Bribery Prevention Policy - Uppingham School

Prevention of Bribery Policy This policy explains Uppingham School’s liability under the Bribery Act 2010, what problems may arise in practice, and what the School can do to minimise the chances of problems arising. The policy applies to employees of USE Ltd as well as School employees.

1.

Overview of Bribery Act Broadly speaking, bribery is the giving or receiving of something of value to influence a transaction. The bribe induces another person to act improperly, or rewards improper conduct.

Improper conduct is where a person’s conduct is in breach of an expectation to act in good faith, impartially, or in accordance with a position of trust.

The Bribery Act sets out four categories of offence: 1. Offering, promising or giving a bribe 2. Requesting, agreeing to receive, or accepting a bribe 3. Bribing a foreign public official to obtain and receive business or advantage 4. Failing to prevent bribery Both School and employees personally may be liable for the first three acts of bribery.

Under the fourth category, of failing to prevent bribery, the School may be liable if it fails to prevent a person “associated” with the School from bribing another person for the School’s benefit: − − − −

2.

Employees, representatives, agents and some (but not all) suppliers are likely to be “associated” with the School. A supplier of services is likely to be an associated person, but a supplier of goods is not.

Failing to prevent bribery is a strict liability offence, which means that the School could still be liable even if its Trustees or senior managers were not involved or did not know what was going on.

It would be a defence to show that the School had in place “adequate procedures” to prevent bribery (see Section 3, below).

The potential consequences of being convicted of a Bribery Act offence include criminal penalties for both individuals (up to 10 years in prison and/or an unlimited fine) and the School (an unlimited fine).

How the Bribery Act may affect the School in practice 2.1 Risk assessment The following are examples in which the School could hypothetically be at risk of a bribery offence (the list is not exhaustive): − Securing a place at the School for a child − Securing an appointment of a pupil to a position within the School − Securing preferential treatment for a pupil − Influencing a purchasing or tendering decision inappropriately − Securing a fee remission in exchange for promoting the School at a feeder school − Securing a planning decision through inappropriate influence − Securing an advantage in establishing an overseas school − Etc. The following activities are therefore at risk of giving rise to bribery (again, the list is not exhaustive): − Hospitality − Gifts − Purchasing/tendering − Donations − Fee remissions

Version: 11/2014 Reviewed: 09/2019 Next Review: N/A

1

− − −

Pupil recruitment in UK and overseas Establishing an overseas school Etc.

2.2 Hospitality and gifts Genuine hospitality and the giving and receiving of gifts are not prohibited by the Act. They become a problem only if they are provided with the intention of procuring an improper benefit.

Small gifts (up to a value of £100) to a teacher from a pupil or parent as a “thank you” for extra support are unlikely to be an issue. Likewise, the Government recognises that hospitality is an accepted part of modern business practice, but “lavish” corporate or personal hospitality/entertainment may be an offence under the Bribery Act if it is used to secure an advantage. Reasonably priced tickets to a sporting event will not normally amount to a Bribery Act offence.

Whether an offence has been committed will be judged by what a “reasonable person in the UK” thought (i.e. common sense).

Examples of conduct unlikely to amount to an offence include the following: − Provision of lunch to prospective parents and pupils during an open day. − Payment of travel and accommodation costs for a prospective teacher (and partner) while attending a job interview at the School. − A discount offered by a supplier in order to gain the School’s business, provided that the School (and not an employee or Trustee) receives the discount. − The award of a bursary or similar benefit should not be a problem provided the award is made against objective and justifiable criteria and the School keeps a written record of its decision-making process.

2.3 Fee remissions to feeder prep school Heads Fee remissions offered to the Heads of feeder prep schools in line with the School’s prevailing policies and procedures are unlikely to constitute an offence provided there is no intention to induce the Head to perform improperly the activity of recommending a senior school for a pupil at the prep school, or intending to reward the Head for improper performance of that activity.

New remissions to feeder prep school heads will be limited to scholarships and bursaries, given against objective and justifiable criteria, in relation to which the School will keep a written record of its decision-making process.

A remission given to a feeder prep school Head will include the following wording: “There is in the giving of this fee remission absolutely no expectation whatsoever that you will recommend this school for any of the pupils of [your] school if you do not genuinely believe it to be the right school for that pupil. Rather, we expect you always to put the interests of each pupil first and to focus fully and solely on the needs and aptitudes of the pupil”.

3.

What the School can do to minimise the risk of bribery offences As mentioned in Section 1, above, it is a defence against failing to prevent bribery to show that the School had “adequate procedures” in place to prevent bribery. Government guidance sets out six principles for adequate anti-bribery measures: Proportionate procedures; top level commitment; risk assessment; due diligence; communication; and monitoring/review.

The School’s policy is therefore set out below.

3.1 Appointment of a Bribery Compliance Officer The School has nominated the Bursar with overall responsibility for compliance with the Bribery Act. All requests for the giving or receipt of gifts or services over the value of £100 must be referred to the Bribery Compliance Officer, who will seek further guidance if necessary from other senior managers.

Version: 11/2014 Reviewed: 09/2019 Next Review: N/A

2

The Bribery Compliance Officer will keep a register of all personal gifts and other benefits (e.g. hospitality) given and received with a value of £100 or more. This should enable the School to monitor benefits given or received, and to identify any trends.

3.2 Amendment of agreements with staff, agents and representatives By amending relevant agreements, contracts, policies and handbooks, the School will be able to terminate contractual arrangements if an employee or agent commits, or causes the School to commit, a bribery related offence. In the case of employees, a bribery offence constitutes gross misconduct, which could result in the individual’s dismissal from the School.

3.3 Employee obligations Employees have an obligation to declare all personal gifts (received or given) in excess of £100 in value, any entertainment/hospitality exceeding £100 per person, and to report any evidence or suspicion of bribery or corruption, to the Bribery Compliance Officer.

3.4 Risk assessment The Bribery Compliance Officer will periodically review and amend the risks and activities identified in Section 2.1, in particular when the School starts doing business in a different way.

3.5 Due diligence The School will carry out appropriate ‘know your partner’ due diligence on anyone who carries out work on behalf of the School and who is not already known and trusted, such as agents and representatives. Examples of such due diligence could include internet searches, making personal contact, obtaining and checking references, contacting representative bodies in the foreign country (if appropriate), asking for a CV or business accounts, and asking for anti-bribery policies. Where a third party refuses to respect the principles of the School’s Bribery Policy, business affairs with this party must be terminated, with due consideration being given to the contractual position.

3.6 Declarations of interest Trustees and senior staff sign a declaration of interests each year.

3.7 Effective communication The School’s staff will be made aware of this policy through announcements, line manager briefings, and publication of this policy in teacher and support staff handbooks.

3.8 Monitoring and review The Bribery Compliance Officer will ensure that compliance is monitored through periodic review and audit, and through the upkeep of the register of gifts.

3.9 Senior management commitment Overall responsibility for this policy lies with the Headmaster.

Version: 11/2014 Reviewed: 09/2019 Next Review: N/A

3