Standards of Business Conduct for CCG Staff
Version No / Author / Date / Comments / Approved byV1 / Head of Governance and Engagement / 27-1-16 / Amendments throughout document to reflect Fraud, Bribery and Corruption Standards for Commissioners 15-16 and specifically at paragraph 11 / Audit and Governance Committee to review
V2.0 / Head of Governance and Engagement / 17-11-16 / Amendments to reflect compliance with statutory guidance on conflicts of interest:
Para 7.2 and 7.3 definitions of gift and modest hospitality
Para 9 definitions of interests amended
Para 11 reference to Conflicts of Interest Guardian
Appendix 1 Guidance template appended for declaration of gifts and hospitality
V2.0 / 24-11-16 / APPROVED / Governing Body
V3.0 / Head of Governance and Engagement / 28-9-17 / Amendments to reflect compliance with revised statutory guidance on conflicts of interest
APPROVED / Governing Body
Reader information
Reference / GOV005
Directorate / Governance
Version / 3.0
Title / Standards of Business Conduct for CCG Staff
Author/Nominated Lead / Head of Governance and Engagement
NHS Rushcliffe & Nottingham West CCG
Approval Date / 28-9-17
Approving Committee / Governing Body
Review Date / September 2018
Groups/staff Consulted / All Staff, Lay Members
Target audience / All CCG Staff including temporary and contract staff, Practice Members, Lay Members and Associated Committee /Group Members
Associated documents / CCG Constitution
CCG Standing Orders and Standing Financial Instructions
ABPI Code of Professional Conduct relating to hospitality/gifts from pharmaceutical/external industry
CCG Conflicts of Interest Policy
CCG Fraud, Bribery & Corruption Policy
CCG Raising Concerns at Work (Whistleblowing) Policy
Standards of Business Conduct for NHS Staff (HSG (93) 5)
Code of Conduct and Accountability for NHS Boards
Code of Conduct for NHS Managers
Institute of Purchasing and Supply Ethical Standards for the NHS
Superseded documents / Standards of Business Conduct V2.0 November 2016
Sponsoring Director / Chief Officer
Contents
1.Summary
2.Introduction
3.Purpose
4.Scope
5.Definitions
6.Roles and Responsibilities
7.The Guidance in Practice
7.1.Overriding Principle
7.2.Acceptance of Gifts
7.3.Acceptance of Hospitality
7.4.Provision of Hospitality by the CCG or its Employees
7.5.Commercial Sponsorship
7.6.Payment for Speaking at Meetings/Conferences
7.7.Placing of Orders and Contracts
7.8.Private Transactions
7.9.Employees’ Outside Employment
7.10.Rewards for Initiative
7.11.Employment Issues
8.Recording Gifts, Hospitality and Sponsorship
9.Conflicts of Interest
9.1.Declarations of Interest
10.Confidentiality
11.Reporting Bribery, Corruption and Non-compliance with this Policy
12.Monitoring Compliance and Effectiveness of the Policy
Annexes
Annex 1 – Short Guide for Staff – Guidance on the Standards for Business Conduct
Annex 2 – The Nolan Principles on Standards in Public Life
Annex 3 – Extract from the Medicines (Advertising Amendments) Regulations 2005 Inducements and Hospitality
Annex 4 – Institute of Purchasing and Supply (IPS) – Ethical Code
Appendices
Appendix 1 – Declaration Form in relation to Gifts, Sponsorship or Hospitality from Third Parties Offered
1.Summary
It is the responsibility of all NHS staff 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. Staff should understand that failure to follow this policy may damage NHS Nottingham West Clinical Commissioning Group and so may be viewed as a disciplinary matter. Staff should also be aware of, and adhere to, their own professional codes of conduct where applicable.
This policy must be read in conjunction with the CCG’s Conflicts of Interest Policy. Whilst this policy will make reference to the importance of having systems and process in place to manage conflicts of interest within the CCG, the detailed guidance and procedures to be followed are contained within the Conflicts of Interest Policy.
Declarations of Interest and the Acceptance of Gifts and Hospitality
Staff should declare any actual or perceived conflicts of interest in accordance with the CCG’s Conflict of Interest Policy.
Gifts must not under any circumstances be solicited. Unsolicited gifts of low intrinsic value which have a use in connection with the recipients work, such as calendars, pens and diaries, may be accepted. Other personal gifts should be refused.
Hospitality must not, under any circumstances, be solicited. The principle of integrity requires that staff should not place themselves under an obligation that might influence, or be perceived to influence the conduct of their duties. This means the receipt of hospitality or gifts must be subject to clear controls, and that any that is accepted must be declared and recorded.
Whilst modest hospitality is an accepted courtesy of a business relationship, staff should not accept hospitality which could be interpreted as a way of exerting an improper influence over the way they carry out their duties.
Commercial Sponsorship
It is important to have a transparent approach to any sponsorship proposed to the CCG and for the CCG to consider fully the implications of a proposed sponsorship deal before entering into any arrangement. If any such partnership is to work, there must be trust and reasonable contact between the sponsoring company and the NHS.
For the purposes of this policy, commercial sponsorship is defined as:
“Funding provided to the CCG from an external non-NHS source for any purpose, including but not restricted to:- 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 (e.g. speakers), building or premises.”
In all the cases stated in the definition above, the CCG and its employees must publicly declare sponsorship (including the sponsorship of meetings through the provision of lunch) or any commercial relationship linked to the supply of goods or services and be prepared to be held to account for it.
2.Introduction
The purpose of this policy it to ensure exemplary standards of business conduct are adhered to, as public servants, by Governing Body members, committee and sub-committee members and employees of Nottingham West Clinical Commissioning Group, hereafter referred to as “the CCG”, as well as individuals contracted to work on behalf of the CCG or otherwise providing services or facilities to the CCG such as those within commissioning support units. By reading and understanding this policy, individuals will be aware of their own responsibilities as well as the CCGs’ responsibilities as a corporate body, including constituent member practices. The policy also sets out the responsibilities of the CCG as an employer, especially in light of the individual and corporate obligations regarding fraud, bribery and corruption set out in the Bribery Act 2010.
The Bribery Act (2010) came into effect from the 1 July 2011. The act created five basic offences:
- Bribing another person with the intention of inducing that person to perform a relevant function or activity or to reward that person for doing so.
- Accepting a bribe with the intention that a relevant function or activity should be performed improperly as a result.
- Bribing a public official.
- A director, manager or officer of a commercial organisation allowing or turning a blind eye to bribery within the organisation (CCGs would be considered a commercial organisation in this sense)
- 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 is had adequate procedures in place to prevent bribery.
Importantly, this policy draws attention to the consequences of non-compliance with its requirements which may include disciplinary action and/or criminal prosecution. All individuals within healthcare organisations are capable of being prosecuted for taking a bribe. For example, the giving or receipt of hospitality could be interpreted as 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 10 years.
This policy must be read in conjunction with the existing CCG Conflicts of Interest Policy. Whilst this policy will make reference to importance of having systems and process in place to manage conflicts of interest within the CCG, the detailed guidance and procedures to be followed are contained within the Conflicts of Interest Policy.
3.Purpose
This policy is intended to:
- Make all staff aware of the CCG’s expectations of their conduct and behaviour
- Give staff the knowledge that they need to protect themselves from situations that may draw criticism or disciplinary and/or criminal action
- Enable members of staff to express their concerns in an open and unthreatening way.
This policy sets out the arrangements for all staff in relation to their conduct inside work, and where this has a bearing on their position within the CCG, outside of work.
4.Scope
This policy applies to all CCG staff (permanent, bank, agency, full-time and part-time), including independent and lay members, Governing Body members and Committee members and all references to ‘staff’ in this document shall be construed accordingly.
This policy covers the issues of declarations of conflicts of interest arising from the giving and receipt of gifts and hospitality, educational and training events, speaking arrangements, commercial sponsorship, contracting, procurement and intellectual property rights.
5.Definitions
Accountability / Means that 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.Bribery / Means inducement for an action which is illegal, unethical or a breach of trust. Inducements can take the form of gifts, loans, fees, rewards or other privileges.
Corruption / Means the offering or acceptance of inducements, gifts or favours, payments or benefits in kind which may influence the improper action of any person.
Openness / Means that there should be sufficient transparency about NHS activities to promote confidence between the CCG and its staff, its patients and the public.
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 in decisions affecting patients, staff and suppliers, and in the use of information acquired in the course of NHS duties.
Gifts of Low Intrinsic Value / Items of low monetary value such as diaries, pens and calendars.
6.Roles and Responsibilities
Accountable Officer / The Accountable Officer has overall responsibility for the effective implementation and operation of this policy.Governing Body / The Governing Body must ratify the Standards of Business Conduct for CCG Staff.
Head of Governance and Engagement / The Head of Governance and Engagement is the author and lead officer in ensuring the effective implementation of this policy, with specific responsibilities for registers of interest declarations, gifts and hospitality and sponsorship.
Executive Directors and Senior Management / Approve sponsorship proposals relating to their respective teams. Proposals that are sensitive or for significant sums of money (£5k plus) should be approved at the Senior Management Team meeting.
Member Practices, Governing Body and Committee/Sub-Committee members and individuals acting on behalf of the CCG / Governing Body, Committee and Sub-Committee members and individuals acting on behalf of the CCGs (and their constituent member practices), must act in accordance with this policy in circumstances whether they are employed fully by the CCG, hold appointments with the CCG, are employed on a sessional basis or an honorary contract, or provide services under a service level agreement with the CCG.
Members Practices and individuals of those Practices acting on their behalf in the exercise of the CCG’s commissioning functions must act in accordance with this policy.
Line Managers / Line Managers must ensure their staff adhere to this policy and in particular follow the procedures for declarations of interests, gifts and hospitality and sponsorship.
All Staff / It is the responsibility of all staff to ensure that they are not placed in a position which risks, or appears to risk, conflict between their private interests and their NHS duties. This primary responsibility applies and has particular relevance to:
- Those who commit resources directly e.g. ordering of goods or services;
- Those who do so indirectly;
- Those who make decisions that may benefit themselves, their relatives or colleagues.
- Ensure that the interests of patients remain paramount at all times;
- Are impartial and honest in the conduct of their official business;
- Use public funds entrusted to them to the best advantage of the service, always ensuring value for money;
- Do not abuse their official position for personal gain or to benefit family or friends;
- Do not seek to further private business or other interests in the course of their official duties;
- Be aware that it is both a serious criminal offence (Bribery Act 2010) and gross misconduct to act in a corrupt manner.
7.Gifts
7.1.Overarching Principles
CCG staff, individuals of Member Practices, Governing Body and Committee members and individuals acting on behalf of the CCG should not accept gifts that may affect, or be seen to affect, their professional judgement.
A ‘gift’ is defined as any item of cash or goods, or any service, which is provided for personal benefit, free of charge or at less than its commercial value.
Any personal gift or cash equivalents (for example vouchers, tokens, offers of remuneration to attend meetings whilst in a capacity working for or representing the CCG) must always be declined, whatever their value and whatever their source, and the offer which has been declined must be declared and recorded on the register of gifts and hospitality, in accordance with section 8 of this policy.
7.2.Gifts from Suppliers or Contractors
Gifts from suppliers or contractors doing business (or likely to do business) with the CCG should be declined, whatever their value and declared as per section 8 of this policy. Subject to this, low cost branded promotional aids may be accepted and not declared where they are under the value of a common industry standard of £6, for example calendars, pens and diaries which have a use in connection with the recipients work.
7.3Gifts from other Sources (patients, families, service users)
Personal gifts of any kind whatsoever must not, under any circumstances, be solicited.
Small one off tokens of gratitude from patients, under a value of £50 may be accepted, and do not need to be declared.. If in doubt, staff should consult their line manager.
Gifts over £50can be accepted on behalf of an organisation but not in a personal capacity where they should be politely declined, quoting this policy.
A common sense approach should be applied to the valuing of gifts (using an actual amount, if known, or an estimate that a reasonable person would make as to its value).
Multiple gifts from the same source over a 12 month period should be treated in the same way as single gifts over £50 where the cumulative value exceeds £50.
8.Hospitality
8.1 Overarching Principles
Delivery of services across the NHS relies on working with a wide range of partners (including industry and academia) in different places and sometimes outside of ‘traditional working hours. As a result, CCG staff will sometimes appropriately receive hospitality.
Staff receiving hospitality should always be prepared to justify why it has been accepted and be mindful that even hospitality of small value may give rise to perceptions of impropriety and might influence behaviour.
Hospitality means offers of meals, refreshments, travel, accommodation and other expenses in relation to attendance at meetings, conferences, education and training events.
- CCG staff should not ask for or accept hospitality that may affect, or be seen to affect, their professional judgement;
- Hospitality must only be accepted when there is a legitimate business reason and it is proportionate to the nature and purpose of the event;
- Particular caution should be exercised when hospitality is offered by actual or potential suppliers or contractors, these can be accepted if modest and reasonable, but individuals should always obtain senior approval and declare these.
8.2 Meals and Refreshments
- Under a value of £25 may be accepted and need not be declared;
- Of a value between £25 and £75 may be accepted and must be declared;
- Over a value of £75 should be refused unless (in exceptional circumstances) senior approval is given. A clear reason should be recorded on an organisation’s register(s) of interest as to why it was permissible to accept;
- A common sense approach should be applied to the valuing of meals and refreshments (using an actual amount, if known, or an estimate that a reasonable person would make as to its value).
8.3 Travel and Accommodation
- Modest offers to pay some or all of the travel and accommodation costs related to attendance at events may be accepted and must be declared;
- Offers which go beyond modest, or are of a type that the CCG itself might not usually offer, need approval by senior staff (for example the CCG governance lead or equivalent), should only be accepted in exceptional circumstances, and must be declared. A clear reason should be recorded on an organisation’s register(s) of interest as to why it was permissible to accept travel and accommodation of this type;
- A non-exhaustive list of examples includes:
-Offers of business class or first class travel and accommodation (including domestic travel); and
-Offers of foreign travel and accommodation.
Hospitality offered or received must be notified in writing to the Head of Governance and Engagement using the form attached at Appendix 1, who will enter the notification into the CCG’s hospitality register. The register shall be routinely published as described in paragraph 12.
8.4 Provision of Hospitality by the CCG or its Employees
The proposed use of public funds for hospitality and/or entertainment should be considered very carefully. Inappropriate or excessive spending can cause lasting damage to the reputation of the CCG and the NHS. Hospitality is not the ‘norm’ when conducting business; it should be provided only when necessary and appropriate. Advice should always be sought in cases of doubt. All expenditure on hospitality provided should be capable of justification to the CCG’s internal and external auditors.