Group Anti-Bribery Policy

20 September 2022

 

 

1. What this policy is about

The Bribery Act 2010 came into force on 1 July 2011.  It introduced a new crime of ‘failure to prevent’ bribery which means that organisations unable to demonstrate they have implemented ‘adequate procedures’ to prevent corrupt practices within their business, or by third parties on their behalf, could be exposed to unlimited fines as well as other consequences such as being prohibited from tendering for public sector contracts.

We value our reputation for ethical behaviour and for robust financial probity and reliability.  We are committed to achieving the highest standards of probity, good practice and governance in all our activities and expect all employees and board members to practice those principles.

The board and senior management team take a zero-tolerance approach to bribery and corruption.  We are committed to acting professionally, fairly and with integrity in all our business dealings and relationships wherever we operate and implementing and enforcing robust systems to counter bribery. It is recognised that any involvement in bribery, will reflect adversely on our image and reputation.

The purpose of this Policy, which has been approved by our Group Board, is to set out the principles by which we will limit its exposure to bribery by:

 

• Taking a zero-tolerance approach to bribery;
• Training all employees and board members so that they can recognise and avoid the use of bribery by themselves and others;
• Encourage 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 the police and other appropriate authorities in any resultant prosecution; and
• Taking firm and vigorous action against any individual(s) involved with bribery.

 

Our aim is to ensure that our board and employees understand the implications of the Bribery Act 2010 and also communicate its objectives to those third-parties with whom we have an active business relationship.

 

Bribery can occur both actively and passively.  Active bribery refers to the offence committed by the person who promises or gives the bribe.  Passive bribery is the offence committed by the person who receives the bribe.  Active bribery occurs on the supply side; passive bribery on the demand side.

 

Offences under the Bribery Act 2010 can be broadly classified as follows:

 

• Section One: Offences of bribing another person (i.e. offering, promising or giving financial or other advantage for improper performance of function – such bribes could be money, payment in kind, goods or services).
• Section Two: Offences relating to being bribed (i.e. requesting, agreeing to receive or accepting a financial or other advantage).
• Section Six: Bribery of foreign public officials (offering, promising or giving a financial or other advantage, either directly or indirectly, intending to obtain or regain business or an advantage in business conduct).
• Section Seven: Failure of a commercial organisation to prevent bribery (if a person associated with an organisation bribes another person to obtain or retain business, or a business advantage for the organisation.  The organisation may not have actual knowledge or day to day control over actions and could therefore unknowingly commit an offence).

 

The Act sets out a statutory defence, for an organisation if it can demonstrate that it has ‘adequate procedures’ in place which are designed to prevent bribery occurring.  What is ‘adequate’ will be determined by the courts on a case by case basis and in part will be determined by how effectively an organisation has followed the Act’s six principles. 

 

The six principles are designed to help organisations decide what action is needed for the type, size and nature of their business.  Outlined below are the six principles and a summary of our response to each of those principles.

 

No	Principle	Our response
1	Proportionate procedures	Anti-bribery measures and actions taken by us should be proportionate to the risk faced and the size of the organisation.  A risk assessment has been undertaken to identify higher risk activities and design effective controls.
2	Top level commitment	This Policy and approach have been approved by the board and senior management team.
3	Risk assessment procedures	A risk assessment has been undertaken to identify higher risk activities. Implementation of enhanced monitoring if required.
4	Due diligence of existing or prospective associated persons	Requirement to assess on-going and new activities, and the use of third parties and implement enhanced controls if necessary.
5	Communication and training	Approval and dissemination of policy to all staff.  Staff training for all employees and enhanced training in areas assessed as higher risk.
6	Monitoring, review and evaluation of bribery prevention procedures	Annual review of gifts and hospitality register by the Chair of Audit and Risk Committee.  Whistleblowing Policy.

 

In order to demonstrate a defence against any allegation of bribery it is important that all of the anti-bribery measures set out in this Policy are followed and practiced by all employees and board members.

 

What are the penalties?

Bribery and corruption are punishable for individuals by up to ten years imprisonment and/or an unlimited fine.  Organisations found to have taken part in corruption could face an unlimited fine, be excluded from tendering for public contracts and face damage to its reputation.

 

2. Who this policy is for

This Policy applies to all individuals working at all levels and grades within the organisation, including directors, board members, managers, employees (whether permanent, fixed-term or temporary), seconded staff, casual workers and agency staff, volunteers or any other person associated with us, wherever located. 

The Policy also applies to consultants, contractors, distributors, representatives, brokers, suppliers, agents, sponsors, joint venture partners and any other person or body acting on our behalf.  Collectively they are known as ‘third-parties’.

Third-parties, who act on our behalf, must operate at all times in accordance with this Policy.  Employees are responsible for the evaluation of each third-party relationships and determining whether or not there are specific risks.  Where specific risks are identified, the third party, should be made aware of this Policy, and employees should ensure that appropriate enhanced controls are implemented to monitor and control the risk. 

It is important that you take the time to read and comply with the Policy.  The prevention, detection and reporting of any bribe or corruption is the responsibility of all employees and third-parties.  Appropriate confidential channels are in place for employees and third-parties to report any suspicion of bribery or corruption. 

 

Any failure to comply with this Policy will be treated seriously and may result in disciplinary action.

 

We are strongly committed to fairness and equal opportunities for all. This policy meets the requirements set out by the Equality Act 2010 and aims to prevent unlawful discrimination on the grounds of disability, race, gender, age, sexual orientation, religion and beliefs, pregnancy and maternity, gender reassignment, marriage and civil partnerships.

 

3. Our approach

YHN prohibits

the offering, giving, solicitation or acceptance of any bribe, whether cash or other inducement

to or from

Any person or organisation, wherever they are situated and whether they are a public official or body or a private person or a company;

by

Any individual employee, board or committee member, agent or other person or body acting on our behalf;

in order to

Gain any commercial, contractual or regulatory advantage for us in a way which is unethical

or in order to

Gain any personal advantage, financial or otherwise, for the individual or anyone connected with the individual

Therefore it is not acceptable for you (or someone on your behalf) to

Threaten or retaliate against another employee who had refused to commit a bribery offence or who has raised concerns under this Policy; or

Engage in any activity that might lead to a breach of this Policy.

All employees are expected to conduct themselves with integrity, impartiality and honesty at all times.  All employees are required to follow the rules on gifts, hospitality and entertainment which are set out in the Code of Conduct for Employees. All board members are required to follow the rules on gifts, hospitality and entertainment which are set out in the Board Member Code of Conduct.

 

It is important to maintain a high standard of professionalism and not to open yourself up to suspicion or put yourself in a position of conflict between your work and your private interests.  Gifts and entertainment given and received as a reward, inducement or to encourage preferential treatment or inappropriate or dishonest conduct are strictly prohibited.  In particular, no gifts, hospitality or entertainment may be given or accepted during a tender process or during contractual negotiations if there is any realistic risk that the acceptance of such gifts or hospitality could influence the outcome of such processes or negotiations.

 

It is important that all employees’ actions are able to withstand scrutiny, and not cause any embarrassment to the organisation, yourself or any third party, including contractors or suppliers.

 

A Register of Gifts and Hospitality is maintained by the Company Secretary.  All offers of gifts, hospitality and entertainment must be recorded whether or not it has been accepted.  You must complete the Declaration and Approval form which can be found on the staff intranet. The register will be reviewed annually by the Chair of the Audit and Risk Committee and reported to the Committee annually. 

 

If you have any questions about receiving or declaring gifts, hospitality or entertainment please contact the Company Secretary for advice.

 

 

Political donations

We do not make contributions or donations to political organisations or independent candidates. We respect the right of individual employees to make personal contributions provided they are not made in any way to obtain advantage in a business transaction.

 

Procurement

We aim to obtain overall best value for money from appropriate and professional relationships with suppliers of goods and services. In accordance with our Corporate Procurement Strategy all purchasing must meet genuine business needs and utilise company resources in a cost effective manner.  The selection of suppliers must follow appropriate processes to ensure value for money. Due diligence will be undertaken on all suppliers.

 

Facilitation payments

Facilitation payments are defined as ‘any facilitating payment or expediting payment to a foreign official, political party, or party official the purpose of which is to expedite or to secure the performance of a routine government action’. 

Facilitation payments are illegal under UK law.  Although not common in the UK, no employee or third-party may willingly offer to make, or make, a facilitation payment.

 

Training and communication

Training on this Policy will form part of the induction process for all new employees.  All current employees will receive regular, relevant training on how to implement and adhere to the Policy.

Our zero-tolerance approach to bribery and corruption is communicated to all suppliers, contractors and business partners at the outset of business relationships and as appropriate thereafter.

    

Reporting, monitoring and review

The Company Secretary will monitor the effectiveness and review the implementation of this Policy, regularly considering its suitability, adequacy and effectiveness.  Any improvements identified will be made as soon as possible.  Internal control systems and procedures are subject to regular audits to provide assurance that they are effective in countering bribery and corruption.

 

All employees are responsible for the success of this Policy and should ensure they use it to disclose any suspected incidents or wrongdoing.

 

This Policy does not form part of any employee’s contract of employment and may be amended at any time.

 

For policy queries or more information, contact the author or the People and Policy Team.

 

 

Glossary

 

Here is a brief explanation of some of the terms used in this policy:

 

 

Bribery	is a form of corruption.  It can be defined as giving, promising offering, requesting, agreeing to receive or the acceptance of any gift, fee, or other reward, to or from any person, as an incentive to do something that is dishonest, illegal, improper or a breach of trust.
Corruption	is the offering, giving, soliciting or acceptance of an inducement or reward which may influence the action of any person; or the failure to disclose an interest in order to enjoy financial or other pecuniary gain.

 

 

 

 

 

 

 

 

 

 

 

 

 

Current version:	1.2
Date published:	20 Sept 2022
Date of next review:	Sept 2025
Author:	Jill Davison, Assistant Director Insight & Engagement
Owner:	Jill Davison, Assistant Director Insight & Engagement
Approved by:	YHN Group Board	Date:	20/09/2022