Close
Download a full copy of the policy or reference individual sections below as appropriate.
Policy last updated December 2024 (Review cycle: 3 years)
- 1. Policy Statement
1.1 UCL is committed to conducting all of its business in an honest, ethical and transparent manner. UCL takes a zero-tolerance approach to bribery and corruption and is committed to acting professionally, fairly and with integrity in all its relationships and business dealings wherever it operates and to implementing and enforcing effective systems to counter bribery and corruption. UCL is committed to continuously enhancing its procedures to prevent bribery and corruption as part of its broader ethical and governance framework.
1.2 UCL will uphold all applicable laws relevant to countering bribery and corruption. UCL remains bound by the laws of the UK, including the Bribery Act 2010, in respect of its conduct both at home and abroad.
1.3 The purpose of this policy is to:
1.3.1 set out the responsibilities of UCL, its Workers and those of third parties, in observing and upholding UCL’s position on bribery and corruption;
1.3.2 provide information and guidance on how to recognise and resolve bribery and corruption issues; and
1.3.3 outline the steps Workers must take if they become aware of or suspect a breach of anti-bribery and corruption laws.1.4 Bribery and corruption are serious offences which are punishable for individuals by up to ten years' imprisonment. If UCL is found to have taken part in corruption, it could face an unlimited fine and significant reputational damage. UCL therefore takes its legal responsibilities very seriously.
1.5 Definitions - Key Terminology
- Associated Persons: a person who performs services for or on behalf of UCL, which includes but is not limited to employees, agents, contractors, subsidiaries and Third Parties.
- the Act: The Bribery Act 2010.
- Third Party: Any individual or organisation our staff come into contact with during the course of their work for UCL, and includes actual and potential clients, customers, suppliers, distributors, business contacts, agents, advisors, and government and public bodies, including their advisors, representatives and officials, politicians and political parties.
- Workers: All individuals working at all levels and grades, including, Council members, co-opted committee members, senior managers, officers, directors, employees (whether permanent, fixed-term or temporary), consultants, contractors, trainees, seconded staff, homeworkers, casual workers and agency staff, volunteers, interns, agents, sponsors, or any other Associated Persons with UCL, or any of its subsidiaries or their employees, wherever located.
1.6 This Policy should be read in conjunction with other related Policies, including:
1.6.1 Anti-Money Laundering Policy
1.6.2 Disclosure of Conflict and Declaration of Interest Policy
1.6.3 Expenses Policy
1.6.4 Financial Regulations
1.6.5 Fraud Policy
1.6.6 Gifts and Hospitality Policy
1.6.7 Intellectual Property Policy
1.6.8 Public Interest Disclosure- 2. Who is responsible for the policy?
2.1 Council has overall responsibility for ensuring this policy complies with UCL’s legal and ethical obligations, and that all those under UCL’s control comply with it.
2.2 Council must approve any changes to this policy.
2.3 The Vice-President (Operations) is delegated primary and day-to-day responsibility for implementing this policy, putting in place adequate procedures for the prevention of bribery, for monitoring the policy’s use and effectiveness and dealing with any queries on its interpretation and may issue and amend procedures and guidance that support the practical application of this policy from time to time. The Vice-President (Operations) may further delegate responsibilities of management to other appropriate staff.
2.4 Management at all levels are responsible for ensuring their teams are made aware of and understand this policy and report any issues or concerns that may arise.
2.5 All Workers are responsible for the success of this policy by ensuring that they comply with it and disclose any suspected risk or wrongdoing.
- 3. Scope of the policy
3.1 This policy applies to all Workers.
- 4. What is bribery?
4.1 A bribe is anything of value offered, promised or provided to gain any improper commercial, contractual, regulatory, personal or other advantage. This can include non-financial advantages such as favours or privileged treatment. Under the UK Bribery Act 2010, it is a criminal offence to:4.1.1 Offer, promise or give a bribe to another person (section 1 of the Act);
4.1.2 Request, receive or agree to receive a bribe (section 2 of the Act);
4.1.3 Offer, promise or give a bribe to a foreign public official (section 6 of the Act); and
4.1.4 In respect of corporate bodies, failure to prevent bribery by an Associated Person (section 7 of the Act). This means that UCL could be found guilty of an offence where an Associated Person gives or receives a bribe to secure or retain business or gain some other form of commercial advantage for the benefit of UCL. It is a defence if UCL can demonstrate that it had adequate procedures in place to prevent such conduct at the relevant time.4.2 Examples of bribery
4.2.1 Offering a bribe: A Worker offers a potential supplier tickets to a major sporting event on the condition that they agree to do business with UCL. This would be an offence because the Worker is offering a bribe to gain a commercial and contractual advantage. UCL may also be liable as the bribe was offered to obtain business on its behalf. It may also be an offence for the potential supplier to accept the Worker’s offer.
4.2.2 Receiving a bribe: A supplier gives a Worker’s nephew a job but makes it clear that in return they expect the Worker to use their influence in UCL to ensure UCL continues to do business with them. It is an offence because the supplier is offering a bribe to gain a commercial advantage. It would be an offence for the Worker to accept the offer as the Worker would gain a personal advantage in exchange for business influence.
4.2.3 Bribing a foreign official: A Worker arranges for UCL to pay an additional payment to a foreign official to speed up an administrative process, such as clearing goods through customs. The offence of bribing a foreign public official has been committed by the Worker as soon as the offer is made. The payment is made to gain a business advantage for UCL, which may also be held liable.4.3 Examples of potential risk scenarios and red flags
4.3.1 A list of potential risk scenarios and red flags that may raise concern under various anti-bribery and anti-corruption is set out in Appendix 1. The Vice-President (Operations) may update the Appendix from time to time. Workers must promptly report to the Vice-President (Operations) if they encounter any of these red flags while working for UCL.- 5. Hospitality and gifts
5.1 This policy allows for normal and appropriate gifts and hospitality (given and received), provided that this is done in accordance with UCL’s Gifts and Hospitality Policy and UCL’s Expenses Policy and provided it does not create a perception of impropriety.
5.2 Normal and appropriate hospitality and gifts must:
5.2.1 not be made with the intention of influencing a Third Party to obtain or retain business or a business advantage, or to reward the provision or retention of business or a business advantage, or in explicit or implicit exchange for favours or benefits;
5.2.2 comply with local law;
5.2.3 be given in UCL’s name, not the Worker’s;
5.2.4 exclude cash or a cash equivalent (such as gift certificates, vouchers or prepaid cards);
5.2.5 be appropriate in the circumstances. For example, in the UK it is customary for small gifts to be given at Christmas time;
5.2.6 take into account the reason for the gift, it is of an appropriate type and value and given at an appropriate time;
5.2.7 be given openly, not secretly; and
5.2.8 have the prior approval of the Vice-President (Operations) if involving government officials or representatives, politicians or political parties.5.3 Workers must declare and keep a written record of all hospitality or gifts accepted or offered, in accordance with the Gifts and Hospitality Policy and/or Expenses Policy, as applicable.
5.4 Workers must ensure all expenses claims relating to hospitality, gifts or expenses incurred to third parties are submitted in accordance with UCL’s Expenses Policy and specifically record the reason for the expenditure.
- 6. What is not acceptable?
6.1 Workers (or someone on a Worker’s behalf) must not:
6.1.1 give, promise to give, or offer, a payment, gift or hospitality with the expectation or hope that a business advantage will be received, or to reward a business advantage already given;
6.1.2 give, promise to give, or offer, a payment, gift or hospitality to a government official, agent or representative to facilitate or expedite a routine procedure;
6.1.3 accept payment from a Third Party that they know or suspect is offered with the expectation that it will obtain a business advantage for them;
6.1.4 accept a gift or hospitality from a Third Party if they know or suspect that it is offered or provided with an expectation that a business advantage will be provided by UCL in return;
6.1.5 threaten or retaliate against anyone who has refused to commit a bribery offence or who has raised concerns under this policy; or
6.1.6 engage in any activity that might lead to a breach of this policy.- 7. Facilitation payments and kickbacks
7.1 UCL does not make, and will not accept, facilitation payments or kickbacks of any kind.
7.2 Facilitation payments are typically small, unofficial payments made to secure or expedite a routine government action by a government official. They are not commonly paid in the UK but are common in some other jurisdictions. Kickbacks are typically payments made in return for a business favour or advantage.
7.3 All Workers must avoid any activity that might lead to, or suggest, that a facilitation payment or kickback will be made or accepted by UCL.
7.4 Workers must always be mindful of what a payment is for and whether the amount requested is proportionate to the goods or services provided.
7.5 Workers must always ask for a receipt detailing the reason for the payment.
7.6 Workers must always raise any suspicions, concerns, queries regarding a payment, or attempts to solicit facilitation payments must be reported immediately to the Vice- President (Operations), even if no payment was made.
- 8. Donations
8.1 UCL does not make donations or contributions to political parties.
- 9. Worker's responsibilities and failure to comply
9.1 Workers must read, understand and comply with this policy.
9.2 The prevention, detection and reporting of bribery and other forms of corruption are the responsibility of all Workers. All Workers are required to avoid any activity that might lead to, or suggest, a breach of this policy.
9.3 Workers must notify their manager and/or the Vice-President (Operations) as soon as possible if they believe or suspect that a conflict with this policy has occurred or may occur in the future. For example, if a client or potential client offers a Worker something to gain a business advantage with UCL or indicates to the Worker that a gift or payment is required to secure their business. Further “red flags” that may indicate bribery or corruption are set out in Appendix 1.9.4 Failure to comply with this Policy may result in disciplinary action under the relevant procedure, such as termination of contract, removal of honorary or visiting status or other appropriate action.
- 10. Record keeping
10.1 Workers must ensure that all accounts, invoices, and other records relating to dealings with third parties, such as clients, suppliers and business contacts are prepared and maintained with strict accuracy and completeness, evidencing the business reason for their payment.
10.2 No “off-book” accounts are allowed to facilitate or conceal improper payments.
- 11. Reporting and protection
11.1 Reports of suspected bribery and corruption will be taken seriously.
11.2 Workers must raise concerns about any issue or suspicion of malpractice to the Vice- President (Operations), in accordance with UCL’s Public Interest Disclosure Policy, including if they are offered a bribe by a Third Party, are asked to make one, suspect that this may happen in the future, or believe that they are a victim of another form of unlawful activity. Public Interest Disclosures can be made anonymously but are far more difficult to investigate.
11.3 If Workers are unsure whether a particular act constitutes bribery or corruption, or if they have any other queries, they should raise these with the Vice-President (Operations).
11.4 Workers who refuse to accept or offer a bribe, or those who raise concerns or report another's wrongdoing, are sometimes worried about possible repercussions. In accordance with the UCL Public Interest Disclosure Policy, UCL is committed to ensuring no one suffers any detrimental treatment as a result of refusing to take part in bribery or corruption, or because of reporting in good faith their suspicion that an actual or potential bribery or other corruption offence has taken place or may take place in the future.
- Appendix1: Examples of potential risk scenarios and red flags
The following list is of possible red flags that may raise concerns under various anti-bribery and anti-corruption laws. It is not exhaustive and is for illustrative purposes only and the Vice- President (Operations) may update this list from time to time. Workers must promptly report to the Vice-President (Operations) if they encounter any of these red flags while working for UCL.
a) Unusual Payments or Payment requests
- i) refusal to provide an contract, invoice or receipt for a payment made;
- ii) a request that a payment is made to a country, entity or geographic location unrelated to the transaction or its business;
- iii) a request for payment in cash or cryptocurrency;
- iv) receiving an invoice from a Third Party that appears to be non-standard or customised;
- v) noticing that UCL has been invoiced for a commission or fee payment that appears large given the service stated to have been provided or is unexplained;
b) Requests for Facilitation Payments or Kickbacks
i) insisting on receiving a commission or fee payment before committing to sign up to a contract with UCL, or carrying out a government function or process for UCL;
ii) requesting an unexpected additional fee or commission to "facilitate" a service;
iii) requesting that a payment is made to overlook potential legal violations or regulatory requirements;c) Unusual Business Practices or Relationships
- i) a Third Party engages in, or has been accused of engaging in, improper business practices;
- ii) a Third Party has a reputation for paying bribes, or requiring that bribes are paid to them, or has a reputation for having a "special relationship" with foreign government officials;
d) Involvement of Government Officials or Politicians:
- i) a Third Party insists on involving government officials, politicians, or politically connected individuals in the business deal without clear justification.
- ii) offers or gifts to government officials, politicians, or public representatives, especially if these are not properly documented or disclosed.
- iii) a Third Party suggests or insists on making donations to political parties or charities that are connected to government officials.
e) Questionable Third-Party Agents, Consultants, or Intermediaries- i) a Third Party requests or requires the use of an agent, intermediary, consultant, distributor or supplier that is not typically used by or known to UCL or who seems unnecessary and/or refuses to disclose their role in the transaction;
f) Lack of Transparency or Due Diligence:
- i) a Third Party refuses to provide background information or references, or insists on keeping parts of the transaction secret;
- ii) a request to use side agreements or to use off-the-record or atypical terms for contracts, commissions, fees or services;
- iii) excessive pressure to award contracts or make decisions without due diligence or evaluation of alternatives;
g) Excessive or Lavish Gifts and Hospitality:
- i) offers of unusually generous, lavish or frequent hospitality or gifts by a Third Party; or
- ii) demands or offers of lavish hospitality or gifts made by a Third Party at inappropriate times or in secret e.g. when bidding for contracts or provision of services or before contract decisions are made.