Hospitality, Gifts and
External Sponsorship
Policy
Document Control Summary
Ratified By and Date / Audit Committee, January 2014Date of Publication: / January 2014
Author: / Angela Attah, Director of Corporate Affairs
Accountable Director: / Angela Attah, Director of Corporate Affairs
Date issued: / January 2014
Review date: / November 2015
Target audience: / All staff and external contractors
Department: / Corporate Affairs
Policy Number:
Version Control Summary
Version / Date / Status / Comment/ChangesV 0.2 / March 2011 / General revision
V 0.3 / June 2011 / Further revision following comments by EMC, Audit Committee and revisions to the policy on policies following a pre assessment by NHSLA
V0.4 / November 2011 / Further revision to
clarify the rules around the acceptance of gifts from patients following an internal audit report on patients’ monies.
Reference the Bribery Act 2010, which came into force on 1 July 2011
V 0.5 / November 2013 / Revision to clarify rules around representatives and companies dealing with the Pharmacy and general update
V.0.5 / January 2014 / Final / Minor changes following review and benchmarking by Internal audit
CONTENTS
Paragraph page
1.Executive summary4
2.Introduction4
3.Purpose4
4.Bribery Act5
5.Duties5
6.Ratification Process5
7.Consultation Process5
8.Acceptability5
9.Individuals6
10.Teams Responsibility7
11. Commercial Sponsorship8
12.Donations10
13.Training Needs10
14.Monitoring Compliance10
15.References11
16.Equality Impact12
Appendices
1.Register of Hospitality, Gifts and External Sponsorship
2.Register of External Sponsorship for Education and Training
3.Procedure for pharmaceutical companies and their commercial
representatives in their dealings with the Trust
4.Procedure for commercial representatives in their dealings with the Trust
1.EXECUTIVE SUMMARY
1.1South West London and St George’s Mental Health NHS Trust recognises thatpublic service values must be at the heart of the National Health Service andendeavours to promote and uphold these values. The NHS is publicly funded and is accountable to Parliament for the effective and economical use of taxpayers’ money.
1.2 A high standard of corporate and personal conduct, based on the recognition that service users come first, has been a requirement throughout the NHS since its inception and is expressed in the Nolan principles of public life and the NHS Constitution.
1.3The aim of this policy is to put the relationship between the staff of South WestLondon and St. George’s Mental Health NHS Trust and its service users, their carers and families; and current and potential suppliers on a sound and professional footing and to provide suppliers and their commercial representatives with information on how they are expected to behave and what behaviour they can expect from the Trust’s staff.
2. INTRODUCTION
2.1The Trust appreciates the role that its current and potential suppliers play in supporting health practitioners in providing safe, effective and economic products and services to the service users in their care and other staff working within the NHS, in the delivery of their duties.
2.2The Trust is also aware that services users, their carers, families and friends sometimes wish to show their appreciation for the care they have received from staff and may do so by offers of gifts.
2.3Staff must act in the best interests of service users when making referrals, arranging for and providing treatment or care. Staff must not ask for any inducement, gift or hospitality.
2.4Staff must not encourage service users to give, lend or bequeath money or gifts or make donations that will directly or indirectly be of benefit to them.
2.5This policy covers all areas of the Trust; all staff, clinical and non –clinical, including those whohold honorary contracts or joint appointments with St George’s University, and all hospitals and sites which Trust staff and service users occupy.
2.6This policy will be available to the Trust’s suppliers through the Procurement Department. Copies will also be made available to staff in all areas and will be accessible on the Trust intranet.
2.7Any breach of this policy that is considered potentially fraudulent and/or corrupt will be reported to, and investigated by, the Local Counter Fraud Specialist and may result in a criminal investigation being commenced.
3. PURPOSE
3.1The aim of this policy is to set out the practical framework within which collaboration between the Trust, service users, their carers and families, suppliers and commercial sponsors can continue whilst maintaining public service values
3.2The following procedure sets out how the Trust will implement its policy on hospitality, gifts and external sponsorship. It includes any business expense that is paid for by a third party (a drug company, for example, paying for a clinician to attend a conference or other educational event).
3.3It does not cover 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, or participation in a marketing focus group etc.
4. BRIBERY ACT 2010
4.1The Trust is bound by the Bribery Act 2010, under which it is an offence for employees to pay or receive bribes
4.2Pay bribes: that is to offer or give a financial or other advantage with the intention of inducing a person to perform a relevant function or activity improperly or to reward that person for doing so.
4.3Receive bribes: that is to receive a financial or other advantage intending that a relevant function or activity should be performed improperly as a result.
4.4Conviction under the Act is punishable by imprisonment for a maximum of 10 years. More detail can be found in the Trust Fraud, Corruption and Bribery Policy 2011.
4.5This section should be read in conjunction with the s 21.2.6 (d) of the Trust’s Standing Orders.
5. DUTIES
Committee/Individual / Responsibilities/key activitiesBoard / Overall responsibility for governance of the Trust
Receipt of annual register of gifts, hospitality and sponsorship
Audit Committee / Approval of the Trust policy on Gifts, Hospitality and Sponsorship
Overarching committee with responsibility for monitoring and reviewing application of the policy
Receipt of register annually prior to presentation to the Board
Director of Corporate Affairs / Responsible for operational corporate governance including the compliance with all legal, statutory and good practice guidance requirements
Responsible for revisions to the policy, dissemination and day to day implementation across the Trust, including the provision of advice where necessary.
Responsible for maintenance of the register
Trust staff / All staff, including temporary and agency staff, are responsible for compliance with this policy
6. RATIFICATION PROCESS
Key Area / Lead Director / Working Group(where appropriate) / Ratification Body
Corporate Governance / Director of Corporate Affairs / Audit Committee
7. CONSULTATION PROCESS
7.1The Procurement and Pharmacy departments were given an opportunity to comment on early drafts of the policy and suggest amendments.
8. ACCEPTABILITY
8.1Staff must not accept as an individual or a team from a service user, their carers or families; or potential or actual suppliers;
8.1.1Any cash or cheque of any amount.
8.1.2Any vouchers, exchangeable for cash of any amount
8.1.3Any vouchers, exchangeable for goods or services of any amount.
8.1.4Any holiday or travel event of any amount.
8.1.5Any hospitality event (defined as attendance at a sporting event, concert or similar).
8.1.6Any other gift (e.g. bottle(s) of beverage/box of chocolates, flowers, toiletries or similar), with a value of more than £25 from one individual or organisation
8.1.7Any meal, or other hospitality, costing the provider more than the individual would normally pay themselves in the course of their work.
8.1.8Any event where the employee’s partner is invited.
8.1.9Bequests of any items/amounts
8.1.10Any educational conference or seminar or other similar event, which is paid for, or partly paid for, by a commercial company, whether directly or indirectly UNLESS there is a record of agreement by the Head of Department, Head of Profession or their nominee providing evidence that a decision was made for the member of staff to attend based on a clear benefit to the Trust. The record must show who is financing the event. (Study leave must be applied for in the normal way.)
8.2Declare and Register
8.2.1There are areas where hospitality and gifts are acceptable but these must be recorded and will be published in the form of a Trust-wide Register. The Register will be reviewed quarterly by the Audit Committee and submitted to the Board annually.
8.3The following may be accepted, but must be declared on the appropriate form;
8.3.1A business lunch in the course of working visits or social event
8.3.2Any other gift (bottle(s) of beverage/box of chocolates, flowers, toiletries or similar), with a value of less than £25 from one individual or organization
8.4No Need to Declare in the Register
8.4.1A diary, calendar, pen, other item of stationery, containing an advert for the company as this will have no perceived private value.
8.4.2Routine hospitality from service users or their carers and families e.g. tea/coffee and biscuits in a service users home
9.INDIVIDUALS
9.1Individuals must record the details of any accepted hospitality on the pro-forma (attached as appendix 1) and submit to the Director of Corporate Affairs/Trust Secretary as soon as possible following receipt of a gift or agreement to accept any hospitality.
9.2The Director of Corporate Affairs will maintain a composite register for the Trust, which will be available for inspection by auditors at any time and an annual report will be made to the Trust Board in public session.
9.3A copy of the register will be available on the Trust website.
10.TEAMS HOSPITALITY
10.1External Hospitality
10.1.1Teams must not accept hospitality from external organisations. In exceptional cases where there is an obvious and genuine educational, training or research and development benefit to the team and the Trust this must be authorised locally by a Operational Manager or above, or by the Director of Corporate Affairs. The hospitality must be proportionate to the benefit. For example, it is not acceptable to accept a £25 per head lunch in return for a short talk from a commercial representative about the company’s services.
10.2Internal Hospitality
10.2.1The code of accountability states that NHS monies for hospitality and
entertainment should be used sparingly and modestly and only after each case has been carefully considered. All expenditure on these items should be capable of justification as reasonable in the light of the general practice in the public sector.
10.2.2Whenever possible, meetings should be arranged within Trust premises. If this is
not possible, NHS establishments should be the preferred choice of venue. If rooms are not available within NHS premises, the meeting should be arranged at the most economic rate, taking into account room rates and refreshment charges.
10.2.3Refreshments should not normally be provided at internal management/staff
meetings. Where refreshments are considered necessary, these should be limited to sandwiches, fruit, tea/coffee and fruit juice. Catering for all meetings should normally be arranged through the Facilities Department. For any other meetings where the need for external caterers is identified, the caterer used should be one with the most economic choice and be approved by the Facilities Department.
10.2.4Lunches should not be provided if a morning meeting ends before 1.00 p.m. or if
an afternoon meeting commences after 2.00 p.m.
10.2.5It is acceptable to supply coffee/tea for mid-morning/mid-afternoon meetings
when attendees have travelled some distance to the meeting or when the meeting is to last a considerable period of time, i.e. in excess of 3 hours.
10.3Team Away Days
10.3.1The Trust recognises that Team Away Days are a useful part of team buildingand Service improvement. However such events have to be consistent with value for money and in compliance with Trust Standing Orders.
10.3.2HR guidance is that as far as possible teams should take the opportunity to meet away from the distractions of their usual environment in a planned event to
achieve agreed objectives/outcomes.
10.3.4The general principle of the hospitality policy should apply, that such events
should take place within Trust premises or where this is not practical, at other NHS venues. The use of external venues should be used sparingly and should be subject to the appropriate evaluation of costs, including the provision of refreshments where appropriate.
10.3.5Use of non-Trust premises may only be booked with prior involvement of the Procurement Department and must be authorised locally by an Operational Manager or above or by the Director of Corporate Affairs, who must be satisfied that steps were taken to seek Trust premises for the event.
10.3.6It should be noted that the use of external venues may mean the event is subject to public scrutiny with regards to appropriate and economical use of public funds.
10.3.7All chosen venues should ensure appropriate access in accordance with the Disability Discrimination Act and that appropriate levels of confidentiality will be maintained.
11.COMMERCIAL SPONSORSHIP
11.1Definition
11.1.1Commercial Sponsorship is defined as:
11.1.1.1Funding from an external source, including funding of all or part of the cost of a member of staff, piece of research, training, equipment, meeting rooms, costs associated with meetings (e.g. speakers, refreshments etc.), gifts, hotel and transport costs (including trips abroad).
11.1.2All sponsorship arrangements require the joint approval of the Head of Department or Profession and the Director of Corporate Affairs.
11.2Considerations
11.2.1In deciding whether or not sponsorship is appropriate, the Trust will give due consideration to:
11.2.1.1The need for purchasing decisions (including those concerning pharmaceuticals and appliances) always to be taken on the basis of best clinical practice and value for money. Such decisions should take into account their impact on primary as well as secondary care e.g. products dispensed in hospital that are likely to be required by patients regularly at home. See appendix 3 &4.
11.2.1.2Any sponsorship linked to the purchase of particular products or the supply from particular sources, is not allowed, unless as a result of a transparent tender for a defined package of goods and services. See appendix 3 &4.
11.2.1.3The legality and ethical standard of any sponsorship arrangements. This is particularly important where the sponsorship allows legally and ethically sound access to patient information (e.g. the sponsor is to carry out or support NHS functions, where patients have explicitly consented), and here a contract should be drawn up which draws specific attention to obligations of confidentiality. The sponsorship and contract should be approved by the Executive Management Committee.
11.3Education and Training
11.3.1Where a commercial company sponsors training events, any hospitality must be secondary to the meeting (and in line with such provision provided by the Trust) and not out of proportion to the event.
11.3.2Education and training programmes should not be directly related to a specific treatment or product i.e. the content of the meeting will not be linked to any of the sponsor’s product portfolio.
11.3.3External speakers for education and training events will speak according to a Trust brief. Content must not be provided by the sponsor, e.g. slides, PowerPoint presentations, posters etc.
11.3.4Education and training in a particular clinical specialty, e.g. mental health, may be sponsored by pooling funding from a number of relevant companies. Companies may not specify how specific funding is spent. Any stand the sponsor uses to promote products is to be outside the main meeting room or, where this is not possible, in a discreet position for example at the back of the room.
11.3.5Sponsorship of education and training events may be acknowledged in the following way if this is requested by the sponsor: “South West London and St George’s Mental Health NHS Trust is grateful for the support of Company X, Company Y, Company Z in the arrangement of this education and training event. “The Trust organiser must register, on behalf of the group, an estimate of cost prior to the event on the appropriate form. Individual participants do not need to record this.
11.4Research and Development
11.4.1When assessing a research proposal, consideration must be given to the possibility that it is merely a marketing ploy. In particular, the possible need for continuing treatment once the trial has finished must be addressed. For trials of drugs already marketed, it cannot be assumed that they will be supported by the Trust and added to the Drugs Formulary. Consequently, patients participating in a clinical trial must be made aware that there is no guarantee that it will be possible to continue a drug at the end of the trial, irrespective of the results. The Local Research Ethics Committee will need to assure itself that arrangements for any on-going treatment are in place before medication is commenced.
11.4.2Research and development proposals should have received Local Research Ethics Committee (LREC) approval. The LREC submission must make clear the role and involvement of the sponsor.
11.4.3Research and development proposals must accord with all relevant Trust policies and procedures.
11.4.4Sponsorship linked to the purchase of particular products is not allowed e.g., a researcher sponsored by a company prescribing only that company’s product.
11.4.5Any intellectual property arising from sponsorship of research and development should be negotiated between the Trust (rather than an individual) and the sponsor.
11.5Advertising Sponsorship
11.5.1Some companies will offer to fund patient information (leaflets or maps are typical) on the basis that the sponsoring organisation's expenditure is covered through advertising space.This can be a useful means of providing well-formatted information for patients, but the Trust mustensure that the agreement does not permit advertising of services or specific products.
11.5.2Therefore, no agreements for advertising sponsorship should be entered into without the prior approval of the Director of Corporate Affairs.
12.DONATIONS
12.1All charitable donations by individuals or groups received by a member of staff must be immediately directed to the Director of Finance and Deputy Chief Executive for onward transmission to the Trust Charitable Funds.
12.2Where there is any uncertainty regarding the acceptance of any gift, hospitality or sponsorship, advice should be sought from the Director of Corporate Affairs
13. TRAINING NEEDS
13.1In order to ensure the health, safety and well-being of our service users and staff, the Trust aims to address the needs and impact of its corporate, mandatory and statutory training with a comprehensive and robust training needs analysis procedure. To this end, all Trust procedural documents which have risk management training needs for permanent staff are included in the ‘Corporate, Mandatory and Statutory Training Needs Analysis’ document as managed by the Training and Development Department. This document is available on the Trust intranet, under ‘Training and Development’.