Gifts, Hospitality, Sponsorship and Interests Policy and Procedure

Transcription

1 Gifts, Hospitality, Sponsorship and Interests Policy and Procedure August 2017 Gifts, Hospitality, Sponsorship and Interests Policy and Procedure Policy Reference Number FIN004 Status Ratified Version 7 Implementation Date May 2002 Publication Date August 2017 Current/Last Review Dates 01/05/2009, Aug 12, July 15, Apr 16, June 17, Aug 17 Next Formal Review August 2020 Sponsor Susan Acott, Chief Executive Sponsor Signature Author Trust Secretary Where available ADAGIO Target audience All Trust staff (including n-executive Directors) Ratification Record Procedural Document Sub-Group (of the Quality & Safety Committee) December 2014 Document Ratification Action Group June 2017 Approval Record Committee Name Chairperson Date Joint Staff Committee HRD/ Chair of Staff Side 1 st March 2012 Joint Consultative Committee HRD/ Chair of Staff Side 1 st June 2017 Audit Committee n-executive Director 12 th July 2017 Consultation Date Senior Managers (via circulation) 28 th February 2012 Consultants (via circulation) 28 th February 2012 Joint Staff Committee 1 st March 2012 Local Counter Fraud Specialist (LCFS) 13 th March 2012 Clinical and Executive Directors Committee 3 rd July 2012 Audit Committee 13 th July 2012 Regulators Requirements Department of Health Circular HSG (93) 5 (Standards of Business Conduct for NHS Staff) Managing Conflicts of Interest in the NHS NHS England Publications Gateway Reference: Document Control / History Version Reason for change 2 Annual Review 3 Routine review due, and improved clarity of process applied; Change of policy name (from Gift and Gratuities Policy ); Inclusion of reference to the Bribery Act 2010; Raising of the threshold for acceptance and declaration of gifts to 25 (the previous thresholds of 20 and 5 have been in place since 2002);

2 Removal of the requirement to notify the General Manager or Head of Department of any gifts received Change of contact details of person overseeing Gifts, Hospitality & Sponsorship Register; Extension of the policy to covering registering of interests and the management of sponsorship arrangements with third party organisations; Introduction of additional routine reporting process (via Audit Committee); Synchronisation with equivalent policy at Medway NHS Foundation Trust 6 Updated policy following guidance from NHS England Raising the threshold for acceptance and declaration of gifts to 50 (the previous threshold being 25) Reducing the threshold of branded gifts from 25 to 6 7 Explanation of branded gifts added Comparison between public website declarations (ABPI) and Trust declarations added. Dartford and Gravesham NHS Trust Page 2 of 25

3 Contents Section Document Summary 4 1. Introduction 6 2. Purpose 6 3. Exclusions 6 4. Definitions 6 5. Duties (Roles and Responsibilities) 8 6. The Bribery Act Underlying principles 9 8. Procedure for the acceptance of gifts 9 9. Declaration of interests Sponsorship Policy breaches Training and Implementation Equality Impact Assessment Monitoring compliance with this procedural document Associated Documents/Further Reading References Examples of issues that may arise 15 Appendix A: Gifts, Hospitality and Sponsorship Form 17 Appendix B: Declaration of Officers Interests Form 19 Appendix C: Examples of issues that may arise, and guidance 20 Appendix D: Flowcharts to assist in decision making 22 Dartford and Gravesham NHS Trust Page 3 of 25

4 Document Summary In February 2017 NHS England updated its guidance on conflicts of interest introducing consistent principles and rules for managing conflicts of interest across the NHS. The introduction of the Bribery Act 2010 emphasises the importance of ensuring that staff do not accept any gift, gratuity, benefit and/or hospitality that they have been offered within the aim of obtaining favour. In May 2017, the Trust Board reaffirmed its commitment to preventing bribery at the Trust by publishing it Bribery Act Declaration Statement. There may be occasions when members of the public or company supplies may wish to offer gifts, hospitality and/or sponsorship to Trust staff. It is important that the acceptance of any such offers falls within the framework established within this policy, in order to protect both individual employees and general public alike from allegations of fraud and/or bribery and/or corruption. This policy sets out clear guidance to all staff (including n-executive Directors) on the acceptance of gifts, benefits, gratuities and hospitality within the course of their NHS duties. The policy outlines circumstances when gifts, gratuities, benefits and/or hospitality may be accepted or must be declined and when a declaration must be made in the Gifts, Hospitality & Sponsorship Register, using the appropriate form. In summary: Staff must not encourage patients to give, lend or bequeath money or gifts or make donations that will directly or indirectly be of benefit to them. Staff must refuse gifts of any kind which might reasonably be seen to compromise their personal judgment or integrity, or might exert undue influence or might obtain preferential consideration. Staff must ensure that they are not placed in a position which risks, or appears to risk, conflict between their private interests and their NHS duties Staff should decline any personal offers of cash or cash equivalents; Staff are discouraged from accepting gifts whether they be monetary or non-monetary in nature. In the very rare circumstance that declining the offer of a gift would cause overwhelming offense and as a consequence the gift is accepted then this must be declared. Dartford and Gravesham NHS Trust Page 4 of 25

5 The policy also covers how sponsorship arrangements with external organisations should be managed; and the proactive registering of interests that that may conflict with those of the Trust. IF IN DOUBT, DECLARE Dartford and Gravesham NHS Trust Page 5 of 25

6 1. Introduction NHS England guidance issued in February 2017 required that Trusts meet the minimum standards set within the document. This guidance coupled with the introduction of the Bribery Act 2010 emphasises the importance of ensuring that staff do not accept any gift, gratuity, benefit and/or hospitality that they have been offered within the aim of obtaining favour. In May 2017, the Trust Board reaffirmed its commitment to preventing bribery at the Trust. There may be occasions when members of the public or company supplies may wish to offer gifts, money or hospitality to Trust staff of n Executive Directors. It is important that the acceptance of any such offers falls within the framework established within this policy, in order to protect both individual employees and general public alike from allegations of fraud and/or bribery and/or corruption. The policy also covers how sponsorship arrangements with external organisations should be managed; and the proactive registering of interests that that may conflict with those of the Trust. 2. Purpose The purpose of this policy to set out clear guidance to staff and n-executive Directors on the acceptance of gifts, gratuities, hospitality and sponsorship. It has been developed to remind staff of their responsibilities and to protect staff from unfounded allegations of conflict of interest. This policy: sets out the principles of business conduct for all staff (including n-executive Directors) in relation to gifts, gratuities and hospitality; outlines the circumstances under which gifts, gratuities and / or hospitality may be accepted or must be declined; specifies when a declaration must be made, for an entry to be added to the Trust s Gifts, Hospitality & Sponsorship Register; specifies when staff need to proactively register an interest they may have that may conflict with the Trust s interest; and specifies the arrangements that must be in place for the management of sponsorship by external organisations 3. Exclusions This policy does not cover: The provision of hospitality by the Trust; or Any payment to a member of staff that amounts to remuneration for the delivery of a service, e.g. receiving a fee for providing a lecture. 4. Definitions Benefit: Bribery: Branded goods: Extra money or other non-monetary compensation that is received in addition to salary. Giving someone a financial or other advantage to encourage that person to perform their functions or activities improperly or to reward that person for having already done so. Goods that advertise a product or an organisation such as printed notelets/ mugs/ pens. Dartford and Gravesham NHS Trust Page 6 of 25

7 Cash & cash equivalents: Discount: Gift: Currency, coins, postal orders, cheques, stored value products (such as gift certificates / gift cards) and lottery tickets A reduction in the usual price of something. Something that is given to somebody, usually in order to provide pleasure or to show gratitude. Gratuity: Hospitality: n- Executive Director: tifiable Interest: For ease of reference, gift will be used throughout this document to refer to gift, benefit, discount, gratuity, and/or hospitality. Gifts also include those left via a patient s bequest. A small gift, usually of money given to somebody as thanks for a service given. The business of entertaining existing or potential clients, conference delegates, or other officials. Hospitality may include such items as free meals and/or drinks, entertainment, expense paid trips etc. A member of the Trust Board who is not an officer of the Trust. A n- Executive Director includes any n-executive Director (Designate) roles. Any interest that is held by Trust staff that meets the criteria for inclusion on the Trust s Register of Interests. Specifically the interests that are required to be declared are those which are relevant and material i.e.: Directorships, including n-executive Directorships held in private companies or Public Limited Companies (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 shareholdings 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 Interests in pooled funds that are under separate management The influence rather than the immediacy of the relationship is more important in assessing the relevance of an interest. Officer: An employee of the Trust or any other person holding a paid appointment or office with the Trust. Supplier: A commercial company with which the Trust either has, or could have, a formal contractual relationship regarding the supply of goods and/or services. Sponsorship: Funding from an external source, providing all or part of the costs of employing a member of staff, NHS research, training, pharmaceuticals, equipment, meeting rooms, costs associated with meetings, meals, gifts, hospitality, hotel and transport costs (including trips abroad), provision of free services (speakers), buildings or premises. Dartford and Gravesham NHS Trust Page 7 of 25

8 5. Duties (Roles and Responsibilities) All employees and n-executive Directors: To consider, when gifts are offered, whether they can be received without contravening this policy; To seek appropriate advice and guidance before accepting any gifts that they may be offered (if in any doubt); To decline any offers of cash or cash-equivalents; To ensure that any offers of non-monetary gifts above the value of 50 are formally declared and entered onto the Trust s Gifts, Hospitality and Sponsorship Register (by completing the declaration form See Appendix A, and also on ADAGIO); To declare any relevant and material interest, using the Declaration of interests form (See Appendix B, and also on ADAGIO); To ensure that any off-site hospitality that are accepted are formally declared and entered onto the Trust s Gifts, Hospitality and Sponsorship Register (by completing the declaration form See Appendix A, and also on ADAGIO); To ensure that any sponsorship arrangements (including sponsorship to attend training) are formally declared and entered onto the Trust s Gifts, Hospitality and Sponsorship Register (by completing the declaration form See Appendix A, and also on ADAGIO) Line Managers: To ensure their staff are aware of this policy and when they need to make a declaration of the offer of a gift, sponsorship, or the existence of a relevant and material interest. Organisers of on-site hospitality funded via external sponsorship: To consider whether on-site hospitality could, in the judgement of any reasonable person, be considered lavish or excessive; and if so Declare any lavish or excessive hospitality using the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). Consultants requesting addition of new medicines to the Trust s Formulary: To formally declare any interests they may have in the new medicine, using the Application for the introduction of a new medicine Form (available from the Trust s Pharmacy Department) Staff requesting the introduction of new medical devices: To adhere to the Trust s procurement processes (further details can be obtained from the Procurement Department). Trust Secretary: To maintain the Register of Gifts, Hospitality and Sponsorship, and provide appropriate reports on the register; To maintain the Register of Interests, and provide appropriate reports on the register; To provide reports on declarations made to the Audit Committee (gifts, sponsorship and hospitality) and Trust Board (interested); To issue a twice-yearly reminder to staff regarding the need to make the declarations referred to in this policy; To coordinate the processes for annual staff declarations of Gifts and Interests; To coordinate the consideration of any requests to accept offers of gifts due to exceptional circumstances Dartford and Gravesham NHS Trust Page 8 of 25

9 6. The Bribery Act 2010 The Bribery Act 2010 contains two general criminal offences that apply to individuals, covering the offering, promising or giving of a bribe (active bribery) and the requesting, agreeing to receive or accepting of a bribe (passive bribery). The Act also sets out two further offences which specifically address commercial bribery. One of these (a so-called section 7 offence) creates a new form of corporate liability for failing to prevent bribery on behalf of a commercial organisation (which includes NHS organisations). 7. Underlying principles Public sector bodies, which include the NHS, must be impartial and honest in the conduct of their business, and their employees should remain beyond suspicion. In keeping with this: 1. Staff must not encourage patients to give, lend or bequeath money or gifts or make donations that will directly or indirectly be of benefit to them. 2. Staff must refuse gifts of any kind which might reasonably be seen to compromise their personal judgment or integrity, or might exert undue influence or might obtain preferential consideration. 3. Staff must ensure that they are not placed in a position which risks, or appears to risk, conflict between their private interests and their NHS duties. 8. Procedure for the acceptance of gifts 8.1 Personal gifts from patients / members of the public Staff must not, under any circumstances, accept cash or cash equivalents (including lottery tickets and gift cards / vouchers), cheques or bank transfers (of any value) that is offered to them personally; However, staff may accept flowers, chocolates or other small tokens of gratitude (provided this is in accordance with the principles listed below); All gifts above the value of 50 that are offered (whether accepted or declined) must be declared to the Trust, via completion of the Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This Form should be submitted to the Trust Secretary within 10 working days of the offer. Gifts from patients to an individual staff member above the value of 50 that are (or appear to be) lavish or excessive should not be accepted. If several gifts below the value of 50 are offered (whether accepted or declined) from the same (or related) sources within a 12-month period, such gifts should also be declared, via the Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This step has been included to protect staff from appearing to be taking advantage of the 50 declaration threshold, by receiving several gifts that are below this amount individually, but which over a period of time, may equate to a greater amount. Departments/Wards are at liberty to accept non-monetary gifts above the value of 25 on behalf of that department / team, providing such gifts are not considered lavish or excessive, and provided they are intended to be received by more than one individual. All such gifts must be notified to the Trust, via completion of the Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This Form should be submitted to the Trust Secretary (Trust Headquarters, Level 4, Darent Valley Hospital) within 10 working days of their offer. Dartford and Gravesham NHS Trust Page 9 of 25

10 If patients or members of the public wish to make donations in the form of cash or cheques, they should be asked if they would like to make a contribution to the appropriate charitable fund. For advice on this, staff should contact the Fundraising & Voluntary Services Manager. 8.2 Gifts and Hospitality from Company Suppliers As a general rule, staff should not accept any offers of gifts from a Supplier. Details of any such offers or approaches from suppliers should be declared on the Trust s Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) even if they are rejected. Staff may however accept small gifts in the form of calendars, diaries, pens and other stationery up to the value of 6 (branded or not) without formal declaration. Where Suppliers have provided corporate sponsorship to off-site 1 events, conferences or meetings which staff are expected to attend in a professional capacity (e.g. formal dinner or reception at conferences, attendance at in-house seminars or meetings), such hospitality can be accepted, but should always be declared. Recipients of such hospitality must complete and submit the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This Form should be submitted to the Trust Secretary within 10 working days of the receipt of such hospitality. Hospitality that is provided via corporate sponsorship on the Darent Valley Hospital site does not need to be routinely declared, as, in general, such hospitality would not be considered lavish or excessive. However, if it is felt that, in the judgement of any reasonable person, such hospitality could be considered lavish or excessive 2, the organiser of such hospitality must make a declaration, using the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This Form should be submitted to the Trust Secretary within 10 working days of the receipt of such hospitality. Other hospitality such as meals and refreshments should be declared as follows: o Under a value of 25 may be accepted and not declared o of a value of between 25 and may be accepted but must be declared o over 75 should be refused unless approval from an Executive Director is o given It is reasonable to take a common sense approach in this matter and using estimates where value is not know Departments/Wards are at liberty to accept non-monetary gifts up to the value of 50 on behalf of that department / team, providing such gifts are intended to be received by more than one individual. All such gifts must be notified to the Trust, via completion of the Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). This Form should be submitted to the Trust Secretary (Trust Headquarters, Level 4, Darent Valley Hospital) within 10 working days of their receipt. If companies wish to offer gifts of cash or cheque, they should be asked if they would like to make a donation to Dartford and Gravesham NHS Trust Charitable Fund. For advice on this, staff should contact the Fundraising & Voluntary Services Manager. Any goods or services are offered on a trial basis, should also be declared, via the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). 1 i.e. hospitality that takes place on premises other than the Darent Valley Hospital site 2 There is no fixed definition of what constitutes lavish or excessive hospitality, but as a guide, this should be considered to be hospitality that would not be regarded as normal and reasonable in the circumstances, or would not be similar to the scale of hospitality which the NHS as an employer would be likely to offer 3 The 75 value has been accepted with reference to existing industry guidance issued by the ABPI Dartford and Gravesham NHS Trust Page 10 of 25

11 Acceptance of such goods or services must not lead to the circumvention of, or prejudice to, the proper completion of the Trust s procurement process. 8.3 Casual gifts Casual gifts offered by contractors or others, e.g., Christmas time, may not be in any way connected with performance of duties so as to constitute an offence under the Prevention of Corruption Acts. Such gifts should be politely but firmly declined. Articles of low intrinsic values, e.g., diaries or small tokens of gratitude from patients or their relatives can be accepted. If refusal is not possible the gift should be declared with the stated intention it is being donated as a raffle prize or where appropriate being shared across a team or group. If in doubt consult with corresponding line manager as to clarification whether the gift can be declared or refused. 8.4 Discounts from local or national businesses Trust staff are free to accept any discount offered by a local or national business that is available to them because of their employment within the NHS (as opposed to their employment by Dartford and Gravesham NHS Trust). Such discounts are usually available to large numbers of personnel, and could not be considered to cause any problems regarding conflict of interest. Such discounts do not need to be declared. 8.5 Trade or discount cards Trade or discount cards, by which personal benefit is obtained from the Trust s purchase of goods or services at a reduced price are classified as gifts and should be politely declined and/or returned to the sender. The exceptions to this are benefits negotiated by the Trust on behalf of its staff. 8.6 Awards or prizes If staff are offered an award or prize from an external agency in connection with their official duties, they will be allowed to receive it, provided that: o There is no risk of public criticism for acceptance of the offer; and o It is offered strictly in accordance with personal (or team) achievement; 8.7 Gifts bequeathed in patients wills Staff must not encourage patients to bequeath money or gifts in their wills; It is however recognised that patients may wish to make such bequeaths, and if undertaken via the correct legal procedures (the Will s executors will determine the legality of the will, and seek to resolve any contested bequeaths), staff would be free to accept these. Any staff that are aware that they will be the beneficiary of such bequests should declare this (providing such bequests are likely to be over the value of 50), using the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO). Such declarations should be made as soon as the Staff member becomes aware of the bequest (this may be before the patient s death). Such declarations are not required for patients who are related to staff members. Dartford and Gravesham NHS Trust Page 11 of 25

12 8.8 Exceptional circumstances If any member of staff feels there are exceptional circumstances why an offer prohibited by the above policy statements should be accepted, then full supporting details should be provided on the form before acceptance. The completed form should be forwarded to the Trust Secretary, who will discuss the matter with the Director of Finance and Chief Executive, and will confirm in writing if approval to accept the offer is to be given. 8.8 Annual declaration of gifts, hospitality and sponsorship Senior managerial and clinical staff will be asked to make an annual declaration of gifts, hospitality and sponsorship received in-year. This declaration process will be organised by the Trust Secretary. This annual declaration will act as an aide memoire to staff that have omitted to make relevant declarations within the year. A positive nil-declaration is not required, and it will be assumed that staff that have not submitted an annual declaration by the required deadline do not have any relevant declarations to make. 9. Declaration of interests The Trust needs to be made aware of all cases where an employee, or his or her close relative or associate, has a controlling and/or significant financial interest in a business (including a private company, public sector organisation, other NHS employer and/or voluntary organisation), or in any other activity or pursuit, which may compete for an NHS contract to supply either goods or services to the employing authority. All Trust staff should therefore declare such interests, either on starting employment or on acquisition of the interest, in order that it may be known to and in no way promoted to the detriment of either the employing authority or the patients whom it serves. The interests that are notifiable and that should be declared are outlined in the definitions section above. Board members are required to make a positive declaration on appointment, and annually thereafter, even if no interests are held. NHS Staff is expected to: Ensure that the interest of patients remains paramount at all times; Be impartial and honest in the conduct of their official business; Use the public funds entrusted to them to the best advantage of the service, always ensuring value for money 9.1 Annual declaration of interests Senior managerial and clinical staff will be asked to make an annual declaration of such interests, as organised by the Trust Secretary. This annual declaration will act as an aide memoire to staff that have omitted to declare relevant interests either on starting employment or on acquisition of the interest. A positive nil-declaration is not required, and it will be assumed that staff that have not submitted an annual declaration by the required deadline do not have any interests to declare. Dartford and Gravesham NHS Trust Page 12 of 25

13 9.2 Declaration of interests in relation to requests for new medicines If a Consultant wishes for a new medicine to be added to the Trust s Formulary, a specific declaration of any interests in the new medicine, or in any of the companies involved in licensing / marketing the medicine, must be made. This declaration should be made using the Application for the introduction of a new medicine form, which is available from the Trust s Pharmacy Department. Such interests will be considered by the Prescribing and Formulary Group in deciding whether to approve the new medicine. The Prescribing and Formulary Group will also ensure that any relevant interests are declared at each meeting of the Group. 9.3 Declaration of interests in relation to requests for new medical devices Medical devices are expected to be introduced following adherence to the Trust s procurement processes, which includes the declaration of relevant interests. Further details can be obtained from the Procurement Department. 10. Sponsorship Offers of commercial sponsorship are acceptable, but only when: Impartiality can be assured (i.e. there is not any genuine or perceived incentive or expectation to prescribe or use more of any particular treatment or product as a result of the sponsorship); and There is an obvious and genuine education, training or research and development benefit to a department and/or the Trust. Acceptance of such sponsorship must not lead to the circumvention of, or prejudice to, the proper completion of the Trust s procurement process. The procedure for sponsorship is the same as that for gifts, and all acceptances and offers must be declared and recorded in the Gifts, Hospitality and Sponsorship Register. This includes sponsorship for attendance at external training events. In addition the recipient is to provide a detailed account of what benefit the Trust gained from the attendance on the course / seminar, its pecuniary value, its detriment if any to Trust working hours and if there was sufficient cover when the individual was absent Sponsorship of posts The Trust recognises that it may receive offers for entire posts (i.e. employed positions) to be funded via external organisations. Such offers may be connected to particular research trials, and may be funded by Pharmaceutical and/or medical equipment companies. Such offers are acceptable, providing impartiality can be assured. Specifically, the following arrangements should be in place: All such arrangements should be declared, using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO); There should be no incentive or expectation to prescribe or use more of any particular treatment or product other than in accordance with the peer-reviewed and mutually agreed protocol for the specific research intended; Dartford and Gravesham NHS Trust Page 13 of 25

14 11. Policy breaches Breaches of this policy will be investigated according to the Disciplinary Policy and Procedure, and disciplinary action, including dismissal, may be taken as a result of such breaches. If there is any suspicion that attempted bribery has taken place, this matter will be referred to the City of London Police 4 for further investigation (via the Local Counter Fraud Specialist). All cases of potential fraud will be referred to the Local Counter Fraud Specialist Awareness of non-declarations Any member of staff who believes that any colleague/s may have received gifts or hospitality; hold interests; or received sponsorship that is eligible to be declared, but which has not been declared, should raise their concerns with the Trust Secretary in the first instance (for advice). 12. Training and Implementation This policy and procedure is considered to be a reference document. Staff need to be aware of its existence, but should consult its content as and when required. For this reason, it is not considered that formal training is needed regarding this policy. The policy will be made available on the Trust s Intranet. In addition, the Trust Secretary will issue an all users on two occasions during the year: 1. In early December (ahead of Christmas, at which there is likely to be an increase in the offer of gifts and gratuities); and 2. At the start of each financial year (in April) The will remind staff of the existence of the policy, and of the need to make appropriate declarations in accordance with the policy. 13. Equality Impact Assessment. The Trust aims to design and implement services, policies and measures that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. In order to meet these requirements, a single equality impact assessment is used to assess all its policies/guidelines and practices. This policy was found to be compliant with this philosophy. 14. Monitoring compliance with this procedural document What will be monitored Gifts and hospitality declared Interests declared (officers) Interests declared How / Method Report to Audit Committee Report to Trust Board Report to Trust Board Frequency Lead Reporting to Bi-monthly Annual Annual Trust Secretary Trust Secretary Trust Secretary Audit Committee Trust Board Deficiencies / gaps recommendations & actions Dependent on findings (the report is intended to provide assurance that this policy is being followed) Dependent on findings (the report is intended to provide assurance that this policy is being followed) Implementation of any required change Dependent on findings Dependent on findings Trust Board Dependent on findings Dependent on findings 4 All matters that pertain to the Bribery Act 2010 are investigated by the City of London Police Dartford and Gravesham NHS Trust Page 14 of 25

15 What will be monitored (Board members) Declaration s on public websites such as ABPI How / Method Annual comparison of declarations Frequency Lead Reporting to Annual Trust Secretary Audit Committee Deficiencies / gaps recommendations & actions Dependent on findings Implementation of any required change Dependent on findings 15. Associated Documents/Further Reading This Policy / procedure should be read in accordance with the following Trust policies, procedures and guidance. Standing Orders. These contain the Standards of Business conduct for NHS staff ; Standing Financial Instructions; Disciplinary Policy and Procedure; Anti-Fraud and Corruption Policy 16. References 1. The Bribery Act Examples of issues that may arise Appendix C contains some examples of the common issues that may arise, whilst Appendix D provides some flowcharts to support decision-making. Dartford and Gravesham NHS Trust Page 15 of 25

16 Equality Impact Assessment Tool for this Policy To be completed and attached to any procedural document when submitted to the appropriate committee for consideration and approval Policy Name: Gifts, gratuities and hospitality policy and procedure Name of Assessor: Russell Davies, Trust Secretary Yes//Possible 1. Does the policy/guidance affect one group less or more favourably than another on the basis of: Race Comments (Positive/Negative) Religion or belief Disability learning disabilities, physical disability, sensory impairment and mental health problems Gender Sexual Orientation Age 2. Is there any evidence that some groups are affected differently? 3. If you have identified potential N/A discrimination, are any exceptions valid, legal and/or justifiable? 4. Is the impact of the policy/guidance likely to be negative? 5. If so can the impact be avoided? N/A 6. What alternatives are there to achieving the N/A policy/guidance without the impact? 7. Can we reduce the impact by taking different action? N/A If you have identified a potential discriminatory impact of this procedural document, please refer it to the PPI Manager, together with any suggestions as to the action required to avoid/reduce this impact. For advice in respect of answering the above questions, please contact the PPI Manager. Please ensure you consider all of the following legislation when producing your policy: Gender Sex Discrimination Act 1975 Equal Pay Act 1970 Equalities Act 2006 Gender Recognition Act 2004 Race Race Relations Act 1976 Race Relations (Amendment) Act 2000 Disability Disability Discrimination Act 1995 and 2005 Age Age Regulations 2006 Sexual orientation Equalities Act 2006 Relevant employment legislation Religion and beliefs Equalities Act 2006 Relevant employment legislation Additional Comments: Dartford and Gravesham NHS Trust Page 16 of 25

17 Appendix A: Gifts, Hospitality and Sponsorship Form All gifts, hospitality and sponsorship offered and either accepted or declined, over a value of 50 must be logged in the Trust s Gifts, Hospitality and Sponsorship Register. I understand that failure to notify, and/or deliberately misrepresent a gift, hospitality or sponsorship, may lead to criminal investigation by the NHS Counter Fraud Service and/or City of London Police. Name: Position: Extension / Bleep : Department / Directorate: Please give details of the Gift / Hospitality / Sponsorship offered including the direct and indirect benefit to the Trust: Who gave the Gift / Hospitality / Sponsorship? Did this directly impact time spent when you would otherwise be performing your salaried duties at the Trust (please state the name and address, if known) Please outline the reason/s for the Gift / Hospitality / Sponsorship: Amount / value: Have you accepted or declined the offer? Accepted Declined Dartford and Gravesham NHS Trust Page 17 of 25

18 This Form should be submitted to the Trust Secretary, Russell Davies within 10 working days of the receipt of any gifts, hospitality or sponsorship. When completed, please return this form to: The Trust Secretary, Trust HQ, Level 4, Darent Valley Hospital Please note, an electronic version of this form is available on ADAGIO, at Dartford and Gravesham NHS Trust Page 18 of 25

19 Appendix B: Declaration of Officers interests form To: Jane Burr Associate Director, Corporate Development (Trust Secretary), Trust HQ, Level 4, Dartford & Gravesham NHS Trust DECLARATION OF OFFICERS INTERESTS I confirm I have the following notifiable 5 interests which may conflict or impact on my role as an officer 6 of Dartford & Gravesham NHS Trust. I understand that failure to notify, and/or deliberately misrepresent an interest, may lead to criminal investigation by the NHS Counter Fraud Service and/or City of London Police. Name: Job title: Date: Signed: Please note, an electronic version of this form is available on ADAGIO, at 5 Interests which should be regarded as "relevant and material" are: a) Directorships, including n-executive Directorships held in private companies or PLCs (with the exception of those of dormant companies); b) Ownership or part-ownership of private companies, businesses or consultancies likely or possibly seeking to do business with the NHS; c) Majority or controlling share holdings in organisations likely or possibly seeking to do business with the NHS; d) A position of Authority in a charity or voluntary organisation in the field of health and social care; e) Any connection with a voluntary or other organisation contracting for NHS services; f) Research funding/grants that may be received by an individual or their department; g) Interests in pooled funds that are under separate management. 6 An officer is defined as an employee of the Trust or any other person holding a paid appointment or office with the Trust. Dartford and Gravesham NHS Trust Page 19 of 25

20 Appendix C: Examples of issues that may arise, and guidance Issue / Situation A Supplier offers to provide training for Trust staff A manufacturer of ostomy equipment offers to sponsor a stoma nurse post in the Trust A manufacturer of a particular type of Nicotine Replacement Therapy offers to provide their product at a reduced rate to the Trust A pharmaceutical company offers to provide starter packs at a discounted price A catering company offers to provide discounted products to Trust employees A patient offers 30 to a nurse who has cared for him whilst he has been an inpatient A patient offers a watch, believed to be worth 50, to a HCA who has cared for him whilst he has been an inpatient A patient sends 50 in cash in an envelope to a doctor who has cared for her whilst she has been an inpatient Guidance The offer is acceptable, providing the training covers practices expected of its staff by the Trust. The details of the training should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) Staff should not be expected to alter their own activity to accord with the suppliers' wishes, if these do not accord with those of the Trust. Acceptance of the offer should not impact on any future decisions regarding the Suppliers products or services The offer is acceptable provided o it does not require the stoma nurse to recommend the sponsor's products in preference to other clinically appropriate appliances, nor o if it requires the Trust to recommend patients to use a particular dispensing service or withhold information about other products, nor o if accepting the offer will compromise (or appear to compromise) the Trust s impartiality in relation to current or future equipment purchases This arrangement is acceptable provided that there is a clear clinical view that these products are appropriate to particular patients and there is no obligation to also prescribe these products to other patients for whom an alternative product would be at least as beneficial. The offer should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) This offer is acceptable, but should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) Subsequent prescribing should not be influenced by the provision of such starter packs. The offer is acceptable, provided the same offer is available to all Trust employees. The offer does not need to be declared The offer should be politely declined; and The offer should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) The offer can be accepted; but The offer should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) Efforts should be made to contact the patient to politely explain that the money cannot be accepted, and either make arrangements for the money to be returned to the patient, or seek the patient s consent for the money to be donated to the Dartford and Gravesham NHS Trust Charitable Fund; The offer should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO); Dartford and Gravesham NHS Trust Page 20 of 25

21 Issue / Situation A pharmaceutical company offers to fund a Consultant to attend a conference in Madrid A pharmaceutical company offers to pay for catering for an educational event being held at the hospital A Consultant owns shares in a pharmaceutical company Guidance If the patient is insistent, they should be politely informed that the money will be donated to the Dartford and Gravesham NHS Trust Charitable Fund This arrangement is acceptable provided that there is no obligation to prescribe the company s products. The offer should be declared using the Gifts, Hospitality and Sponsorship Form (see Appendix A, and also on ADAGIO) The offer is acceptable provided that there is no obligation to prescribe the company s products The offer does not need to be declared, unless it is felt that, in the judgement of any reasonable person, such hospitality could be considered lavish or excessive (in which case the organiser of the event should make a declaration, using the Trust s Gifts, Hospitality and Sponsorship Form (see appendix A, and also on ADAGIO)). The ownership of the shares should be declared, using Appendix B: Declaration of interests form (even though minority shareholders will not generally have influence over a company s activities, they would likely benefit from any business such companies would receive from NHS clients) Dartford and Gravesham NHS Trust Page 21 of 25

22 Appendix D: Flowcharts to assist in decision-making Flowchart 1: Gifts I have been offered a gift by a grateful patient Is the gift cash, or a cash equivalent? Could accepting the gift lead to accusations of compromise to your personal judgment or integrity? Yes Yes Actions required: Politely decline the offer; and Declare the offer using the Gifts, Hospitality & Sponsorship Form Yes Could accepting the gift lead to any undue influence to give preferential treatment/service to the patient or their Actions required: You are free to accept the gift Is the value of the gift more than 25? Yes Actions required: You are free to accept the gift; & Declare the offer using the Gifts, Hospitality & Sponsorship Form Dartford and Gravesham NHS Trust Page 22 of 25

23 Flowchart 2: Sponsorship (to attend a conference / event) A pharmaceutical company has offered to fund me to attend a conference in Washington, U.S.A Will attending the Conference be beneficial to the Trust s Yes Will accepting the offer lead to any undue influence over your clinical behaviour, or appear to compromise your professional Actions required: Politely decline the offer; & Declare the offer using the Gifts, Hospitality & Sponsorship Form Yes Actions required: You are free to accept the funding, & Declare the funding using the Gifts, Hospitality & Sponsorship Form Dartford and Gravesham NHS Trust Page 23 of 25

24 Flowchart 3: Sponsorship (to fund a post) An equipment manufacturer has offered funding to enable the appointment of a Specialist Nurse post at the Trust Will the Nurse be free to use their clinical judgement, & be free from any influence from the manufacturer over decisions about Yes Will accepting the offer compromise (or appear to compromise) the Trust s impartiality in relation to current or future equipment Yes Actions required: Politely decline the offer; & Declare the funding offer using the Gifts, Hospitality & Sponsorship Form Actions required: You are free to accept the funding, & Declare the funding using the Gifts, Hospitality & Sponsorship Form Dartford and Gravesham NHS Trust Page 24 of 25

25 Flowchart 4: Sponsorship (event catering) A pharmaceutical company offers to pay for catering for an educational event that I am organising at the hospital Will accepting the offer lead to any undue influence over the attendees clinical behaviour? Will accepting the offer compromise (or appear to compromise) the Trust s impartiality in Yes Yes Actions required: Politely decline the offer; and Declare the offer using the Gifts, Hospitality & Sponsorship Form Actions required: You are free to accept the offer Could the hospitality be offered be considered as lavish or excessive (in the judgement of any Yes Actions required: You are free to accept the gift; and You should declare the offer using the Gifts, Hospitality & Sponsorship Form Dartford and Gravesham NHS Trust Page 25 of 25