the offer is made.

6. Gifts and hospitality

6.1

The University’s position in respect of gifts and hospitality can be found in the section of the Financial Regulations headed ‘Gifts and Hospitality’.

6.2

Hospitality must not be accepted by employees of the University in circumstances that may allow the employee to appear to be unduly influenced in favour of the provider of that hospitality. Those circumstances might, for example, include the proximity of the hospitality to the award of a contract. The gift or receipt of hospitality which is aimed at securing an improper business or other advantage, or which may affect the recipient’s independence, is not permissible.

Clearly, hospitality can amount to real or perceived bribery, and caution should always be exercised. If there is any doubt about the propriety of hospitality, it should not be accepted or offered.

6.3

In accordance with Financial Regulations, every Department / Faculty / School maintains a register of gifts and hospitality received by members of staff with an estimated value in excess of £50. Departmental registers are collected annually and included in the University’s Register of Gifts and Hospitality. The Register records the nature, name of the provider and estimated value of the hospitality. The Register is examined each year by the Financial Probity Standing Group on behalf of the University Executive Board to inform an annual report to Council. The Register is inspected by the University’s External Auditor.

6.4

The “overall value” is to be taken as an aggregate of any hospitality received by an individual (or any parties related to them) within a three month period. For example, a business or personal contact buys you dinner once a week for a four-week period. The overall value of the hospitality is likely to exceed £50, and it must therefore be logged.

6.5

If in doubt, do not hesitate to take advice before accepting hospitality. The University Secretary & Registrar is able to offer advice when appropriate. It should be stressed that the timing of hospitality in relation to any potential conflict may be key in deciding its appropriateness.

7. Communication and training

7.1

It is the responsibility of all Heads of Departments to ensure that this policy is fully and regularly communicated to those involved with University business within their area. Crucially, this will include communication not only to staff but other external agencies, for example, agents, representatives and contractors.

7.2

The University provides training in the form of an online Anti-Bribery module and an online Anti-Bribery refresher module. The University will utilise its risk assessment of the area to determine the staff for which training is considered a priority.

9. Appendices

Appendix 1 - Anti-bribery Guidance

Anti-Bribery & Corruption Policy

The University's approach to monitoring, identifying and avoiding bribery.