Disciplinary Policy and ProcedureContents Page

1. Scope and Principles 2

2. Disciplinary Procedure Flowchart 3

3. Right to be accompanied 5

4. Pre-Disciplinary Investigation 5

5. Precautionary Action 5

6. Unavailability and Sickness Absence 6

7. Disciplinary Hearing 6

8. Levels of Action (Sanctions) 7

9. Right of Appeal 7

10. Dismissals and Resignations 7

Appendices

Appendix 1: Examples of misconduct/gross misconduct 9

Appendix 2: Action outside of the Formal Procedure 11

Appendix 3: Gifts and Hospitality - Protocol for Employees 13

1. Scope and Principles

1.1. This policy and procedure promotes best practice and is to help and encourage all employees to achieve and maintain the required standards of conduct and ensure consistent fair treatment for all.

1.2. This policy and procedure applies to all employees of SELFA except: Employees within their probationary period; those on Apprenticeship schemes.

1.3. If a concern or grievance is raised regarding any aspect of this Policy and Procedure, it should be dealt with as promptly as possible within this process. Matters should only be referred to be dealt with through the Resolving Issues at Work Procedure where they are not related to the application of this Policy for that individual case.

1.4. Disciplinary action should only be considered where normal line management action has either failed to achieve the required standards or would be inappropriate in the circumstances. Managers are able to take informal action where standards of conduct give cause for concern, draw deficiencies to the attention of the employee and indicate that formal disciplinary action will be considered if standards do not improve. This action is outside the formal disciplinary procedure. Line managers should make a file note and provide a copy to the employee, indicating that this is not a formal warning under the Disciplinary Procedure.

1.5. No employee will be dismissed for a first breach of conduct except in the case of gross misconduct, when the sanction will normally be dismissal without notice.

1.6. In certain circumstances it may be appropriate to implement disciplinary action short of dismissal outside the formal Disciplinary Policy and Procedure (see Appendix 2 of this Procedure) but only where there is genuine mutual agreement.

1.7. Where child protection or vulnerable adult concerns and/or criminal offences are suspected, these procedures will normally take precedence. A pre-disciplinary investigation may be delayed while matters are considered under statutory/criminal procedures. Where serious allegations/concerns arise the manager should consider whether a report to senior management should be made.

1.8. Employees are required to disclose all convictions, arrests, charges and summons occurring while in SELFA employment

2 of 18

Concern re conduct identified

Initial brief investigation No further action necessary

Action necessary but can be dealt with informallyAction necessary but can’t be dealt with informally

Informal line management action taken

Manager makes file note & copies to employee to check and make comments if appropriate. Note agreed or areas of non-agreement noted

Initiate formal investigation & inform employee – advise re representationConsider if precautionary action necessary

Arrange investigatory meeting(s) as necessary

If necessary take precautionary action in consultation with Senior Manager

At conclusion of investigation reach decision about action required

Decision taken to proceed to formal hearing

Inform employee

No further action necessary

Inform employee in writing

2. Disciplinary Procedure Flowchart

3 of 18

Decision taken to proceed to formal hearing

Inform employee

Employee wishes to consider action outside formal procedure Action outside formal procedure not possible

Action outside formal procedure possibleFinalise documentation, arrange panel

Circulate documentation pack to employee and panelWrite to employee inviting to hearing, notify any witnessesAdminister warning outside formal procedure

Hearing reaches decision Employee notified of decision in writing

Employee decides not to appeal

Where necessary report outcome to any occupational/professional bodies

Appeal hearing reaches decision

Employee decides to appeal

Take any action required on pay increments

Employee notified of appeal decision in writing

Arrange appeal hearing & circulate documentation

4 of 18

3. Right to be accompanied

3.1 Employees have the legal right to be accompanied by a trade union representative or work colleague at Disciplinary Hearings and Disciplinary Appeal Hearings. The Charity extends this right to other formal meetings of the Disciplinary Procedure e.g. investigatory interviews. The accompanying representative has a statutory right to address the hearing or meeting but no statutory right to answer questions on the employee’s behalf.

4. Pre-Disciplinary Investigation

4.1 Where line management action is not appropriate or has failed to achieve the required standard a pre-disciplinary investigation must take place. The line manager or another officer will investigate, gather the facts, identify and interview witnesses and obtain documentary evidence. The employee will be informed that an investigation is to be undertaken. The employee may request to be accompanied by a trade union official or a work colleague.

4.2 If necessary, the employee will be called to an investigatory meeting where there will be opportunity to answer questions related to the allegations. Reasonable notice of the investigatory meeting will be given.

4.3 Both the employee and witnesses must be made aware that what they say during the investigation will be recorded in writing and may be used as evidence in any subsequent disciplinary proceedings. Witnesses should also be made aware that they may be required to appear in person at any subsequent Disciplinary Hearing and Appeal.

4.4 Investigations should be concluded as quickly as possible. Where an employee’s representative is unavailable to attend an investigatory meeting the employee must propose another date and time which should be no more than 5 working days later than the original date.

4.5 The employee should be informed in writing of the outcome of the investigation without unreasonable delay.

5. Precautionary Action (suspension/temporary re-deployment)

5.1 Precautionary action includes suspension from work or temporary transfer to another post/location or temporary restriction/amendment of duties. Precautionary action is not disciplinary action and does not indicate any pre- judgment of the allegation/s. The employee will remain on normal pay.

5.2 Suspension from work may be appropriate where the allegation/s indicate potential gross misconduct or where the employee continuing in their work may hamper the investigation or where they may commit further misconduct, or where they, or other people, may be put at risk by their remaining at work. A temporary transfer to another suitable post/location or restricted duties may be an alternative. Precautionary action should be kept under periodic review during the investigation as a consequence of the evidence gathered. Periods of suspension should be kept to the minimum necessary.

5 of 18

5.3 Precautionary action should be taken after consultation with a senior manager. There are no rights to representation/accompaniment at a precautionary action meeting but if a trade union representative or work colleague is available at the time of the meeting the individual may be accompanied by such a representative.

6. Unavailability and Sickness Absence

6.1 If an employee is absent due to sickness during the disciplinary process, the investigating officer should determine the nature and likely duration of the absence. Advice may be sought regarding the employee’s ability to take part in the process.

6.2 Where an employee is suspended and subsequently notifies Management that they are unwell, normal notification/medical certification requirements will apply. Such absence will count against the employee’s occupational sick pay entitlement and their absence record.

6.3 Reasonable time should be allowed for the employee to recover. However if it is likely that the absence will be prolonged, with the employee continuing to be unfit to take part in an investigation/hearing, the disciplinary process may proceed in his/her absence. The employee’s representative may give evidence and state the case for the employee. The employee may provide a written statement.

7. Disciplinary Hearing

7.1 If a decision is reached that the concerns can only be addressed by a Disciplinary Hearing, the employee will be informed in writing. (However, see Appendix 2 – Disciplinary Action Outside the Formal Procedure). The letter, giving reasonable notice of the Hearing must include details of the allegation/s to be heard, the right to be accompanied as in Section 3 above, the names of the Panel members and the names of any witnesses to be called. All management documents to be referred to at the Hearing should be submitted to the employee and the panel members as soon as possible and definitely no later than 5 working days prior to the Hearing. Documentary evidence to be used by the employee and the names of any witnesses to be called by the employee should be submitted to the management representative and the panel members as soon as possible and definitely no later than 5 working days prior to the Hearing.

7.2 In the event of the unavailability of the employee due to sickness an alternative date will normally be offered, allowing a reasonable time for the employee to recover but normally within 10 working days of the original date. The timescale in para 4.3 above applies where the representative is unavailable. If the employee is still unavailable for the re-arranged Hearing then the Hearing may go ahead. If the employee wishes, their case may be stated by his/her representative and/or the employee may provide a written statement of case in his/her absence.

7.3 A Disciplinary Hearing will be considered by at least one Officer of appropriate seniority who has no previous direct involvement in the case.

7.4 A note of the hearing will be kept and the hearing may be electronically recorded.

6 of 18

8. Levels of Action (Sanctions)

8.1 All sanctions and the reasons for them will be confirmed in writing to the employee stating: the period after which the sanction will normally be disregarded for future

disciplinary purposes, provided there has been no further formal disciplinary action taken against the individual during this period;

that a copy will be kept on their personal file.

8.2 Written Warning: If the misconduct is sufficiently serious a written warning can be given. The sanction will normally be disregarded for disciplinary purposes after twelve months satisfactory conduct.

8.3 Final Written Warning: If there is repeated misconduct or the misconduct is sufficiently serious to justify only one written warning but not serious enough to justify dismissal, a final written warning can be given. The warning will normally be disregarded for disciplinary purposes after fifteen months satisfactory conduct.

8.4 Dismissal/Action Short of Dismissal: If misconduct continues or gross misconduct occurs, the employee will normally be dismissed. In the case of gross misconduct, dismissal will normally be without notice (nor will payment in lieu of notice be made). If there are exceptional mitigating circumstances the Panel may take action short of dismissal where, otherwise, dismissal would occur. This will be to apply a final written warning, possibly valid for future disciplinary purposes for an extended period above the normal 15 month period. In exceptional circumstances (i.e. where no repeat of an act of misconduct could ever be tolerated) a ‘life of employment’ final written warning may be issued. Action short of dismissal may also include a demotion and/or transfer.

8.5 Increments. When any formal disciplinary warning is applied it will have an effect on the individual’s pay increment position as follows: the loss of any incremental progression while the warning is live or, for staff already on the top spinal column point of the pay band or qualification bar, their salary will be reduced by one incremental point only with effect from the following April.

9. Right of Appeal

9.1 There is a right of appeal, with representation as in section 3 above, against any formal disciplinary sanction. The employee must give written notice of the appeal within 10 working days of receipt of the letter confirming the sanction and set out, in writing, the grounds for appeal. Appeals will be heard at the earliest available opportunity and reasonable written notice of the date and the arrangements will be given. The timescales for exchange of documents/notification re witnesses are as in Section 8 above.

9.2 The Chair of the initial Hearing may be requested to attend the Appeal Hearing as a witness in order to explain how the decision was reached, and to answer questions.

10. Dismissals and Resignations

10.1 Where an employee is dismissed consideration must be given as to whether the matter is required to be reported to any professional/occupational bodies which require the

7 of 18

reporting of misconduct issues in such circumstances e.g. Independent Safeguarding Authority, General Social Care Council.

10.2 There may be cases in which an employee offers to resign or resigns prior to a Disciplinary Hearing. In these circumstances it should be made clear to the employee that the Disciplinary Hearing may still go ahead and reach a decision and that:- the outcome will need to be referred to in any references provided. where required, the outcome will be reported to any professional/ occupational

bodies which require the reporting of misconduct issues in such circumstances.

10.3 Where an employee offers to resign prior to a Disciplinary Hearing, and the Hearing does not go ahead, it should be made clear to the employee that the allegation(s) will be referred to in any references provided and, where required, reported to any professional/occupational bodies.

8 of 18

Appendix 1

Examples of type of misconduct and probable consequences

This is not an exhaustive list of those instances that could be construed as serious misconduct sufficiently serious to warrant formal disciplinary action. The list is provided to give examples of the types of behaviour that could be regarded as such.

Serious Misconduct

(i) Unjustified refusal of a lawful and reasonable instruction(ii) Persistent lateness, unauthorised absence, failure to follow sickness absence

notification procedures(iii) Verbal assault or threat of violence in the workplace to fellow employees or other

people(iv) Negligence in carrying out duties in accordance with relevant policies and procedures(v) Negligence in the performance of duties and responsibilities not covered by iv) above

(except where due to incapability)(vi) Unauthorised use of the Charity’s resources, or confidential information gained whilst in

the employment of the Charity (except where employees are protected by the provisions of the Charity’s Whistle-blowing Policy/Public Interest (Disclosure) Act 1998

(vii) Breaches of the Charity’s policy on the acceptance of gifts and hospitality.(viii) Personal misconduct occurring outside of the workplace, which is deemed sufficiently

serious to affect an employee’s position at work.(ix) Inappropriate use of electronic communications, including email or internet access

facilities.(x) Failure to abide by professional codes of conduct/standards(xi) Discrimination, bullying or harassment.

Note: Incidences described above would normally result in a written warning (which may be a final warning). Continued/repeated incidences of misconduct may however lead to dismissal.

Examples of type of gross misconduct and probable consequences

This is not an exhaustive list of those incidences that could be construed as gross misconduct. It is provided as an example of the types of behaviour that could be regarded as such.

Gross Misconduct(i) Theft or attempted theft, fraud or fraudulent falsification of accounts, or other official

records.(ii) Deliberate damage to the property of the Charity or that of any other employee.(iii) Physical or indecent assaults deemed sufficiently serious to affect an employee’s

position at work.(iv) Serious breaches of the Charity’s policy on the acceptance of gifts and hospitality.(v) Serious breaches of confidentiality (unless subject to the protection afforded by the

Whistle-blowing Policy/Public Interest (Disclosure) Act 1998.(vi) Discrimination, bullying or personal harassment of a serious, wilful and/or sustained

nature.

9 of 18

(vii) Being incapable of work, or of working safely due to the influence of alcohol or drugs (unless the Capability and/or Occupational Health Procedures are deemed to apply)

(viii) Serious negligence or wilful failure to comply with legal requirements of the Charity’s various policies and procedures such as Health and Safety, Equalities, Data Protection, or any other legal or statutory requirement.

(ix) Serious negligence which causes or might have caused unacceptable loss, damage or injury

(x) Behaviour which has brought the Charity or its services into serious disrepute.(xi) Serious breach of computer security and/or information governance and/or abuse of

electronic systems including the misuse of email and/or internet facilities and deliberately attempting to access pornographic, offensive or obscene material.

(xii) Personal misconduct occurring outside of the workplace, including actions which result in the employee being unable to conduct, or unsuitable for, their type of work.

(xiii) Serious and sustained insubordination(xiv) Actions or behaviours that result in a complete breakdown of trust and confidence

between the Charity and the employee, even where any individual act in itself would not constitute gross misconduct.

(xv) Serious breach of professional codes of conduct/standards.(xvi) Serious misuse of Charity property or name.

Note: Incidences described above would normally result in dismissal without notice. Action short of dismissal may be taken in the event of exceptional mitigating circumstances.

10 of 18

Appendix 2

Disciplinary Action outside the Formal Procedure

1. Introduction

1.1 Occasions will arise when it is appropriate to take disciplinary action outside of the formal procedure. This should not be regarded as normal practice but can arise when for example an employee is made aware of the results of a formal investigation and is prepared to accept a formal warning without the formal hearing/appeal process.

1.2 Such action can save a considerable amount of time and stress for all the parties concerned whilst also achieving the purpose of a disciplinary warning which is to correct an employee’s behaviour and move forward.

1.3 However it is essential that due process is followed in accordance with these guidelines to avoid accusations of unfairness or undue pressure, subsequent misunderstandings or appeals.

2. Guidelines

2.1 This process is not appropriate if the disciplinary action sought is dismissal. If however during the process an individual offers their resignation its acceptance can be considered, provided due process is followed and management are confident that they can adequately defend any subsequent accusations of unfairness or undue pressure. If in doubt a formal hearing should be arranged.

2.2 It is management’s responsibility to establish the facts of any case before proposing a sanction and therefore a formal investigation will normally be required and/or the evidence assembled in the usual way.

2.3 A meeting must be arranged at which the employee can hear a full explanation of the evidence and proposed penalty and at which they can comment and question the facts of the case and level of penalty proposed. If the employee has admitted to the misconduct a summary of the evidence should suffice.

2.4 The employee must be advised of their rights to a formal hearing and be given a copy of the formal procedure with explanation as necessary. They should be asked to confirm their understanding.

2.5 The employee must be given the right and encouraged to be accompanied by a union representative or colleague and be given adequate opportunity to take separate advice from their representative or colleague before the meeting, in adjournment and/or following the meeting or to seek independent advice within a reasonable period of time following the meeting.

2.6 The manager should also arrange to be accompanied by another manager/Trustee who will act as a witness to what is said and agreed.

11 of 18

2.7 If there is agreement to the proposed sanction management must confirm in writing to the employee the facts of the case and the process that has been followed including the date of the meeting, those present, the information and advice given about the employee’s rights under the formal procedure and their understanding of these and the agreed penalty.

2.8 The employee must be given the opportunity to consider the letter and take further independent advice before formally confirming their agreement in writing to that effect. A maximum period of 10 working days should be allowed for further advice and consideration.

2.9 Copies of the agreement signed by both parties should be retained on the employee’s personal file. The agreed warning may then be taken into account in any subsequent disciplinary process up to the time limits specified in the formal procedure. The warning period will begin from the date the employee signs the agreement and will have an effect on incremental progression.

2.10 Although unlikely to be required after agreement has been reached, the employee has the right of appeal against a warning issued under this procedure. In such cases the employee must write stating their grounds of appeal within 10 working days of receipt of the warning letter. In such cases the standard Disciplinary Appeals Procedure will be followed.

12 of 18

Appendix 3Gifts and Hospitality - Protocol for Employees

1. Background

1.1 Charity employees may from time to time, in the course of their work, encounter situations where individuals or organisations may offer gifts or hospitality. The reasons for this will vary, but such offers will usually be made as goodwill gestures, or for celebration, or appreciation, or for helping networking or working together. Some employees, e.g. senior officers who liaise with public and private sector partners, may find themselves quite often faced with hospitality opportunities, and front line workers, who engage directly with the public, may be offered gifts in thanks for their services.

1.2 There are however rules which regulate the acceptance of gifts and hospitality by Charity employees. This is because the acceptance of benefits offered like this can affect the perception of whether the Charity and its employees are acting in the public interest. The Charity must always be seen to be acting in line with its aims and objectives, to help the children it was established to support. It is important not to do anything which undermines public trust in what the Charity is doing.

1.3 Whilst most offers of gifts and hospitality are well meant and innocent, there have been, nationally, instances of benefits being offered and accepted for corrupt purposes to secure improper advantage. Whilst this is exceptional and rarely occurs, it is damaging to public confidence and damaging to the reputation of the organisation concerned. Even in situations where there are no improper motives, the acceptance of lavish gifts and hospitality can have a negative effect in terms of public perception. Charity employees must be very clear about the rules which apply to gifts and hospitality and must always bear in mind how the public might view situations where gifts and hospitality are offered and received. Any offer should be treated with great care.

1.4 This Protocol aims to help employees deal with situations where they are faced with offers of gifts and hospitality. If any employee is in doubt, further advice can be sought from their manager.

2. What is meant by Gifts and Hospitality?

2.1 Gifts and hospitality may include:

(a) a gift of money, vouchers, goods or services;

(b) the opportunity to acquire goods and services freely or at a discount or at terms not available to other members of the public;

(c) the offer of food, drink, accommodation or entertainment freely provided or heavily discounted, or the opportunity to attend any cultural or sporting event on terms not available to the public;

(d) a bequest or legacy.

13 of 18

3. The Legal Framework

3.1 The Bribery Act 2010 specifies the following offences:

bribing another person (section 1). A person commits an offence under this section where s/he offers, promises or gives a financial or other advantage to another person, and intends the advantage to induce a person to perform improperly a relevant function or activity (which includes any activity performed in the course of a person's employment), or to reward a person for the improper performance of such a function or activity;

being bribed (section 2). This section provides several cases in which an offence of being bribed may be committed, relating to a person committing an offence where s/he requests, agrees to receive or accepts a financial or other advantage intending that, in consequence, a relevant function or activity should be performed improperly or as a reward for improper performance (whether by him/her or another person);

bribing a foreign official (section 6). A person commits an offence under this section where s/he offers, promises or gives a financial or other advantage to a foreign public official with the intention of influencing the official in the performance of his/her official functions and intends to obtain or retain business or an advantage in the conduct of business.

failure of commercial organisations to prevent bribery (section 7). A relevant commercial organisation is guilty of an offence under this section if a person associated with it bribes another person intending to obtain or retain business or an advantage in the conduct of business for that organisation. It is a defence for the organisation to prove that it had in place adequate procedures designed to prevent persons associated with it from undertaking such conduct.

3.2 The maximum penalties under the Act are 10 years’ imprisonment/unlimited fine for individuals and an unlimited fine for organisations.

3.3 Anyone committing offences of this nature will also be subject to disciplinary action.

3.4 Government guidance on the Act confirms that “The Government does not intend that genuine hospitality or similar business expenditure that is reasonable and proportionate be caught by the Act, so you can continue to provide bona fide hospitality, promotional or other business expenditure. In any case where it was thought the hospitality was really a cover for bribing someone, the authorities would look at such things as the level of hospitality offered, the way in which it was provided and the level of influence the person receiving it had on the business decision in question. But, as a general proposition, hospitality or promotional expenditure which is proportionate and reasonable given the sort of business you do is very unlikely to engage the Act….”

4. Employees’ Code of Conduct:

4.1 With the exception of the minor items referred to at paragraph 4.3 below, all benefits such as accommodation, travel, entertainment, presents, gifts or bequests should be refused. If they are accepted disciplinary action may be taken. Gifts received through the post should be returned to the sender with an appropriately worded letter.

14 of 18

4.2 Gifts and Bequests: Employees must always inform their manager of any offer of gifts or bequests received during the course of their employment.

4.3 There are exceptions in relation to minor items such as diaries, calendars, blotters or other items of low value. This would include items with a monetary value of no more than £10, and on a single occasion only. Any repeated offer should be declined. Offers and receipt must nevertheless be notified to and recorded by the employee’s manager. Under no circumstances should offers/gifts of money (of whatever amount) be accepted.

4.4 Employees will occasionally receive bequests or legacies in wills. This can reflect the genuine wish of a client to register their thanks to someone who has helped them, and the employee involved may be entirely unaware that they intend to make the bequest. However kindly meant, such gestures can be open to misinterpretation and because of that the Charity will not allow bequests to be retained by employees. Any bequest made to employees must be politely refused and returned to the Executor of the will, making it clear that the Charity’s rules do not allow the acceptance of bequests by employees. Disciplinary action, including the possibility of dismissal, will be taken if a bequest is accepted in these circumstances.

4.5 Hospitality: There are sometimes occasions where it is in order to accept hospitality, but only if there is a genuine benefit to the Charity which would not otherwise be available. Examples are given below. Invitations to attend purely social or sporting functions should be accepted only when these are part of the life of the community served or where the Charity should be seen to be represented. Attendance must be properly authorised and recorded by the appropriate Manager. When hospitality has been declined those making the offer should be courteously but firmly informed of the procedures and standards operating within the Charity.

4.6 When considering whether it is appropriate to accept hospitality employees and their managers should be particularly sensitive as to its timing having regard to any decisions the Charity may be taking affecting those providing it.

4.7 Acceptance of hospitality at conferences and courses or events is acceptable where it is clear that the hospitality is corporate rather than personal, where it is authorised and where any contracting decisions are not compromised. More examples in relation to hospitality are set out below.

4.8 Sponsorship – Giving and Receiving: Where an outside organisation wishes to sponsor a Charity activity, the above conventions concerning acceptance of gifts or hospitality apply. Again, care must be taken when dealing with contractors or potential contractors.

4.9 Where the Charity wishes to sponsor an event or service, employees, their partners, relatives or other close associates must not benefit from such sponsorship in a direct way without there being full disclosure to the appropriate Manager/Trustees of any such interest. Similarly where the Charity, through sponsorship, grant aid, or finance by other means, gives support in the community, employees must ensure that impartial advice is given and that they have no conflict of interest in the matter.

15 of 18

5. What does it mean in practice? – A summary of some general principles and examples.

5.1 These are some practical points which should help employees and their managers deal with offers of gifts or hospitality:

(a) Never accept a gift (other than the minor items referred to at 4.3 above).Acceptance of a gift is very unlikely likely to confer any advantage on the Charity. A presumption would arise that acceptance is purely for an employee’s personal benefit. There are very few exceptions to this - some minor ones are set out below at paragraph 6.0.

(b) Never accept hospitality as an inducement or reward for anything you do as a Charity employee. Hospitality should not be accepted unless there is commensurate benefit to the Charity.The only proper reason for accepting any hospitality is that there is a benefit for the Charity which would not otherwise be available. An example is an opportunity to progress the business of the Charity expeditiously through a working lunch, or to canvas or promote the interests of the Charity and its area at a meeting where there is incidental hospitality.Charity employees must act in the public interest and must not be swayed in the discharge of their duties by the offer, prospect of an offer, or the non-offer of any inducement or reward for discharging those duties in a particular manner. If an employee has any suspicion that the motive is an inducement or reward s/he should decline.

(c) Never accept if acceptance might be open to misinterpretation.The appearance of impropriety can be just as damaging to the Charity and to the employee as actual impropriety. The Charity’s ability to function rests upon its reputation for acting in the public interest.Employees must therefore consider whether the acceptance of the hospitality is capable of being interpreted is a sign that the Charity favours any particular person, company or section of the community, or is placing the employee under any improper obligation to any person or organisation.Certain occasions are particularly sensitive and require the avoidance of any opportunity for misunderstanding. These include: when the Charity is conducting a competitive procurement process, in

respect of any indication of favour towards particular tenderer(s); funding decisions when the Charity is determining a grant application by any

organisation or person; decisions about the allocation of work to current partners which will affect

the amount of income the partner might gain from the Charity; when the Charity is engaged in legal proceedings, hospitality from other

parties to the proceedings would be inappropriate.

(d) Do not accept hospitality which puts you under an improper obligation.Recognise that some commercial organisations and private individuals see the provision of gifts and hospitality as a means of buying influence. If an employee accepts improperly, it is possible that they may seek to use this to persuade him/her to determine an issue in their favour.

(e) Do not solicit a gift or hospitality.

16 of 18

Employees must never solicit or invite an offer of a gift or hospitality in connection with their position as a Charity employee. Also, employees should take care to avoid giving any impression that they might be open to any such improper offers.

(f) Some other situations to avoid: hospitality in situations where the employee would be the sole guest; hospitality of significant value.

6. Gifts and Hospitality which it is appropriate to accept

6.1 There are some circumstances where it is in order to accept hospitality, though some situations will nevertheless require the exercise of careful judgment.

a) Official hospitality such as civic reception or a working/business lunch in (provided it is ancillary to the business being conducted).

b) Civil hospitality provided by another organisation.

c) Refreshments in connection with any meeting in the course of an employee’s work as a Charity employee e.g. normal refreshments.

d) Meals or refreshments funded by partners as the part of joint working/collaboration, and provided it is ancillary to the business being conducted.

e) Meals or refreshments being provided as part of a ceremony or event to promote or launch a project or initiative.

f) Meals or refreshments provided at design/progress meetings, by a consultant, contractor or adviser who is already appointed by the Charity for that project, scheme or initiative (provided it is ancillary to the business being conducted).

g) Gifts given to the Charity which an employee accepts formally on the Charity’s behalf and which are retained by the Charity but not by the employee personally e.g. a commemorative item.

h) Gifts given as prizes at exhibitions, conferences, seminars etc as part of a free raffle or draw.

i) Gifts known to be available to all employees e.g. badges etc.

j) Hospitality known to be available to all employees.

k) Hospitality ancillary to the Charity’s business being conducted such as an overnight stay for an away day with a partner organisation of the Charity.

l) Hospitality ancillary to attendance at conferences, seminars and courses where hospitality is corporate rather than personal.

m) Hospitality ancillary to attendance at functions where an employee represents the Charity e.g. ceremonies, public speaking events, conferences where hospitality is ancillary.

17 of 18

7. Reporting of inappropriate gifts and hospitality offered

7.1 As stated above, it is a criminal offence for a person to offer, promise or give a financial or other advantage as an inducement or reward for an employee improperly to do or not do something in their employment. Employees must immediately report to their manager any circumstances where inappropriate gifts or hospitality have been offered to them. The employee may then be required to assist the police in providing evidence.

8. Procedure for registration of gifts and hospitality

8.1 Before accepting hospitality or other benefit employees must seek approval from their manager, complete a registration form setting out the reasons for acceptance, or the fact that it has been declined, have the form signed by their manager and recorded in the Charity’s Register. Employees should register gifts, hospitality and benefits offered but refused as a matter of good practice.

9. The Register of Gifts and Hospitality

9.1 The Charity keeps a Register of Gifts and Hospitality for their employees.

9.2 The Registers are not available to the public.

9.3 Employees are able to have access to any of their own forms contained in the Register, but not anyone else’s. Employees’ managers will be able to access their forms to ensure that gifts and hospitality are appropriately monitored, and the Register is additionally open to inspection by the Trustees or any party with legal entitlement to inspect it.

Revised: June 2018

18 of 18