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| Version | Date of change | Location of change | Changed by | Reason for change |
| 6.0 | 23/04/24 | Section 2 | J. Treharne | To reflect use of MS Teams |
| 6.0 | 23/04/24 | Throughout | J. Treharne | To implement headings structure and text formatting in line with accessibility best practice |
| 6.0 | 23/04/24 | Throughout (Sections 6, 9, 11, 12, Appendix 1 & 6) | J. Treharne | To reflect new FOI Officer role |
| 6.0 | 23/04/24 | Section 3 | J. Treharne | To clarify that the public interest test can be a verbal discussion |
| 6.0 | 23/04/24 | Section 4 | J. Treharne | To include social media messaging as a way to submit an FOI |
| 6.0 | 23/04/24 | Section 6 | J. Treharne | To reflect role of Deputy CEO |
| 6.0 | 23/04/24 | Section 8.2 | J. Treharne | To remove reference to Datix, as the system is no longer used to manage FOIs |
| 6.0 | 23/04/24 | Section 15 | J. Treharne | To clarify the need to explain the public interest fully in a response |
| 6.0 | 23/04/24 | Section 16 | J. Treharne | To clarify who is responsible for consulting third party organisations |
| 6.0 | 23/04/24 | Section 22 | J. Treharne | Added ‘manager’s guide to FOIs’ in references |
| 6.0 | 23/04/24 | Sections 8.2, 21 and 22 | J. Treharne | Reflect the change from Executive Leadership Committee to Trust Management Committee |
| 6.0 | 23/04/24 | Sections 6 and 21 | J. Treharne | Reflect the change from the Information Management Group to Information and Cyber Governance Group.
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This policy outlines the approach of the North West Ambulance Service NHS Trust’s approach to comply with the Freedom of Information Act 2000 (FOI) and the Environmental Information Regulations 2004 (EIRs). The legislation provides for the disclosure of information and all recorded data except personal information and the qualified exemptions.
The legislation gives anyone, regardless of age, nationality or location the right to request information from public authorities including central government, local authorities, schools, police and the NHS.
The legislation is intended to promote a culture of greater openness and accountability among public sector bodies and facilitate better public understanding of how authorities carry out their duties, why they make the decisions they do and how they spend public money. The Data Protection Act 2018 applies to individuals who want to obtain information relating to themselves (a Subject Access Request).
The trust supports the culture of openness that the legislation brings. This will be balanced against the need to ensure the confidentiality of certain information in areas such as personal information and commercially sensitive information. The trust believes that individuals have a right to privacy and confidentiality, and this policy does not overturn the duty of confidentiality or statutory provisions that prevent disclosure of personal information. The release of such information will be dealt with under the provisions of the Data Protection Act 2018 and the EU General Data Protection Regulations 2018 (GDPR). (Section 40 of the FOI Act in relation to personal information and the impact of GDPR is detailed at Appendix 3 of this policy).
The organisation must still be able to carry out its duties effectively and to ensure this; the exemptions outlined in the FOI Act and the exceptions contained in the EIRs will be applied appropriately.
This policy relates to all records of information held by the organisation and applies to all staff in the trust including Executive and Non-Executive Directors. Managers must ensure that all staff are made aware of this document.
This policy is intended to cover all records created in the course of the business of the trust. This includes email and MS Teams messages and other electronic records. It covers all requests for information except requests from individuals for their own personal data and normal ‘business as usual’ type requests. The policy outlines good practice and identifies the responsibilities of trust staff in terms of the FOI Act and EIRs.
The key features of the legislation is that it:
The trust is fully committed to the aims of the legislation and recognises its importance. To assist organisational compliance with the legislation, the trust will endeavour to ensure that:
If the information requested is subject to an exemption or an exception in the case of EIRs (see Appendices 2 and 5 on exemptions and exceptions) and it is not absolute, then the trust will conduct a ‘public interest test’ to determine whether the information can be released. The public interest test can be applied as a verbal discussion, but the rationale for a decision should be explained in writing to the requester.
The legislation gives people a general right of access to recorded information held by public organisations (subject to certain exemptions). This means that any person who makes a request has the right to:
There is no need for the applicant to say they are making a freedom of information or environmental information request. Essentially, the legislation covers all requests for information. This is a key reason why all staff need to be aware of this policy.
Basic requirements only are required when requests are made for information:
FOI requests must be in writing, but this includes requests by email, message via the website or social media, or fax. EIR requests do not have to be in writing.
The legislation requires that requests are responded to promptly and within 20 working days. If the organisation decides to make use of an exemption or exception to withhold the information, the applicant must be informed within 20 working days.
Whilst the organisation cannot ask the applicant the reason or purpose for their request, it can contact the applicant to obtain more detail about the information requested and narrow down what might otherwise be a vague or broad request.
In some instances, the applicant may be given the option to request the information via a different route e.g. journalists via the press office and academic researchers via the research team.
‘Environmental information’ can be summarised as:
Trust roles and responsibilities in relation to FOI and EIR are as follows:
The Chief Executive has overall responsibility to ensure the trust is responsive and acts upon the requirements of the FOI Act and EIRs. The Chief Executive will receive all requests for review and or appeal and ensure these are responded to within the stated timeframe. Responsibility for the management of review and appeal requests is delegated to the Deputy Chief Executive.
All Directors have a duty to ensure that requests for information and advice under the legislation which relate to their area are responded to in line with this policy and procedure within the agreed timescales.
The Director of Strategy, Partnerships and Transformation is specifically responsible for the development and implementation of FOI and EIRs policy and procedure and ensuring requests for information under the legislation are acted upon. This role is also responsible for the update and maintenance of the trust’s Publication Scheme. The above two roles are delegated to the Head of Communications and Engagement for implementation and management.
The Director of Strategy, Partnerships and Transformation will also approve review responses and ensure appeals are handled in a timely way and in accordance with trust policy.
The Head of Communications and Engagement has a responsibility to deliver the trust’s FOI and EIRs function, ensuring adequate team resources to deliver a professional, effective and timely service in line with demand. This role is responsible for the strategic review of this policy, performance reporting as part of the dashboard report to the Information Governance Management Group and Board and analysis of request themes.
In times of absence the Deputy Head of Communications and Engagement will undertake the above roles for the team.
The Deputy Head of Communications and Engagement oversees the trust’s Publication Scheme and its annual update.
The Senior Communications Manager (External) oversees the Communications Team’s FOI and EIR work on a day to day basis and is responsible for ensuring the procedures are followed with regard to process, timeliness, administration and record keeping.
The Senior Communications Manager (External) receives and approves every response, checking for appropriate level of service area involvement, accuracy, consistency and overall compliance with the FOI Act and EIRs.
The Senior Communications Manager (External) supports the FOI Officer in relation to the determination of vexatious requests or exempt information. This role is also responsible for the setting up of an ad-hoc FOI and EIRs review group as and when required. The role is also responsible for delivering FOI training and promoting general FOI and EIRs awareness throughout the trust.
Review responses in relation to reviews directed to the Chief Executive’s Office and any requests received from the Information Commissioner’s Office will be produced by the Senior Communications Manager (External) and shared with the Deputy Head of Communications and Engagement and Head of Communications and Engagement for information and reporting purposes. Final approval will be provided by the Director of Strategy, Partnerships and Transformation
In times of absence the Deputy Head of Communications and Engagement will produce review responses.
The trust’s FOI Officer is responsible for the day to day management of FOI and EIRs including receiving and responding to requests, maintaining a log of current and completed requests, providing appropriate advice and guidance to managers and directors on the release of information, providing statistical information to
support performance and themed analysis reports. The FOI Officer will keep abreast of new legislation and, with the support of the senior management team, liaise with requestors in relation to reviews and in the production of responses The Team’s Communications Assistant will support the FOI Officer by logging new requests as they come in. A procedure for the management of requests is outlined in Appendix 1.
The Information Cyber Governance Group is responsible for monitoring compliance with this policy.
All managers are responsible for ensuring that this policy is communicated and implemented within their area of responsibility. A ‘Manager’s guide to FOI’ is available on the Green Room. Any advice or assistance regarding this policy, the FOI Act or the EIRs can be obtained from the Director of Strategy Partnerships and Transformation or Head of Communications and Engagement.
All managers have a duty to ensure information and records are managed to ensure requests can be dealt with effectively and appropriately. The management of records is dealt with within the Records Management Code of Practice which should be referred to for guidance in the management of information.
All staff have a responsibility to ensure any requests for information under the FOI Act and EIRs are referred on immediately to their line manager or the Head of Communications and Engagement for action.
NWAS has a duty as a public authority to provide advice and assistance, so far as it would be reasonable to expect the trust to do so. This means helping to frame requests, narrow down information and to help the person requesting the information to receive what they are looking for.
All NHS bodies have a duty to adopt and maintain a publication scheme. The scheme details what information is available for publication, how this can be accessed and if a fee for its release is applicable. The trust’s publication scheme is available via the trust’s website (www.nwas.nhs.uk).
NWAS uses the NHS model publication scheme approved by the Information Commissioner for use from 1 January 2009.
The Director of Strategy, Partnerships and Transformation is responsible for the delivery of the scheme on behalf of the trust. This responsibility is delegated to the Head of Communications and Engagement. The scheme is monitored, updated and reviewed at regular intervals by the trust’s Digital Communications Officer and overseen by the Senior Communications Manager (Internal).
The documents available through the scheme will be the final, approved versions only. This includes any minutes of meetings. Other information will be updated as required or as stated in the scheme. The scheme as a whole is reviewed annually by the Head of Communications and Engagement.
No classes of information can be removed without the approval of the Information Commissioner. If anyone feels a class should be added or removed, they should make their case to the Chief Executive, who will consider the request.
The current classes of information are:
Who we are and what we do
What we spend and how we spend it
What our priorities are and how we are doing
How we make decisions
Our policies and procedures
Lists and Registers
The services we offer
The classes of information will not generally include:
It is the responsibility of the Trust Management Committee and senior management to ensure that information is maintained in all their relevant areas to ensure the Publication Scheme can be kept up to date. This is especially important with documents such as policies and procedures. It will be assumed that the appropriate managers are satisfied with current documents within the scheme unless they state otherwise.
It is also the responsibility of the relevant directors to ensure that records management in their department is compliant with the trust’s approach to records management.
The trust has existing processes for providing information to members of the public (and external organisations), and these are outside the remit of this policy. Requests for information generated as part of a department’s existing processes should be treated as non-FOI or EIRs requests and should be managed through local business as usual procedures. The overriding principle should, wherever possible, be ‘business as normal’.
Under the FOI Act and EIRs there is no requirement for the applicant to label or designate a request as an FOI or EIR request. Timescales around existing processes, therefore, should be reviewed to ensure compliance with the 20 working day requirement to provide requested information.
All requests for information outside of normal business processes, or those specifically defined as FOI or EIRs requests, should be referred to the Communications Team.
Under the legislation, the trust is not obliged to deal with vexatious requests. These are determined by the information requestedandnot by the individual. The question at hand is whether the request is a genuine endeavour to access information or whether it is aimed at disruption of the service or harassment of a specific member of staff.
The trust is under no obligation to comply with a repeated request from the same person unless a reasonable period has elapsed. In this situation, the Head of Communications and Engagement will decide in respect of a response, considering the overall cost of the repeated request(s) and the lapse in time between each of them.
On receipt of an application for information under the legislation, the FOI Officer, will email the applicant confirming receipt of the request within three working days. This will state that the organisation intends to deal with the request within 20 working days, unless there are exceptional circumstances.
Administration and documentation of requests will be co-ordinated by the Communications Team centrally.
If the applicant has not provided enough information for the request to be dealt with or is requesting advice and assistance, one of the following steps will be taken, depending on the situation:
Requests can be delayed until sufficient information has been received from the applicant to process the request, and the 20 working days will commence at the stage when the sufficient information has been provided.
The FOI Officer handling the request will identify who holds the information that the applicant has requested if it is not available in the Publication Scheme. Managers
and staff will have ten working days to review the request and provide the information (if appropriate). Any problems in providing the information should be immediately brought to the attention of the FOI Officer. Assuming the applicant agrees, the response time limit may be extended in certain circumstances i.e. sickness, etc.
The information will be forwarded to the FOI Officer handling the request who will review the information with the Senior Communications Manager (External) in respect of any exemptions or exceptions. If an exemption or exception applied to part of the document, the rest of the document could still be eligible for release.
If no exemptions or exceptions apply and there are no fees or charges to be levied, the FOI Officer will finalise the response, seek the approval of the Senior Communications Manager (External) and Head of Service (information owner) and provide the information requested by the applicant, within the 20 working day standard of the original request.
A request for information may be refused if:
The trust’s principle will be to release/disclose information on request, however exemptions and exceptions will be applied where warranted and justified. The application of both exemptions and exceptions can be subject to the outcome of the Prejudice Test and/or the Public Interest Test (the tests are outlined in Appendix 4).
Each decision surrounding the use of the Prejudice test, the Public Interest Test, an exemption and details of non-compliance (within the 20 working day deadline) will be documented centrally.
Specialised advice will be sought as appropriate, where required.
Following a review of an information request by the Senior Communications Manager (External) and a decision being taken that the information request is exempt or excepted from release (either in part or in full), the applicant will be informed in writing of the decision within 20 working days of the request and will be told the following:
If the exemption is absolute, then the organisation is exempt from the duty to confirm or deny (that is the duty to tell the applicant whether or not the trust actually holds the information). In these circumstances, the applicant will be informed within 20 working days of the following:
It is acknowledged that it can take more than 20 working days to reach a decision as to whether all or some of the information is exempt, especially in cases where the public interest has to be considered. As a result, the trust will inform the applicant of any delay and give a reasonable estimate of the date by which a decision is expected.
The trust will hold information that relates to other organisations. This could relate to both public and private organisations. Commercially sensitive third party information as defined by the Act should remain confidential and the trust will make every effort to protect this information and adhere to confidentiality.
The trust will, prior to disclosure of any information, seek consultation with the organisation(s) to whom the request relates. The responsibility to do this sits with the department of the trust that holds the information.
However, should the outcome of the public interest test favour disclosure, the trust will have no option other than to comply and disclose the requested information.
In accordance with the Ministry of Justice Affairs guidelines:
If a person is dissatisfied with the outcome of a request for information, they have the right to ask for an internal review. In the first instance, this should be addressed to the Chief Executive. The internal review must be carried out within 20 working days from the date of the request of the review. In a small number of cases, it may be reasonable to take longer. In these circumstances, the Senior Communications Manager (External) will notify the requestor, explain why more time is needed and give an estimate of the completion date. However, the total time taken for review should not exceed 40 working days.
Should the person making the request remain dissatisfied with the outcome of the review by the Chief Executive, the final recourse for an appeal is to the Office of the Information Commissioner.
Initial complaints about the handling of a request for information under the legislation will go to the Chief Executive and will follow the trust’s complaints procedure. When the applicant is informed of the outcome of this process, they must be given the details of the Office of the Information Commissioner and informed of their right to take their complaint to that Office.
Following approval, the policy and supporting procedure will be published under the FOI/EIR section of the trust’s website and the intranet.
Identified themes and learning from FOIs and EIRs will be included in the Communications and Engagement dashboard updates to Board. Shared learning will also be reported to the Non clinical Learning Forum. Responses provided to media channels will be included in the trust’s daily media briefs.
The policy and supporting procedure will also be shared with Senior Management Teams to ensure all managers are familiar with the legislation and their associated responsibilities.
Good practice guidance is available for all managers to assist in the management of the policy via the trust’s intranet.
A general guidance brief for all staff is available for dissemination to staff via their line managers and will be reissued in the staff bulletin.
Compliance with this policy will be reported to the Information and Cyber Governance Group.
Summary information regarding information requests will be provided for the Trust’s Management Committee and Board.
The following legislation is relevant to this policy:
The following organisation policies and procedures are relevant to this policy:
Name of Policy, Service or Function
Freedom of Information and Environmental Information Regulations Policy
Equality Impact Assessment responsibility:
Julie Treharne, Head of Communications and Engagement
Date of Equality Impact Assessment
Step 1: Description and Aims of Policy, Service or Function
Key elements of policy, service, process
To comply with the FOI Act and EIR and ensure the trust is open and accountable in terms of its
public information and provision of information to interested parties.
Who does the policy, service or function affect?
The Policy and the Act are available for anyone to use.
How do you intend to implement the policy or service change (if applicable)
Implementation and communication plans for the Policy are outlined in section 15 of the Policy.
Step 2: Data Gathering
Summary of data available and considered
Information relates to trust information that is not person identifiable and relates to general access to public information. No specific evidence that there are barriers to accessing information under the Act or Regulations. However general consideration should always be given to ensure there are no barriers to accessing and understanding of public information.
Outcome of data analysis
Equality Group and Evidence of Impact
Step 3: Consulation
Summary of consultation methods
No consultation undertaken. However, as part of trust engagement plans, discussions regarding access to information about the trust can be discussed.
Outcomes of consultation
| Equality Group | Evidence of Impact |
| Gender | |
| Race/Ethnicity | |
| Disability | |
| Sexual Orientation | |
| Religion or belief | |
| Age | |
| General (Human Rights) |
Equality Impact Assessment Step 4 & 5: Impact Grid
There is a general positive impact in that the policy requires the trust to be more accountable and open about all its information and governance which is of benefit to all members of the public.
| Relevant Equality Area
|
Areas of impact identified | Is the impact positive or negative? | Key issues for action
[Will form basis of action plan] |
| Gender | None | ||
| Race/Ethnicity | Access in terms of potential communication barriers | Potentially negative | Ensure access to information in different formats and languages is available |
| Disability | Access in terms of potential communication barriers | Potentially negative | Ensure access to information in different formats and language is available |
| Sexual Orientation | None | ||
| Religion or belief | None |
|
|
| Age | None |
|
|
| General (Human Rights) | None |
|
Step 6: Action Plan
|
Name of Policy or Service: Freedom of Information and EIR Policy
|
|||||
| Issue identified and equalities group or communities affected | Action to be taken | By When | Who By | Expected outcome | Progress |
| Ensure information about the policy and its content is accessible for all members of the public | Ensure clear and accessible information as part of publication on the trust’s website and if requested provide the information in alternative formats | Ongoing | Digital Communications Officer as part of the Communications and Engagement Team | Improved communication regarding accessible information | |
| Ensure we are able to receive, process and respond to written information requests in different formats | To be reviewed on a case by case basis – budget allocation is available for translation services | Case by case basis | FOI Officer receiving the request as part of the Communications and Engagement Team | Responsive process for dealing with all requests in the most appropriate format. | |
| Advocacy support in relation to FOI and/or EIR requests may be required for vulnerable community groups or members of the public. | Consideration should be provided where advocacy support from friends, family or carers is communicated e.g. learning disabilities, mental health or those who require support with English to request information. Any professional advocacy costs to be incurred by the requestor.
|
Case by case basis | FOI Officer receiving the request as part of the Communications and Engagement Team | Responsive process for dealing with all requests for advocacy support in relation to FOI/EIR requests. | |
Anti Fraud, Bribery and Corruption Policy (287kB pdf)
One of the basic principles of public sector organisations is the proper use of public funds. The majority of people who work in the NHS conduct themselves in an honest and professional manner and they believe that fraud, bribery, and corruption, committed by a minority, is wholly unacceptable as it ultimately leads to a reduction in the resources available for patient care.
North West Ambulance Service NHS Trust (the ‘Trust’) is committed to reducing the level of fraud, bribery, and corruption within the NHS to an absolute minimum and keeping it at that level, freeing up public resources for better patient care. The Trust does not tolerate fraud, bribery or corruption and aims to eliminate all such activity as far as possible.
The Trust, at its most senior levels, wishes to encourage anyone having reasonable suspicions of fraud, bribery, or corruption to report them. For the purposes of this policy “reasonably held suspicions” shall mean any suspicions other than those which are totally groundless (and/or raised maliciously).
It is the Trust’s policy that no employee will suffer in any way as a result of reporting these suspicions. This protection is given under the provisions of the Public Interest Disclosure Act, and other related legislation / regulations, which the Trust is obliged to comply with.
The Trust will take all necessary steps to counter fraud, bribery, and corruption in accordance with this policy, with the Government Functional Standard GovS 013: Counter Fraud (NHS Requirements), NHS contractual requirements and with regard to the policies, directions, instructions, and guidance as issued by the NHS Counter Fraud Authority (NHSCFA), as well as in accordance with relevant UK legislation.
The Trust will seek the appropriate disciplinary, regulatory, civil, and criminal sanctions [as well as referral to professional bodies, where appropriate] against fraudsters and where possible will attempt to recover losses.
Each Trust is required to appoint its own dedicated Anti-Fraud Specialist (AFS), also known as Local Counter Fraud Specialist (LCFS), who is accredited by the NHSCFA and accountable to them professionally for the completion of a range of preventative anti-fraud and corruption work, as well as for undertaking any necessary investigations. Locally, the AFS is accountable on a day-to-day basis to the Trust’s Director of Finance and reports, periodically, to the Trust Audit Committee.
All instances where fraud, bribery and/or corruption is suspected are thoroughly investigated by suitable accredited personnel. Any investigations will be undertaken in accordance with the NHSCFA investigatory toolkit requirements.
[NB. For staff awareness, theft issues are usually dealt with by local security management (LSMS), not the AFS. However, the AFS will be mindful of any potential criminality identified during any investigation and will, with the agreement of the Director of Finance, notify the appropriate investigating authority].
The Trust is committed to taking all necessary steps to counter fraud, bribery, and corruption. The aim of this policy is to provide a guide for employees as to what fraud is in the NHS, to emphasise that it’s everyone’s responsibility is to prevent fraud, bribery, and corruption and to provide guidance on how to report it.
Tackling fraud in the NHS is guided by 2023-26 which details how the NHSCFA works collaboratively with the health sector to understand, find, and prevent fraud in the NHS. They have developed four strategic pillars of activity to facilitate this:
This policy has been produced by the Trust’s AFS, and is intended to provide a guide for all employees [regardless of position or employment status], contractors, consultants, vendors and other internal and external stakeholders who have a professional or business relationship with the Trust, on what fraud and corruption are in the NHS; what everyone’s responsibility are to prevent fraud, bribery and corruption; and also how to report concerns and/or suspicions with the intention of reducing fraud to a minimum within the Trust.
This policy relates to all forms of fraud, bribery and corruption and is intended to provide direction and help to employees who may identify suspected fraud, corruption, or bribery. It provides a framework for responding to suspicions of fraud, bribery and corruption, advice, and information on various aspects of fraud, bribery and corruption and implications of an investigation. It is not intended to provide a comprehensive approach to preventing and detecting fraud, bribery, and corruption.
NHS Counter Fraud Authority (NHSCFA) is a special health authority which has the responsibility for the detection, investigation and prevention of fraud and economic crime within the NHS. Its aim is to lead the fight against fraud affecting the NHS and wider health service, by using intelligence to understand the nature of fraud risks, investigate serious and complex fraud, reduce its impact, and drive forward improvements.
NHSCFA also maintains a national NHS Counter Fraud Strategy which sets out the strategic approach and direction, key challenges and opportunities, and the priority areas identified for tackling fraud and corruption in the NHS. The Trust/CCG’s local approach to tackling fraud and corruption, through the work of the Anti-Fraud Specialist, organisational resources, and the annual risk-assessed counter fraud work- plan, fully acknowledges and aligns itself to the priorities set out in the national strategy.
Government Functional Standard GovS 013: Counter Fraud (NHS Requirements). A requirement in the NHS standard contract is that providers and commissioners of NHS services must take the necessary action to comply with the NHSCFA’s counter fraud standards. Other’s should have due regard to the standards. The contract places a requirement on providers / commissioners to have policies, procedures and processes in place to combat fraud, corruption and bribery to ensure compliance with the standards. The NHSCFA carries out regular assessments of health organisations in line with the counter fraud standards.
Fraud: The Fraud Act 2006 introduced an entirely new way of investigating and prosecuting fraud, which can relate to money, property, or other benefits of value. Previously, the word ‘fraud’ was an umbrella term used to cover a variety of criminal offences falling under various legislative acts. It is no longer necessary to prove that a person has been deceived, or for a fraud to be successful. The focus is now on the dishonest behaviour of the suspect and their intent to make a gain either for themselves or another; to cause a loss to another; or expose another to a risk of loss.
There are several specific offences under the Fraud Act 2006; however, there are three primary ways in which it can be committed that are likely to be investigated by the AFS.
Fraud by abuse of a position of trust (s.4) – abusing a position where there is an expectation to safeguard the financial interests of another person or organisation, e.g., a carer abusing their access to patients’ monies, or an employee using commercially confidential NHS information to make a personal gain.
It should be noted that all offences under the Fraud Act 2006 occur where the act or omission is committed dishonestly and with intent to cause gain or loss. The gain or loss does not have to succeed, so long as the intent is there. Successful prosecutions under the Fraud Act 2006 may result in an unlimited fine and/or a potential custodial sentence of up to 10 years.
Bribery and Corruption: The Trust adopts a ‘zero tolerance’ attitude towards bribery and does not, and will not, pay or accept bribes or offers of inducement to or from anyone, for any purpose. The Trust is fully committed to the objective of preventing bribery and will ensure that adequate procedures, which are proportionate to our risks, are in place to prevent bribery.
The Bribery Act 2010 reformed the criminal law of bribery, making it a criminal offence to:
Corruption is generally considered to be an “umbrella” term covering such various activities as bribery, corrupt preferential treatment, kickbacks, cronyism, theft, or embezzlement. Under the 2010 Act, however, bribery is now a series of specific offences.
Generally, bribery is defined as: an inducement or reward offered, promised, or provided to someone to perform their functions or activities improperly in order to gain a personal, commercial, regulatory and/or contractual advantage.
Examples of bribery in an NHS context could be a contractor attempting to influence a procurement decision-maker by giving them an extra benefit or gift as part of a tender exercise; or a medical or pharmaceutical company providing holidays or other excessive hospitality to a clinician to influence them to persuade their Trust to purchase that company’s particular clinical supplies.
A bribe does not have to be in cash; it may be the awarding of a contract, the provision of gifts, hospitality, sponsorship, the promise of work or some other benefit. The persons making and receiving the bribe may be acting on behalf of others – under the Bribery Act 2010, all parties involved may be prosecuted for a bribery offence.
All staff are reminded to ensure that they are transparent in respect of recording any gifts, hospitality or sponsorship and they should refer to the separate Trust’s policy, the ‘Conflict of Interest Policy’ covering:
The Bribery Act 2010 applies to (and can be triggered by) everyone “associated” with this Trust who performs services for us, or on our behalf, or who provides us with goods. This includes those who work for and with us, such as employees, agents, subsidiaries, contractors, and suppliers (regardless of whether they are incorporated or not). The term ‘associated persons’ has an intentionally wide interpretation under the Bribery Act 2010.
Sanctions, following a successful prosecution, are similar to those of the Fraud Act 2006.
Through our day-to-day work, we, i.e., all staff are in the best position to recognise any specific risks within our own areas of responsibility. We also have a duty to ensure those risks -however large or small – are identified and eliminated. Where you believe and opportunity for fraud, corruption or bribery exists, whether because of poor procedures or oversight, you should report it to the AFS or the NHS Fraud and Corruption reporting Line and/or online Fraud Reporting Form.
This section states the roles and responsibilities of employees and other relevant parties in reporting fraud or corruption.
The Trust’s Chief Executive, as the organisations accountable officer, has the overall responsibility for securing funds, assets and resources entrusted to it, including instances of fraud, bribery, and corruption.
The Chief Executive must ensure adequate policies and procedures are in place to protect the organisation and the public funds it receives. However, responsibility for the operation and maintenance of controls falls directly to line managers and requires the involvement of all Trust employees. The Trust therefore has a duty to ensure employees who are involved in or who are managing internal control systems receive adequate training and support to carry out their responsibilities. Therefore, the Chief Executive and Director of Finance will monitor and ensure compliance with this policy.
The Trust Board has a duty to provide adequate governance and oversight of the Trust to ensure that it’s funds, people and assets are adequately protected against criminal activity, including fraud, bribery, and corruption.
The Board provides clear and demonstrable support and strategic direction for counter fraud, bribery, and corruption work. They review the proactive management control and the evaluation of counter fraud, bribery, and corruption work. The Board and non-executive directors scrutinise NHSCFA assessment reports, where applicable, and ensure that the recommendations are fully actioned
The Director of Finance (DoF) has the power to approve financial transactions initiated by the directorates across the organisation.
They prepare, document, and maintain detailed financial procedures and systems and apply the principles of separation of duties and internal checks to supplement those procedures and systems.
The DoF will report annually to the Board on the adequacy of internal financial controls and risk management as part of the board’s overall responsibility to prepare a statement of internal control for inclusion in the annual report.
They also act as the Executive Lead for the organisation’s counter fraud arrangements, liaising closely with the Anti-Fraud Specialist.
The DoF will, depending on the outcome of initial investigations, inform appropriate senior management of suspected cases of fraud, bribery, and corruption, especially in cases where the loss may be above an agreed limit or where the incident may lead to adverse publicity.
The role of Audit Committees is in reviewing, approving, and monitoring counter fraud workplans, receiving regular updates on counter fraud activity, monitoring the implementation of action plans, providing direct access and liaison with those responsible for counter fraud, reviewing annual reports on counter fraud, and discuss NHSCFA quality assessment reports.
The role of internal and external audit includes reviewing controls and systems and ensuring compliance with financial instructions. They have a duty to pass on any suspicions of fraud, bribery, or corruption to the Anti-Fraud Specialist (AFS).
Human resources (HR) play a role in relation to employees in suspected cases of fraud, bribery, and corruption, including liaison with the AFS and the conduct of any investigation, and instigating the necessary disciplinary action against those who fail to comply with the policies, procedures, and processes. HR work with the AFS to ensure the appropriate parallel sanctions are applied (in accordance with the NHSCFA Anti-Fraud Manual) where fraud, bribery or corruption is proven against employees. Appropriate joint working protocols exist to detail this relationship.
The Anti-Fraud Specialist (AFS) is responsible for taking forward all anti-fraud work locally in accordance with national standards and reports directly to the DoF.
Adhering to NHSCFA fraud standards is important in ensuring that the organisation has appropriate counter fraud, bribery, and corruption arrangements in place and that the AFS will look to achieve that highest standard possible in their work.
The AFS will work with key colleagues and stakeholders to promote counter fraud work, apply preventative measures, and investigate allegations of fraud and corruption.
The AFS will conduct risk assessments in relation to their work to prevent fraud, bribery, and corruption. The AFS has responsibility for investigating any allegations of fraud and corruption within the organisation. Where a Counter Fraud Champion has been appointed, their role and duties include:
The AFS undertakes an annual fraud and bribery risk assessment, in conjunction with the organisation conducting periodic assessments (in line with Ministry of Justice guidance) to assess how bribery and corruption may affect it. Proportionate procedures and measures have been put in place to mitigate identified risks.
The organisation also has a policy and procedure in place in relation to the completion of declarations of interest, declarations of secondary employment and the hospitality/gifts register and staff are required to comply with these arrangements. Instances of non-compliance may be referred to the AFS for further investigation.
The AFS has primary organisational responsibility for investigating allegations of fraud and corruption against or with the organisation.
This section outlines the action to be taken if fraud, corruption, or bribery is discovered or suspected. All genuine suspicions of fraud, bribery and corruption must be reported directly to the AFS – Andy Wade. Email – [email protected]
Tel – 07824 104209
If the referrer believes that the Director of Finance or AFS is implicated, they should notify whichever party is not believed to be involved who will then inform the Chief Executive and Audit Committee Chairperson.
An employee can contact any executive or non-executive director of the Trust to discuss their concerns if they feel unable, for any reason, to report the matter to the AFS or Director of Finance.
Details of a suspected fraud, bribery and corruption may also be reported through the NHS Fraud and Corruption Reporting Line on Freephone 0800 028 40 60, (powered by ‘Crimestoppers 24/7’) or online in addition to the AFS or the organisation’s Director of Finance.
The AFS and/or NHSCFA will undertake an investigation and seek to apply criminal and civil sanctions, where appropriate. Any investigation would follow our set investigative procedures.
Investigations may also include police involvement, where appropriate.
All NHS bodies including private providers, commissioners and trusts refer to the Home Office’s bribery and corruption assessment template to assess their response to bribery and corruption.
To support the reporting of fraud using the NHSCFA fraud reporting process (as outlined above), all employees should be aware of NHS England’s: Freedom to speak up: raising concern’s (whistleblowing) policy for the NHS, April 2016. This provides the minimum standard to help normalise the raising of concerns in the NHS for the benefit of all patients in England.
Disciplinary procedures, in the context of fraud allegations, will be initiated where an employee is suspected of being directly involved in a fraudulent or illegal act, or where their negligent action has led to a fraud being perpetrated.
This section outlines the sanctions that can be applied and the redress that can be sought against individuals who commit fraud, bribery, and corruption against the organisation.
The Trust’s approach to pursuing sanctions in cases of fraud, bribery and corruption is that the full range of possible sanctions – including criminal, civil, disciplinary, and regulatory – should be considered at the earliest opportunity and any or all of these may be pursued where and when appropriate. The consistent use of an appropriate combination of investigative processes in each case demonstrates this organisation’s commitment to take fraud, bribery and corruption seriously and ultimately contributes to the deterrence and prevention of such actions.
Briefly, the types of sanction which the organisation may apply when a financial offence has occurred include:
Civil – civil sanctions can be taken against those who commit fraud, bribery, and corruption to recover money and/or assets which have been fraudulently obtained, including interest and costs.
Criminal – The AFS will work in partnership with NHSCFA, the police and/or the Crown Prosecution Service to bring a case to court against an alleged offender. Outcomes can range from a criminal conviction to fines and imprisonment.
Disciplinary – Disciplinary procedures will be initiated where an employee is suspected of being involved in a fraudulent or illegal act, as per Section 4.3 of this policy.
Professional Body Disciplinary – If warranted, staff may be reported to their professional body as a result of a successful investigation/prosecution.
The organisation will seek financial redress whenever possible to recover losses to fraud, bribery, and corruption. Redress can take the form of confiscation and compensation orders, a civil order for repayment, or a local agreement between the organisation and the offender to repay monies lost.
Monitoring is essential to ensuring that controls are appropriate and robust enough to prevent or reduce fraud. Monitoring arrangements include reviewing system controls on an ongoing basis and identifying weaknesses in processes.
Where deficiencies are identified as a result of monitoring, appropriate recommendations and action plans are developed and implemented.
This policy will be brought to the attention of all employees and will form part of the induction process for new staff.
This policy will be disseminated Trust wide for all employees to understand and be made aware of via awareness presentations, the Trust’s Bulletin’s and on the Trust’s Anti-Fraud intranet page. It is important that staff understand and are aware of this policy.