FPOL01 Provide CIC Anti-Crime Policy by Provide Community

Anti-Crime Policy

Version: V5

Ratified By:

Finance & Investment Committee

Date ratified: TBC 06/12/2023

Job Title of Author: Group Chief Finance Officer

Reviewed by Sub Group or Expert Group: Other Expert Group

Equality Impact Assessed by: Group Chief Finance Officer

1. Definitions

The Provide Group

Colleagues

External Bodies

NHS Counter Fraud Authority

Provide CIC and any company of which Provide CIC is a Subsidiary (its holding company) and any Subsidiaries of Provide CIC or of any such holding company.

All staff employed by the Provide Group; Bank or Workforce Solutions staff; Staff on secondments agreements whose payroll costs are partially or fully funded by a third party under a contractual arrangement;

Trainee professionals and students hosted by the Provide Group for the provision of work or vocational experience

Any person, organisation or body which is not categorised as Staff by the Provide Group. This includes but is not limited to hospital trusts, agencies, charities, universities, sole traders and individuals.

The NHS Counter Fraud Authority (NHSCFA) is a body which has responsibility for the detection, investigation and prevention of fraud and economic crime within the public sector. 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.

The Local Counter Fraud Specialist (LCFS)

The LCFS is an individual that has been specifically trained in anti-crime procedures, and accredited by the NHSCFA to undertake work in this field. Provide’s Group Chief Finance Officer has nominated an individual to undertake the role of LCFS for the Provide Group, with the nomination being accepted by the NHSCFA.

Details for the Provide Group LCFS can be obtained from the intranet:https://intranet.provide.org.uk/project/counter-fraud/

2. Introduction

One of the basic principles of the NHS, including providers of health and social care services, is the proper use of public funds. The Provide Group recognises that the proper use of funds should not only be limited to services commissioned by public bodies (e.g. NHS England, Clinical Commissioning Groups and/ or Local Authorities) but should also be extended to all areas within the Provide Group, including where such service may be self-funded by the public.

It is therefore important that all Colleagues working in the Provide Group are aware of the risk of fraud, bribery, theft, corruption and other illegal acts. For the purposes of this policy, the term ‘fraud’ refers to: “a range of economic crimes, such as fraud, bribery or corruption or any other illegal acts committed by an individual or group of individuals to obtain a financial or professional gain, except where the context indicates otherwise”

The Provide Group adopt a zero-tolerance attitude to fraud.

The Provide Group is committed to reducing fraud and will seek all appropriate disciplinary, regulatory, civil and criminal sanctions against fraudsters and where possible will attempt to recover losses.

3. Aims, Objectives and Scope

3.1

Aims

The Provide Group tries to ensure that a risk and fraud awareness culture exists in the organisation.

This document explains the Provide Group’s Anti-Crime Policy. It explains what fraud is throughout the Provide Group, what everyone’s responsibility is to prevent fraud, how to report such suspicions and the steps that must be taken where fraud is suspected or discovered.

The aim is to contribute to the elimination of fraud within the Provide Group and the wider Health and Social Care sector where applicable.

The Provide Group already has procedures in place that reduce the likelihood of fraud occurring. These include standing orders, standing financial instructions, documented procedures, a system of internal control and a system of risk assessment.

3.2

Objectives

The overall objectives of this policy are to:

• Improve the knowledge and understanding of everyone within the Provide Group about the risk of fraud and the zero-tolerance stance to fraud;

• Assist in promoting a culture of openness, and an environment where colleagues feel comfortable with raising concerns through the correct channels and without recrimination;

• Set out the responsibilities of colleagues for the deterrence, prevention, detection of fraud;

• Enable appropriate sanctions to be considered throughout, or following, an investigation. Sanctions may include any or all of the following:

o Criminal prosecution;

o Civil proceedings; and / or,

o Disciplinary action which may result in a disclosure to professional / regulatory bodies such as the Nursing and Midwifery Council (NCM).

Any person who becomes aware of any fraud and does not follow this policy could be subject to disciplinary action. Please refer to the organisation’s Disciplinary Policy which may be obtained on My Compliance.

This policy is also intended to offer direction and help to those who have suspicions of fraud or need to deal with suspected cases of fraud. It gives a framework for a response and advice, and information on various aspects and implications of an investigation.

3.3 Scope

Provide requires all colleagues to act honestly and with integrity and to safeguard the organisation. It is the responsibility of all colleagues to read and be familiar with the contents of this policy and related procedures, and to identify and notify the organisation of any suspected case or risk of fraud.

This policy also extends to colleague liaison with External Bodies where colleagues are expected to report any suspected fraudulent activity in The Provide Group’s engagement with External Bodies.

The LCFS will investigate any allegations of fraud that may cause loss to Provide, which may include internal fraud i.e. committed by colleagues, or external fraud i.e via External Bodies including an individual or supplier. The LCFS may also investigate fraud committed against a patient or service user and where Provide has some accountability.

3.4 Exclusions

This document is not intended to provide direction on the prevention of fraud; such advice can be obtained from the organisation’s LCFS or from the Group Chief Finance Officer

4. Categories of Anti-Fraud, Bribery and Corruption

4.1

Fraud

The Fraud Act (2006) requires that for an offence of fraud the following must have occurred:

The person must have acted dishonestly; and the person must have acted with the intent of making a gain for themselves or anyone else, or inflicting a loss (or a risk of a loss) on another. A dishonest act may include the omission of information with the intent of making a gain or inflicting a loss.

The legislation defines three classes in which an offence of fraud can be committed:

1. Fraud by false representation (section 2) – knowingly making an untrue or misleading statement. The representation may be express or implied;

2. Fraud by failing to disclose information (section 3) – knowingly failing to disclose information that someone is under a legal duty to disclose. A legal duty to disclose information may include duties under oral and / or written contracts; and,

3. Fraud by abuse of position (section 4) – where a person occupies a position where they are expected to safeguard the financial interests of another person or organisation, and abuses that position for personal or financial gain.

The Act also includes the following offences:

• Possessing articles for use in fraud (section 6);

• Making and supplying articles for use in fraud (section 7);

• Fraudulent trading (section 9); and

• Obtaining services dishonestly (section 10)

Each offence requires the element of dishonesty to be established.

4.2 Bribery and Corruption

Bribery and corruption involves offering, promising or giving a payment of benefit-in-kind in order to influence others to use their position in an improper way to gain an advantage. The Bribery Act (2010) came into force on 1 July 2011. Generally, bribery is defined as giving someone a financial or other advantage to perform their functions improperly or to reward that person for having already done so.

The general offences under the act are:

•

• To offer, promise or give a financial or other advantage to another individual to bring about the improper performance by another person of a relevant function or activity and to reward that improper performance. This is referred to as active bribery.

• To request, agree to receive or accept a bribe where the individual knows or believes that the acceptance of the advantage offered, promised or given constitutes the improper performance of a relevant function or activity. This is referred to as passive bribery.

• Promise, offer or give a financial or other advantage to a foreign public official, either directly or through a third party, where such an advantage is not legitimately due.

• Failure of commercial organisations to prevent bribery on their behalf. Applies to all commercial organisations which have business in the UK. Applies to the commercial organisation itself, as well as individuals and employees acting on their behalf.

Bribing anybody is absolutely prohibited. Bribery does not have to involve cash or an actual payment; it can take many forms such as a gift, tickets to an event or special treatment during a business trip. The Provide Group has a policy in relation to declarations of interest, gifts and hospitality which can be found on My Compliance.

Bribery is a criminal offence for individuals and commercial organisations and can be punishable with imprisonment of up to ten years and/or an unlimited fine. If colleagues are found guilty of an offence of bribery, or supporting or withholding information about such a bribe, they may be subject to disciplinary procedures and subsequent disclosure to regulatory bodies such and the NMC. This may result in dismissal as a result of gross misconduct, as well as disbarment from professional bodies.

4.3Theft

A person is guilty of theft if they:

‘Dishonestly appropriate property belonging to another person with the intention of permanently depriving the other of it.’

All incidents (including suspected incidents) of theft need to be reported via Datix, which will be reviewed and actioned by theDirector of Estates, as the organisation’s Accredited Security Management Specialist (ASMS). In some instances, it may be required for the matter to be reported to the police.

Fraud or theft also covers the dishonest misuse of the resources of the organisation or any resources which the organisation may manage on behalf of others.

4.4 Money Laundering

Money Laundering is a process by which the proceeds of crime are converted into assets which appear to have a legitimate origin, so that they can be retained permanently or recycled into further criminal enterprises. Legislation defines Money Laundering as:

‘Concealing, converting, transferring criminal property or removing it from the UK; entering into or becoming concerned in an arrangement which you know or suspect facilitates the acquisition, retention, use or control of criminal property by or on behalf of another person; and/or acquiring, using or possessing criminal property.’

The Proceeds of Crime Act (2002) applies to all transactions and can include dealings with agents, third parties, property or equipment, cheques, cash or bank transfers. Offences covered by the Proceeds of Crime Act (2002) and the Money Laundering Regulations (2007) may be considered and investigated in accordance with this Policy.

4.5 Computer Misuse and Anti- Piracy

According to the Computer Misuse Act (1990), the following computing offences are classed as fraud:

• Unauthorised access to computer material (section 1)

• Unauthorised access with intent to commit or facilitate commission of further offences (section 2)

• Unauthorised acts with intent to impair, or with recklessness as to impairing the operation of a computer (section 3).

• Unauthorised acts causing, or creating risk of, serious damage (section 3ZA)

• Making, supplying or obtaining articles for use in offence under section 1, 3 or 3ZA (Section 3A).

Fraudulent use of information technology should also be reported to the LCFS or EFD/CS. HR will also be informed if there is a suspicion that colleagues are involved.

The Anti-Piracy Policy sets out the organisation’s policy concerning the illegal copying and use of software.

Use of any unlicensed or duplicated software program is illegal and can expose the user and the organisation to civil and / or criminal liability with regard to Intellectual Property Rights / Copyright Law.

For more information, please refer to the Anti-Piracy Policy available on My Compliance.

5. Duties

5.1 Group Chief Executive

The Group Chief Executive (CEO) has the overall responsibility for funds entrusted to the organisation as the accountable officer. This includes instances of fraud, bribery, corruption and theft. The CEO must ensure adequate policies and procedures are in place to protect the organisation and the public funds entrusted to it.

5.2GroupBoard

Provide Group Board and non-executive directors should provide a clear and demonstrable support and strategic direction for counter fraud work across the Provide Group. They should review the proactive management, control and the evaluation of counter fraud, bribery and corruption work, including work undertaken regarding theft. The Provide Group Board and non-executive directors should scrutinise NHSCFA reports, where applicable, and ensure that the recommendations are fully actioned.

It should be noted that the Provide Group Board is able to delegate counter fraud, bribery and corruption work as detailed above to the Group Audit Committee.

5.3 Group Chief Finance Officer

Each organisation within the Provide Group is accountable to the Group Chief Finance Officer (CFO) who has overall responsibility for the prevention of crime within that organisation, which includes the nomination of a suitably qualified and experienced lead officer.

The CFO has powers to approve financial transactions initiated within the Group, including subsidiary companies of the CIC

The CFO will prepare documents and maintain detailed financial procedures and systems and they apply the principles of separation of duties and internal checks to supplement those procedures and systems.

The CFO will report annually to theGroup Board on the adequacy of internal financial controls and risk management as part of that Group Board’s overall responsibility to prepare a statement of internal control for inclusion in an annual report.

The CFO will, depending on the outcome of initial investigations, inform appropriate senior management of suspected cases of fraud, bribery, corruption and theft, especially in cases where the loss may be above an agreed limit or where the incident may lead to adverse publicity.

5.4 Group Audit Committee

The Provide Group Audit Committee reviews, approves and monitors the counter fraud and security management workplans, receives regular updates on counter fraud and security management activity, provides direct access and liaison with those responsible for counter fraud and security management,

reviews annual reports on counter fraud and security management. The Audit Committee also discusses the NHSCFA quality assessment reports required across the Provide Group, ensuring that any resulting action plan recommendations are implemented.

5.5 Internal and External Audit

Internal and external audit work includes reviewing controls and systems and ensuring compliance with financial instructions within the Provide Group and with External Bodies where applicable.

Internal and external audit have a responsibility to pass on any suspicions of fraud, bribery or corruption to the LCFS identified during the course of their work.

5.6 People Directorate

Colleagues within the People Directorate will liaise closely with managers and the LCFS from the outset if Provide colleagues are suspected of being involved in fraud, bribery or corruption, in accordance with agreed liaison protocols. People Directorate colleagues are responsible for ensuring the appropriate use of Provide’s disciplinary procedure. Please refer to the organisation’s Disciplinary Policy for further details, this may be obtained via MyCompliance. A copy may also be requested from the People Directorate (PD)

PD will advise those involved in the investigation on matters of employment law and other procedural matters, such as disciplinary and complaints procedures, as requested. Close liaison between the LCFS and PD will be essential to ensure that any parallel sanctions (i.e. criminal, civil and disciplinary sanctions) are applied effectively and in a co-ordinated manner.

PD will take steps at the recruitment stage to establish, as far as possible, the previous record of potential staff, as well as the veracity of required qualifications and any memberships of professional bodies, in terms of their propriety and integrity. In this regard, temporary and fixed-term contract employees are treated in the same manner as permanent employees, including workforce solutions.

5.7 Local Counter Fraud Specialist (LCFS)

The LCFS will ensure that all cases of actual or suspected fraud, bribery and corruption are notified to the CFO and reported accordingly.

The LCFS will regularly report to the CFO on the progress of the investigation and when or if referral to the police is required.

The LCFS will:

• ensure that the CFO is informed about all referrals and cases;

• be responsible for the day-to-day implementation of counter fraud, bribery and corruption activity, in particular, the investigation of all suspicions of fraud

• investigate all cases of fraud;

• report any case and the outcome of the investigation through the NHSCFA national case management system, CLUE;

• ensure that other relevant parties are informed where necessary, e.g. The PD will be informed if a colleague is the subject of a referral;

• develop and maintain the Provide CIC Fraud Risk Assessment and any other Fraud Risk Assessment required across the Provide Group;

• conduct risk assessments in relation to their work to prevent fraud, bribery and corruption;

• ensure that any system weaknesses identified as part of an investigation are followed up with management and reported to internal audit;

• provide training, guidance and advice on fraud, bribery and corruption matters to colleagues across the organisation;

• develop and submit the annual Counter Fraud Functional Standard Return (CFFSR), in conjunction with the Fraud Champion;

• adhere to the NHSCFA Government Functional Standard to ensure that the organisation has appropriate anti-fraud, bribery and corruption arrangements in place and the LCFS will look to

• achieve the highest standards possible, as per Counter Fraud Professional Accreditation Board (CFPAB)’s Principles of Professional Conduct.

5.8Managers

Managers must instil and encourage an anti-fraud, bribery and corruption culture within their teams. Managers should ensure that colleagues are aware of this policy. They should be alert to the possibility that unusual events or transactions could be symptoms of fraud, bribery, corruption or theft. Where they have any doubt they must seek advice from the nominated LCFS.

All managers are responsible for ensuring that policies, procedures and processes within their local area are adhered to and kept under constant review.

Managers will also be responsible for the enforcement of disciplinary action for colleagues who do not comply with policies and procedures; seeking support from the PD as required.

Managers should report any instances of actual or suspected fraud, bribery or corruption brought to their attention in line with section 6.1 Reporting Procedures.

The LCFS will also supply managers with any recommendations on how to reduce the risk of fraud. It is important that managers do not investigate any suspected financial crimes themselves.

5.9 All Colleagues

Colleagues are required to comply with the Provide Group’s policies and procedures and apply best practice in order to prevent fraud, bribery, corruption and theft (for example in the areas of procurement, personal expenses and ethical business behaviour). Colleagues should be aware of their own responsibilities in protecting the organisation from these crimes. Colleagues who are involved in, or manage, internal control systems will receive adequate training and support in order to carry out their responsibilities.

All colleagues have the responsibility to report any suspected or known fraudulent activity being committed against Provide or being perpetrated by its colleagues or External Bodies in line with section 6.1 Reporting Procedures

6. Reporting Fraud, Bribery Corruption or Theft

6.1 Reporting Procedure

This section outlines the action to be taken if fraud, bribery corruption or theft is discovered or suspected.

Suspicions of fraud, bribery or corruption can be reported to any of the following:-

1. The LCFS

2. Group Chief Finance Officer

3. Chair or Chief Executive

4. NHS Counter Fraud Authority

Suspicions of fraud, bribery or corruption should be reported in the first instance to either the LCFS, or to Provide’s CFO, unless the LCFS or CFO is implicated.

If that is the case, the suspicions should be reported to the Chair or Chief Executive, who will decide on the action to be taken. Contact details are available on https://intranet.provide.org.uk/project/counter-fraud/

However, suspected fraud, bribery and corruption can also be reported to the NHSCFA using the NHS Fraud and Corruption Reporting Line on Freephone 0800 028 40 60 or by filling in an online form at www.reportnhsfraud.nhs.uk as an alternative to internal reporting procedures and if colleagues wish to remain anonymous. Colleagues should always be encouraged to report reasonably held suspicions directly to the LCFS.

Provide wants all colleagues to feel confident that they can expose any wrongdoing without any risk to themselves. In accordance with the provisions of the Public Interest Disclosure Act 1998, Provide has produced a Freedom to Speak Up (Whistleblowing) Policy and Procedures. This procedure is intended to complement Provide’s Local Anti-Fraud, Bribery and Corruption Policy and code of business conduct and ensures there is full provision for colleagues to raise any concerns with others if they do not feel able to raise them with their line manager/management chain.

Anonymous letters, telephone calls, etc. are occasionally received from individuals who wish to raise matters of concern, but not through official channels. While the suspicions may be erroneous or unsubstantiated, they may also reflect a genuine cause for concern and will always be taken seriously.

The Provide Group liaises proactively with other organisations and agencies (including local police, the Home Office, local authorities, regulatory and professional bodies) to assist in countering fraud, bribery, corruption and theft. All liaison complies with relevant legislation, such as the Data Protection Act 2018, and with relevant organisational policies.

Any investigation will be undertaken by the LCFS or NHSCFA and you should not attempt to investigate any suspicions yourself.

All incidents (including suspected incidents) of theft need to be reported via Datix, which will be reviewed and actioned by the Director of Estates

6.2

LCFS Investigation

Where suspicions are reported, enquiries will be made to establish whether or not there is any foundation to the suspicion that has been raised.

Where these suspicions are substantiated, the CFO in conjunction with the LCFS will decide whether or not a case should be referred to the police in accordance with the NHS Counter Fraud Manual. Any referral to the police will not prohibit any action being undertaken under local disciplinary procedures.

6.2.1

Managing the Investigation

In consultation with the CFO, the LCFS will investigate an allegation in accordance with procedures as documented within the NHS Counter Fraud Manual issued by the NHSCFA.

Any colleague under investigation that could lead to disciplinary action has the right to be represented at all stages. In certain circumstances, the LCFS may recommend that evidence may be best protected by the colleague being suspended from duty. The Provide Group will make a decision based on advicefrom the PD on the available disciplinary options, which includes suspension.

The Provide Group will follow its disciplinary procedure if there is evidence that a colleague has committed an act of fraud, bribery, corruption or theft.

6.2.2

Collating Evidence

The LCFS will take control of any physical evidence, and record this in accordance with the NHS Counter Fraud Manual. If evidence consists of separate items, the LCFS should record each one with a separate reference number corresponding to the written record. It should be noted that in criminal actions, evidence on or obtained from electronic media will need a document to confirm its accuracy.

Interviews under caution (IUC), or to gather evidence, will only be carried out by the LCFS, if appropriate, or the investigating police officer in accordance with the Police and Criminal Evidence Act (PACE) 1984. Where necessary, the LCFS will take written statements.

All colleagues have the right to be represented at internal disciplinary interviews by a trade union representative or accompanied by a friend, colleague or any other person of their choice, not acting in a legal capacity in connection with the case.

6.2.3 Sanctions and Redress

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 Provide Group.

Provide will ensure that all appropriate sanctions are considered following an investigation, which may include any or all of the following:

• Civil – Civil sanctions can be taken against those who commit fraud, bribery, corruption and theft to recover money and/or assets which have been fraudulently obtained, including interest and costs.

• Criminal – The LCFS will work in partnership with the 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 a colleague is suspected of being involved in a fraudulent or illegal act. The disciplinary procedures of Provide must be followed if a colleague is suspected of being involved in a fraudulent or otherwise illegal act. It should be noted, however, that the duty to follow disciplinary procedures will not override the need for legal action to be taken (e.g. consideration of criminal action). In the event of doubt, legal statute will prevail;

• Professional body disciplinary – Colleagues may be reported to their professional body as a result of a successful investigation or prosecution.

Provide 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.

7. Governance

The Provide Group has a member of the Provide Senior Leadership Team (SLT) working with a third party assurance provider for overseeing and providing strategic management and support for all counter fraud work within the organisation; this takes the form of a Local Counter Fraud Service.

The Provide SLT and board level senior management provide clear and demonstrable support and strategic direction for counter fraud, bribery, corruption and theft work on behalf of the Provide Group.

Provide CIC employs or contracts in an accredited person (or persons) to undertake the full range of counter fraud work on behalf of The Provide Group, including proactive work to prevent, detect and deter, and reactive work to hold those who commit such acts to account.

The Provide Group ensures that there are effective lines of communication between those responsible for counter fraud work and other key colleague groups within the organisation, including (but not limited to) audit, risk, finance, communications and the people directorate.

Provide CIC has carried out risk assessments to identify fraud, bribery and corruption risks, and has a service provision that is proportionate to the level of risk identified. Measures to mitigate identified risks are included in an organisational work plan, progress is monitored at a senior level within the organisation and results are fed back to the Audit Committee.

Since April 2021 organisations receiving NHS income of over £10 million each year under the NHS Standard Contract have been required to comply with the NHS requirements and to provide assurance against the Government Functional Standard 013 Counter Fraud. This is overseen by the CFO and Audit Committee and in line with the existing approach to assurance against counter fraud requirements. An annual return is submitted to the NHSCFA detailing Provide CIC’s level of compliance against the Standard. The LCFS is responsible for collating evidence to demonstrate the level of compliance with each of the 12 standards.

The following table sets out the 12 Components within the Functional Standard that Provide CIC is required to provide assurance against within the Annual Return:

Component Title

1 Accountable individual

2 Counter fraud bribery and corruption strategy

3 Fraud, bribery and corruption risk assessment

4 Policy and response plan

5 Annual action plan

6 Outcome-based metrics

7 Reporting routes for staff, contractors and members of the public

8 Report identified loss

9 Access to trained investigators

10 Undertake detection activity

Summary

Have an accountable individual at board level who is responsible for counter fraud, bribery and corruption.

Have a counter fraud, bribery and corruption strategy that is submitted to the centre

Have a fraud, bribery and corruption risk assessment that is submitted to the centre

Have a policy and response plan for dealing with potential instances of fraud, bribery and corruption

Have a policy and response plan for dealing with potential instances of fraud, bribery and corruption.

Have outcome-based metrics summarising what outcomes they are seeking to achieve that year. For organisations with 'significant investment' in counter fraud or 'significant estimated' fraud loss, these will include metrics with a financial impact

Have well established and documented reporting routes for staff, contractors and members of the public to report suspicions of fraud, bribery and corruption and a mechanism for recording these referrals and allegations

Report identified loss from fraud, bribery, corruption and error and associated recoveries, to the centre in line with the agreed government definitions

Have agreed access to trained investigators that meet the agreed public sector skill standard

Undertake activity to try and detect fraud in high-risk areas where little or nothing is known of fraud, bribery and corruption levels, including loss measurement activity where suitable.

11 Access to and completion of training

12 Policies and registers for gifts and hospitality and COI

8. Monitoring

Ensure all colleagues have access to and undertake fraud awareness, bribery and corruption training as appropriate to their role.

Have policies and registers for gifts and hospitality and conflicts of interest

8.1 Monitoring and Auditing of Policy Effectiveness

Monitoring is essential to ensuring that controls are appropriate and robust enough to prevent or reduce fraud, bribery, corruption and theft. Arrangements include reviewing system controls on an ongoing basis and identifying weaknesses in processes. Where deficiencies are identified as a result of monitoring, the Provide Group will follow appropriate recommendations and action plans to correctly implement changes and recommendations.

8.2 Dissemination of the Policy

This Policy will be disseminated to all colleagues via My Compliance. It is important that all colleagues understand and are aware of the Policy.

8.3 Review of the Policy

This Policy is to be reviewed every three years by the LCFS and CFO

Outcome

Measures and Monitoring Compliance and Effectiveness

(min before next review of the Policy)

10. Further Points of Reference

NHS standards

• NHSCFA Government Functional Standard 013 Counter Fraud

• NHS Counter Fraud Authority Standards Self-Assessment

• NHSCFA Strategy 2023 - 2026: Working together to understand, find and prevent fraud, bribery and corruption in the NHS.

Legislation

• Fraud Act, 2006

• Bribery Act, 2010

• Computer Misuse Act, 1990

• Data Protection Act 2018

• Proceeds of Crime Act 2002

• Police and Criminal Evidence (PACE) Act 1984

• Criminal Procedure and Investigation Act (CPIA) 1996

Connected Policies

• Hospitality, Gifts and Commercial Sponsorship Policy

• FPOL02 Conflicts of Interest Policy

• HRPOL01 - Freedom to Speak Up (Whistleblowing) Policy and Procedure

• HRPOL14 - Disciplinary Policy

• FPOL05 Authorised Signatories

• HSPOL20 Managing Patient Valuables Policy

• FPOL09 Expenses for Non-Executive Directors, Clinical Chairs and Other Clinical and Patient Representatives on Boards and Committees

• Anti-Piracy Policy

EQUALITY IMPACT ASSESSMENT

TEMPLATE:

Stage 1: ‘Screening’

Name of project/policy/strategy (hereafter referred to as “initiative”):

Anti-Crime Policy

Provide a brief summary (bullet points) of the aims of the initiative and main activities:

The aim is to contribute to the elimination of fraud within the Provide Group and the wider Health and Social Care sector where applicable.

Project/Policy Manager: Group Chief Finance Officer

Date: 10/06/20

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

Neutral

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?

Neutral

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.

Neutral

Guidelines: Things to consider

• Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

• The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

• Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

• Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

• Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

• It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

• It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.

EQUALITY

IMPACT ASSESSMENT TEMPLATE: Stage 2:

(To be used where the ‘screening phase has identified a substantial problem/concern)

This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops.

Q1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps?

N/a

Q2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how? Which are the main groups it will have an impact on?

N/a

Q3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women?

N/a

Q4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation.

N/a

Q5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account?

N/a

Q6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required.

N/a

Guidelines: Things to consider

• An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised.

• It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative.

• The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action.

• If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.

Furtherinformation: Useful Websites

www.equalityhumanrights.com Website for new Equality agency

www.employers-forum.co.uk – Employers forum on disability

www.disabilitynow.org.uk – online disability related newspaper

www.efa.org.uk – Employers forum on age

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage One: ‘Screening’