Anti-Bribery and Corruption Policy

Introduction

1. Northeastern University London (the University) is committed to ethical standards of business conduct and adopts a zero-tolerance approach to financial misconduct, including bribery and corruption. The University will uphold legislation as defined by the Anti-Bribery Act 2010 and the Criminal Justice (Corruption Offences) Act 2018, in regard to its conduct both at home and abroad.
2. The purpose of this Policy is to outline how the University and its staff will manage suspected bribery and corruption cases and comply with the relevant legislation. This Policy should be interpreted in light of the relevant legislation. 
3. It is the policy of the University that all staff and students conduct business in an honest way, and without the use of corrupt practices or acts of bribery to obtain an unfair advantage.

Definition of Bribery

4. Bribery is defined as giving or offering someone a financial or other advantage to encourage that person to perform their functions or activities improperly or to reward that person for having already done so.
5. A bribe refers to any inducement, reward, or object/item of value offered to another individual in order to gain commercial, contractual, regulatory, or personal advantage.
6. Bribery is not limited to the act of offering a bribe. If an individual accepts a bribe, they are also breaking the law.
7. Bribery is illegal. Employees must not engage in any form of bribery, whether it be directly, passively (as described above), or through a third party (such as an agent or distributor). In particular, employees must not bribe any foreign public officials anywhere in the world.
8. If employees are uncertain about whether something is a bribe, gift, or act of hospitality, they must seek advice from the Director of Finance (DoF).

Scope

9. This Policy applies to all members of University staff, including students acting as employees of the University, and associated parties, including members of the Board, and covers University activities undertaken in the UK or overseas. Anti-Bribery and Corruption legislation applies to all employees of the University.
10. Potentially any member of staff could be committing an offence under the Anti-Bribery or Corruption legislation if they suspect such activities of taking place or if they become involved in some way and do nothing about it. If any individual suspects that bribery or corruption is or has taken place or if any person becomes concerned about their involvement it must be disclosed as soon as possible to the University’s DoF, as outlined in the Procedure for Declaring Gifts and Hospitality below.
11. Breach of this Policy may constitute a disciplinary offence for staff and will be subject to investigation under the University’s disciplinary procedures. This may lead to disciplinary action, including dismissal. Failure to comply with this Policy may expose staff to the risk of being personally liable to prosecution. In the event that a student also acting as a member of staff should breach this Policy, the University reserves the right to invoke the Disciplinary Procedure for Students.
12. Non-compliance with this legislation carries financial and reputational penalties for both the University and its staff. While the risk to the University of contravening the legislation is considered to be low, it is extremely important that all staff are familiar with their legal responsibilities as serious criminal sanctions may be imposed for breaches. The key requirement for employees is to promptly report any suspected bribery or corruption activity to the DoF.

General Principles

Gifts and Hospitality

13. The occasional exchange of business gifts, meals or low-level entertainment is a common practice and is meant to create goodwill and enhance relationships. However, if the receipt of business courtesies becomes excessive, it can create a sense of personal obligation on the part of the recipient. Such a sense of obligation can interfere with the individual’s ability to be impartial in the transaction. Staff may accept business courtesies, but such courtesies must be modest enough not to interfere with the ethical judgment of the member of staff and must not create an appearance of impropriety. Corporate hospitality and gifts (whether received or provided) must be transparent, auditable and proportionate. Modest gifts and hospitality may be accepted unless an inducement is intended or suspected. note that there is a current limit of £50.
14. The University accepts normal and appropriate gestures of hospitality and goodwill (whether given to / received from third parties) so long as the giving / receiving of such gifts meets the following requirements:
    1. It is not made with the intention of influencing the party to whom it is being given, to obtain or reward the retention of a business or a business advantage, or as an explicit or implicit exchange for favours or benefits.
    2. It is not made with the suggestion that a return favour is expected.
    3. It is in compliance with English law.
    4. It is given in the name of the University, not in an individual’s name.
    5. It does not include cash.
    6. A cash equivalent (e.g. a voucher or gift certificate) must be declared.
    7. It is appropriate in the circumstances (e.g. giving small gifts around Christmas or as a small thank you to the University for helping with a large project upon completion).
    8. It is of an appropriate type and value and given at an appropriate time, taking into account the reason for the gift.
    9. It is given/received openly, not secretly.
    10. It is not selectively given to a key, influential person, clearly with the intention of directly influencing them.
    11. It is not above a certain excessive value, as pre-determined by the DoF (which figure is currently in excess of £50).
    12. It is not offered to, or accepted from, a government official or representative or politician or political party, without the prior approval of the University’s DoF.
15. Where it is inappropriate to decline the offer of a gift (e.g. when meeting an individual of a certain religion/culture who may take offence), the gift may be accepted so long as it is declared to the individual’s Line Manager and the Procedure for Declaring Gifts and Hospitality is followed.
16. The University recognises that the practice of giving and receiving business gifts varies between countries, regions, cultures, and religions, so definitions of what is acceptable and not acceptable will inevitably differ for each. 
17. The intention behind a gift being given/received should always be considered. If there is any uncertainty, the advice of the DoF should be sought.
18. As good practice, gifts given and received over the financial threshold (currently in excess of £50) should always be disclosed to the DoF. Gifts from suppliers should always be disclosed.

Procedure for Declaring Gifts and Hospitality

19. This Policy requires that all gifts and hospitality of an estimated value of £50 or more, are recorded on the Gift and Hospitality Acceptance Form and the following procedures to be followed.
    1. If it is not possible to value the gift or hospitality received, or if the value is unknown, that information should be declared on the Gift and Hospitality Acceptance Form.
    2. Gift or hospitality declarations need to be referred to the Line Manager of the recipient of the gift or hospitality for countersigning [in the case of the Chief Executive Officer (CEO) this shall be the Chair to Northeastern London Board].
    3. The Line Manager will send the Gift and Hospitality Acceptance Form to the DoF, who will make a decision as to whether it can be accepted. The DoF may need to seek the advice of the CEO as to whether the gift or hospitality may be accepted.
    4. Issues that cannot be resolved by the CEO and the DoF will be referred to Northeastern London Board for consideration.
    5. If it is deemed as unacceptable for the gift or hospitality to be received, but it is not possible for it to be returned, the gift is put to charitable use.

Facilitation of Payments

20. The University does not accept and will not make any form of facilitation payments of any kind.
21. The University recognises that facilitation payments are a form of bribery that involves expediting or facilitating the performance of a public official for a routine governmental action (e.g. processing licenses, permits, visas, etc.). The University recognises that requests for facilitation payments tend to be made by low level officials with the intention of securing or speeding up the performance of a certain duty or action. The University does not allow kickbacks to be made or accepted. The University recognises that kickbacks are typically made in exchange for a business favour or advantage.

Political Contributions

22. The University will not make donations, whether in cash, kind, or by any other means, to support any political parties or candidates, as the University recognises that this may be perceived as an attempt to gain an improper business advantage.

Charitable Contributions

24. The University accepts (and indeed encourages) the act of donating to charities – whether through services, knowledge, time, or direct financial contributions (cash or otherwise) – and agrees to disclose all charitable contributions it makes. Employees must be careful to ensure that charitable contributions are not used to facilitate and conceal acts of bribery. The University ensures that all charitable donations made are legal and ethical under local laws and practices.

Procedure for Reporting Bribery

24. Members of the University community must inform their Line Manager as soon as possible if they are offered a bribe by anyone, are asked to make a bribe, suspect that they may be bribed or asked to make a bribe in the near future, or if they have reason to believe that they are a victim of another corrupt activity.
25. If a member of the University community is uncertain about whether a certain action or behaviour can be considered bribery or corruption, they should speak to their Line Manager or the DoF.
26. The University will not consider unsubstantiated reports that it regards as vexatious or malicious. Reports of this nature may result in disciplinary action under the University’s disciplinary procedures. A vexatious report is one that is pursued, regardless of its merits, solely to harass, annoy, or subdue somebody; something that is unreasonable, without foundation, frivolous, repetitive, burdensome, or unwarranted.
27. The employee and/or the Line Manager completes the Anti-Bribery and Corruption Report Form and submits it to the DoF.
28. The DoF convenes a case conference with the CEO within 48 hours (if possible) to consider the nature of the allegations and to determine if police investigation is required. This is to avoid the risk of any action by the University undermining potential criminal proceedings. Within 24 hours of the case conference, the CEO and DoF provide a report and recommendations to the Executive Committee (ExCo) that:
    1. The matter is sufficiently serious to be handed over to the police for investigation; or
    2. The matter is not sufficiently serious to merit a police investigation, and an investigation should be undertaken in accordance with the University’s disciplinary procedures. Subsequent to this action, should any further information indicate that the matter should be referred to the police, the matter will be immediately handed over to the police.
29. In the event that the suspected/known breach involves the DoF or any member of ExCo, the report is sent directly to the Chair of Northeastern London Board.

Support for Victims of Bribery or Corruption

30. The University acknowledges that members of the University community who refuse to accept or offer a bribe or report a concern relating to potential act(s) of bribery or corruption may feel worried about potential repercussions. The University supports anyone who raises concerns in good faith under this Policy, even if any subsequent investigation finds that the reporter was mistaken.
31. The University will ensure that no one suffers any detrimental treatment as a result of refusing to accept or offer a bribe or other corrupt activities, or because they reported a concern relating to suspected or proven act(s) of bribery or corruption.
32. Detrimental treatment refers to dismissal, disciplinary action, threats, or unfavourable treatment in relation to the concern raised by the individual.
33. Members of the community who have reason to believe they have been subjected to unjust treatment as a result of reporting a concern or refusal to accept a bribe should inform their Line Manager immediately.

Training and Communication

34. The implementation plan for this Policy ensures adequate training is given to staff on anti-money laundering procedures and policies, including how to report/disclose suspicious activity.^[1] The University has identified the following departments as being at a higher risk of encountering bribery and/or corruption instances, and will ensure that they receive appropriate training: Finance, HR, Recruitment, EDGE and Admissions. All members of these teams are required to read the Policy on an annual basis and confirm to the DoF that they have done so.
35. The University’s Anti-Bribery and Corruption Policy and zero-tolerance attitude is clearly communicated to all suppliers, contractors, business partners, and any third parties at the outset of business relations, and as appropriate thereafter.

Record Keeping

36. The University will keep detailed and accurate financial records, and will have appropriate internal controls in place to act as evidence for all payments made. The University will declare and keep a written record of the amount and reason for hospitality or gifts accepted and given, and understand that gifts and acts of hospitality are subject to managerial review.

Monitoring and Reviewing

37. The DoF is responsible for monitoring the effectiveness of this Policy and will review the implementation of it on a regular basis, and will assess its suitability, adequacy, and effectiveness.
38. This Policy will be reviewed by the Audit Committee annually, or as and when any legislative changes occur, to ensure compliance with the principles of the act. The Northeastern London Board will be advised of any action taken via the Annual Report from the Audit Committee.
39. Internal control systems and procedures designed to prevent bribery and corruption are subject to regular audits to ensure that they are effective in practice.
40. Employees may raise concerns at any time to the DoF or by using the Public Interest Disclosure (Whistleblowing) Policy.

Roles and Responsibilities

41. This Policy is reviewed annually by the DoF. Concerns and comments may be reported, in confidence, to the DoF who has oversight of the management of the Policy within the University. Staff can also raise concerns using the University’s then-current whistleblowing procedures.
42. The University takes its legal responsibilities seriously and recognises that if it is found to have committed any bribery and corruption offences, it could be subjected to an unlimited fine, be excluded from tendering for public contracts, and face serious damage to its reputation. Individuals found to have committed any bribery and corruption offences could face a ten-year prison sentence and unlimited fines.
43. University employees are required to comply with this policy and with any training or other anti-bribery and corruption information provided by the University. Employees are responsible for the prevention, detection, and reporting of bribery and other forms of corruption, and are required to avoid any activities that would lead to, or imply, a breach of this Policy.
44. The Accounting Officer will report any cases that are deemed as a reportable event to the OfS.

Version History

Footnotes

^[1]For this Policy, staff includes students working as ambassadors for the University.