Receipt of Hospitality, Gifts and Inducements Policy umber: 032 Version: 1.5 Ratified by: Audit Committee 16 Dec 2015 ame of originator/author: LCFS File Location Policies\01 Final Policies Date issued: June 2013 Last review date: December 2016 ext review date: December 2018 VERSIO COTROL Version Date Author Status Comment 1.1 December 2014 1.1 January 2015 1.2 October 2015 Ann Cooper, Interim Governance Lead Ann Cooper Interim Governance Lead Ann Cooper Interim Governance Lead 1.3 May 2017 Rob Morgan - CFO 1.4 May 2017 Tanya Betts 1.5 July 2018 Fiona Andrews, Office Manager Update Review of Policy Appendix 1 Form changed. Update Final Final Final Update Following Audit Committee 20 Jan 2015 item 9 updated to include threshold of greater than 100 GBP. Update on working with Pharmaceutical Industry. 50 threshold changed to 25 to align with HS guidance. Corporate and Governance Manager to change to Office Manager Threshold value for food only 25 and gifts at 50. Updated format of declaration form to match HS Guidance. Updated with new legislation wording. Page 1 of 16
Equality Analysis This Policy is applicable to the Governing Body, every member of staff within the Surrey Heath CCG (SHCCG) and those who work on behalf of the CCG. This document has been assessed for equality impact on the protected groups, as set out in the Equality Act 2010. This document demonstrates SHCCG s commitment to create a positive culture of respect for all individuals, including staff, patients, their families and carers as well as community partners. The intention is, as required by the Equality Act 2010, to identify, remove or minimise discriminatory practice in the nine named protected characteristics of age, disability, sex, gender reassignment, pregnancy and maternity, race, sexual orientation, religion or belief, and marriage and civil partnership. It is also intended to use the Human Rights Act 1998 and to promote positive practice and value the diversity of all individuals and communities. An equality impact assessment was completed by Rob Morgan, CFO in July 2014, shown in Appendix 2. If you have identified a potential discriminatory impact of this procedural document, please contact the Corporate Office, Surrey Heath CCG, Surrey Heath House, Knoll Road, Camberley, Surrey GU15 3HD. Telephone 01276 707572. Alternative formats To help ensure that this policy is as accessible as possible, this document is available in alternative formats and languages. To request a copy of this policy in large print, audio, Braille (or another format) or in an alternative language please call the Corporate Office on 01276 707581. Page 2 of 16
Receipt of Hospitality, Gifts and Inducements Contents 1. Introduction 2. General Principles 3. Standing Financial Instructions 4. Cash/Donations 5. Sponsorship-Course and Conferences 6. Working with the Pharmaceutical Industry 7. Role of Directors 8. Role of Consultant Medical Staff Involved in Third Party Working Agreements 9. Procedure for Registering Gifts, Hospitality and Inducements 10. Freedom of Information Act 2000 11. Failure to Comply with Policy Page 3 of 16
Receipt of Hospitality, Gifts and Inducements 1. Introduction The HS is a publicly funded organisation. All employees have a duty to ensure that all funds are spent for the purpose for which they were intended. They also have a duty to comply with the Codes and Accountability guidance, Standing Orders (SOs), Standing Financial Instructions (SFIs), together with all good business and corporate governance practices. HS bodies are required to have an explicit procedure for staff (including permanent, temporary, Bank or agency staff) and Governing Body members to declare any gifts, hospitality and sponsorship offered by and accepted from contractors, suppliers and others. In addition, it is good practice to declare any gifts, hospitality and sponsorship offered by contractors, suppliers and others, but declined. 2. General Principles It is a long established principle that public sector bodies, including the HS, must be impartial and honest in the conduct of their business, and that their employees should remain beyond suspicion. In this connection Governing Body members and staff will:- a) Ensure that the interests of patients remain paramount at all times; b) Be impartial and honest in the conduct of CCG business; c) Use the public funds subscribed to them to the best advantage of the services, always ensuring value for money. 3. Standing Financial Instructions (SFIs) SFIs define the obligation of the Chief Finance Officer to ensure that all staff are made aware of the CCG policy on the acceptance of gifts, hospitality and inducements. Receipt of such gifts, hospitality and inducements applies to both implicit and explicit offers, whether or not linked to the awarding of contracts, or a change in working practices. The following rules apply: 3a Improper Gifts and Hospitality a Director or Employee (Director or Employee in this instance includes executive and non-executive Governing Body members), consultants, locum and interim staff, and all other permanent staff members of the CCG shall not in any circumstance solicit, proposition or agree to receive from any third party any form of gift, hospitality (including sporting or other social events) or other benefit in return for doing or not doing anything in relation to the discharge of their duties and responsibilities on behalf of the CCG or for showing or not showing any favour in relation to such duties and responsibilities. o Director or employee shall accept any hospitality which is unreasonable or excessive. The test that needs to be applied in all such situations is whether a fair-minded member of the public knowing the facts of the matter, would see anything improper or suspicious in the receipt of the offer and/or hospitality, and whether the person would consider the hospitality to be Page 4 of 16
reasonable on the context of the CCG s position as an organisation utilising public funds to provide services. 3b Gifts What are the issues? Staff in the HS offer support during significant events in people s lives. For this work they may sometimes receive gifts as a legitimate expression of gratitude. We should be proud that our services are so valued. But situations where the acceptance of gifts could give rise to conflicts of interest should be avoided. Staff and organisations should be mindful that even gifts of a small value may give rise to perceptions of impropriety and might influence behaviour if not handled in an appropriate way. A gift means any item of cash or goods, or any service, which is provided for personal benefit, free of charge, or at less than its commercial value. Principles and rules Overarching principle applying in all circumstances: Staff should not accept gifts that may affect, or be seen to affect, their professional judgement. Gifts from suppliers or contractors: Gifts from suppliers or contractors doing business (or likely to do business) with an organisation should be declined, whatever their value. Subject to this, low cost branded promotional aids may be accepted where they are under the value of a common industry standard of 6* in total, and need not be declared. *The 6 value has been selected with reference to existing industry guidance issued by the ABPI: http://www.pmcpa.org.uk/thecode/pages/default.aspx Gifts from others sources (e.g. patients, families, service users): Gifts of cash and vouchers to individuals should always be declined. Staff should not ask for any gifts. Gifts valued at over 50 should be treated with caution and only be accepted on behalf of an organisation (i.e. to an organisation s charitable funds), not in a personal capacity. These should be declared by staff. Modest gifts accepted under a value of 50 do not need to be declared. A common sense approach should be applied to the valuing of gifts (using an actual amount, if known, or an estimate that a reasonable person would make as to its value). Multiple gifts from the same source over a 12 month period should be treated in the same way as single gifts over 50 where the cumulative value exceeds 50. What should be declared Staff name and their role with the organisation. A description of the nature and value of the gift, including its source. Date of receipt. Page 5 of 16
Any other relevant information (e.g. circumstances surrounding the gift, action taken to mitigate against a conflict, details of any approvals given to depart from the terms of this guidance). 3c Hospitality What are the issues? Delivery of services across the HS relies on working with a wide range of partners (including industry and academia) in different places and, sometimes, outside of traditional working hours. As a result, staff will sometimes appropriately receive hospitality. Staff receiving hospitality should always be prepared to justify why it has been accepted, and be mindful that even hospitality of a small value may give rise to perceptions of impropriety and might influence behaviour. Hospitality means offers of meals, refreshments, travel, accommodation, and other expenses in relation to attendance at meetings, conferences, education and training events, etc. Principles and rules Overarching principles applying in all circumstances: Staff should not ask for or accept hospitality that may affect, or be seen to affect, their professional judgement. Hospitality must only be accepted when there is a legitimate business reason and it is proportionate to the nature and purpose of the event. Particular caution should be exercised when hospitality is offered by actual or potential suppliers or contractors these can be accepted if modest and reasonable but individuals should always obtain senior approval and declare these. Meals and refreshments: Under a value of 25 - may be accepted and need not be declared. Of a value between 25 and 75* - may be accepted and must be declared. Over a value of 75* - should be refused unless (in exceptional circumstances) senior approval is given. A clear reason should be recorded on an organisation s register(s) of interest as to why it was permissible to accept. A common sense approach should be applied to the valuing of meals and refreshments (using an actual amount, if known, or an estimate that a reasonable person would make as to its value). *The 75 value has been selected with reference to existing industry guidance issued by the ABPI http://www.pmcpa.org.uk/thecode/pages/default.aspx Travel and accommodation: Modest offers to pay some or all of the travel and accommodation costs related to attendance at events may be accepted and must be declared. Offers which go beyond modest, or are of a type that the organisation itself might not usually offer, need approval by senior staff, should only be accepted in exceptional circumstances, and must be declared. A clear reason should be recorded on an organisation s register(s) of interest as to why it was permissible to accept travel and accommodation of this type. A non exhaustive list of examples includes: Page 6 of 16
o offers of business class or first class travel and accommodation (including domestic travel). o offers of foreign travel and accommodation. What should be declared Staff name and their role with the organisation. A description of the nature and value of the hospitality including the circumstances. Date of receipt. Any other relevant information (e.g. action taken to mitigate against a conflict, details of any approvals given to depart from the terms of this guidance). 3d Registration of Gifts and hospitality if a Director or Employee of the CCG proposes to accept a gift or hospitality of the type mentioned in 3b or 3c above, the Director or Employee must: i) First obtain the approval of an Executive Director of the CCG or, in the case of an Executive Director, must first obtain the approval of the Chief Officer, or in the case of the Chief Officer or on-executive Directors, must first obtain the approval of the Chair (the Chair may use his/her discretion about the receipt or declining of gifts, etc, but must follow the process outlined above); and ii) Assuming such approval is obtained must then (within 14 days of receipt) provide the Corporate Secretary with details of the gift and/or hospitality and its source/provider, so that details may be entered in the CCG s Register of Gifts, Hospitality and Inducements. The CCG s Register of Gifts, Hospitality and Inducements will be presented to the Audit Committee on an annual basis for inspection. Directors may use their discretion about approving the receipt of gifts, etc, but must follow the process outlined above. Hospitality and Gifts (Giving) hospitality provide by Directors in the course of business should also be declared and must be in line with the CCG s policy on the submission of expenses claims. 4. Cash/Donations Under no circumstances must staff accept personal gifts of cash, even below the 25 threshold. It is permissible for staff to accept cash donations to the CCG s Charitable Funds, subject to a receipt being issued and the cash being banked through the CCG s cashier s office. Should a donation be offered by a present or potential supplier or contractor, the appropriate Executive Director will need to be satisfied with its impartiality. If there is any doubt, the donation should be politely declined, or the matter referred to the Chief Officer for approval. 5. Sponsorship Courses and Conferences Page 7 of 16
Acceptance of commercial sponsorship for staff to attend relevant courses (including in relation to clinical techniques, procedures, products or drugs, or any study leave) and conferences is acceptable, but only when sponsorship and any associated hospitality are reasonable, and only when any implications associated with impartiality and proper conduct are satisfied. Sponsorship includes provision of, or reimbursement for, accommodation, travel and meals. These requirements also apply to commercial sponsorship to fund courses and conferences arranged by the CCG. The procedure for authorising sponsorship is the same as those for hospitality and entertainment (refer to 3c above) and all acceptances and offers must be recorded in the Register of Gifts, Hospitality and Inducements held by the Corporate Secretary. Occasionally, commercial sponsorship might be provided for a whole department encompassing a number of staff. In these circumstances, it is the responsibility of the relevant Director as applicable to complete the Hospitality, Gifts, Rewards and/or Inducements Received Pro-forma, suitably amended to record the number of staff and forward to the Governance and Corporate Manager for inclusion in the Register of Gifts, Hospitality and Inducements. 6. Working with the Pharmaceutical Industry The CCG has adopted a policy for working with the Pharmaceutical Industry. This covers sponsorship, joint working and training arrangements. Approval of any sponsorship must be obtained from an Executive Director of the CCG or, in the case on an Executive Director, must first obtain the approval of the Chief Officer, or in the case of the Chief Officer or Lay Members, must first obtain the approval of the Chair. If the CCG becomes aware of any unapproved sponsorship, swift and appropriate action will be taken to bring the situation within the requirements of the policy. Where a meeting funded by the Pharmaceutical Industry or allied commercial sector is hosted/organised by the CCG that fact must be disclosed in the papers relating to the meeting and in any published proceedings, e.g. minutes, action notes. The division hosting/organising the meeting must ensure that the receipt of funding is recorded in the Register of Gifts, Hospitality and Inducements. 7. Role of Directors This policy has been approved by the Audit Committee on behalf of the CCG Governing Body for application throughout the CCG and notwithstanding the overall responsibility of the Chief Finance Officer to ensure that staff are made aware of the policy and its content, each Director must ensure that manager and all staff, clinical and non clinical, are made aware of its provisions and that they are adhered to at all times. 8. Role of Consultant Medical Staff Involved in Third Party Working Agreements. Page 8 of 16
Consultant medical staff involved in the third party working agreements should refer to the CCG s Policy on Third Party Working by Consultant Medical Staff. 9. Procedure for Registering Gifts and Hospitality The Office Manager holds and maintains the CCG Register of Gifts, Hospitality and Inducements. The Office Manager shall ensure that the Register is presented to the Audit Committee on an annual basis for inspection. Executive and Divisional Directors are required to remind staff that staff are obliged to complete and return the form attached as Appendix 1 to this policy should they accept or decline any kind of gift, inducement or hospitality with a value greater than 100 GBP. 10. Freedom of Information Act 2000 Staff should note that, following implementation of the Freedom of Information Act 2000, the information contained with the CCG Register of Gifts, Hospitality and Inducements will be subject to disclosure to any member of the public on request. The information will also be reported to the CCG s Audit Committee every 12 months. 11. Failure to Comply with the Policy The SO and SFIs have been adopted by the Governing Body and are mandatory for all Directors and Employees of the CCG. The policy on the Receipt of Gifts, Hospitality and Inducements form an integral part of the SFIs and is, therefore, also mandatory. Failure to comply is a disciplinary offence and, if appropriate, a referral will be made to the Local Counter Fraud Specialist. Page 9 of 16
APPEDIX 1 Declaration of Gifts and Hospitality Form Receiving benefits, gifts, rewards or hospitality in return for providing services (even if these services are part of a usual role) can be perceived as an inducement to show favour to a person or organisation in his or her official capacity. Staff are advised to decline such offers, but it is acknowledged that there may be occasions when this is not feasible. All staff should conduct themselves with integrity, impartiality and honesty at all times and should maintain high standards of propriety and professionalism. Details of employee First name Surname Job Title Email Address Date of Declaration The CCG has a number of policies that support good practice in managing conflicts of interest, gifts and hospitality and working with pharmaceutical companies. Please can you confirm that you have read and understood the following: 012 Conflict of Interest Policy 029 Standards of Business Conduct 032 Receipt of Gifts & Hospitality policy 053t Working with pharmaceutical industry policy Yes I have read the policies and understand the requirement to declare any gifts or hospitality offered or received in accordance with the CCG policy. Please add a tick in the box to confirm Declaration of Gifts and Hospitality Form (Please complete) o I have not received any benefit, gift, reward or hospitality in the past 12 months Yes I have received a benefit, gift, reward or hospitality in the past 12 months Please add a tick in the appropriate box. Signature Date Page 10 of 16
If yes, and you have not previously declared the gift or hospitality, please complete the form below (one form per gift/ hospitality) Page 11 of 16
SECTIO B Declaration of Gifts and Hospitality Form If yes, and you have not previously declared the gift or hospitality, please complete the form below: Description of Interest Relevant Dates Comments From To Hospitality received - 95 from Organisation Z to pay for travel to speak at conference on Managing Conflicts of Interest on 21/12/16 21/12/20 16 21/12/20 16 Approval to attend event and accept hospitality given by Mary Baker, Head of Unit The information submitted will be held by HS Surrey Heath CCG for personnel or other reasons specified on this form and to comply with the organisation s policies. This information may be held in both manual and electronic form in accordance with the Data Protection Legislation (given the meaning described in the Data Protection Act 2018). Information may be disclosed to third parties in accordance with the Freedom of Information Act 2000 and published in registers that HS Surrey Heath CCG holds. I confirm that the information provided above is complete and correct. I acknowledge that any changes in these declarations must be notified to HS Surrey Heath CCG as soon as practicable and no later than 28 days after the interest arises. I am aware that if I do not make full, accurate and timely declarations then civil, criminal, internal disciplinary, or professional regulatory action may result. I do / do not [delete as applicable] give my consent for this information to published on registers that HS Surrey Heath CCG holds. If consent is OT given please give reasons: Signed: Date: Please return this form to Fiona Andrews Page 12 of 16
GUIDACE OTES FOR COMPLETIO OF SPECIME ITERESTS DECLARATIO FORM Description of Interest: Provide a description of the interest that is being declared. This should contain enough information to be meaningful (e.g. detailing the supplier of any gifts, hospitality, sponsorship, etc). That is, the information provided should enable a reasonable person with no prior knowledge should be able to read this and understand the nature of the interest. Types of interest: Financial interests - This is where an individual may get direct financial benefits from the consequences of a decision they are involved in making on-financial professional interests - This is where an individual may obtain a non-financial professional benefit from the consequences of a decision they are involved in making, such as increasing their professional reputation or status or promoting their professional career on-financial personal interests - This is where an individual may benefit personally in ways which are not directly linked to their professional career and do not give rise to a direct financial benefit, because of decisions they are involved in making in their professional career Indirect interests - This is where an individual has a close association with another individual who has a financial interest, a non-financial professional interest or a non-financial personal interest who would stand to benefit from a decision they are involved in making A benefit may arise from both a gain or avoidance of a loss. Relevant Dates: Detail here when the interest arose and, if relevant, when it ceased Page 13 of 16
Comments: This field should detail any action taken to manage an actual or potential conflict of interest. It might also detail any approvals or permissions to adopt certain course of action Page 14 of 16
Appendix 2 EQUALITY IMPACT ASSESSMET To be completed and attached to any procedural document as part of main document sited between version control sheet and contents page 1. Title of policy/ programme/ framework/ strategy being analysed. Receipt of gifts and hospitality 2. Please state the aims and objectives of the work and intended equality outcomes All employees have a duty to ensure that all funds are spent for the purpose for which they were intended. They also have a duty to comply with the Codes and Accountability guidance, Standing Orders (SOs), Standing Financial Instructions (SFIs), together with all good business and corporate governance practices. This policy sets out the procedure for staff (including permanent, temporary, or agency staff) and Governing Body members to declare any gifts, hospitality and sponsorship offered by and accepted from contractors, suppliers and others. In addition, it is good practice to declare any gifts, hospitality and sponsorship offered by contractors, suppliers and others, but declined. 3. Who is likely to be affected? E.g. staff, patients, service users, carers Staff 4. What evidence do you have of potential impact (positive and negative) one 5. Does the document/guidance affect one group less or more favourably than another on the basis of: Race Ethnic origins (including gypsies and travellers) ationality Gender Culture Religion or belief Sexual orientation including lesbian, gay and bisexual people Yes/o Comments Page 15 of 16
Age Disability - learning disabilities, physical disability, sensory impairment and mental health problems 6. Is there any evidence that some groups are affected differently? 7. If you have identified potential discrimination, are there any exceptions valid, legal and/or justifiable? 8. Is the impact of the document/guidance likely to be negative? /A /A 9. If so, can the impact be avoided? /A 10. 11. What alternative is there to achieving the document/guidance without the impact? Can we reduce the impact by taking different action? For advice in respect of answering the above questions, please contact the Corporate Office, Surrey Heath CCG. If you have identified a potential discriminatory impact of this procedural document, please contact as above. Sign off ame and Signature Date of the Assessment ame and designation of Ann Cooper, Interim Governance July 2014 Individuals who carried out the Assessment: Lead ame and signature of responsible Director Rob Morgan, CFO July 2014 /A /A Page 16 of 16