NHS Waltham Forest Clinical Commissioning Group Gifts, Hospitality and Sponsorship Policy
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1 NHS Waltham Forest Clinical Commissioning Group Gifts, Hospitality and Sponsorship Policy Author: Les Borrett / Baker Tilly Version 4.0 Amendments to Version 3.0 Amendments made by: - Updated Local Counter Fraud Specialist (LCFS) contact details David Pearce, Head of Governance Review date: December 2017 Gifts, Hospitalities and Sponsorship Policy, v4, December 2015
2 Contents 1. Introduction Policy Statement Scope of Policy Casual Gifts Hospitality of a Non- commercial nature Provision of Working Meals Commercial Sponsorship Hospitality and Meetings Pro bono work (work offered without payment) Authorisation Related Policies...7 APPENDIX 1 GIFTS, HOSPITALITY AND SPONSORSHIP FORM Gifts, Hospitality and Sponsorship policy December 2015 Page 2 of 8
3 1. Introduction 1.1 This policy sets out the standards of professional conduct in relation to the acceptance of gifts, hospitality and sponsorship. 1.2 This can refer to a wide range of activities, but for current purposes it can broadly be considered as: A gift of money, goods or services (including hospitality and sponsorship) or combination of these; A loan of money, goods or services or combination of these; The receipt of beneficial terms or personal gain that is not generally available regarding the purchase or lease of goods or services; The acceptance of pro bono services or sponsorship (i.e. services or sponsorship offered for no payment). 1.3 Goods include food, drink, gifts, furnishings, furniture, vehicles or any type of equipment. Services includes invitations to events, hospitality, entertainment, travel, accommodation, sponsorship or work carried out. 1.4 This document should be read in conjunction with the Code of Conduct for Managers. 1.5 This document is based on guidelines issued by the NHS Executive (EL(96)49), which make it clear that the provision of hospitality when using public money must be considered very carefully and avoided in the majority of circumstances. 2. Policy Statement 2.1 The policy of NHS Waltham Forest Clinical Commissioning Group (WFCCG) is that: Hospitality, gifts and sponsorship should not generally be accepted; Where, exceptionally, an individual believes there is a case for acceptance of one-off gifts, appropriate approval must be obtained in writing in all cases; Where approval is granted, any gift, sponsorship or hospitality received with a significant value must be recorded in the Register of Gifts, Hospitality and Sponsorship using the form attached to this policy. 3. Scope of Policy 3.1 The policy applies to all employees of WFCCG or its hosted bodies in respect of their responsibilities regardless of whether their employment contracts were issued by WFCCG or any NHS organisation. It is the responsibility of line managers to ensure that all employees are aware of and follow this policy. 3.2 Staff should be aware that disciplinary action may be taken where there is a breach of this policy and in some cases may be referred to the Local Counter Fraud Gifts, Hospitality and Sponsorship policy December 2015 Page 3 of 8
4 Specialist for investigation as to whether a criminal offence may have been committed. 3.3 The Bribery Act 2010 further clarifies that bribery is offering an incentive to someone to do something which they wouldn t normally do. Details are set out in the Anti Fraud and Bribery Policy 3.4 The offence of bribery refers to accepting, as well as offering, so that if you offered a bribe in order to encourage someone to purchase of goods or services from WFCCG or one of its hosted or associated bodies you would also be guilty of an offence. 3.5 WFCCG will have to show that it has implemented adequate control activities or procedures designed to prevent individuals associated with it from engaging in bribery in order to avoid liability. Adequate procedures are defined as the relevant compliance protocols and procedures that WFCCG can put in place to prevent bribery by individuals associated with it. This might include training, a risk assessment, or briefing. 3.6 Breaching the Act renders staff liable to disciplinary action, loss of employment and pension rights in the NHS, prosecution, fine and possible imprisonment. 3.7 If the matter is thought to be fraud related, you should contact: The NHS Fraud and Corruption reporting line: ; or The nominated fraud specialist for WFCCG (Christopher Hooper christopher.hooper@bakertilly.co.uk) ( ) or the WFCCG Director of Financial Strategy. 4. Casual Gifts 4.1 It is usually acceptable for staff in the NHS to accept one-off small tokens up to a value of 25. This may include items of low intrinsic value such as diaries or calendars, or small tokens of gratitude from patients or their relatives; although at no time should cash be accepted. 4.2 Casual gifts offered by contractors or other external organisations should be politely but firmly declined and declared in the Gifts and Hospitality Register if the estimated value is over It should be noted that the current limit is set at 25, however staff may be required to explain any acceptance of any gift, hospitality or sponsorship. 4.4 In cases of doubt staff should either consult their line manager or politely decline acceptance. Gifts, Hospitality and Sponsorship policy December 2015 Page 4 of 8
5 4.4 Whether a gift is accepted or not accepted, the employee s line manager should be informed and the offer recorded within two weeks on the WFCCG Gift and Hospitality form if the estimated value is over 25, which should then be submitted to their manager and then to the Director of Financial Strategy for authorisation. Copies of the completed forms will be retained and an annual report made and, if required, provided to the auditors. 5. Hospitality of a Non- commercial nature 5.1 Accepting modest hospitality, provided it is normal and reasonable in the circumstances, e.g. lunches in the course of working visits, may be acceptable, though it should be similar to the scale of hospitality which WFCCG as an employer would be likely to offer and should be declared if the estimate value is over Staff should decline all other offers of hospitality or entertainment. If in doubt they should seek advice from their line manager. 6. Provision of Working Meals 6.1 Working meals should not normally be provided immediately before or after a meeting. Where considered essential, they should be limited to a buffet/sandwich type meal. The meeting must unavoidably continue through the normal lunch period noon 2pm and some of those attending are from off site. 6.2 Provision for working meals outside the working day (i.e. working breakfast or supper) is by exception only. Consideration must be given to the type of menu at the selected venue and appropriate use of public funds. 6.3 For the purposes of this policy, 1:1 lunches with internal / external NHS colleagues do not constitute hospitality and WFCCG would only fund meal costs for staff where it falls within the remit of the Expenses Policy. 7. Commercial Sponsorship Hospitality and Meetings 7.1 As a general rule, sponsorship arrangements involving WFCCG or its hosted bodies should be at a corporate, rather than individual level. These guidelines apply to any member of staff working under WFCCG terms and conditions and receiving sponsorship from agencies and/or commercial industry. They may not be made towards events organised by individuals or organisations that have goals incompatible with the organisation s ethical standards or that would damage WFCCG s reputation. All sponsorships will be publicly disclosed. 7.2 Agency/Industry representatives organising meetings are permitted to provide appropriate hospitality and/or meet any reasonable, actual costs, which may be incurred. Hospitality must be secondary to the purpose of the meeting. 7.3 The level of hospitality offered must be appropriate to the occasion and the costs involved must not exceed that level which the recipients would normally expect when paying for themselves or that which could be reciprocated by WFCCG. It should not be extended beyond those whose role makes it appropriate for them to attend the meeting. 7.4 Any meeting that is sponsored must be disclosed in papers relating to the meeting and any published proceedings. Gifts, Hospitality and Sponsorship policy December 2015 Page 5 of 8
6 7.5 Where sponsorship links to the development of guidelines and advice, this should be carried out in consultation with the Deputy Director of Integrated Governance in conjunction with the appropriate WFCCG working group independent of the sponsors. While it is recognised that consultation with the health care service may be necessary when developing a guideline, the overall decision on what is included should lie with the WFCCG working group. 7.6 In all instances of being offered gifts or hospitality or where any individual benefits from sponsored hospitality with an estimated value of over 25, the attached form should be completed showing: The nature of the goods/hospitality/sponsorship offered (e.g. a lunch/ dinner); The approximate value (where this is unknown an estimate should be included in all cases); The person/organisation offering the goods; The date of the offer; Action taken (i.e. accepted/declined); And any supporting information appended. Any person(s), either employed directly by the WFCCG or acting on behalf of the WFCCG is considered to be in a position of trust and as a result must act only in the best interests of the WFCCG. Therefore, when being offered goods, hospitality or sponsorship, consideration should always be made to the WFCCG Standards of Business Conduct and Managing Conflicts of Interest policy. Any person(s) acting on behalf of the WFCCG who is associated with an organisation that forms, or is likely to form part of a contractual relationship with a host must declare this information on the WFCCGs declarations of interest register (also see Guidance for joint working with the pharmaceutical / commercial industry and sponsorship issued by North and East London Commissioning Support Unit). A person (which includes corporate entities) will be associated with another commercial organisation if they perform services for it or on its behalf. This could include: subsidiaries and controlled entities; joint venture partners; advisers; distributors; contractors; agents or intermediaries. Gifts, Hospitality and Sponsorship policy December 2015 Page 6 of 8
7 8. Pro bono work (work offered without payment) 8.1 Caution should be exercised around accepting any professional and/or other services on a pro-bono basis. In any event, pro-bono work completed by an organisation should not affect any future tender decisions or an offence may be committed under the Bribery Act. 8.2 Any pro-bono work must be declared as an interest by the organisation if they choose to submit a tender bid. The Director of Financial Strategy and Deputy Director of Integrated Governance should be informed in advance of any acceptance of pro-bono work and these will be reported to the Audit Committee. 9. Authorisation 9.1 The acceptance of any gifts, hospitality or sponsorship offered or accepted with an estimated value over 25 should be included on the attached form, agreed by your line manager and then the Director of Financial Strategy within 2 weeks of the offer. 10. Related policies Standards of Business Conduct and Managing Conflicts of Interest policy Anti Fraud and Bribery policy Whistleblowing policy Gifts, Hospitality and Sponsorship policy December 2015 Page 7 of 8
8 APPENDIX 1 GIFTS, HOSPITALITY AND SPONSORSHIP FORM HOSPITALITY, GIFTS AND SPONSORSHIP DECLARATION FORM (To be completed where the value of the one off hospitality, gift or sponsorship offered or accepted is estimated to exceed 25) Date hospitality, gift or sponsorship offered/received: Name of person offered/receiving the hospitality, gift or sponsorship: Work address: Directorate: Hospitality, gift or sponsorship received from: Details of Interest, hospitality, gift or sponsorship offered/received: Approximate value of hospitality, gift or sponsorship offered/received: Declaration: (please delete as appropriate) 1. The hospitality, gift or sponsorship was offered but was declined. 2. I declare that the interest/gift/hospitality/sponsorship acquired or received was entirely consistent with the requirements of the Code of Conduct for NHS Managers and that no business decisions have or will be improperly influenced by gifts or no advancements or personal gain obtained. I confirm that I have read and understand the Authority s Code of Conduct for Managers (if appropriate) and have made all necessary declarations during the last year. Print Name: Signed and dated: (If the declaration is made by , state by in the signature box above) Managers Statement: Print Name: Signed and Dated: Director of Financial Strategy : Print Name: I confirm I have been made aware of the hospitality, gift or sponsorship offered or received by this individual. I consider the action taken to be reasonable/ I have taken the following action with regard to the matter: I confirm I have been made aware of the hospitality, gift or sponsorship offered or received by this individual. I consider the action taken to be reasonable/ I have taken the following action with regard to the matter: Gifts, Hospitality and Sponsorship policy December 2015 Page 8 of 8
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