Policy on Gifts, Hospitality and Interests

Transcription

1 Policy on Gifts, Hospitality and Interests Policy on Gifts, Hospitality and Interests Page: Page 1 of 12

2 Recommended by Approved by Executive Management Team Audit Committee Approval date 30 November 2011 Version number 2.0 Review date November 2014 Responsible Director Responsible Manager (Sponsor) For use by Chief Executive Corporate Secretary All Trust employees This policy is available in alternative formats on request. Please contact the Corporate Governance Assistant on Policy on Gifts, Hospitality and Interests Page: Page 2 of 12

3 Change record form Version Date of change Date of release Changed by Reason for change Jul Jul 2007 P Buckingham Board Approval x.2 19 Oct Oct 2011 P Buckingham Policy Review Nov Nov 2011 P Buckingham Audit Committee Approval Policy on Gifts, Hospitality and Interests Page: Page 3 of 12

4 Policy on Gifts, Hospitality and Interests Contents 1. Introduction Definitions Policy Registers Key Principles Declarations Compliance and Legislation Reference Documents... 9 Appendix 1: procedure for declaration of gifts and hospitality Appendix 2: procedure for declaration of interests Policy on Gifts, Hospitality and Interests Page: Page 4 of 12

5 1. Introduction 1.1 There is a requirement for all managers and staff to observe and comply with the Standards of Business Conduct for NHS Staff. This requirement is incorporated in individuals terms and conditions of employment. The Standards of Business Conduct set parameters for business dealings which seek to ensure that such dealings are conducted in a spirit of openness, honesty and integrity. The receipt, or provision, of gifts or hospitality and the non-declaration of material interest is an area that has the potential for the acts of individuals to be called into question. 1.2 The Bribery Act 2010 ( the Act ), which came into effect on 1 July 2011, made it a criminal offence to give, promise or offer a bribe, and to request, agree to receive or accept a bribe, either at home or abroad. The Act increases the maximum penalty for bribery to 10 years imprisonment, with an unlimited fine. The Act introduced a corporate offence of failing to prevent bribery by the organisation not having adequate preventative procedures in place. An organisation may avoid conviction if it can show that it had procedures and protocols in place to prevent bribery. 1.3 The corporate offence is not a stand-alone offence, and will always follow from a bribery and/or corruption offence committed by an individual associated with the company or organisation in question. The content of this policy, and adherence to the policy, is intended to mitigate the risk of the Trust committing such an offence. Any member of staff who has concerns or reasonable suspicions that an offence under the Act may have been committed should immediately refer to the Trust s Counter Fraud and Corruption Policy and follow the reporting procedure therein. 1.4 Guidance on gifts, hospitality and interests can be found in a number of Trust documents such as Standing Orders, the Scheme of Delegation and the Counter Fraud & Corruption Policy. The purpose of this document is to consolidate this guidance and promulgate the Trust s policy on Gifts, Hospitality and Interests in a single source of reference that details the actions to be taken in regard of gifts, hospitality and interests in order to protect the integrity of both individuals and the Trust. 1.5 The policy is supplemented by procedure notes for each subject area which are included as appendices. Policy on Gifts, Hospitality and Interests Page: Page 5 of 12

6 2 Definitions 2.1 For the purpose of this policy, gifts are defined as any items of a material nature that have an intrinsic financial value in excess of 25, or a cumulative value in excess of 25 where several small gifts are received from the same or closely related source in a 12 month period. 2.2 For the purpose of this policy, hospitality is defined as the provision of food, drink, accommodation, entertainment, travel or attendance as a corporate guest at events. 2.3 For the purpose of this policy, interests are defined as: 3 Policy Directorships, including Non-Executive Directorships held in private companies or PLCs (with the exception of those of dormant companies) Ownership or part-ownership of private companies, businesses or consultancies likely or possibly seeking to do business with the NHS Majority or controlling share holdings in organisations likely or possibly seeking to do business with the NHS A position of authority in a charity or voluntary organisation in the field of health and social care Any connection with a voluntary or other organisation contracting for NHS services Research funding / grants that may be received by an individual or their department 3.1 In order to ensure compliance with the various codes of conduct, it is the policy of the Trust that all employees must declare any offers or gifts or hospitality, regardless of whether the offers are accepted or not. In addition, it is the Trust s policy that all employees must declare any relevant or material interests as detailed in section For the purpose of clarity, it is the policy of the Trust that no employee may give, promise or offer a bribe, or request, agree to receive or accept a bribe. 3.3 For the avoidance of doubt, the term employees at section 3.1 incorporates Non- Executive Directors. Policy on Gifts, Hospitality and Interests Page: Page 6 of 12

7 4. Registers 4.1 The Corporate Secretary will maintain the following corporate registers: Register of Board of Directors Interests Register of Declarations of Interests Register of Gifts and Hospitality 4.2 The content of these registers will be available for public inspection. 5. Key Principles 5.1 Employees are required to declare any relevant and material interests and any offers of gifts or hospitality. If in doubt declare. 5.2 If offered gifts or hospitality, individuals should consider the following: The circumstances in which the offer is made The nature and value of the Gift or Hospitality offered The appropriateness of accepting the Gift or Hospitality offered The ability to reciprocate the offer 5.3 Casual gifts offered by contractors or others, at Christmas for example, may not be in any way connected with the performance of duties so as to constitute an offence under the Prevention of Corruption Acts 1906 and 1916 and / or the Bribery Act Such gifts should nevertheless be politely but firmly declined. Articles of low intrinsic value such as diaries or calendars, or small tokens of gratitude from patients or relatives, need not necessarily be refused. In cases of doubt, staff should either consult their line manager or politely decline acceptance. 5.4 Employees should not accept: Gifts on a larger scale than those described above Goods or services provided by a business contact for personal benefit at nil or reduced cost Payment by business contacts to subsidise social events Cash, no matter how small the sum offered Policy on Gifts, Hospitality and Interests Page: Page 7 of 12

8 5.5 Employees should: Immediately report any offers of unreasonably generous gifts to the Corporate Secretary Promptly return any unacceptable gifts with a letter politely explaining the terms of this policy Dispose of any gift that cannot be returned, such as perishables at the discretion of the relevant line manager. For example, the gift may be shared amongst staff or donated to a charity. In these circumstances, the person offering the gift should be informed, in writing, of the action taken. 5.6 In the event that a business relationship develops into personal friendship, which exists outside the business environment, personal gifts may be exchanged provided that the person giving the gift, and not their employer, pays for any gift made. Similarly, the Trust s resources may not be used to make personal gifts to business contacts. 5.7 Modest hospitality, provided it is normal and reasonable in the circumstances, for example, lunches in the course of working visits, may be acceptable, though it should be similar to the scale of hospitality which the NHS as an employer would be likely to offer. Staff should decline all other offers of hospitality and if in doubt should seek advice from their line manager. 5.8 Note should also be made of the provision of hospitality within the Trust; particularly in relation to providing food at meetings. Meeting organisers must satisfy themselves that the provision of any hospitality is a justifiable use of public funds and would withstand external scrutiny. 5.9 Individuals offering gifts or hospitality must be advised by the intended recipient of the requirement to declare such offers. 6. Declarations 6.1 The means by which individuals declare interests or offers of gifts or hospitality are detailed in procedure notes included as appendices to this policy document. Policy on Gifts, Hospitality and Interests Page: Page 8 of 12

9 7 Compliance and Legislation 7.1 All employees are required to comply with the Policy on Gifts, Hospitality and Interests. Failure to comply may result in a breach of Trust Standing Orders and consequently a breach of contractual terms and conditions, which could result in disciplinary action. Employees are reminded that compliance will not only ensure that business is conducted in accordance with the values of the organisation but will also ensure that the integrity of individuals is not open to question. 7.2 Under the Prevention of Corruption Acts 1906 and 1916, it is an offence for employees corruptly to accept any gifts or consideration as an inducement or reward for: Doing, or refraining from doing, anything in their official capacity Showing favour or disfavour to any person in their official capacity 7.3 Under the Prevention of Corruption Act 1916, any money, gift or consideration received by an employee in public service from a person or organisation holding or seeking to obtain a contract will be deemed by the courts to have been received corruptly unless the employee proves to the contrary. Staff need to be aware that a breach of the provisions of these Acts renders them liable to prosecution and may also lead to loss of their employment and superannuation rights in the NHS. 8. Reference Documents 8.1 The following source documents provide guidance on the treatment of Gifts, Hospitality and Interests: Anti-Fraud & Corruption Policy Standing Financial Instructions Standing Orders Appendix B to Standing Orders Code of Conduct for NHS Boards Appendix D to Standing Orders Code of Conduct for NHS Managers Appendix E to Standing Orders Standards of Business Conduct for NHS Staff Scheme of Delegation CG05 Register of Interests Scheme of Delegation CG11 Receiving Gifts and Hospitality Bribery Act 2010 available at Prevention of Corruption Acts 1906/1916 available at Policy on Gifts, Hospitality and Interests Page: Page 9 of 12

10 Appendix 1: Procedure for the Declaration of Gifts and Hospitality Purpose The purpose of this procedure note is to clarify the process for Trust employees when declaring the receipt of gifts and / or hospitality in compliance with the Trust s Policy on Gifts, Hospitality and Interests. Form of Declaration Declarations must be made in writing, either by letter or and are to include the following information: Name of employee Nature of gift or hospitality offered Date offer made Circumstances in which offer was made Details of the individual / organisation offering the gift or hospitality Action taken by the individual in receipt of the offer Line Manager Responsibilities In the first instance, line managers are to consider declarations received and assess whether the action taken by the individual is appropriate. Where line managers consider that it would be inappropriate to accept the offer made, they are to advise the individual accordingly, recommending that the offer be declined. If line managers are in any way unsure of the correct course of action, they should seek the advice of the Corporate Secretary. On completion of the above action, line managers are to forward details of the declaration and their response to either the Corporate Secretary or the HQ Corporate Governance Manager at Trust Headquarters. Corporate Secretary / HQ Corporate Governance Manager Responsibilities On receipt, either the Corporate Secretary or the HQ Corporate Governance Manager will review the content of declarations and the advice subsequently provided by line managers to ensure that the recommended action is compliant with the Trust s Policy. The Corporate Secretary or the HQ Corporate Governance Manager are to liaise directly with the relevant line manager in instances where this is not considered to be the case. Policy on Gifts, Hospitality and Interests Page: Page 10 of 12

11 The Corporate Secretary or the HQ Corporate Governance Manager will record details of declarations in the Corporate Register of Gifts and Hospitality and retain any correspondence relating to the declaration on file in support of the register entry. The Corporate Governance Manager will be available to provide advice to line managers and will himself seek advice from the Corporate Secretary if further advice or clarification is required. Annual Review The Corporate Secretary will ensure that the register is subject to annual review by the Audit Committee. Policy on Gifts, Hospitality and Interests Page: Page 11 of 12

12 Appendix 2: Procedure for the Declaration of Interests Purpose The purpose of this procedure note is to clarify the process for Trust employees when declaring relevant and material interests in compliance with the Trust s Policy on Gifts, Hospitality and Interests. Form of Declaration Declarations must be made in writing, either by letter or and are to include the following information: Name of individual making the declaration Position Nature of the interest(s) being declared Effective date of the interest(s) Submitting Declarations Declarations must be submitted as soon as is practicable following acquisition of the interest. Individuals are to submit declarations of relevant and material interests to either the Corporate Secretary or the HQ Corporate Governance Manager at Trust Headquarters. Periodic Declarations The Code of Accountability for NHS Boards requires Board members to declare interests annually, or as and when they arise, and Article of Standing Orders states that the Register of Interests shall be reviewed on an annual basis. The process for annual declarations by Board members and Board review of the Register of Interests will be coordinated by the Corporate Secretary. Corporate Secretary / HQ Corporate Governance Manager Responsibilities The Corporate Secretary or the HQ Corporate Governance Manager will record details of declarations in a Corporate Register of Interests and retain any correspondence relating to the declaration on file in support of the register entry. Registers The Corporate Secretary and the HQ Corporate Governance Manager will ensure that the relevant registers are available for inspection on request by members of the public. Policy on Gifts, Hospitality and Interests Page: Page 12 of 12