Policy for the Acceptance of Gifts and Hospitality


Policy for the Acceptance of Gifts and Hospitality

January 2010

VERSION CONTROL
Version / Date / Author / Status / Comment
1.0 / November 2008 / CS / Draft / First draft for comment
V1.1 / November 2008 / CS / Draft / Amended to reflect comments received
V1.2 / November 2008 / CS / Draft / For Ratification at Audit Committee
V1.3 / November 2008 / CS / Final / Ratified with minor amendments at Audit Committee
2.0 / January 2009 / CS / Draft / Annual review
3.0 / February 2010 / KW / Final / Annual review
CONTROL RECORD
Title / Policy for the Acceptance of Gifts and Hospitality
Reference
Purpose / To ensure staff understand their responsibility and to ensure that a register of acceptances and refusals for gifts and hospitality offered is maintained.
Audience / All staff within NHS Nottingham City
Issue / 1 / Issue date
Version / V3.0 / Date / January 2010
Status / Draft / Review / January 2011
Owner / Director of Strategy and Corporate Development
Author / Head of Corporate Assurance
Superseded Documents / Policy for the Acceptance of Gifts and Hospitality V2.0
Equality Impact Assessment / Date
Approved by / Date
Ratified by / Audit Committee / Date / February 2010
Target audience
Distribution list
Method / Paper copies  Intranet  Other 
Archived / Date / Location
Access
Contents / Page
1 / Introduction / 4
2 / Purpose / 4
3 / Policy Statement / 4
4 / Receipt of Gifts and Hospitality Guidance / 5
5 / Register of Gifts and Hospitality / 6
6 / Procedure Notes for Declaring Gifts and Hospitality / 6
7 / Implementation and Compliance of the Policy / 6
8 / Breaches of the Policy / 7
9 / Staff Awareness of the Policy / 7
10 / Equality & Diversity Statement / 7
11 / Review and Audit of the Policy / 7
Appendices
Appendix 1 – Template Declaration of Offers and Receipt
of Gifts and Hospitality Form / 8
  1. Introduction
  2. NHS organisations are required to have in place a policy on the acceptance of gifts and hospitality. As a public sector organisation, NHS Nottingham City has a duty to ensure that its resources are utilised effectively. NHS Nottingham City staff should not accept any gifts or hospitality offered to them. There is a limited set of exceptions and the purpose of this policy is to set out the standards and procedures that staff should follow to protect both them and NHS Nottingham City.
  1. Purpose
  2. This policy is intended to help staff understand their responsibility in regards to acceptance or refusal of gifts and hospitality, and ensure that a register of acceptances and refusals are maintained.
  1. Policy Statement
  2. Thispolicy supports a culture of openness and transparency in NHS Nottingham City’s business transactions. The policy should be read in conjunction with the following documents, which also set out generic guidelines and responsibilities for NHS organisations in relation to gifts and hospitality:
  • Standards of business conduct for NHS Staff[1]
  • Nottingham City Primary Care Trust Standing Orders and Standing Financial Instructions[2]
  • Code of conduct for NHS Managers[3]

3.2.Thispolicy applies to all employed staff of NHS Nottingham City including clinical staff, non-clinical staff and Executive and Non-executive Directors.

3.3.NHS Nottingham City will ensure that all employees are aware of the existence of this policy. The following will be undertaken to ensure awareness:

  • Introduction to the policy during local induction for new starters to the Organisation
  • Annual reminder of the existence and importance of the policy via internal communication methods
  • Regular reports on entries into the register for the NHS Nottingham City Board and the Audit Committee

3.4.It should be noted that all clinical staff employed by the organisationshould also refer to their respective professional codes of conduct relating to the acceptance of gifts and hospitality.

  1. Receipt of Gifts and Hospitality Guidance

Casual Gifts, including gifts from patients

4.1.Any gift, or offer of a gift which is perceived to exceed £15 must be declared and entered onto the Gifts and Hospitality Register.

4.2.Casual gifts by contractors or others, e.g. at Christmas time, must not be in any way connected with the performance of duties so as to constitute an offence under the Prevention of Corruption Act[4]. Items of low intrinsic value such as diaries and other items of work related stationery and equipment may be accepted and need not be recorded in the Register

4.3.It is acceptable to receive other small value items, for example from a patient or relative in appreciation of the treatment and care received, or seasonal items, if it is made clear to the person offering the gift or hospitality that it is accepted on behalf of the team or department (and indeed, is shared with colleagues) or is donated to the NHS Nottingham City’s Charitable Fund.

4.4.In cases of doubt advice must be sought from your line manager and, in no case, must a gift be accepted without prior written approval of the Manager if the estimated value of the gift exceeds £15.00. If a gift falls outside of identified ‘small value items’ and arrives without warning, it must be handed over to the appropriate Director who will decide whether the gift should be returned (or passed on to a charity or good cause) and will ensure that the donor is informed of what has happened

Cash

4.5.Under no circumstances must staff accept personal gifts of cash, even below the £15.00 limit. It is permissible for staff to accept cash donations to the Organisation’s charitable funds, subject to a receipt being issued and the cash being banked through the NHS Nottingham City’sFinance Department.

Hospitality

4.6.All offers of hospitality should be approached with caution. Modest hospitality, for example, a drink and sandwich during a visit or a working lunch is normal and reasonable and does not require approval of a Manager. Offers of hospitality relating to theatre evenings, sporting fixtures, or holiday accommodation or other hospitality must be declined.

4.7.There is an important difference between, for example, attendance in an official capacity at a function organised by a public body and accepting hospitality from a private individual or firm standing to benefit from the goodwill of NHS Nottingham City. Particular care must be taken when dealing with contractors, developers and firms or individuals in a comparable position.

4.8.No absolute dividing line can be laid down in relation to hospitality therefore agreement from an Executive Director or the Chief Executive must be obtained before acceptance. It MUST be noted that under the Prevention of Corruption Act, 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 the contrary.

  1. Register of Gifts and Hospitality
  2. NHS Nottingham City has established a Register of Gifts and Hospitality, which is held within the Directorate of Strategy and Corporate Development by the Corporate Governance and Board Co-ordinator. A copy of the register is available from the Corporate Governance and Board Co-ordinator.

5.2.All staff are required to report receipt of gifts and hospitality and the offer of such, regardless of whether or not they are accepted. The following information will be recorded within register:

  • The person or organisation making the offer
  • The member of staff to whom the offer was made
  • The gift or hospitality offered or declined
  • The estimated value of the gift or hospitality
  1. Procedure Notes for Declaring Gifts and Hospitality

6.1.If after referring to the above guidance, it is necessary for a member of staff to declare an acceptance or refusal of gifts or hospitality, the following steps should be taken to ensure full compliance with this policy:

  • Inform Line Manager or Director
  • In cases of doubt ask for guidance on acceptance or refusal of the gift or hospitality
  • Contact the Corporate Governance and Board Co-ordinator to inform them of acceptance or refusal
  • Supply full detail of the gift / hospitality and estimated value.

6.2.The Corporate Governance and Board Co-ordinator will ensure the entry is completed on the Gifts and Hospitality Register via monthly returns. The completed pro-forma, including signatures, must be returned to the Corporate Governance and Board Co-ordinator to be held within the register. A template of the Declaration of Offers and Receipt of Gifts and Hospitality can be found at Appendix 1 of this policy.

  1. Implementation and Compliance of the Policy

Responsibilities of NHS Nottingham City

7.1.NHS Nottingham City must ensure staff are aware of the policy and the process to be followed. All staff must be aware that failure to comply with this policy is a disciplinary matter, which could result in dismissal.

Responsibilities of all employees

7.2.All staff, including Non-Executive Directors, MUST be aware of the existence of this policy and, where necessary be familiar with the detailed provisions

  1. Breaches of Policy

8.1.Non-compliance with the above requirements will be deemed as a disciplinary matter and the NHS Nottingham City disciplinary procedure will be followed in such cases. If it is proven that actual fraud has taken place then criminal charges may be brought.

  1. Staff Awareness of the Policy

9.1.Staff will periodically be reminded of the policy and register at least annually. This will be done via the Third Thursday briefing sessions and its Update communication.

  1. Equality & Diversity Statement

10.1.The Organisation is committed to ensuring that it treats its employees fairly, equitably and reasonably and that it does not discriminate against individuals or groups on the basis of their ethnic origin, physical or mental abilities, gender, age, religious beliefs or sexual orientation.

10.2.If you have any concerns or issues with the contents of this policy or have difficulty understanding how this policy relates to you and/or your role, please contact the Document Owner/Author.

  1. Review and Audit of the Policy

11.1.The policy will be reviewed on an annual basis by the Audit Committee. Details of the register will be presented for review to the Audit Committee twice yearly.

Document Owner: Director of Strategy & Corporate DevelopmentPage 1 of 8

Date of Issue: February 2010

Policy for the Acceptance of Gifts and Hospitality

DECLARATION OF OFFERS AND RECEIPT OF GIFTS AND HOSPITALITY

For the month of:………………………………………………..

Directorate:………………………………………………………..

Please use this form to submit composite Directorate return, detailing all offers and receipts of gifts and hospitality. The completed form should be sent to the Corporate Governance and Board Co-ordinator, Chief Executives Office at the end of each month.

Please also use this form to submit a nil return if appropriate.

Date Received / Staff Name
Designation
Base / Name of the organisation or individual (including patient) offering gifts or hospitality / Details of gifts or hospitality offered / Declined or accepted / Approx value £

OR

Signed:……………………………………….

Form submitted to the Corporate Governance and Board Co-ordinator on:………………………date)

Document Owner: Director of Strategy & Corporate DevelopmentPage 1 of 8

Date of Issue: February 2010

[1] Standards of Business Conduct for NHS Staff – HSG(93)5, Department of Health, Jan1993

[2] Nottingham City PCT SO’s and SFI’s – Sections 6, 7. 4.1, 11, 21.2.6, 29

[3] Code of Conduct for NHS Managers, Department of Health, Oct 2002

[4] Prevention of Corruption Act 1916