Contents Page 1 Introduction 4 1.1 Objectives 5 1.2 Scope 5 2 Definitions 5 2.1 NHS Counter Fraud Authority 5-6 2.2 Fraud 6 2.3 Bribery and Corruption 6-8 3 Other Relevant Procedural Documents 8 4 Code of Conduct 8-10 5 Roles and Responsibilities 10 5.1 Role of the Governing Body / Audit Committee 10 5.2 Chief Executive 10 5.3 Chief Finance Officer (CFO) 11 5.4 Managers 11-12 5.5 Employees 13 5.6 Anti-Fraud Specialist (AFS) 13-14 5.7 NHS Counter Fraud Authority (NHSCFA) 14-15 5.8 Internal and External Audit 15 5.9 Human Resources 15 5.10 Information Management and Technology 16 6 The Response Plan 16 6.1 Reporting fraud, bribery and/or corruption 16-17 Sanctions and Redress 17-18 6.2 Appendices Appendix A Desktop Guide – Appendix B Referral Form – 7 Consultation Process 18 8 Dissemination and Implementation 18 8.1 Dissemination 18 8.2 Implementation 18 9 Process for Monitoring Compliance and Effectiveness 18 10 Standards/Key Performance Indicators 19 11 References 19
Contents Page 1 Introduction 4 1.1 1.2 2 2.1 Objectives Scope Definitions NHS Counter Fraud Authority 5 5 5 5-6 2.2 Fraud 6 2.3 3 4 5 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 6 6.1 6.2 Bribery and Corruption Other Relevant Procedural Documents Code of Conduct Roles and Responsibilities Role of the Governing Body / Audit Committee Chief Executive Chief Finance Officer (CFO) Managers Employees Anti-Fraud Specialist (AFS) NHS Counter Fraud Authority (NHSCFA) Internal and External Audit Human Resources Information Management and Technology The Response Plan Reporting fraud, bribery and/or corruption Sanctions and Redress Appendices Appendix A – Desktop Guide Appendix B – Referral Form 6-8 8 8-10 10 10 10 11 11-12 13 13-14 14-15 15 15 16 16 16-17 17-18 7 Consultation Process 18 8 8.1 8.2 Dissemination and Implementation Dissemination Implementation 18 18 18 9 Process for Monitoring Compliance and Effectiveness 18 10 Standards/Key Performance Indicators 19 11 References 19