Registration Number: {{org_field_registration_no}}

Bribery and Fraud Prevention Policy

1. Purpose and Scope

This policy outlines how {{org_field_name}} prevents, detects, and responds to bribery and fraud, ensuring compliance with the Bribery Act 2010 and other relevant legislation. Our aim is to promote a culture of integrity, transparency, and accountability across all aspects of our operations.

This policy applies to all employees, contractors, volunteers, agency staff, and business partners. It covers all activities related to the provision of domiciliary care services, including procurement, financial transactions, recruitment, and service delivery. This policy ensures that everyone associated with the company understands their responsibilities in preventing and reporting any form of bribery and fraud.

{{org_field_name}} believes that a strong anti-bribery and anti-fraud culture not only protects the organisation but also upholds the rights, safety and wellbeing of people who use our services. This policy supports our duties under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – in particular Regulations 13 (safeguarding from abuse and improper treatment), 17 (good governance) and 20 (duty of candour) – and the Care Quality Commission (CQC) Fundamental Standards, by promoting a trustworthy, transparent and ethical care environment.

2. Policy Statement

{{org_field_name}} is committed to:

Zero tolerance towards bribery, fraud, and corruption.
Promoting ethical conduct and accountability.
Implementing robust systems to prevent, detect, and investigate fraud and bribery.
Encouraging staff to report concerns without fear of retaliation.
Ensuring transparency in financial transactions and decision-making.
Maintaining proportionate and documented “adequate procedures” to prevent bribery under the Bribery Act 2010 and, where applicable, reasonable procedures to prevent fraud in line with government guidance and the Economic Crime and Corporate Transparency Act 2023.

We believe that integrity is fundamental to delivering safe, high-quality care and maintaining the trust of service users, families, staff, and partners. To achieve this, all employees are expected to act honestly and avoid any conduct that could lead to fraudulent activity or bribery.

We recognise the corporate offences of failure to prevent bribery under the Bribery Act 2010 and, for organisations that meet the statutory size thresholds, failure to prevent fraud under the Economic Crime and Corporate Transparency Act 2023. Where these apply, {{org_field_name}} will regularly assess bribery and fraud risks and implement proportionate procedures to prevent and detect such offences, in line with published government guidance.

3. Legal and Regulatory Framework

This policy aligns with the following legislation and standards:

Bribery Act 2010 – including the corporate offence of failure to prevent bribery and associated government guidance on “adequate procedures”.
Fraud Act 2006 – defining fraud by false representation, failure to disclose information and abuse of position for personal gain.
Proceeds of Crime Act 2002 – covering the confiscation, recovery and reporting of criminal property.
Economic Crime and Corporate Transparency Act 2023 – including, where applicable, the corporate offence of failure to prevent fraud and associated government guidance.
Public Interest Disclosure Act 1998 and relevant provisions of the Employment Rights Act 1996 – protecting workers who make protected disclosures (whistleblowing).
Health and Social Care Act 2008 and the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, in particular Regulations 13 (safeguarding from abuse and improper treatment), 17 (good governance) and 20 (duty of candour).
Care Act 2014 – including duties to prevent and respond to abuse and neglect, including financial abuse, in partnership with the local authority and safeguarding adults board.
Care Quality Commission (CQC) Fundamental Standards and associated guidance – requiring providers to operate with openness, honesty and robust governance arrangements to prevent abuse, financial exploitation, bribery and fraud.
Data Protection Act 2018 and UK GDPR – governing the lawful, fair and secure handling of personal data in the prevention, investigation and reporting of suspected bribery and fraud.

4. Definitions

To clarify the scope of this policy, the following definitions apply:

Bribery: Offering, giving, receiving, or soliciting something of value to influence a decision or action improperly. This includes cash payments, gifts, hospitality, and other incentives.
Fraud: Wrongful or criminal deception intended to result in financial or personal gain. This can include false claims, forgery, and misrepresentation.
Corruption: Abuse of power for personal gain, often involving bribery.
Facilitation Payment: Small, unofficial payments made to expedite routine services.
Conflict of Interest: Situations where personal interests interfere with professional duties, such as favoring a relative in procurement decisions.

5. Roles and Responsibilities

Registered Provider and Registered Manager

Under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, the Registered Provider and Registered Manager have overall accountability for ensuring that robust arrangements are in place to prevent and detect bribery, fraud and financial abuse. This includes ensuring compliance with CQC’s Fundamental Standards, Regulations 13, 17 and 20, maintaining effective internal controls, promoting an open culture where concerns are raised without fear, and ensuring that incidents are reported to relevant external bodies (for example the local authority, CQC, the Police or Action Fraud) in line with legal and regulatory requirements.

Board of Directors and Senior Management:

Set the tone for ethical conduct and accountability.
Ensure effective implementation and enforcement of this policy.
Allocate resources for fraud prevention and detection.
Conduct regular reviews of anti-bribery measures and controls.

Managers and Supervisors:

Promote awareness of the policy among staff.
Monitor adherence to procedures and controls.
Act promptly on reported concerns and escalate issues as necessary.
Provide training and resources to staff on bribery and fraud prevention.

Employees and Contractors:

Adhere to the policy and report suspicions of fraud or bribery.
Participate in training and awareness programmes.
Avoid situations that could lead to conflicts of interest.
Refuse any bribes or improper incentives and report such offers immediately.

6. Prevention Measures

6.1 Risk Assessment We conduct regular risk assessments to identify vulnerabilities to bribery and fraud. This includes evaluating:

Financial transactions and procurement processes.
Recruitment and staff onboarding.
Third-party partnerships and supplier agreements.
Areas where staff handle cash, invoices, and financial data.

By identifying high-risk areas, we can implement targeted controls and monitor activities more closely.

6.2 Due Diligence Before engaging with third parties, we:

Conduct background checks on suppliers and contractors.
Verify the legitimacy of business partners.
Ensure anti-bribery clauses are included in contracts.
Review financial stability and reputation through credit checks.

6.3 Internal Controls We implement strong internal controls to reduce fraud risk:

Segregation of duties in financial transactions to prevent manipulation.
Approval processes for purchases and expenses.
Regular reconciliation of accounts and audits.
Digital tracking of transactions to detect irregularities.

6.4 Employee Screening All new employees undergo thorough pre-employment checks, including:

Identity and right-to-work verification.
Enhanced Disclosure and Barring Service (DBS) checks.
Employment history and reference checks.
Verification of professional qualifications.

6.5 Training and Awareness Staff receive anti-bribery and fraud prevention training during induction and annual refreshers. Training covers:

Recognising signs of fraud and bribery.
Reporting procedures and whistleblowing.
Understanding conflicts of interest and how to avoid them.
Real-world case studies to highlight potential risks.

Training will be kept under regular review to reflect current legislation, government guidance and CQC expectations relating to bribery, fraud, financial abuse and whistleblowing. It will include how these obligations link to the CQC Fundamental Standards, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 and the duty of candour, and will emphasise staff responsibilities to raise concerns promptly and appropriately.

7. Reporting and Whistleblowing

{{org_field_name}} encourages all staff to raise concerns about suspected bribery, fraud, financial abuse or related wrongdoing at the earliest opportunity. We promote a “speak up” culture in line with the Public Interest Disclosure Act 1998 and CQC guidance on whistleblowing.

Staff can report concerns through any of the following channels:

Their line manager or another manager.
The Designated Fraud Officer.
The Whistleblowing hotline (where available).
The Registered Manager or Registered Provider.

Concerns may be raised openly, in confidence or anonymously. All reports will be treated seriously and, as far as possible, confidentially. We will keep records of concerns and outcomes in line with data protection requirements.

We will make sure that workers who make a protected disclosure are not victimised, dismissed or otherwise disadvantaged because they have spoken up. Any retaliation against a whistleblower will be treated as a serious disciplinary matter.

Staff also have the right to raise concerns externally with “prescribed persons”, including the Care Quality Commission (CQC), where they believe the concern falls within the regulator’s remit or where internal reporting is not appropriate. Information on how to raise a concern with CQC is made available to staff and included in induction and refresher training.

8. Detection and Investigation

8.1 Monitoring and Audits We conduct regular audits and data analysis to detect anomalies. Monitoring includes:

Reviewing financial transactions for irregularities.
Cross-checking supplier payments with delivery records.
Investigating unusual staff expenses and overtime claims.

8.2 Investigation Procedures When fraud or bribery is suspected:

The concern is reported to the Designated Fraud Officer.
An initial assessment determines whether a full investigation is warranted.
An investigation team gathers evidence and interviews relevant parties.
Findings are documented, and appropriate action is taken.

8.3 Reporting to Authorities

Where there is evidence or serious suspicion of criminal activity, financial abuse or significant harm to people using services, we will, without delay and in line with our safeguarding and duty of candour obligations, report the matter to one or more of the following as appropriate:

The Police.
Action Fraud (the UK’s national reporting centre for fraud).
The local authority safeguarding adults team, where financial abuse, neglect or other forms of abuse are suspected in relation to people who use our service.
The Care Quality Commission (CQC), where notifiable incidents, abuse or allegations of abuse, serious injuries, or other reportable events fall within CQC’s notification requirements.
Commissioners or funding bodies, where required by contract.

Where people who use our services have suffered harm as a result of bribery, fraud or financial abuse associated with our service, we will also comply with our statutory duty of candour by being open, honest and transparent with them and/or their representatives and by providing appropriate support and written information about what has happened and what we will do next.

9. Managing Conflicts of Interest

Staff must declare any personal or financial interests that could influence their work. This includes:

Relationships with suppliers or contractors.
Secondary employment or business interests.
Gifts or hospitality received from external parties.

All declarations are reviewed by senior management and recorded in the Conflict of Interest Register. Failure to declare conflicts may result in disciplinary action.

Effective management of conflicts of interest is a key part of our “adequate procedures” under the Bribery Act 2010 and supports CQC expectations around safe, person-centred, and well-governed services.

10. Gifts and Hospitality

We maintain strict guidelines for accepting gifts and hospitality:

Gifts of low value (e.g., promotional items) may be accepted with manager approval.
Hospitality must be proportionate and not influence decision-making.
All gifts and hospitality are recorded in the Gifts and Hospitality Register.

Staff are encouraged to err on the side of caution and report any offers of gifts, even if they are declined.

All gifts and hospitality, whether accepted or declined, must be recorded where they are more than of nominal value or could reasonably be perceived to influence a decision. The thresholds for recording and authorisation will be clearly set out in our Gifts and Hospitality Register. Gifts and hospitality must never be solicited and must never create an impression of improper influence, in line with the Bribery Act 2010 and associated government guidance.

11. Consequences of Breach

Breaches of this policy result in disciplinary action, including:

Formal warnings.
Suspension or termination of employment.
Reporting to regulatory bodies or law enforcement.

The company will also seek to recover any losses resulting from fraud or bribery.

12. Monitoring and Continuous Improvement

We ensure ongoing effectiveness through:

Regular policy reviews and updates.
Feedback from staff and stakeholders.
Independent audits and risk assessments.
Sharing lessons learned from investigations.

{{org_field_name}} is committed to maintaining a culture of integrity and accountability. By adhering to this policy, we protect {{org_field_name}}, staff, and service users from the risks of bribery and fraud. All staff must familiarise themselves with this policy and act accordingly to uphold the highest ethical standards in all aspects of their work.

Through continuous vigilance, strong controls, and open communication, we aim to create an environment where fraud and bribery are not tolerated, and ethical practices are the foundation of everything we do.

As part of our monitoring, we will review our anti-bribery and fraud arrangements in light of changes to relevant legislation (including the Bribery Act 2010, the Economic Crime and Corporate Transparency Act 2023 and fraud-related offences) and updates to CQC regulations and guidance, ensuring our controls remain proportionate and effective.

13. Policy Review

This policy will be reviewed at least annually and sooner where there are significant changes in relevant legislation, CQC requirements or government guidance on bribery, fraud, whistleblowing, safeguarding or governance. We also seek feedback from staff and stakeholders to improve the policy.

14. Related Policies and Regulatory Notifications

This Bribery and Fraud Prevention Policy should be read alongside the following policies:

Safeguarding Adults Policy.
Whistleblowing / Speaking Up Policy.
Complaints and Concerns Policy.
Duty of Candour Policy.
Financial Procedures and Expenses Policy.

Together, these policies support compliance with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 and the CQC Fundamental Standards, in particular Regulations 13 (safeguarding from abuse and improper treatment), 17 (good governance) and 20 (duty of candour). They set out how {{org_field_name}} ensures that bribery, fraud, financial abuse and other forms of dishonesty are prevented, identified, reported to relevant authorities and addressed promptly and transparently.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

DC57-Bribery and Fraud Prevention Policy