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Anti-Bribery and Corruption Policy

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Section 1 - Purpose

(1) The University of Wollongong (the University) is committed to operating in accordance with all applicable laws and regulations and in accordance with the highest standards of ethical behaviour at all times.

(2) The University prohibits any activity that seeks to bribe or otherwise improperly influence a Public Official, or any other individual or entity in the public or private sector, to act (or omit to act) in a way that differs from the proper performance of their role or function.

(3) This Policy:

sets out the responsibilities of University staff in complying with the University’s prohibition on bribery and related improper conduct; and
provides guidance on recognising and addressing instances of bribery and related improper conduct.

Section 2 - Scope

(4) This Policy applies to:

all officers and employees of the University and of its controlled entities;
third parties that are effectively controlled by the University, act on its behalf (either directly or indirectly), or provide services to or for the benefit of the University (either directly or indirectly); and
other third parties that are contractually obliged to comply with this Policy.

(5) Laws prohibiting bribery and the other types of improper payments covered by this Policy apply in all of the countries in which the University has operations and/or engages in activities.

(6) In addition, a number of these laws, such as the Commonwealth Criminal Code Act 1995, have extraterritorial reach. This means that, for instance, under Australian law, an Australian citizen, resident or body corporate may be prosecuted in Australia where the relevant activity occurred entirely overseas. In addition, where the activity occurred in Australia, a non-Australian citizen, resident or company may be liable under Australian law. These laws apply to the University as well as individuals working for and on behalf of the University.

(7) The same or substantially similar principles apply to laws in other countries where the University operates, and include its controlled entities.

(8) This means that the University and/or University staff may be found liable in the country where the offending conduct occurs or in their home jurisdiction.

Section 3 - Principles

(9) The University prohibits bribery and the making of other unlawful or improper payments that seek to improperly influence any individual or entity in the performance of their role or function.

(10) This Policy prohibits the following types of improper payments and conduct:

bribery of a Public Official or any other individual or entity in the public or private sector;
the making of facilitation payments;
the offering, making, soliciting or receiving of secret commissions;
the giving or receiving of improper gifts or entertainment;
money laundering;
the encouragement, authorisation or facilitation of bribery or other related improper conduct by another person, such as an agent or representative of the University; and
false, misleading, incomplete or inadequate accounting or books or record-keeping.

Section 4 - Public Officials

(11) For the purposes of this Policy, Public Officials include:

an employee, official or contractor of a government body or a wholly or partially state-owned enterprise;
a person performing the duties of an office or position created under a law of a foreign country or by the custom or convention of a country;
a person in the service of a governmental body, including a member of the military or the police force;
a politician, judge, or member of the legislature of a state, province or country;
an employee, contractor or person otherwise in the service of a public international organisation (such as the United Nations);
an individual who is or who holds themselves out to be an authorised intermediary of a Public Official;
a political party, party official or candidate for public office;
a member of a royal family; or
a commercial entity, or the directors, officers or employees of a commercial entity, in which a government body has a significant ownership interest or over which it otherwise exerts control (i.e., a foreign public enterprise or public university).

Section 5 - Prohibition on Bribery

(12) The University prohibits the giving, offering, promising, authorising, accepting or requesting of a bribe.

(13) A bribery offence is committed if a person undertakes any of the following actions with the intention of improperly influencing a Public Official or any other person in order to obtain or retain business or a business or personal advantage (whether or not for themselves):

provides a benefit to another person; or
causes a benefit to be provided to another person; or
offers to provide, or promises to provide, a benefit to another person; or
causes an offer of the provision of a benefit, or a promise of the provision of a benefit, to be made by another person.

(14) Whether the person sought to be influenced works in the public or private sector is irrelevant. The relevant laws apply to the bribery of Public Officials as well as bribery in relation to any commercial transaction in the private sector.

(15) Bribery can involve offering or providing the benefit directly to the person sought to be influenced, or doing so indirectly, for instance:

by procuring an agent or other intermediary to provide or offer the illegitimate benefit to the person sought to be influenced; or
by giving the illegitimate benefit to a relative or business associate to the person sought to be influenced, or to a political party or charitable organisation with which the person is associated.

(16) It is irrelevant whether the bribe is accepted or ultimately paid. Offering the bribe is a contravention of this Policy and usually is sufficient for an offence to be committed; further, business or a business advantage does not need to be actually obtained or retained for an offence to have been committed.

Section 6 - Prohibition on Facilitation Payments

(17) The University prohibits the making of facilitation payments by University staff.

(18) Facilitation payments are typically minor, unofficial payments to Public Officials, either directly or indirectly, to expedite or secure the performance of routine government action (for example, to facilitate the expedition of applications for visas or licences).

(19) If asked by a Public Official for a facilitation payment or told that one is required in order for the routine government service to be obtained, or to be obtained by a particular time, you should firmly state that it is the University’s Policy that no such payment can be made. If pressed, you should refuse to make the payment and inform the Safe and Respectful Communities Team of the request/demand as appropriate.

Section 7 - Prohibition on Secret Commissions

(20) The University prohibits the paying or receiving of secret commissions to any person or entity, including any private party or Public Official. It is also an offence in Australia, the United Kingdom and most countries around the world to pay a secret commission.

(21) Secret commissions arise where a person who is the agent or representative of another person or entity takes or solicits a commission from a third party without disclosing that commission to their principal. The secret commission is given as an inducement to the agent or representative to use their position to influence the conduct of their principal's business. This would include, for instance, making a payment to an agent of a customer of the University, where that agent does not disclose the payment to the customer and, in return, the agent facilitates favourable commercial terms for the University with that customer.

Section 8 - Prohibition on Improper Gifts and Entertainment

(22) The University prohibits the giving or receiving of gifts or entertainment in circumstances that could be considered to give rise to undue influence.

(23) Gifts and entertainment must only be provided or accepted in accordance with this Policy, the Conflict of Interst Policy the Philanthropic Fundraising, Gift Acceptance and Recognition Policy, Gift Acceptance Procedure,Political Donations Procedure, Acceptable Expense Guidelines and any other University policy documents.

(24) If you are in any doubt as to the appropriateness of any gift or entertainment, you should consult the Chief Financial Officer before it is given or accepted or otherwise as soon as possible.

Section 9 - Prohibition on Money Laundering

(25) The University prohibits any form of money laundering in connection with its business activities.

(26) Money laundering is the process by which a person or entity conceals the existence of an illegal source of income and then disguises that income to make it appear legitimate.

(27) Use by the University of proceeds of illegal activity can give rise to liability to the University and/or University Staff involved in that conduct.

(28) If it is suspected that any transaction might involve the payment or receipt of proceeds of any unlawful activity, the Associate Director, Complaints and Investigations should be contacted immediately.

Section 10 - Application of this Policy to Third Parties

(29) The University engages with a broad range of third parties in a variety of circumstances. For the purposes of this Policy, 'third parties' include agents and other parties who represent the University, suppliers, consultants, contractors, honorary, visiting or adjunct appointees, volunteers, visitors and private sector partners. These parties may also be state agencies or part of state-owned entities.

(30) In many circumstances, the University may be liable under anti-bribery or other laws for the improper conduct of these third parties.

(31) The University prohibits the provision of a benefit to a third party where it is expected or likely that some or all of that benefit will be provided or offered to another person, in order to obtain business or a business advantage or personal advantage.

(32) Where the University proposes to engage a third party to represent it or act on its behalf, it is important to implement appropriate controls to ensure that the actions of the third party will not adversely affect the University. This may include conducting due diligence on third parties, ensuring that standard terms that incorporate the issues addressed by this Policy are included in all contracts with third parties, and overseeing the work conducted by the third parties in order to confirm that legitimate work is undertaken and improper payments are not made. The Legal Services Unit has a set of template clauses for inclusion in third party contracts.

Section 11 - Joint Ventures and Partnerships

(33) The University is involved in a number of joint ventures and partnerships.

(34) Any joint venture or partnership that is effectively controlled by the University through ownership, management or other involvement must comply with this Policy.

(35) The University is also committed to working with its partners to achieve the standards outlined in this Policy where the University does not exercise effective control of the joint venture.

Section 12 - Accounting, Books and Records

(36) The University is required to maintain internal financial recording and accounting systems and procedures to make and keep books and records that accurately and fairly reflect, in reasonable detail, the parties, the payment arrangements and the purpose of all transactions and disposition of assets.

(37) No undisclosed or unrecorded fund or account may be established for any purpose.

(38) False, misleading or incomplete record keeping is a criminal and civil offence in many countries in which the University operates or trades.

Section 13 - Consequences of Non-compliance

(39) Bribery and the other types of improper payments prohibited by this Policy are prohibited under the laws of the countries in which the University operates or trades. Breaches of such laws may expose the University’s bodies corporate and University staff to criminal penalties and/or civil action.

(40) For the University’s bodies corporate, possible consequences include the imposition of substantial fines, withdrawal of funding, exclusion from tendering for government or private contracts and reputational damage.

(41) For individuals, possible consequences include criminal and civil liability with associated significant fines and/or lengthy terms of imprisonment.

(42) Further, failure to observe this Policy by University staff will be regarded as serious misconduct and lead to disciplinary action, which may include dismissal from employment or termination of any engagement contract.

(43) Conscious disregard, deliberate ignorance and wilful blindness will not avoid liability in relation to any of the matters set out in this Policy.

Section 14 - Reporting Bribery or Other Improper Payments

(44) In line with the Serious Wrongdoing Reporting Policy, the University recognises the value and importance of University staff reporting identified or suspected instances of bribery and other improper conduct.

(45) It is the responsibility of University staff to remain alert to any instances of directors, officers, employees, subsidiaries, joint venture partners, suppliers or other contractors engaging in, or attempting to engage in, bribery or other improper conduct, or otherwise not meeting the standards of behaviour required under this Policy.

Section 15 - Training, Monitoring and Review

(46) The University will ensure appropriate training, monitoring and review procedures are in place in relation to this Policy, in line with the Enterprise Risk Management Policy and Risk Management Framework.

Section 16 - Roles and Responsibilities

(47) The responsibilities of the Chief Financial Officer are set out in clause 24.

(48) The responsibilities of the Associate Director, Complaints and Investigations are set out in clause 28.

(49) Individual staff are responsible for ensuring that they comply with this Policy and with any applicable controls, protocols, processes and procedures prescribed by the University.

Section 17 - Definitions

Word/Term	Definition (with examples if required)
Controlled entities	those entities over which UOW has control, as defined in section 15A of the University of Wollongong Act 1989 (as amended) and section 1.2(1) of the Government Sector Finance Act 2018.