Document Title Standards of Business Conduct Policy Document Description Document Type Policy Service Application Whole of Trust Version Draft 3.1 Lead Author(s) Name Marsha Ingram Job Title Director of People and Corporate Development Change History Version Control Version Date Comments Draft 0.1 23.06.10 Draft document prepared for initial consultation within the Trust. Draft 2.0 06.07.10 Amends following consultation period. Draft 3.0 Amends to reflect Bribery Act 2010 Draft 3.1 13.08.13 Amends to reflect LCFS comments Link with Standards for Better Health Domains Safety Clinical & Cost Effectiveness Yes Governance Yes Patient Focus Accessible & Responsive Care Care Environments & Amenities Public Health Key Dates Day Month Year Ratification Date 14 th July 2010 Revision Date 29 th May 2013 Review Date 29 th May 2015
Executive Summary Sheet Document Title: Standards of Business Conduct Policy Please tick ( ) as appropriate This is a new document within the Trust This is a revised document within the Trust What is the purpose of this document? This policy outlines the Trust s guidance for all staff in respect to standards of business conduct. What key issues does this document explore? This policy covers a range of issues including : Outlining the national standards and guidance in respect to business conduct Code of conduct for NHS Boards Code of Conduct for NHS Managers Guidance for staff in respect to accepting gifts and/or hospitality and being offered bribes Record keeping requirements in respect to receipt of accepting gifts and/or hospitality Who is this document aimed at? All Trust staff and Non-Executive Directors. What other policies, guidance and directives should this document be read in conjunction with? Local counter fraud and corruption policy Code of Conduct and Code of Accountability for NHS Boards Code of Conduct for NHS Managers (Department of Health 2002) Bribery Act (2010) How and when will this document be reviewed? The policy shall be reviewed in two years, or sooner in the light of any amendments to key guidance or legislation. The coordination of this review will be the responsibility of the Director of People and Corporate Development. 2
Document Index 1 Introduction 4 2 Scope 4 3 Background 4 4 General Principles 6 5 Declaration of Interests 6 6 Gifts and Hospitality 7 7 Consultation and Ratification 9 8 Compliance and Monitoring 9 9 References 10 Pg No Document Appendices No Description Pg No 1 Receipt of Gifts and/or Hospitality Declaration Form 11 2 Declaration of Interests Form 12 3
1. Introduction 1.1 Public service values should be at the heart of all NHS organisations, based on service user centred care, accountability and the efficient use of public money. 1.2 It is acknowledged that, in general, NHS staff have an outstanding sense of commitment to the ideals of the service and a very high sense of propriety on the way they conduct both their public duties and private affairs. 1.3 It is the duty of all Trust staff to ensure that the best interests of the public and service users are upheld in decision-making and that decisions are not improperly influenced by gifts or inducements. 1.4 It is the obligation of all Trust staff to ensure that the Trust and NHS resources are protected from fraud and corruption and that any incident or concern of this kind is reported to the NHS Counter Fraud Services. 1.5 This policy forms part of an individual s contract of employment with the Trust. 2. Scope 2.1 This policy and associated guidance applies to all members of staff employed by Dudley and Walsall Mental Health Partnership NHS Trust. 2.2 As a matter of good practice and governance, it is expected that this policy would be observed by all individuals conducting work on behalf of the Trust, including secondees, bank staff and contractors. 3. Background 3.1 Nolan Principles on Standards in Public Life 3.1.1 Following the findings of the Nolan Committee in 1994, the Government published a number of recommendations setting out the Seven Principles of Public Life. 3.1.2 Whilst these were intended to guide the conduct of senior officers within the public sector (referred to here as holders of public office ), their spirit is encapsulated within this policy and is expected to be observed by all Trust staff. 3.1.3 The seven principles are: Selflessness holders of public office should take decisions solely in terms of the public interest. They should not do so in order to gain financial or other material benefits for themselves, their family or their friends. Integrity holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might influence them in the performance of their official duties. 4
Objectivity in carrying out public business, including making public appointments, awarding contracts or recommending individuals for awards or benefits, holders of public office should make choices based on merit. Accountability holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate for their office. Openness holders of public office should be as open as possible about all the decisions and actions they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. Honesty holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. Leadership holders of public office should promote and support these principles by leadership and example. 3.2 Code of Conduct and Code of Accountability for NHS Boards 3.2.1 In seeking to encourage NHS organisations to adopt robust governance procedures, the Department of Health and NHS Appointments Commission developed the Code of Conduct and Code of Accountability for NHS Boards. 3.2.2 This guidance outlines expectations of corporate and personal conduct based on the following public sector values: Accountability everything done by those who work in the NHS must be able to stand the test of parliamentary scrutiny, public judgements on proprietary and professional codes of conduct. Probity there should be an absolute standard of honesty in dealing with the assets of the NHS: integrity should be the hallmark of all personal conduct in decisions affecting service users, staff and suppliers, and in the use of information acquired in the course of NHS duties. Openness there should be sufficient transparency about NHS activities to promote confidence between the NHS organisation and its staff, service users and the public. 3.3 Code of Conduct for NHS Managers 3.3.1 The Code of Conduct for NHS Managers (DoH 2002) was developed to serve two main purposes: As a guide for NHS Managers and employing health bodies in the work they do and the decisions and choices they make. 5
To reassure the public that these important decisions are being made against a background of professional standards and accountability. 3.4 Legal Obligations 3.4.1 The Bribery Act (2010) sets out four offences, the first three of which are most relevant to the NHS: Offer, promise or give a bribe to another person to perform a relevant function or activity improperly (this is known as active bribery ). Request, accept or agree to receive a bribe to perform a function or activity improperly (even if the bribe is not for the recipient s benefit or is received via a third party). This is known as passive bribery. Failure of an organisation to prevent bribery. Offer, promise or give a financial or other advantage to a foreign public official. 4. General Principles 4.1 The general principles underpinning this policy are that all Trust staff are expected to: Ensure that the interests of the service user remain paramount at all times. Be impartial and honest in the conduct of their official business. Use public funds to the best advantage of the service, ensuring value for money. Ensure that they do not abuse their position for personal gain or to benefit their family or friends. Ensure that they do not seek advantage or further private business or other interests in the course of their duties. Identify, declare and resolve where possible any conflicts of interest. Make clear the arrangements for monitoring and evaluation of any agreement. 5. Declaration of Interests 5.1 It is the responsibility of all Trust staff to declare any cases where they or a close relative or associate has a relevant and material interest in a business (including private companies, public sector organisations, other NHS Trusts 6
and voluntary or charitable organisations), or in any other activity or pursuit, including employment, which may seek NHS business or supply goods or services to the Trust. 5.2 Interests which should be regarded as relevant and material are: a) Directorships, including Non-Executive Directorships held in private companies or PLCs (with the exception of those of dormant companies); b) Ownership or part-ownership of private companies, businesses or consultancies likely or possibly seeking to do business with the NHS; c) Majority or controlling shareholdings in organisations likely or possibly seeking to do business with the NHS; d) A position of Authority in a charity or voluntary organisation in the field of health and social care; e) Any connection with a voluntary or other organisation contracting for NHS services; f) Research funding/grants that may be received by an individual or their department; g) Employment with any such organisation 5.3 It should be noted that all staff are also under an obligation, upon reasonable request from their line manager, to provide details of any employment undertaken outside of the Trust. 5.4 This declaration should be made to the Director of People and Corporate Development either when starting employment with the Trust or at the point of acquisition of the interest. Staff should use the declaration form at Appendix 2 and must also inform their line manager. 5.5 A register of interest declarations will be maintained on behalf of the Board by the Director of People and Corporate Development. 5.6 All staff are expected to be proactive in the declaration of interests of this nature. If there is any doubt as to whether an interest should be declared, please contact the Director of People and Corporate Development for further advice. 5.7 All Trust Board members should make an annual declaration of interests, a register of which will be maintained by the Director of People and Corporate Development on behalf of the Board. This Register is available for inspection upon request and will be published annually within the Trust s Annual Report. 7
5.8 Declaration of Interests should be a standing item on the agenda at any formal meeting of the Board of Directors, where attendees will be expected to declare any personal interests relating to any of the agenda items. Their continued participation in the meeting will be at the discretion of the Chairman. 6. Gifts and Hospitality 6.1 Acceptance of Gifts 6.1.1 It is recognised that staff may sometimes be offered gifts or other tokens of appreciation within the course of their duties. It is not expected that the acceptance of gifts would be the norm. Any offer of gifts or tokens of appreciation should be courteously declined. 6.1.2 However, there may be some unusual circumstances where the refusal of such a gesture would clearly offend the donor, or cause embarrassment or appear discourteous. In such circumstances, the following guidance should be followed by all staff: Nature of gift Non-cash items with a value less than 25, such as chocolates, biscuits and diaries Non-cash items with a value greater than 25, or a number of smaller gifts within a short time period totalling at least 100. Staff guidance If appropriate, staff may accept the gift appreciatively and inform their line manager. If appropriate, staff may accept the gift and declare it to the Director of People and Corporate Development as soon as practicable (using the declaration form at Appendix 1). Staff must also inform their line manager. Cash or cheques Must not be accepted by individual member of staff. Staff should advise their line manager who will encourage the donor to consider making a contribution to the Trust s Charitable Funds instead. 6.1.3 If there is any doubt regarding the appropriateness of the acceptance or otherwise of a gift, staff should contact the Director of People and Corporate Development for advice. 8
6.2 Acceptance of Hospitality 6.2.1 As a general rule, any hospitality offered by a third party should be accepted only when it is both proportionate (for example, low-cost working lunches or an integral element in building relationships such as annual events run by third sector agencies) and reasonable. Modest hospitality that which would be similar to the scale that an NHS employer would be likely to offer may be accepted by Trust staff. 6.2.2 Hospitality which is more elaborate in nature that which would be estimated to cost in excess of 25 (for example invitations to functions, events and evening dinners) must be declared to the Trust via the Director of People and Corporate Development (use declaration form at Appendix 1). Staff must also inform their line manager. 6.2.3 Frequent offers of hospitality where there is a considerable cost involved, particularly from the same source, should be politely refused. 6.2.4 If there is any doubt regarding the appropriateness of the acceptance or otherwise of hospitality, staff should contact the Director of People and Corporate Development for advice 6.3 Register of Gifts and Hospitality 6.3.1 A register of gift and hospitality declarations will be maintained on behalf of the Board by the Director of People and Corporate Development. 6.4 Sponsorship and Hospitality 6.4.1 It is acknowledged that the Trust has relationships with external suppliers, most notably pharmaceutical companies, who may offer sponsorship, hospitality and/or training to the Trust. Examples include staff training, pharmaceutical equipment, meeting rooms, costs associated with meeting rooms, gifts, hospitality, hotel and travel costs, and provision of free services e.g. speakers, premises or buildings. In such circumstances, the following guidance should be followed. 6.4.2 The Trust should not accept sponsorship for training unless it can be assured that the training is impartial and supports the Trust s overall approach to Learning and Development. 6.4.3 Industry representatives organising meetings are permitted to provide appropriate hospitality and/or meet reasonable actual costs which may have been incurred. 6.4.4 The provision of hospitality must be secondary to the purpose of the meeting and proportionate and appropriate to the occasion. It should not extend beyond those whose role makes it appropriate for them to attend the meeting. Where meetings are sponsored by external sources in this way, that fact must be disclosed to all attendees in papers relating to the meeting and in any published proceedings. 9
6.4.5 All sponsorship agreements must be capable of immediate cancellation by either party. 6.4.6 The Trust will ensure that there are no commercial promotional messages contained within the information it produces. 6.4.7 Acceptance by staff of commercial sponsorship must be approved in advance by the relevant director and should only be permitted if assurance is given that acceptance will not compromise purchasing decisions in any way or lead to any other conflict of interest. Such acceptance must also be declared to the Director of People and Corporate Development for inclusion within the Gifts and Hospitality Register. 6.4.8 If there is any doubt regarding the appropriateness of the acceptance or otherwise of sponsorship, staff should contact the Director of People and Corporate Development for advice 7. Consultation and Ratification 7.1 Consultation regarding the contents of this policy will take place with all key staff and managers in accordance with Trust policy guidance. The policy will be ratified by the Trust Board. 8. Compliance and Monitoring 8.1 Compliance with this policy will be upheld and monitored by all managers within the Trust. Oversight and overall monitoring of the policy will be led by the Director of People and Corporate Development, reporting to the Audit Committee. 8.2 The policy and the registers of gifts and hospitality and of interests will be reviewed by the Audit Committee at least annually and more frequently if appropriate to do so. 9. References Code of Conduct and Code of Accountability for NHS Boards http://www.nhsbsa.nhs.uk/documents/sect_1_-_d_-_codes_of_conduct_acc.pdf Code of Conduct for NHS managers (Department of Health 2002) http://www.dh.gov.uk/en/publicationsandstatistics/publications/publicationspolicyandguidance/dh_ 4005410 10
Appendix 1 Receipt of Gifts and/or Hospitality Declaration Form Name. Department.. Signature.. Date.. Date of receipt of gift or hospitality Name and details of donor Description of gift or hospitality Approximate value Other relevant information Line Manager to complete: Declaration is acceptable/unacceptable (please delete as appropriate. Comments:..... Signature:.... Print Name:.... Date:..... 11
Appendix 2 Declaration of Interests Form Name. Department Signature.... Date. Name of Organisation to whom the interest relates........... Relationship....... When did the interest begin?... How is the interest relevant to the work of the Trust?........... Additional Employment Employment with another organisation may be considered to be a conflict of interest please declare it below: Other Employer......... Position with other employer Date employment began... Hours and time worked....... Line Manager to complete: Declaration is Acceptable/Unacceptable (please delete as appropriate) Comments:..... Signature:.... Print Name:.... Date:..... 12