A fraud and malpractice policy template with fraud prevention procedures built on the six principles, an investigation section, and a second version for Common Assessment Standard uploads.
This policy template is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Policy number and title
- Information-classification
- Version
- Page number / total pages
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Further guidance on fraud and financial crime:
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Fraud and Malpractice Policy Template
A fraud and malpractice policy template setting out a zero tolerance of fraud and malpractice in all operations, applying to employees and to consultants, suppliers, contractors and anyone else the organisation has arrangements with.
The policy has Approved By and Date Approved fields and carries a Public information classification, so it can be shared with workers, clients and other interested parties.
What the Fraud and Malpractice Policy Covers
- Zero tolerance - preventing and deterring fraud and malpractice in all operations
- What fraud and malpractice can be - deception for an unjust or illegal financial advantage, and intentional misrepresentation
- Everyone's responsibility - knowing the risks and reporting suspicious activity to senior management or through whistleblowing
- Top level commitment - a culture in which fraud is never acceptable, with the policy approved and the procedures owned at the top
- Risk assessment - fraud risks such as false accounting, misrepresentation and abuse of position, reviewed at least once a year
- Proportionate procedures - financial controls, separation of duties, authorisation limits and checks
- Due diligence - checks on new workers, sub-contractors, suppliers, agents and other business partners
- Communication and training - at induction and for all workers, with more for higher-risk roles and attendance recorded
- Monitoring and review - through internal audit, reported concerns and investigations, and management review
- Investigation - confidential handling, possible suspension, and reporting to the police
Two Versions Supplied
The main policy is generic and does not name legislation. P-68 Fraud and Malpractice Policy (V2) adds the failure to prevent fraud offence introduced by the Economic Crime and Corporate Transparency Act, which applies to large organisations, and a legislation section naming the Fraud Act, and is the version to use for Common Assessment Standard uploads.
Written for the Common Assessment Standard
The fraud prevention procedures follow the six principles of the government guidance on reasonable fraud prevention procedures and, with the investigation section, cover the points the Common Assessment Standard (CAS) question set asks a fraud policy to include.
Who Needs a Fraud and Malpractice Policy?
Organisations completing pre-qualification based on the Common Assessment Standard, such as Constructionline Gold, and any organisation that wants its fraud prevention arrangements written down.
Included in the ISO 37001 Toolkit
This policy is part of the ISO 37001 Toolkit and is also included in the ISO 9001, ISO 14001 and ISO 45001 toolkits and every alphaZ ISO toolkit that combines them.
Works with the Fraud Risk Assessment
The RA-BR13 Fraud and Financial Crime risk assessment covers the fraud risk assessment the policy asks for.
Document Control
The footer carries the policy number and title, information classification, version and page numbers, and the approval fields record who approved the policy and when, so it can be controlled with the rest of your management system documents and listed on a document register such as the F-IMS20 Document Register.
Related Policies
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