Bribery is a criminal offense. We do not, and will not, pay bribes or offer improper inducements to anyone for any purpose, nor do we or will we, accept bribes or improper inducements. To use a third party as a conduit to channel bribes to others is a criminal offence. We do not, and will not, engage indirectly in or otherwise encourage bribery. We are committed to the prevention, deterrence and detection of bribery. We have zero-tolerance towards bribery. We aim to maintain anti-bribery compliance “business as usual”, rather than as a one-off exercise.
Objective of this policy
This policy provides a coherent and consistent framework to enable the organisation’s employees to understand and implement arrangements enabling compliance. In conjunction with related policies and key documents it will also enable employees to identify and effectively report a potential breach. We require that all personnel, including those permanently employed, temporary agency staff and contractors:
- act honestly and with integrity at all times and to safeguard the organisation’s
resources for which they are responsible - comply with the spirit, as well as the letter, of the laws and regulations of all
jurisdictions in which the organisation operates, in respect of the lawful and
responsible conduct of activities
Scope of this policy
This policy applies to all of the organisation’s activities. For partners, joint ventures and suppliers, we will seek to promote the adoption of policies consistent with the principles set out in this policy. Within the organisation, the responsibility to control the risk of bribery occurring resides at all levels of the organisation. It does not rest solely within assurance functions, but in all business units and corporate functions.This policy covers all personnel, including all levels and grades, those permanently employed, temporary agency staff, contractors, non-executives, agents, Members (including independent members), volunteers and consultants.
Model Anti Bribery Policy and Procedures
This paper provides a template anti bribery policy and procedure. This organisation’s commitment to action. This organisation commits to:
- Setting out a clear anti-bribery policy and keeping it up to date
- Making all employees aware of their responsibilities to adhere strictly to this policy at
all times - Training all employees so that they can recognise and avoid the use of bribery by
themselves and others - Encouraging its employees to be vigilant and to report any suspicions of bribery,
providing them with suitable channels of communication and ensuring sensitive
information is treated appropriately - Rigorously investigating instances of alleged bribery and assisting police and other
appropriate authorities in any resultant prosecution - Taking firm and vigorous action against any individual(s) involved in bribery
- Provide information to all employees to report breaches and suspected breaches of
this policy - Include appropriate clauses in contacts to prevent bribery.
Bribery
Is an inducement or reward offered, promised or provided to gain personal, commercial,
regulatory or contractual advantage.
The Bribery Act
There are four key offences under the Act: - bribery of another person (section 1)
- accepting a bribe (section 2)
- bribing a foreign official (section 6)
- failing to prevent bribery (section 7)
The Bribery Act 2010 (http://www.opsi.gov.uk/acts/acts2010/ukpga_20100023_en_1)
makes it an offence to offer, promise or give a bribe (Section 1). It also makes it an offence
to request, agree to receive, or accept a bribe (Section 2). Section 6 of the Act creates a
separate offence of bribing a foreign public official with the intention of obtaining or
retaining business or an advantage in the conduct of business. There is also a corporate
offence under Section 7 of failure by a commercial organisation to prevent bribery that is
intended to obtain or retain business, or an advantage in the conduct of business, for the
organisation. An organisation will have a defence to this corporate offence if it can show
that it had in place adequate procedures designed to prevent bribery by or of persons
associated with the organisation.
Are we a “commercial organisation”?
The guidance states that a “commercial organisation” is any body formed in the United
Kingdom and “…it does not matter if it pursues primarily charitable or educational aims or
purely public functions. It will be caught if it engages in commercial activities, irrespective of
the purpose for which profits are made. ”We are a “commercial organisation”.
What are “adequate procedures”?
Whether the procedures are adequate will ultimately be a matter for the courts to decide on a case-by-case basis. Adequate procedures need to be applied proportionately, based on the level of risk of bribery in the organisation. It is for individual organisations to determine
proportionate procedures in the recommended areas of six principals. These principles are
not prescriptive. They are intended to be flexible and outcome focussed, allowing for the
different circumstances of organisations. Small organisations will, for example, face different challenges to those faced by large multi-national enterprises. The detail of how
organisations apply these principles will vary, but the outcome should always be robust and
effective anti-bribery procedures.
Proportionate procedures
An organisation’s procedures to prevent bribery by persons associated with it are
proportionate to the bribery risks it faces and to the nature, scale and complexity of the
organisation’s activities. They are also clear, practical, accessible, effectively implemented
and enforced.
Top level commitment
The top-level management (be it a board of directors, the owners or any other equivalent
body or person) are committed to preventing bribery by persons associated with it. They
foster a culture within the organisation in which bribery is never acceptable.
Risk Assessment
The organisation assesses the nature and extent of its exposure to potential external and
internal risks of bribery on its behalf by persons associated with it. The assessment is
periodic, informed and documented. It includes financial risks but also other risks such as
reputational damage.
Due diligence
The organisation applies due diligence procedures, taking a proportionate and risk based
approach, in respect of persons who perform or will perform services for or on behalf of the
organisation, in order to mitigate identified bribery risks.
Communication (including training)
The organisation seeks to ensure that its bribery prevention policies and procedures are
embedded and understood throughout the organisation through internal and external
communication, including training that is proportionate to the risks it faces.
Monitoring and review
The organisation monitors and reviews procedures designed to prevent bribery by persons
associated with it and makes improvements where necessary.
This organisation is committed to proportional implementation of these principles.
Penalties
An individual guilty of an offence under sections 1, 2 or 6 is liable:
- On conviction in a magistrates court, to imprisonment for a maximum term of 12
months (six months in Northern Ireland), or to a fine not exceeding £5,000, or to
both - On conviction in a crown court, to imprisonment for a maximum term of ten years,
or to an unlimited fine, or both
Organisations are liable for these fines and if guilty of an offence under section 7 are liable
to an unlimited fine.
Bribery is not tolerated
It is unacceptable to:
- give, promise to give, or offer a payment, gift or hospitality with the expectation or
hope that a business advantage will be received, or to reward a business advantage
already given - give, promise to give, or offer a payment, gift or hospitality to a government official,
agent or representative to “facilitate” or expedite a routine procedure - accept payment from a third party that you know or suspect is offered with the
expectation that it will obtain a business advantage for them - accept a gift or hospitality from a third party if you know or suspect that it is offered
or provided with an expectation that a business advantage will be provided by us in
return - retaliate against or threaten a person who has refused to commit a bribery offence or
who has raised concerns under this policy - engage in activity in breach of this policy.
Facilitation payments
Facilitation payments are not tolerated and are illegal. Facilitation payments are unofficial
payments made to public officials in order to secure or expedite actions.
Gifts and hospitality
This policy is not meant to change the requirements of our gifts and hospitality policy. This
makes it clear that: (e.g. alternatives)
- no gift or hospitality is to be offered or accepted
- nominal gifts and hospitality up to a financial value of £25 are acceptable
- reasonable, proportionate gifts and hospitality made in good faith and that are not
lavish are acceptable.
Public contracts and failure to prevent bribery
Under the Public Contracts Regulations 2006 (which gives effect to EU law in the UK), a
company is automatically and perpetually debarred from competing for public contracts
where it is convicted of a corruption offence. There are no plans to amend the 2006
Regulations for this to include the crime of failure to prevent bribery. Organisations that are
convicted of failing to prevent bribery are not automatically barred from participating in
tenders for public contracts. This organisation has the discretion to exclude organisations
convicted of this offence.
Staff responsibilities
The prevention, detection and reporting of bribery and other forms of corruption are the
responsibility of all those working for the organisation or under its control. All staff are
required to avoid activity that breaches this policy.
You must:
- ensure that you read, understand and comply with this policy
- raise concerns as soon as possible if you believe or suspect that a conflict with this
policy has occurred, or may occur in the future.
As well as the possibility of civil and criminal prosecution, staff that breach this policy will
face disciplinary action, which could result in dismissal for gross misconduct.
Raising a concern
This organisation is committed to ensuring that all of us have a safe, reliable, and
confidential way of reporting any suspicious activity. We want each and every member of
staff to know how they can raise concerns.
We all have a responsibility to help detect, prevent and report instances of bribery. If you
have a concern regarding a suspected instance of bribery or corruption, please speak up –
your information and assistance will help. The sooner you act, the sooner it can be resolved.
There are multiple channels to help you raise concerns. Please refer to the Whistleblowing
policy and determine your favoured course of action. Preferably the disclosure will be made
and resolved internally (e.g. to your head of department/on line reporting/telephone
hotline). Secondly, where internal disclosure proves inappropriate, concerns can be raised
with the regulator (e.g. external auditor. See link to “BIS prescribed persons” at the end of
this document). Raising concerns in these ways may be more likely to be considered
reasonable than making disclosures publicly (e.g. to the media).
Concerns can be anonymous. In the event that an incident of bribery, corruption, or
wrongdoing is reported, we will act as soon as possible to evaluate the situation. We have
clearly defined procedures for investigating fraud, misconduct and non-compliance issues
and these will be followed in any investigation of this kind. This is easier and quicker if
concerns raised are not anonymous.
Staff who refuse to accept or offer a bribe, or those who raise concerns or report
wrongdoing can understandably be worried about the repercussions. We aim to encourage
openness and will support anyone who raises a genuine concern in good faith under this
policy, even if they turn out to be mistaken.
We are committed to ensuring nobody suffers detrimental treatment through refusing to
take part in bribery or corruption, or because of reporting a concern in good faith.
If you have any questions about these procedures, please contact admin@davenportnash.com.
Rev 23/2024