Standards Of Business Conduct Policy

Standards of Business Conduct Policy

Incorporating: Gifts and Hospitality

Sponsorship

Declaration of Interests

Document History

Version Date: / December 2012
Version Number: / 3.0
Status: / Approved
Next Revision Due: / December 2014
Developed by: / Chief Executive’s Department
Policy Sponsor: / Deputy Trust Secretary/Head of Medicines Management
EQIA completed:
(including reference number) / EIA/MCURD/13042012
Approved by: / Quality Services Committee
Date approved: / December 2012

Revision History

Version / Revision date / Summary of Changes
3.0 / March 2012 / · Organisational Changes
· Inclusion of Bribery Act 2010
· Inclusion of process and form for providing hospitality
· Merger of Sponsorship and Standards of Business Conduct Policies

To help ensure that this policy is as accessible as possible, it has been left-aligned and is available in alternative formats and languages. To obtain a copy of the policy in large print, audio, Braille (or other format) or in a different language, please contact The Communications Team by e-mail () or telephone 01773 525099.

1. Background 4

2. Aim / Purpose 5

3. Definitions and an explanation of terms used 4

4. Intended Users 6

5. General 6

5.1 Breaches of Policy 7

6. Gifts and Hospitality 8

6.1 Hospitality offered to DCHS or their employees 8

6.2 Hospitality offered by DCHS 8

6.3 Gifts 9

6.4 Business Gifits 10

6.5 Donations 10

6.6 Wills 11

6.7 Declaring Business Interests 11

6.8 Nursing/Care Homes 12

6.9 Preferential Treatment in Private Transactions 12

6.10 Contracting for Goods and Services 12

6.11 Private Practice/Outside Employment 13

6.12 Inspection of Equipment 13

6.13 Recruitment and Selection of Employees 14

6.14 Confidentiality 14

7. Sponsorship 14

7.1 Suitability for Sponsorship 15

7.2 Requirement for Sponsorship 15

7.3 Requirements for Staff when dealing with Non-NHS Patients 16

7.4 Requirements for staff when dealing with Non-NHS

Organisations/ Pharmaceuticals 16

7.5 Funding from Non-NHS organisations for educational

events 17

7.6 Projects involving collaborative working with a Non-NHS

Organisation 17

8. Support and Additional Contacts 18

9. References and Associated Documents 18

9.1 References 18

9.2 Associated Documents 19

10. Trust Accountability/Responsibilities. 19

10.1 The DCHS Way Expectations 19

10.2 Individuals 19

10.3 Committees 22

11. Monitoring and Performance Management 23

12. Equality & Impact Statement 23

13. Appendices .…………………...…………………….25

1. Background

It is a long established principle that public sector bodies, including the NHS, must be scrupulously impartial and honest in the conduct of their business and that as an employee of the Trust you should remain beyond suspicion.

The introduction of the Bribery Act 2010 places responsibility on the organisation to ensure robust procedures are in place to prevent bribery and corruption taking place within the Trust. The Trust believes it is the responsibility of all employees to ensure that they are not placed in a position which risks, or appears to risk, conflict between their private interest and their NHS duties.

All individuals within healthcare organisations are capable of being prosecuted for taking or offering a bribe. There is no maximum level of fines that can be imposed and an individual convicted of an offence can be imprisoned for up to ten years. The Bribery Act (2010) came into force on 1 July 2011 and creates five basic offences:

1.1 Bribing another person with the intention of inducing that person to perform a relevant function or activity improperly or to reward that person for doing so

1.2 Accepting a bribe with the intention that a relevant function or activity should be performed improperly as a result

1.3 Bribing a foreign public official

1.4 A Director, manager or officer of a commercial organisation allowing or turning a blind eye to bribery within the organisation (The question of whether any particular organisation falls within the definition of a “commercial organisation” will be considered on the facts in individual cases. It is, however, reasonable to assume that an NHS Trust or NHS Foundation Trust could be deemed a “commercial organisation” for the purpose of this Act)

1.5 Failing to prevent bribery – where a person (including employees, agents and external third parties) associated with a relevant commercial organisation bribes another person intending to obtain or retain a business advantage. This is a strict liability offence which can be committed by the organisation unless it can show, in its defence, that it had adequate procedures in place to prevent bribery

As an employee you have a responsibility to respond to other employees, patients and suppliers impartially, to achieve value for money from the public funds with which you are entrusted and to demonstrate high ethical standards of personal conduct. Recognising that statements of this nature cannot allude to every possible contingency, it is assumed that all employees are able to distinguish between acceptable and unacceptable behaviour in the conduct of their duties. Staff must not misuse or make available official “commercial in confidence” information to persons or organisations not reasonably needing access, particularly if its disclosure would prejudice the principle of a purchasing system for the Trust based on fair competition. If, however you are uncertain about the correctness or propriety of any proposed business transactions, or in relation to hospitality, declaration of interests or commercial sponsorship then you must seek guidance from a senior manager.

2. Aim/Purpose

The aim of this policy is to:

Provide you as an employee of Derbyshire Community Health Services NHS Trust with clear guidance to ensure that you are aware of your responsibilities in relation to the conduct of business within the NHS and the consequences of failing to observe those responsibilities.

3. Definitions and an Explanation of Terms Used

Gifts – the transfer of something without the expectation of payment

Hospitality – the reception and entertainment of individuals

Commercial Sponsorship – NHS funding from an external source, including funding of all or part of the costs of a member of staff, NHS research, staff, training, pharmaceuticals, equipment, meeting rooms, costs associated with meetings, meals, gifts, hospitality, hotel and transport costs (including trips abroad), provision of free services (speakers), buildings or premises.

Accountability - Everything done by those who work in the NHS must be able to stand the test of parliamentary scrutiny, public judgements on propriety and professional codes of conduct.

Probity – Means that 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 affecting service users, employees and suppliers and in the use of information acquired in the course of NHS duties.

Openness – Means that there should be sufficient transparency about NHS activities to promote confidence between the Trust and its employees, service users and the public.

Under the Bribery Act 2010 improper performance is defined in summary as

‘performance which amounts to a breach of an expectation that a person will

act in good faith, impartially, or in accordance with a position of trust’. The

offence applies to bribery relating to any function of a public nature, connected

with a business, performed in the course of a person’s employment or

performed on behalf of a company or another body of persons. Therefore

bribery in both the public and private sectors is covered by the Act.

It is an offence for a person to offer, promise or give a financial or

other advantage to another person in one or two cases:

· Case 1 applies where that person intends the advantage to bring about the improper performance by another person of a relevant function or activity or to reward such improper performance.

· Case 2 applies where the person knows or believes that the acceptance of the advantage offered, promised or given in itself constitutes the improper performance or a relevant function or activity.

4. Intended Users

Table of Intended Users:

All DCHS NHS Trust employed staff, including management staff, seconded and sessional staff, all grades of community hospital and clinic staff as well as staff based within GP surgeries such as District Nurses and Health Visitors. It covers any interaction with Non-NHS organisations such as pharmaceutical companies.

DCHS
Chief Executive’s Department / YES
Finance Performance and Information / YES
Quality / YES
Strategy / YES
Operations / YES
People and Organisational Effectiveness / YES
Medical Directorate / YES
Leicester Employees / YES
Governors / YES

Within this policy where it states “all employees”, please note, that it relates to all the employees who are highlighted in the table above

5. General

DCHS staff must NOT:

· abuse their past or present official position to obtain preferential rates for private deals

· unfairly advantage one competitor over another or show favouritism in agreeing to sponsorship

· misuse or make available official ‘commercial in confidence' information

· accept any inducements or inappropriate hospitality or gifts

DCHS staff MUST:

· complete the relevant forms appropriately

· Declare their interests which could include:

· Shares

· Event attendance

· Speakers at events

· Funded focus groups

· Article writing

· Membership of advisory panels of pharmaceutical companies

· Funded questionnaires

· Close family members employed by a relevant organisation

You should refer to the Trust Whistleblowing Policy for guidance on how to

report concerns that you do not feel able to raise through normal reporting

channels.

5.1 Breaches of Policy

5.1.1 Alleged breaches of this policy will be investigated under the terms of the Trust Disciplinary Procedure.

5.1.2 Employees are expected to be open and honest in making declarations in accordance with this policy. In accordance with the Trust’s Fraud and Corruption Policy all suspicions of fraud and/or corruption occurring within the NHS will be referred to the Trust’s Local Counter Fraud Specialist and or NHS Counter Fraud Service for formal investigation. Should evidence of fraud or corruption be discovered the Trust may initiate disciplinary, criminal and civil sanctions as appropriate. Please see Section 8.0 for details on how to contact the Trust’s local Counter Fraud Specialist.

5.1.3 Under the Prevention of Corruption Acts, 1906 and 1916, it is an offence for employees corruptly to accept any gifts or consideration as an inducement or reward for:

· Doing, or refraining from doing, anything in their official capacity; or

· Showing favour or disfavour to any person in their official capacity.

Under the Prevention of Corruption Act 1916, 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.

5.1.4 The Bribery Act creates the offence of offering or receiving bribes and of failure to prevent a bribe being paid on an organisation’s behalf. It makes it an offence for a person to offer, promise or give a financial or other advantage to another person if:

a) That person intends the advantage to bring about the improper performance by another person of a relevant function or activity or to reward such improper performance;

b) That person knows or believes that the acceptance of the advantage offered, promised or given in itself constitutes the improper performance of a relevant function or activity.

The maximum sentence for bribery committed by an individual is 7 to 10 years imprisonment. The offence applies to bribery relating to any function of a public nature, connected with a business, performed in the course of a person’s employment or performed on behalf of a company or another body of persons. Therefore bribery in both the public and private sectors is covered by the Act.

You should be aware that breaches of these Acts renders you liable to prosecution which may also lead to loss of employment and pension rights in the NHS.

6. Gifts and Hospitality

6.1 Hospitality offered to DCHS or their employees

Modest hospitality is an accepted courtesy of a business relationship. However, the recipient, whether the Trust or an individual, should not reach a position whereby the Trust or individual might be deemed by others to have been influenced in making a business decision as a consequence of being offered or accepting of such hospitality; the frequency and/or scale of such hospitality should not be significantly greater than the Trust or the recipient’s employer would be likely to provide in return.

Examples of modest hospitality which may be accepted include:

· Invitation to a society or institute dinner or similar function

· Attendance at an event at which there is a genuine need to impart information or represent the Trust

· Hospitality that arises during attendance at a relevant conference or course, where it is clear that the hospitality is corporate rather than personal

Staff may accept modest light refreshments and working meals which are clearly integral to a training course or meeting without making a declaration.

All other hospitality must be declared on the form provided at Appendix 1- (Hospitality Register) and returned to the Chief Executive’s Department at the earliest opportunity following the offer/receipt for inclusion on the gifts and hospitality register. The person making the declaration is advised to also retain a photocopy of the form for their own record.

6.2 Hospitality offered by DCHS

The proposed use of public funds for hospitality must be considered as highly exceptional and unusual. Inappropriate or excessive spending can cause lasting damage to the reputation of the Trust and the NHS. There are also potentially serious implications for individual employees and the Trust arising from the Bribery Act (2010). Hospitality is not the “norm” when conducting business; it should be provided only when necessary and appropriate. All expenditure on hospitality provided should be capable of justification to the Trust’s internal and external auditors.

The provision of very modest hospitality is usually an acceptable courtesy (for example, where members of the public not employed by DCHS attend or support Trust events in their own time and with no financial benefit to them or a meeting where the provision of light refreshments may be appropriate). With the exception of extremely minor ‘hospitality’ (for example, tea, coffee and soft drinks to a small number of people) all hospitality (appropriately provided) must be declared at the earliest opportunity following the offer/receipt using the form at Appendix 2 – (Record of Hospitality provided by DCHS to third parties) and returned to the Chief Executive’s Department for inclusion on the Gifts and Hospitality Register. The person making the declaration is advised to also retain a photocopy of the form for their own record.

Standards Of Business Conduct Policy