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Anti-Bribery Measures

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Welcome.

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

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This module is ‘Anti-Bribery Measures’. It aims to provide you with an understanding of general bribery risk arising from the University’s activities, the rules that apply, and your obligations under those rules. 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. Each module also contains a section of interactive questions designed to test your understanding of the material provided.

Introduction – aims and approach.

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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.”

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Responding to Bribery Risk About this module

This module covers the ways in which the University’s regulations and policies guard against bribery. Although all sections contain information useful to all staff, some may be more relevant to those with management responsibility. The rules to which this guide refers often use the terms ‘proper’ and ‘improper’ behaviour – what is meant by this? In short: ‘Proper’ behaviour is that which complies with the rules; ‘Improper’ behaviour breaks the rules.

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Please select one of the sections below by clicking on the adjacent button: Bribery risk within the University... Who Do the Policies Apply To? University Bribery & Fraud Policy... University Gifts & Hospitality Policy... Test my knowledge...

Module menu.

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Bribery risk generally within the University ought to be small.

Nevertheless, opportunity exists in a number of areas, both generally for example:

- suppliers offering ‘extras’ to staff involved in the award of contracts; - agents acting improperly on behalf of the organization; - being asked for facilitation payments when travelling overseas;

(these being risks that can befall most organizations)...


Bribery Risk Within the University Risk...? What risk?

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Bribery Risk Within the University Risk...? What risk?

... and more specifically, within the University context:

- students or staff working with sensitive subject matter or data being tempted to supply information or access for a fee; - payments to facilitate the shipping of equipment, or the arranging of visas and licences for overseas research; - fieldwork in countries where bribery is endemic; - connections between donors and applicants, or donors and commercial suppliers;

So the risk of bribery in some form is present, even where the likelihood and opportunity are small.

The key to controlling bribery risk is ensuring that likelihood and opportunity remain small. Back... Continue... Return to Module Menu


Bribery Risk Within the University Risk and control.

Under the UK Bribery Act 2010 the impact on both individuals and the organization, should bribery occur, can be severe. Staff and others need to be aware of both the potential risks and the controls that guard against them. The remainder of this section sets out how bribery can occur and where some of those risks may arise. The following sections consider the University policies that are used to control those risks.

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Bribery Risk Within the University Understanding the issue.

An organization’s controls and the behaviour of staff in guarding against impropriety are more effective if the underlying issue is properly understood. Three key factors need to be present for bribery (or fraud) to occur: Motive – why would somebody do such a thing? Means – what is it they might actually do? Opportunity – how, when and where might it be done? Back... Continue... Return to Module Menu


Bribery Risk Within the University Motive – why would somebody do such a thing?

Possible motivations for bribery:

• Financial reward (personal gain) • Gain of ownership, access to, or use of property – both physical and intellectual property • Enhancement of reputation, standing or favour • Revenge or punishment – the desire to cause loss or damage

In broad terms, these are the potential types of ‘reward’ available – both to the person offering the bribe and to the person accepting it. A general principle is that the greater the potential reward, then the greater the potential risk, although some instances of bribery succeed purely because the apparent reward is considered too small to worry about.



Bribery Risk Within the University Motive – why would somebody do such a thing?

Possible reasons underlying this motivation:

• Financial difficulties or pressures (on individuals or organizations) • Personal social, domestic or other problems for an individual • The desire to impress or gain favour • Opportunistic greed – because it’s there • Radical or contentious beliefs • Redress for an actual or perceived wrong • Duress or coercion – being forced into it



Bribery Risk Within the University Means – what is it they might actually do?

Consider the ‘reward’ that might be available to the person offering the bribe and the nature of the activity that might be at risk. This will begin to indicate in what manner it could be compromised by a person accepting the bribe, e.g.

• Passing on sensitive information or data (e.g. personal information, financial information, sensitive data or work material, etc.) • Enabling physical or virtual access for an unauthorized third party (e.g. to University facilities, records, accounts, etc.) • Allowing decisions or activities carried out on behalf of the University to be influenced improperly (e.g. selection of applicants or suppliers) • Turning a blind eye to or conniving at corruption by a third party (e.g. facilitation payments, fraud, theft, etc.)



Bribery Risk Within the University Means – what is it they might actually do?

Some of the means by which a bribe might be paid:

• Hidden payments – ‘brown envelopes’ • Apparently legitimate payments for illegitimate reasons • Unwarranted gifts, property, hospitality, etc. • The provision of position or enhanced standing • Preferential treatment or advancement • Sexual favour • Blackmail or duress Further detail on the means by which bribes can be paid is provided in Module 1 – ‘Bribery and the Damage Caused’. Back... Continue... Return to Module Menu


Bribery Risk Within the University Opportunity – how, when and where might it be done?

Opportunity is the bringing together of all the strands – motivation and means with the reward and activity concerned; the relationship between the person offering the bribe and the person accepting it.

Control of bribery risk often works on the basis of limiting opportunity through limiting the means, for example: - ensuring regular review and checks of the activities and people involved, particularly in areas where the risk is heightened; - understanding the nature of third parties involved and what their interests are; - understanding how the relationship between staff involved and third parties operates.



Bribery Risk Within the University Opportunity – how, when and where might it be done?

Controls tend to concentrate, therefore, on requiring more than one person to be involved in taking key decisions, authorizing major actions, or processing significant transactions. This ‘division of responsibilities’ or ‘segregation of duties’ not only makes it harder for someone to influence decisions and actions improperly (as they have to bribe or corrupt more than one person), but it also protects the people involved through lessening their potential exposure to this risk. Back... Continue... Return to Module Menu


Bribery Risk Within the University Bribery risk within the University – summary.

The University is not free from the risk of bribery... ...but it protects itself from the occurrence of bribery through the application of controls.

Bribery requires motive, means and opportunity... ...and whereas motive might be more difficult to control, opportunity is controlled by limiting the means.

Bribery is made more difficult through division of responsibilities and shared decision-making Back... Return to Module

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Who Do the Policies Apply To? Scope and application.

Both the Bribery & Fraud Policy and the Gifts & Hospitality Policy apply to:

“All staff and associated persons of the University”

What does this mean?

– particularly the term ‘associated persons’?

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Who Do the Policies Apply To? What are ‘associated persons’?

‘Associated persons’ are defined as: “Any person, company, other organization or legal entity that performs a service in the University’s name, represents the University in an official capacity, acts on its behalf or acts in place of other University staff or representatives.” This term, used within the Bribery Act, generally includes the following groups of people when applied to the University...

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Who Do the Policies Apply To? Who are ‘associated persons’?

- Members of staff or employees of the University and its subsidiary companies; - majority or wholly owned subsidiary companies of the University; - agents, sub-contractors, associates and consultants; - partners and collaborators in joint ventures; - recipients of grants from the University; - suppliers of fundraising, professional or other services from which the University benefits.



Who Do the Policies Apply To? The University.

It is important to note that these rules apply to ‘associated persons’ of the University. ‘The University’ within this context means the divisions, departments and services of the University of Oxford, including their academic, administrative and support functions. It includes Kellogg College and St Cross College but none of the other colleges of the University (although each may have its own, separate policies). Wholly and majority owned subsidiary companies of the University are included, except where the Board of Directors has defined a separate policy that is approved by the General Purposes Committee of the University. Oxford University Press is not included, having its own separate policies.



Who Do the Policies Apply To? Particular circumstances.

In addition to the general groupings others may also fall within the definition of ‘associated persons’ in certain circumstances. These include: - students, both undergraduate and for higher degrees; - visiting academics, speakers and lecturers; - external members of committees, panels or boards. The particular circumstances for each are set out on the following pages.



Who Do the Policies Apply To? Students.

Students generally are not ‘associated persons’ because their study is not a service to the University, nor does their status generally require students to act formally on behalf of the University or represent it in an official capacity. Students may become ‘associated persons’, however, under the following circumstances: (a) When undertaking work for the University that is not a normal part

of their course of study, e.g. - Paid laboratory supervision work; - Contributions to funded research projects; - Other part-time or casual work for a University body.

(b) When acting in a formal or official representative capacity for a University body, e.g.

- Participating in an official University sports team; - Performing in an official University theatre company or orchestra; - Membership of formal University committees.



Who Do the Policies Apply To? Visiting academics, speakers and lecturers.

Academics, speakers and lecturers who are not formal members of the University but who may be invited to speak, teach, coach, instruct or provide other services are ‘associated persons’ to the extent of their work for the University and any matters arising from this association. There does not need to be any payment or fee involved and the rules apply whether the work is undertaken within the UK or overseas.



Who Do the Policies Apply To? External members of committees, panels or boards.

Individuals who are not formal members of the University but who are invited to sit on formal University committees, panels or boards are ‘associated persons’ to the extent of the role they perform for the University and any matters arising from this association. In addition to committee membership, therefore, this can include: - membership of the directorial board or management committee of a University subsidiary company; - participation in any panel or group convened for the purposes of employment or supplier selection; - membership of any formal advisory board.



Who Do the Policies Apply To? A note about family, friends and private arrangements.

Family and friends of associated persons do not normally also fall within the definition. Similarly, the private business or social arrangements of a member of staff or associated person are not subject to these policies as long as they are entered into outside of the University and are unrelated to the University. Where family, friends or others are used as a means of avoiding the obligations placed upon associated persons, however, then clearly this will be considered differently. Depending upon the circumstances and the facts of the matter, the member of staff or associated person concerned may be held liable by the University for a breach of policy.



Who Do the Policies Apply To? Policy scope and application - summary.

Both policies apply to all staff and ‘associated persons’ - which generally means agents and representatives of the University, but can also sometimes include students and others.

‘The University’ means the divisions, departments and services of the University of Oxford - which includes subsidiary companies, Kellogg and St Cross Colleges, but excludes other colleges and OUP.

You cannot avoid either policy through using family or friends - private and unrelated matters are not covered but if friends, family or others act in your place or on your behalf as an associated person you may be liable for a breach of the policy concerned.

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University Bribery & Fraud Policy Summary of the UK 2010 Bribery Act.

The University’s Bribery and Fraud Policy is based upon the UK 2010 Bribery Act, interpretation of which is covered in Module 1 – ‘Bribery & The Damage Caused’. The Act is summarized as follows.

The following offences apply to an individual or an organization: Section 1 – Offering, promising or giving a bribe Section 2 – Requesting, agreeing to or accepting a bribe Section 6 – Bribery of a foreign public official

The following offence applies only to an organization: Section 7 – Failure to prevent bribery

There is also a specific offence relating to senior officers: Section 14 – Senior officers consenting to or conniving at bribery



University Bribery & Fraud Policy Policy statement and intent.

Bribery is not tolerated by the University. In its commitment to conducting its affairs honestly, openly and to the highest standards of integrity, the University will take all appropriate action to prevent bribery and fraud. Bribery and fraud by University employees or student members acting on behalf of the University will be treated as a serious disciplinary offence.



University Bribery & Fraud Policy University standards on bribery and fraud.

The Policy identifies five standards of behaviour, summarized as follows:

• Bribes shall not be offered, promised, given, requested, agreed or accepted for any purpose. • Fraud shall not be engaged in in respect of any activity carried out on behalf of the University. • Payment or acceptance of facilitation payments is unacceptable and will not be tolerated except where permitted by written law. • The Gifts and Hospitality Policy must be adhered to (provision or acceptance of inappropriate items might constitute bribery). • Any suspicion of bribery or fraud must be reported immediately trough the defined channels.



University Bribery & Fraud Policy The five golden rules.

In other words:

You must not commit bribery; You must not commit fraud; You must not offer facilitation payments; You must comply with the University Gifts & Hospitality Policy; You must report any concerns or suspicions of bribery or fraud. Definitions of both bribery and fraud are provided on the University’s web-site and Module 1 of this series – ‘Bribery & The Damage Caused’ considers bribery offences in more detail.


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




University Bribery & Fraud Policy Responsibilities.

The Registrar is responsible for ensuring that the Policy is implemented and maintained, but Heads of Division and Department are responsible for ensuring that all staff and affected persons in their respective areas are aware of the Policy.

All staff and associated persons who act on behalf of or provide services to the University are responsible for ensuring that they comply with the Policy and guard against bribery and fraud.



University Bribery & Fraud Policy Suspected instances of bribery and fraud.

There are Procedures For Dealing With Suspected Instances of Bribery and Fraud, published on the University web-site and summarized in Quick Guide 03. All suspicions and instances of bribery – including payments made under duress – must be reported to the Registrar or Director of Finance in accordance with these procedures. All reports will be treated in strictest confidence and as a disclosure under the University’s Public Interest Disclosure Code, which means that individuals will not be disadvantaged or treated negatively for making such a report.

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



















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






University Bribery & Fraud Policy Interaction with other University rules and regulations.

The Bribery and Fraud Policy does not operate in a vacuum, but interacts with other University policies, regulations and procedures, most notably: - The Gifts and Hospitality Policy; - Financial Regulations and Financial Processes; - The Policy on Conflict of Interest.



University Bribery & Fraud Policy Bribery risk assessments.

The Policy requires that bribery and fraud risk should be regularly assessed as part of the wider risk management performed by divisions, departments and committees.

To support this, guidance is provided in the ‘Bribery and Fraud Risk Awareness Toolkit’ that may be downloaded from the Bribery and Fraud web-site.


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

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


University Bribery & Fraud Policy Third parties.

Third parties acting for or providing services to the University are expected not to commit bribery and fraud. The University will take appropriate action should it discover that third parties are engaging in bribery and fraud.

Third parties should be made aware – and make themselves aware of – the University policy and guidance.

Where there is a significant or ongoing contractual relationship with third parties you should expect to include contractual obligations within the agreement that binds them to upholding the University’s policy. For more information on this and to obtain a copy of standard contract clauses contact the University Legal Services Office.


http://www.admin.ox.ac.uk/lso/statutes/briberyandfraudpolicy/






University Bribery & Fraud Policy Duress and personal danger.

The Policy recognizes that there is one exception under which payment of a bribe or facilitation payment may be made – duress.

Duress is defined as an immediate threat to life, limb or liberty.

Only where staff or individuals acting for the University find themselves in imminent or immediate personal danger – or where there is similar danger to others – may they make a payment that would otherwise be forbidden.

In all instances where this occurs the matter should be reported as soon as possible to the authorities in the location where the incident occurred and to the University via its procedures for reporting bribery.

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University Gifts & Hospitality Policy Section menu.

The detail of the University Gifts & Hospitality Policy is set out under the following headings: Please select one of the sections below by clicking on the adjacent button: Common Factors... Accepting Gifts & Hospitality... Providing Gifts & Hospitality... Record-keeping...



University Gifts & Hospitality Policy Common factors - principles.

The University’s staff and representatives must act, and be seen to act, at all times in a manner that is fair, impartial and without favouritism or bias. - you should not accept or provide gifts or hospitality that undermine this principle.

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University Gifts & Hospitality Policy Common factors - definitions.

Gifts and hospitality are defined as: the provision of property, consumables, services, entertainment or money for which no reasonable fee is paid in return by the recipient. This means that freely given items or services are covered by this policy, but items or services for which a reasonable fee has been paid are not. Thus, meals, entertainment and accommodation provided to a student or course participant in return for their fee would not be classed as hospitality for the purposes of this policy, but gifts that had no formal connection to the course and were given to an individual student by a member of staff would be.

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University Gifts & Hospitality Policy Common factors - donations and treatment of research income.

Although the standards, set out in the following sections, should be applied to the giving and receipt of charitable and philanthropic donations, there are separate procedures specifically governing the receipt of philanthropic donations. Whilst gifts and hospitality accepted or offered in relation to research projects are covered by the Gifts & Hospitality Policy, the funding and sponsorship of research is not a gift and should be managed separately in accordance with the guidance and procedures provided by Research Services. Continue... Back... Return to Section Menu

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







https://www1.admin.ox.ac.uk/researchsupport/applying/




University Gifts & Hospitality Policy Common factors - responsibilities.

The Registrar is responsible for ensuring that the Policy is implemented and maintained, but Heads of Division and Department are responsible for ensuring that all staff and affected persons in their respective areas are aware of the Policy and also that the required records are maintained.

The directors of University subsidiary companies are similarly responsible for ensuring compliance with this policy, or an alternative that is approved by the University.

Every member of staff and other associated persons who act on behalf of or provide services to the University is responsible for ensuring that they comply at all times with the Policy.

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University Gifts & Hospitality Policy Common factors - compliance.

Where there is any suspicion of bribery, fraud or corruption in respect of gifts or hospitality then the matter must be reported at once and in accordance with the procedures under the University Bribery & Fraud Policy.

General concerns about compliance should be reported in the first instance to the Council Secretariat.

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University Gifts & Hospitality Policy Accepting gifts & hospitality - standards.

Acceptance of gifts and hospitality must comply with four criteria that are summarized as follows: (a) The offer has been made for a proper purpose (b) Acceptance is consistent with University purposes (c) It is appropriate and of reasonable value (d) It accords with applicable policies and legislation The following pages explain each in more detail...




(a) The offer has been made for a proper business or charitable purpose, is consistent with reasonable custom and practice, and is not made with the intent or appearance of improperly influencing the individual recipient(s) or the University.

In other words: why has the gift or hospitality been offered? The building or maintenance of academic, collaborative, professional or business relationships is a proper purpose and generally accepted views on reasonable custom and practice a good guide as to whether an offer is acceptable. What is not acceptable is where the underlying intent is to exert undue influence on a decision, activity or outcome, or to induce someone to act improperly.




(a) The offer has been made for a proper business or charitable purpose, is consistent with reasonable custom and practice, and is not made with the intent or appearance of improperly influencing the individual recipient(s) or the University.

Arguably, all gifts and hospitality are given with some intent to convince the recipient that the provider should be seen more favourably, so a degree of caution is always recommended. One way of assessing intent might be to consider whether the offer is general or specific – it may be wise to decline gifts or hospitality that could be linked to a specific decision (e.g. to award a contract), for example, whereas those that are more general in nature are more likely to be acceptable. If there is any doubt in the intentions of the person or body making the offer then gifts or hospitality should be declined.




(b) Acceptance is consistent with the academic, professional or charitable purposes of the University, for promoting the values and reputation of the University, or aiding the establishment and maintenance of academic, collaborative, professional or business relationships with partners and supporters of the University.

There should also be good reason for accepting the gift or hospitality that can be justified in terms of the purpose of the University, promoting its reputation and values, or as a means of developing academic, collaborative, professional or business relationships. Ask yourself, how does accepting this gift or hospitality promote any of the above?




(b) Acceptance is consistent with the academic, professional or charitable purposes of the University, for promoting the values and reputation of the University, or aiding the establishment and maintenance of academic, collaborative, professional or business relationships with partners and supporters of the University.

Hospitality is easier to assess under this criteria – does it present an opportunity to discuss matters of academic or other business? If it is entirely for pleasure it may be difficult to justify. Gifts can be considered in terms of whether you accept them on behalf of the University, or whether you accept them in a personal capacity. Ask yourself: is it likely that the gift would be presented to or displayed in the department? Is it a gift to share with colleagues or for personal use/consumption? If in doubt it is generally safer to decline an offer than to accept.




(c) The gift or hospitality offered is appropriate and the value, whether estimated or known, appears reasonable and proportionate to the circumstances.

An appropriate gift or act of hospitality is one that meets all of the standards set out in this policy. Further guidance is provided on the University web-pages in the form of a seven point guide – ‘What is an appropriate gift or hospitality?’







(c) The gift or hospitality offered is appropriate and the value, whether estimated or known, appears reasonable and proportionate to the circumstances.

The value, or estimated value, of anything accepted should not be disproportionate to the circumstances. For example: if a student offers a small thank you gift at the end of a course then this is likely to be proportionate to the circumstances; if the same student offers to entertain the head of Department at the family villa in Italy for two weeks, however, then this is unlikely to be considered proportionate. Another way of assessing reasonable value is to ask yourself whether, if the situation were reversed and the University were offering the gift or hospitality, would it be of similar value and type?




(d) Acceptance is in accord with all applicable University policies and governmental legislation.

Acceptance of any gift or hospitality must not break either University policies and rules or any governmental legislation that applies. Clearly, there is a close link between University policies for Gifts & Hospitality and Bribery & Fraud, but you may also need to consider other factors such as conflict of interest or any duty of care owed. Depending upon who is making the offer and where the gift or hospitality is actually received, there may also be different national laws that apply. UK Bribery Act legislation applies to all staff and associated persons, wherever they are in the world, but in some countries there are also restrictions on items that are unrestricted in the UK – alcohol, for example.




In addition to the criteria outlined on the previous pages, staff and associated persons are required to receive and acknowledge gifts and hospitality openly without any degree of secrecy. This is to protect against any appearance of malpractice: showing that there is nothing untoward to hide. This principle is also carried through to the requirements for record-keeping, set out in the separate sub-section. The keeping of a Gifts & Hospitality Register is as much about displaying transparency and fairness as it is about controlling unacceptable behaviour.




The final standards concern behaviour that is not acceptable: staff and associated persons are expressly prohibited from requesting or accepting gifts or hospitality: (a) Of money or of a monetary nature – this could include vouchers as well as cash; (b) As inducement for providing particular services or preferential treatment to any individual or organization; (c) In return for not performing their work for the University properly or impartially; (d) From or on behalf of any individual or organization involved in a current or active application for admission, application for employment, or a procurement tender process, for the duration of the process concerned.

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University Gifts & Hospitality Policy Accepting gifts & hospitality – authority to accept.

Gifts and hospitality that are in complete accord with the standards set out on the previous pages may be authorized as follows: Outside of the UK you should apply these thresholds to the equivalent sterling value of the local currency.

Condition and likely total value Approver

Gifts or hospitality up to £100 Self-approval

Gifts or hospitality up to £500 Departmental Administrator

Gifts or hospitality up to £1,000 Head of Department

Gifts or hospitality exceeding £1,000 Head of Division



University Gifts & Hospitality Policy Accepting gifts & hospitality – dealing with gifts accepted.

Guidance is provided outlining how gifts received should be dealt with: (a) Symbolic or ceremonial gifts, for example marking a new

venture or the anniversary of a joint venture between institutions, should be retained by the department and displayed or stored accordingly.

(b) Gifts of food, beverages and other consumables should be handled depending upon the quantity and nature of the gift – departments may consider distributing such items freely amongst staff, or otherwise disposing of them for charitable purposes; whilst it is impractical to insist upon rigid rules for low value, small items, the general principle should be that individuals should not benefit unduly from gifts received purely by virtue of their position.



University Gifts & Hospitality Policy Accepting gifts & hospitality – dealing with gifts accepted.

(c) Gifts of equipment or substantial items should always be treated as gifts to the department and used, displayed or stored by the department accordingly.

(d) Gifts of clothing or personal items must be treated with caution since there is a raised risk of it being construed as something that brings official duties and personal interests into conflict – whilst it would normally be allowable for an individual to accept and keep small items or relatively low value (such as scarves, ties, mugs, books, etc.), substantial or high value items (including jewellery) should always be treated as gifts to the department and treated in the same manner as symbolic or ceremonial items.

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University Gifts & Hospitality Policy Providing gifts & hospitality - standards.

Gifts and hospitality should only be offered for one of the following purposes: (a) to promote the values and reputation of the University for academic, professional or charitable purposes – e.g. academic items (including books), invitations to University events, promotional items. (b) to aid the establishment and maintenance of academic, collaborative, professional or business relationships with partners and supporters of the University – e.g. a meal to enable a meeting, gifts to mark the signing of an agreement, etc. (c) to provide a small token of thanks to University staff, associates or supporters for their contribution to the work of the University – e.g. team meals, departmental events at Christmas, etc.




In addition, every case must also satisfy all of the following criteria: (d) the purpose is not to influence individual recipients or bodies improperly, nor solely to provide personal entertainment – i.e. There is no intent behind it to exert undue influence on the recipient or induce them to do something improper. (e) the gift or hospitality offered is appropriate and the value is reasonable and proportionate to the circumstances – i.e. it is fitting to the circumstances and not too lavish or costly. (f) provision is in accord with all applicable University policies, governmental legislation and, to the extent it can be reasonably determined, the rules and policies of the recipient organization – i.e. in addition to ensuring that it complies with University rules and any legislation that applies, you should try and ensure that it does not break any rules that might apply to the recipient. If in doubt, ask.




Gifts and hospitality should always be offered and provided in an open and transparent manner without any degree of secrecy attached. This is to protect against any appearance of malpractice: showing that there is nothing untoward to hide. This principle is also carried through to the requirements for record-keeping, set out in the separate sub-section. The keeping of a Gifts & Hospitality Register is as much about displaying transparency and fairness as it is about controlling unacceptable behaviour.




The final standards concern behaviour that is not acceptable : staff and associated persons are expressly prohibited from offering or providing gifts or hospitality: (a) Of money or of a monetary nature – this could include vouchers as well as cash; (b) As inducement to any individual or organization for providing particular services or preferential treatment; (c) In expectation or as a reward for an individual or body not performing their work for the University properly or impartially; (d) To any individual or organization responsible for a formal application, tendering or procurement process immediately prior to or during that process.




The University does not make political donations. This includes any gift to political parties or foundations on behalf of the University. When dealing with politicians who act as speakers or invited guests you may pay them a fee for their time or expenses to cover costs as well as provide reasonable hospitality (such as would be provided to any other speaker or guest). What you should not do, however, is make any payment or offer any gift that goes beyond this – this could come about, for example, if the speaker waives his or her fee and asks it to be paid to another body instead.



University Gifts & Hospitality Policy Providing gifts & hospitality – authority to offer.

Gifts and hospitality that are in complete accord with the standards set out on the previous pages may be authorized by people who have budgetary authority to spend funds as follows:

Outside of the UK you should apply these thresholds to the equivalent sterling value of the local currency.

Condition and likely total value Approver

Gifts or hospitality up to £100 Self-approval

Gifts or hospitality up to £500 Departmental Administrator

Gifts or hospitality up to £1,000 Head of Department

Gifts or hospitality exceeding £1,000 Head of Division



University Gifts & Hospitality Policy Providing gifts & hospitality – public officials.

Take extra care when offering gifts or hospitality to a public official. The risk is greater of appearing to exert improper influence or of giving the impression that the offer is to win favour. Many public officials, particularly in the UK, are not allowed to accept any gifts or hospitality. It is advisable to check, therefore, before any offer is made. A public official is: anyone in a position of official authority that is conferred by a state, i.e. someone who holds a legislative, administrative or judicial position of any kind, whether appointed or elected.




Obvious examples of public officials include: - government ministers and civil servants; - local government members and officials; - the police and other security agencies such as immigration and border control; - the armed forces.

There are also some examples where the classification is less obvious...




The definition of public official also extends to include officials or agents of public international organizations who may not regard themselves as public officials, e.g. - ‘QUANGOS’ (bodies financed by governments but nominally independent – examples include the Law Commission, British Library, Civil Aviation Authority, etc. - World bodies such as the World Bank, United Nations, Red Cross, etc. - Commercial and other state-run bodies – in China, for example, commercial enterprise is largely state-owned; but also in Europe the employees of some universities and research institutions are regarded as civil servants.

If in doubt it is safer to treat the recipient as a public official than to assume otherwise.



University Gifts & Hospitality Policy Providing gifts & hospitality – gifts & hospitality offered to staff.

Gifts and hospitality offered to staff and associated persons is covered by the Gifts & Hospitality policy and so must comply with its principles and standards. For tax reasons, however, the financial processes set out in the University Expenses & Benefits Guide must also be followed. You should not offer gifts or hospitality to staff or associated persons if there is any possibility that they might influence or appear to influence that individual improperly.



University Gifts & Hospitality Policy Recording gifts and hospitality.

A formal record must be kept of all gifts and hospitality received or provided which exceed the self-approval threshold – i.e. £100. It is also necessary to record the details of any series of gifts or hospitality that in cumulative total exceed £100 over any rolling 12 month period and are accepted from the same source or provided to the same person or body. Further details are provided on the following pages including examples and guidance on how items should be recorded...




Single gifts or acts of hospitality. When you give or receive any single gift or act of hospitality that exceeds (or is estimated to exceed) £100 then this must be recorded in the Gifts & Hospitality Register. This threshold is the total value of the gift or hospitality not the value enjoyed by each individual. Thus, if you provide a meal to a third party that only you and the other person attend and the total value is £130 then you should record it – do not split the value to £65 each. Particularly for items received it may also be difficult to judge the value as a receipt is unlikely to be provided – in such cases a reasonable estimate of value will suffice. Back... Continue... Return to Section Menu



Series of gifts or hospitality. When you give to the same person or body any series of gifts or hospitality that cumulatively exceed (or is estimated to exceed) £100 in any rolling 12 month period then this must be recorded in the Gifts & Hospitality Register. Also, if you accept from the same body or person a similar series of gifts or hospitality then this must also be recorded. For example, a supplier invites you to a business meal in June, estimated value £40, a further meal in August also estimated at £40, and then provides a gift at Christmas estimated to be worth £30. This series should be recorded. (You may create a single record detailing all instances once the threshold is reached, rather than individual records for each instance.)



University Gifts & Hospitality Policy Recording gifts and hospitality – the Register.

A template Gifts & Hospitality Register is provided for departments to record all required details, which must be done within 28 days of the receipt or offer concerned. The Register should be kept under constant review by the Departmental Administrator or Head of Department to ensure that the principles and standards of the Policy are being applied consistently. Copies of departmental registers will be requested on at least an annual basis by the Registrar or the Council Secretariat. Records must be complete, accurate and up to date as the information may also be published at any time at the discretion of the University, requested for review by the Internal Auditor, or made available under the provisions of the Freedom of Information Act.



Test My Knowledge

The following pages contain scenarios and questions with multiple choice answers that are designed to illustrate further the key points covered in this module. Consider the question and select your answer by clicking on the adjacent button. Some scenarios may have more than one correct, or partially correct, answer.



Test My Knowledge

The administrative officer who processes most of the department’s purchase orders wants to know whether to accept the offer of a business meal with the sales manager of Oxbridge Stationery Ltd. The salesman is keen to discuss new prices and discounts.

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1. ‘Business’ meals.

There is no harm in attending and discussing new prices as long as the department is not committed to anything.

A.

The person who authorizes purchases, not the person who processes them, should attend the meal instead.

B.

The officer should attend and see what savings it is possible to obtain to help reduce the department’s spend in this area.

C.

It would be better to invite the sales manager to the department to discuss the new prices, rather than attending the meal.

D.


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There is no harm in attending and discussing new prices as long as the department is not committed to anything.

A.

Inadvisable – the administrative officer, as processor rather than authorizer of orders, is probably not the right person to discuss prices with, so is there another motive for the salesman targeting this person? Consider what it might look like if the offer were accepted and the department started to place more orders with this supplier – there could at least be the appearance here of undue influence.

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The person who authorizes purchases, not the person who processes them, should attend the meal instead.

B.

Inadvisable – although the administrative officer, as processor rather than authorizer of orders, is indeed not the right person to send, why is it necessary to hold this discussion over a meal? Would there be any appearance of undue influence if, afterwards, the department started to use this supplier?

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The officer should attend and see what savings it is possible to obtain to help reduce the department’s spend in this area.

C.

Inadvisable – the administrative officer, as processor rather than authorizer of orders, is probably not the right person to discuss prices with, so is there another motive for the salesman targeting this person? Consider what it might look like if the offer were accepted and the department started to place more orders with this supplier – there could at least be the appearance here of undue influence.

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It would be better to invite the sales manager to the department to discuss the new prices, rather than attending the meal.

D.

Correct – whilst the offer of a meal may be entirely innocent, you need to consider appearances as well as fact. The safest route, if this is a genuine business offer on pricing, is to invite the salesman to the department for a formal meeting with the people who are able to take the decisions on this matter.

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Test My Knowledge

The Internal Auditor is keen to understand on what basis you have assessed the department’s exposure to bribery risk as being ‘low’. What approach will you have used to reach this conclusion?


2. Risk assessment.

The Risk Assessment from the Bribery Toolkit indicated that there were no departmental activities that were at risk.

A.

The Risk Assessment from the Bribery Toolkit showed that there were risks, but also controls in place to mitigate them.

B.

The department has carried out its own risk assessment as part of its wider Risk Management processes.

C.

The department is not involved in major projects or overseas activities, so no formal assessment was deemed necessary.

D.


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2. Risk assessment.

The Risk Assessment from the Bribery Toolkit indicated that there were no departmental activities that were at risk.

A.

Are you sure? Most departments will have at least one activity that has some raised risk (such as purchasing, use of agents, etc.) – perhaps you have not analysed the activities of the department in sufficient detail, as set out in the Toolkit?

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2. Risk assessment.

The Risk Assessment from the Bribery Toolkit showed that there were risks, but also controls in place to mitigate them.

B.

Correct – Most departments will have at least one activity that has some raised risk (such as purchasing, use of agents, etc.) but if that risk is then effectively controlled, its current status can be regarded as ‘low’.

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2. Risk assessment.

The department has carried out its own risk assessment as part of its wider Risk Management processes.

C.

Probably correct – although use of the Risk Assessment in the Toolkit is not mandatory, it is tailored to consideration of bribery-related matters. The danger with relying upon a more general Risk Assessment is that it may be too general. Equally, however, if there is sufficient evidence of the risk and controls assessed then this is a valid approach.

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2. Risk assessment.

The department is not involved in major projects or overseas activities, so no formal assessment was deemed necessary.

D.

Incorrect - most departments will have at least one activity that has some raised risk (such as purchasing, use of agents, etc.) so it is necessary in some form to undertake a formal assessment of the possible risks and how these are, or might be, controlled.

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Test My Knowledge

The Head of Department wants to know if it is necessary to record in the Gifts & Hospitality Register the receipt of a silver pen, valued at £100 - £150, given to the chairman of the department’s Outreach Committee who is not on the payroll but a local business leader.


3. Keeping records.

Yes – but only if the gift was received as a direct result of the chairman’s work for the department.

A.

Yes – it is better to record everything, just to be on the safe side.

B.

No – the chairman is not a member of staff and so the gift is a matter between him and the person who provided it.

C.

No – the item is not of sufficient value to be recorded and the department does not deem this a risk.

D.


Test My Knowledge

The Head of Department wants to know if it is necessary to record in the Gifts Register the receipt of a silver pen, valued at £100 - £150, given to the chairman of the department’s Outreach Committee who is not on the payroll but a local business leader.

3. Keeping records.

Yes – but only if the gift was received as a direct result of the chairman’s work for the department.

A.

Correct – the threshold for recording gifts is £100 but only applies in this case if the gift was provided in connection with the chairman’s work for the University. A gift entirely unrelated to work for the University does not require recording.

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3. Keeping records.

Yes – it is better to record everything, just to be on the safe side.

B.

Incorrect – although the item exceeds the £100 recording threshold, you should only record gifts that are given as a result of or arising from an individual’s work for the University. If this gift had nothing to do with the duties of Chairman of the Outreach Committee because the person involved is not a member of staff there is no need to record it and in fact, in such circumstances, if you did record it there may be separate Data Protection implications.

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3. Keeping records.

No – the chairman is not a member of staff and so the gift is a matter between him and the person who provided it.

C.

Incorrect – this is only true if the gift had nothing to do with the role of chairman or his work for the department.

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3. Keeping records.

No – the item is not of sufficient value to be recorded and the department does not deem this a risk.

D.

Incorrect – the threshold for recording gifts is £100.

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Test My Knowledge

The leader of an overseas clinical trial has called, frustrated that the latest batch of vaccines sent from Oxford has been held in customs and will not be released without payment of a bribe. Some of the trial participants may die if there is further delay so can we pay the bribe?


4. Duress.

Pay the bribe – this is clearly a case where there is danger to life if the payment is not made.

A.

Pay the bribe, but ensure that it is recorded via the University process for reporting bribes.

B.

Do not pay the bribe until there has been the opportunity to obtain further guidance.

C.

Do not pay the bribe – clearly the threat is not imminent or immediate so the defence of duress does not apply.

D.


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4. Duress.

Pay the bribe – this is clearly a case where there is danger to life if the payment is not made.

A.

Incorrect – although there may be danger to life by further delay, this threat is by no means imminent or immediate. You should try other routes first to get the shipment released (these are discussed in Module 3) and only if all options are exhausted might it be allowable to pay to get the items released.

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4. Duress.

Pay the bribe, but ensure that it is recorded via the University process for reporting bribes.

B.

Incorrect – although there may be danger to life by further delay, this threat is by no means imminent or immediate. You should try other routes first to get the shipment released (these are discussed in Module 3) and only if all options are exhausted might it be allowable to pay to get the items released.

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4. Duress.

Do not pay the bribe until there has been the opportunity to obtain further guidance.

C.

Partly correct – if in doubt, seek advice, although in this situation the advice would likely be that this threat is by no means imminent or immediate. You should try other routes first to get the shipment released (these are discussed in Module 3) and only if all options are exhausted might it be allowable to pay to get the items released.

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4. Duress.

Do not pay the bribe – clearly the threat is not imminent or immediate so the defence of duress does not apply.

D.

Correct – although there may be danger to life by further delay, this threat is by no means imminent or immediate. You should try other routes first to get the shipment released (these are discussed in Module 3) and only if all options are exhausted might it be allowable to pay to get the items released.

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A project manager, seconded for 8 months from Martelli Consulting, has proposed hosting a meal (paid for by Martelli) at the end of the project for all departmental staff involved. Are there any significant bribery risks associated with this offer?


5. Consultants.

Yes – the Gifts & Hospitality principles, which apply to consultants, would disallow this as personal entertainment.

A.

No – the project is complete and, as long as the meal is not overly elaborate or expensive, there is no bribery risk.

B.

Yes – it could be construed that Martelli is unduly influencing staff so that they are used again in the future.

C.

No – the University Expenses & Benefits Guide allows meals of this type as long as the department approves.

D.


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5. Consultants.

Yes – the Gifts & Hospitality principles, which apply to consultants, would disallow this as personal entertainment.

A.

Incorrect – although you are right to identify that the consultant is bound by these principles, being embedded into the University on secondment, such a meal is legitimate business entertaining so would not be disallowed on this basis.

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5. Consultants.

No – the project is complete and, as long as the meal is not overly elaborate or expensive, there is no bribery risk.

B.

Partly correct – the principles are correct and there is unlikely to be any real instance of bribery or undue influence here. Depending upon what is proposed, however, the appearance could suggest otherwise to those not directly involved, particularly if the celebration is in any manner elaborate or expensive, so caution must still be exercised.

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5. Consultants.

Yes – it could be construed that Martelli is unduly influencing staff so that they are used again in the future.

C.

Partly correct – in principle and fact it is unlikely that there is any real instance of bribery or undue influence here. However, the appearance could suggest otherwise to those not directly involved – particularly if the celebration is in any manner elaborate or expensive, so caution must still be exercised (which does not mean that the meal cannot go ahead, but that care must be taken that it does not appear to exert any influence of the activities of the department or the people involved).

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5. Consultants.

No – the University Expenses & Benefits Guide allows meals of this type as long as the department approves.

D.

Incorrect – the University Expenses & Benefits Guide applies to meals and entertainment provided by the University to its own staff. In this case, although the consultant is ‘embedded’ they remain on the staff of a third party who is also paying for the entertainment, so it is the Bribery & Fraud and Gifts & Hospitality rules that apply, not those of the Expenses & Benefits Guide.

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

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