Human Resources Policy No. HR52
Standards of Business Conduct
Additional y refer to:
HR05 Whistleblowing
HR07 Maintaining High Standards of Performance for Doctors and Dentists
HR36 Disciplinary Procedure (or PRH/RSH Disciplinary Policy)
HR56 Intel ectual Property
HR58 Fraud & Corruption
SATH Trust Standing Orders
SATH Standing Financial Instructions
Sponsor: Head of Human Resources in conjunction with Director of Corporate Affairs
Date agreed by TNCC:
January 2007
Date agreed by Board:
January 2007
Date of next review:
September 2011
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 1 of 19
Contents
Page Number
Section 1
Introduction
3
Section 2
Scope
3
Section 3
Responsibilities
3
Section 4
Legislation
4
Section 5
Public Service Values
4
Section 6
Standards
5
6.1 Gifts and Hospitality
5
6.2 Declaration of Interests
5
6.3 Preferential treatment in private transactions
6
6.4 Contracts for Services
6
6.5 Favouritism in Awarding Contracts
6
6.6 Secondary employment
6
6.7 Private Practice
7
6.8 Commercial sponsorship for attendance at
7
courses and conferences
6.9 Commercial
sponsorship
when
advising
on
7
purchases/services
6.10 Commercial sponsorship of posts – “Linked Deals”
7
6.11 “Commercial In-Confidence”
8
6.12 Staff Appointments
8
Appendix A
Standards of Business Conduct for NHS Staff
9
Appendix B
Code of Conduct for NHS Managers
15
Appendix C
Patient Appreciation & Gifts/Hospitality Monitoring Form
19
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
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1.
INTRODUCTION
1.1
This policy has been formulated in order to implement the NHS Guidelines on Standards of
Business Conduct for NHS Staff and details local procedures. The policy covers the
standards of conduct expected of al Trust employees, particularly where their private
interests may conflict with their public duties.
1.2
It is the responsibility of managers and 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.
2.
SCOPE
2.1
This policy applies to al staff (including Bank staff).
2.2
In implementing this policy, managers must ensure that al staff are treated fairly and
within the provisions and spirit of the Trust’s Policy HR01 ‘Equal Opportunities’. Special
attention should be paid to ensuring the policy is understood when using it for staff new to
the NHS or Trust, or by staff who may have an essential skil s need in literacy or those
whose first language is not English or for persons with little experience of working life.
3.
RESPONSIBILITIES
3.1
Board Members (Directors and Non-Executive Directors)
3.1.1 The Directors of the Trust are responsible for ensuring there are systems in place to ensure
this and al related policies are implemented across the Trust.
3.1.2 The Directors of the Trust are expected to conduct themselves in an exemplary manner as
regards al matters covered by this policy and to comply with al aspects of it.
3.1.3 Al Board members are required to comply with the requirements of the Code of Conduct
and accountability for NHS Boards.
3.2
Managers
3.2.1 Managers of the Trust are responsible for ensuring that these guidelines are brought to the
attention of al employees; also that machinery is put in place for ensuring that they are
effectively implemented within their areas of responsibility.
3.2.2 In addition, al managers are required to comply with al aspects of the policy, including both
the NHS’s generic Standards of Business Conduct for NHS Staff (see Appendix 1) and the
Code of Conduct for NHS Managers (see Appendix 2).
3.3
All Staff
3.3.1 Al staff are covered by this policy, by al other Trust policies and by NHS’s generic
Standards of Business Conduct for NHS staff (see Appendix 1).
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Policy Number HR52
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3.3.2 Employees are expected to act in accordance with the standards laid down by their
Professional Organisations and statutory standards where applicable and are expected to:-
• Ensure that the interest of patients remains paramount at al times.
• Be impartial and honest in the conduct of their official business.
• Use the public funds entrusted to them to the best advantage of the service, always
ensuring value for money.
• Ensure that they
do not abuse their official position for personal gain or to benefit
their family or friends.
• Ensure that they
do not seek to advantage or further private business or other
interest, in the course of their official duties.
• Comply with al aspects of this policy and other Trust policies
• Consult with their line Manager if in any doubt.
3.3.3 Due to the nature of the Trust’s work it is expected that al staff wil act with due diligence
and utmost honesty at al times. Any matters of concern must be acted upon and reported
to a manager or Director as is appropriate. Al employees have a duty to act on or report
any acts of misconduct, dishonesty, breach of Trust rules or breach of any rules of the
relevant professional bodies committed, contemplated or discussed by any other member
of employee or by any third party. Any failure to do so, may be regarded as serious or
gross misconduct depending on the circumstances. Similarly, where genuine concerns are
raised, employees wil be protected from any action for defamation. The Trust’s
Whistleblowing policy set out arrangements under which concerns may be raised.
3.3.4 Al staff should ful y understand that any breach of the Prevention of Corruption Acts,
renders the employee liable to prosecution, and may also lead to loss of their
employment
and pension rights.
4.
LEGISLATION
4.1
Under the Prevention of Corruption Acts, it is an offence for employees to corruptly
accept 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
4.2
Under the Prevention of Corruption Act, any money, gift or consideration received by an
employee in public service from a person or organisation holding or seeking to obtain a
contract wil be deemed by the courts to have been received corruptly unless the employee
proves the contrary.
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Policy Number HR52
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5.
PUBLIC SERVICE VALUES
5.1.1 To maintain public confidence, as a public sector body, the Trust must be impartial
and honest in the conduct of its business and its staff must remain beyond suspicion.
5.1.2 High standards of corporate and personal conduct, based on the recognition that patients
come first, have been a requirement throughout the NHS since its inception. The three
fundamental public service values are:
Accountability: Everything done by those who work in the Trust must be able to stand the
tests of parliamentary scrutiny, public judgements on property and
professional codes of conduct.
Probity:
Absolute honesty and integrity should be exercised in dealing with NHS
patients, assets, employees, suppliers and customers.
Openness:
The Trust’s actions should be sufficiently public and transparent to
promote confidence between the Trust and its patients, our employees
and the public.
5.1.3 These standards are national benchmarks that inform our local policies and
procedures. The arrangements made in this policy have been designed to ensure
compliance with the national standards.
6.
STANDARDS
6.1
Gifts and Hospitality
6.1.1 Gifts offered by contractors or “others” e.g. at Christmas time should be politely but firmly
declined. Articles of low intrinsic value (refer to 6.1.2) such as diaries and calendars, or
smal tokens of gratitude from patients or their relatives need not necessarily be declined,
but in al cases employees must advise their line manager of any hospitality/gift that has
been received. In cases of doubt, staff should either consult their line manager for
authorisation or politely decline acceptance. Under no circumstances should monetary gifts
of cash be accepted.
Donations from patients may be accepted provided that the procedure contained in the
Charitable Funds user guidance is fol owed. Such donations should be for the benefit of
the Trust or specific Wards or Departments within the Trust. Donations offered on a
personal basis to individual members of staff should be politely but firmly declined.
Care should be taken when accepting gifts/hospitality from Contractors on a frequent basis.
The value of such gifts wil be accumulated over a 12 month rol ing period, for the purpose
of monitoring.
Department managers wil be required to document al gifts/hospitality received by staff
(see Appendix 3).
6.1.2 Modest hospitality provided it is normal and reasonable (i.e. not exceeding the threshold -
currently £20) may be accepted e.g. lunches in the course of working visits are acceptable,
it should however be similar to the scale of hospitality which the NHS as an employer would
be likely to offer.
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Policy Number HR52
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6.1.3 The Corporate Affairs office maintains a record of gifts/hospitality received by staff
and of declarations of interest. Any gift with a value exceeding the threshold (currently £20)
must be declared by the employee promptly (within 2 weeks of receipt) in writing for
inclusion in the register.
6.1.4 Under no circumstances should any gift or hospitality be accepted where it would be in
breach of an individual’s professional code of conduct.
6.2
Declaration of Interests
6.2.1 It is the responsibility of the employee to inform the Trust if they, or a close relative or
associate has a control ing interest and/or significant financial interest in a business
(including a private sector company, public sector organisation, or other NHS employer
and/or voluntary organisation), or in any other activity or pursuit which may compete for an
NHS contract to supply either goods or services to the hospital (e.g. private nursing
homes).
6.2.2 In such circumstances the Trust must ensure that its interest and the interest of patients are
adequately safeguarded.
6.2.3 A declaration of interest must occur either when the employee commences employment or
upon acquisition of the interest.
6.2.4 Al declarations wil be entered into a central register and held in the Corporate Affairs
office.
6.2.5 When a doctor refers a patient to a private nursing home or other establishment/service in
which they have a business interest, the patient must be made aware of the interest prior to
referral.
6.3
Preferential treatment in private transactions
6.3.1 Employees must not seek or accept preferential rates or benefits in kind for private
transactions carried out with companies with which they have had, or may have, official
dealings on behalf of the Trust (this does not apply to concessionary agreements
negotiated with companies by NHS management, or by recognised staff interests, on behalf
of al staff, e.g. NHS staff benefits schemes).
6.4
Contracts for Services
6.4.1 Al staff who are in contact with suppliers and purchasers (including external consultants),
and in particular those who are authorised to sign Purchase Orders, or place contracts for
goods, materials or services, are expected to adhere to the professional standards of the
kind set out in the Ethical Code of the Institute of Purchasing and Supply (IPS).
6.4.2 Al contracts must be awarded via the Trust’s Standing Orders and Standing Financial
instructions.
6.5
Openness in Awarding Contracts
6.5.1 Fair and open competition between prospective contractors or suppliers for Trust contracts
is a requirement for Trust Standing Orders and of EC Directives on Public Purchasing for
Works and Supplies.
6.5.2 A private, public or voluntary organisation or company bidding for NHS business should not
be given any advantage over its competitors, such as advance notice of NHS requirements.
Standards of Business Conduct
Policy Number HR52
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This applies to al potential contractors even if they have held a long-running series of
previous contracts. Each new contract should be awarded solely on merit, taking into
account the requirements of the Trust and the ability of the contractors to fulfil them.
6.5.3 There must be no favouritism shown to any current or previous employees, close relatives
or associates in awarding contracts to businesses run by them or employing them.
Contracts can be awarded to such a business if won in fair competition against other
tenders and if the interested party plays no part in the selection process. Tendering and
contracting should fol ow agreed Trust procedure.
6.6
Secondary Employment
6.6.1 Employees who hold or intend to hold any other paid or unpaid appointments outside the
Trust, must discuss this with their manager. Reasonable requests wil not be refused, but
where such consent is given then the other employment must in no way diminish the
contribution the employee is able to make to the Trust. The total weekly average hours of
work should not normal y exceed the limit under the Trust’s Working Time Policy. Where
the manager assesses there to be a conflict of interests or where the Trust’s confidentiality
requirements are jeopardised, the employee wil be required to give up the other
employment; their employment with the Trust may be terminated should they refuse to do
so.
6.7
Private Practice
6.7.1 Consultants (and associate specialists) employed by the Trust under the terms and
conditions of Service of Hospital Medical and Dental Staff are permitted to carry out private
practice in NHS hospitals subject to the conditions outlined in the handbook “A Guide to the
Management of Private Practice in the NHS”. Consultants who have Trust contracts are
also subject to the terms applying to private practice.
6.7.2 Other Medical and Dental employees may undertake private work for outside agencies,
providing they do not do so within the time they are contracted to the NHS, and they
observe the conditions in paragraph 6.7.1 above. Al hospital doctors are entitled to fees for
other work outside their NHS contractual duties under “Category 2” (paragraph 37 of the
TCS of Medical and Dental Staff) e.g. examinations and reports for life insurance purposes.
6.7.3 Doctors and Dentists in training should not undertake locum work outside their contracts
where such work would be in breach of their contracted hours.
6.8
Commercial sponsorship for attendance at courses and conferences
6.8.1 Acceptance by staff of commercial sponsorship for attendance at relevant conferences and
courses is acceptable (this can include travel, subsistence costs) but only where the
employees seeks permission
in advance from the Head of Service or Divisional Manager
and the Trust is satisfied that acceptance wil not compromise purchasing decisions in any
way.
6.9
Commercial sponsorship when advising on purchases/services
6.9.1 On occasions when the Trust considers it necessary for staff advising on the purchase of
equipment to inspect such equipment in operation in other parts of the country (or
exceptional y, overseas) or when it is necessary to inspect a service, staff should
seek
prior permission from the Head of Service or Divisional Manager. Staff should be aware
that excessive hospitality is unacceptable.
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
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6.10 Commercial Sponsorship of Posts – “Linked Deals”
6.10.1 Where other organisations whol y or partial y sponsor a hospital post, it should be made
abundantly clear to the organisation concerned, that the sponsorship deal wil have no
effect on purchasing decisions within the Trust. Where such sponsorship is accepted,
monitoring arrangements wil be established to ensure that purchasing decisions are not
being influenced by the sponsorship agreement. Prior approval from a Board Director is
required.
6.10.2 In al such cases the pay rate for the post wil be determined by the Trust’s normal criteria
i.e. by the Agenda for Change Job Matching/Evaluation process or by reference to the
Medical and dental terms and conditions of employment, not by the funding offered.
Additional y, where the funding is time limited, the post should be established and offered
on a fixed term basis.
6.11 “Commercial In-Confidence”
6.11.1 Staff must not misuse or make available official “commercial in-confidence” information,
particularly if its disclosure would prejudice the principles of a purchasing system based on
fair competition. This principle applies whether private competition or other NHS providers
are concerned and whether or not disclosure is prompted by the expectation of personal
gain.
6.11.2 This also applies to any Staff representatives who obtain such information as part of the
consultation process in such matters.
6.12 Staff Appointments
6.12.1 If any candidate for an appointment canvasses members of the Trust Board, or any
committee of the Trust Board, directly or indirectly, the Trust Board shal disqualify the
candidate from being appointed. However, this does not prevent informal discussions
taking place between the applicant and manager.
6.12.2 Members of the Trust Board or senior management must not solicit for any person any
appointment with the Trust or recommend any person for such appointment (this does not
preclude them from acting as a referee for such a post).
6.12.3 It is the responsibility of any member of staff involved in selection interviews to inform
their manager if any relationship exists between themselves and a candidate for an
appointment. Trust Board members and senior officers should disclose to the Trust
Board any relationship between themselves and a candidate for an appointment of
which they are aware.
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Policy Number HR52
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Appendix A
STANDARDS OF BUSINESS CONDUCT FOR NHS STAFF Circular hsg(93)5
Prevention of Corruption Acts 1906 and 1916 - summary of main provisions
Acceptance of gifts by way of Inducements or rewards
1.
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.
2.
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 wil be deemed by the courts to have been received corruptly unless the employee
proves the contrary.
NHS Management Executive (NHSME) - general guidelines
Introduction
1. These guidelines, which are intended by the NHSME to be helpful to al NHS employers (i)
and their employees, re-state and reinforce the guiding principles previously set out in
Circular HM(62)21 (now cancel ed), relating to the conduct of business in the NHS.
Responsibility of NHS employers
2. NHS employers are responsible for ensuring that these guidelines are brought to the
attention of al employees; also that machinery is put in place for ensuring that they are
effectively implemented.
Responsibility of NHS staff
3. It is the responsibility of 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 to
al NHS Staff, i.e. those who commit NHS resources directly (e.g.
by the ordering of goods) or those who do so indirectly (e.g. by the prescribing of
medicines). A further example would be staff who may have an interest in a private nursing
home and who are involved with the discharge of patients to residential facilities.
Guiding principle in conduct of public business
4.
It is a long established principle that public sector bodies, which include the NHS, must be
impartial and honest in the conduct of their business, and that their employees should
remain beyond suspicion. It is also an offence under the Prevention of Corruption Acts
1906 and 1916 for an employee corruptly to accept any inducement or reward for doing, or
refraining from doing anything, in his or her official capacity, or corruptly showing favour, or
disfavour, in the handling of contracts (see PART A). Staff wil need to be aware that a
breach of the provisions of these Acts renders them liable to prosecution and may also lead
to loss of their employment and superannuation rights in the NHS.
Principles of conduct in the NHS
5.
NHS staff are expected to:
• ensure that the interest of patients remains paramount at al times;
• be impartial and honest in the conduct of their official business;
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 9 of 19
• use the public funds entrusted to them to the best advantage of the service, always
ensuring value for money.
6.
It is also the responsibility of staff to ensure that they do
not:
• abuse their official position for personal gain or to benefit their family or friends;
• seek to advantage or further private business or other interests, in the course of their
official duties.
Implementing the guiding principles
Casual gifts
7.
Casual gifts offered by contractors or others, e.g. at Christmas time, may not be in any way
connected with the performance of duties so as to constitute an offence under the
Prevention of Corruption Acts. Such gifts should nevertheless be politely but firmly declined.
Articles of low intrinsic value such as diaries or calendars, or smal tokens of gratitude from
patients or their relatives, need not necessarily be refused. In cases of doubt staff should
either consult their line manager or politely decline acceptance.
Hospitality
8.
Modest hospitality provided it is normal and reasonable in the circumstances, e.g. lunches
in the course of working visits, may be acceptable, though it should be similar to the scale
of hospitality which the NHS as an employer would be likely to offer.
9.
Staff should decline al other offers of gifts, hospitality or entertainment. If in doubt they
should seek advice from their line manager.
Declaration of interests
10.
NHS employers need to be aware of al cases where an employee, or his or her close
relative or associate, has a control ing and/or significant financial interest in a business
(including a private company, public sector organisation, other NHS employer and/or
voluntary organisation), or in any other activity or pursuit, which may compete for an NHS
contract to supply either goods or services to the employing authority.
11.
Al NHS staff should therefore declare such interests to their employer, either on starting
employment or on acquisition of the interest, in order that it may be known to and in no way
promoted to the detriment of either the employing authority or the patients whom it serves.
12.
One particular area of potential conflict of interest which may directly affect patients, is
when NHS staff hold a self-beneficial interest in private care homes or hostels. While it is
for staff to declare such interests to their employing authority, the employing authority has a
responsibility to introduce whatever measures it considers necessary to ensure that its
interests and those of patients are adequately safeguarded. This may for example take the
form of a contractual obligation on staff to declare any such interests. Advice on
professional conduct issued by the General Medical Council recommends that when a
doctor refers a patient to a private care home or hostel in which he or she has an interest,
the patient must be informed of that interest before referral is made.
13.
In determining what needs to be declared, employers and employees wil wish to be guided
by the principles set out in paragraph 5 above; also the more detailed guidance to staff
contained in Part D.
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Policy Number HR52
Issued: Jan 2007
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14.
NHS employers should:
• ensure that staff are aware of their responsibility to declare relevant interests (perhaps
by including a clause to this effect in staff contracts)
• consider keeping registers of al such interests and making them available for
inspection by the public.
• develop a local policy, in consultation with staff and local staff interests, for
implementing this guidance. This may include the disciplinary action to be taken if an
employee fails to declare a relevant interest, or is found to have abused his or her
official position, or knowledge, for the purpose of self-benefit, or that of family or
friends.
Preferential treatment in private transactions
15.
Individual staff must not seek or accept preferential rates or benefits in kind for private
transactions carried out with companies with which they have had, or may have, official
dealings on behalf of their NHS employer. (This does not apply to concessionary
agreements negotiated with companies by NHS management, or by recognised staff
interests, on behalf of al staff - for example, NHS staff benefits schemes.)
Contracts
16.
Al staff who are in contact with suppliers and contractors (including external consultants),
and in particular those who are authorised to sign Purchase Orders, or place contracts for
goods, materials or services, are expected to adhere to professional standards of the kind
set out in the Ethical Code of the Institute of Purchasing and Supply (IPS), reproduced at
PART E.
Favouritism in awarding contracts
17.
Fair and open competition between prospective contractors or suppliers for NHS contracts
is a requirement of NHS Standing Orders and of EC Directives on Public Purchasing for
Works and Supplies. This means that:
• no private, public or voluntary organisation or company which may bid for NHS
business should be given any advantage over its competitors, such as advance notice
of NHS requirements. This applies to al potential contractors, whether or not there is a
relationship between them and the NHS employer, such as a long-running series of
previous contracts.
• each new contract should be awarded solely on merit, taking into account the
requirements of the NHS and the ability of the contractors to fulfil them.
18.
NHS employers should ensure that no special favour is shown to current or former
employees or their close relatives or associates in awarding contracts to private or other
businesses run by them or employing them in a senior or relevant managerial capacity.
Contracts may be awarded to such businesses where they are won in fair competition
against other tenders, but scrupulous care must be taken to ensure that the selection
process is conducted impartial y, and that staff who are known to have a relevant interest
play no part in the selection.
Warnings to potential contractors
19.
NHS employers wil wish to ensure that al invitations to potential contractors to tender for
NHS business include a notice warning tenderers of the consequences of engaging in any
corrupt practices involving employees of public bodies.
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Policy Number HR52
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Outside employment
20.
NHS employees are advised not to engage in outside employment which may conflict with
their NHS work, or be detrimental to it. They are advised to tel their NHS employing
authority if they think they may be risking a conflict of interest in this area: the NHS
employer wil be responsible for judging whether the interests of patients could be harmed,
in line with the principles in paragraph 5 above. NHS employers may wish to consider the
preparation of local guidelines on this subject.
Private practice
21.
Consultants (and associate specialists) employed under the Terms and Conditions of
Service of Hospital Medical and Dental Staff are permitted to carry out private practice in
NHS hospitals subject to the conditions outlined in the handbook "A Guide to the
Management of Private Practice in the NHS". (See also PM(79)11). Consultants who have
signed new contracts with Trusts wil be subject to the terms applying to private practice in
those contracts.
22.
Other grades may undertake private practice or work for outside agencies, providing they
do not do so within the time they are contracted to [he NHS, and they observe the
conditions in paragraph 20 above. Al hospital doctors are entitled to fees for other work
outside their NHS contractual duties under "Category 2" (paragraph 37 of the TCS of
Hospital Medical and Dental staff), e.g. examinations and reports for life insurance
purposes. Hospital doctors and dentists in training should not undertake locum work
outside their contracts where such work would be in breach of their contracted hours.
Career grade medical and dental staff employed by NHS Trusts may agree terms and
conditions different from the National Terms and Conditions of Service.
Rewards for Initiative (please refer to HR56 Intellectual Property policy)
23.
NHS employers should ensure that they are in a position to identify potential intel ectual
property rights (IPR), as and when they arise, so that they can protect and exploit them
properly, and thereby ensure that they receive any rewards or benefits (such as royalties) in
respect of work commissioned from third parties, or work carried out by their employees in
the course of their NHS duties. Most IPR are protected by statute; e.g. patents are
protected under the Patents Act 1977 and copyright (which includes software programmes)
under the Copyright Designs and Patents Act 1988. To achieve this, NHS employers should
build appropriate specifications and provisions into the contractual arrangements which
they enter into
before the work is commissioned, or begins. They should always seek legal
advice if in any doubt in specific cases.
24.
With regard to patents and inventions, in certain defined circumstances the Patents Act
gives employees a right to obtain some reward for their efforts, and employers should see
that this is effected. Other rewards may be given voluntarily to employees who within the
course of their employment have produced innovative work of outstanding benefit to the
NHS. Similar rewards should be voluntarily applied to other activities such as giving
lectures and publishing books and articles.
25.
In the case of col aborative research and evaluative exercises with manufacturers, NHS
employers should see that they obtain a fair reward for the input they provide. If such an
exercise involves additional work for an NHS employee outside that paid for by the NHS
employer under his or her contract of employment, arrangements should be made for some
share of any rewards or benefits to be passed on to the employee(s) concerned from the
col aborating parties. Care should however be taken that involvement in this type of
arrangement with a manufacturer does not influence the purchase of other supplies from
that manufacturer.
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Policy Number HR52
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Short guide for all staff
Do: • Make sure you understand the guidelines on standards of business conduct, and consult
your line manager if you are not sure;
• Make sure that you are not in a position where your private interests and NHS duties may
conflict ;
• Declare to your employer any relevant interests. If in doubt, ask yourself:
i. Am I, or might I be in a position where I (or my family/friends) could gain from the
connection between my private interests and my employment?
i . Do I have access to information which could influence purchasing decisions?
i i. Could my outside interest be in any way detrimental to the NHS or to patients' interests?
iv. Do I have any other reason to think I may be risking a conflict of interests?
If stil unsure - Declare it
• Adhere to the ethical code of the Institute of Purchasing and Supply if you are involved in
any way with the acquisition of goods and services;
• Seek your employer's permission before taking on outside work, if there is any question of it
adversely affecting your NHS duties (20). (special guidance applies to doctors);
• Obtain your employer's permission before accepting any commercial sponsorship;
Do not:
• Accept any gifts, inducements or inappropriate hospitality;
• Abuse your past or present official position to obtain preferential rates for private deals;
• Unfairly advantage one competitor over another or show favouritism in awarding contracts
• Misuse or make available official "commercial in confidence" information
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Policy Number HR52
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Page 13 of 19
Institute of Purchasing and Supply - Ethical Code
(Reproduced by kind permission of IPS)
Introduction
1.
The code set out below was approved by the Institute's Council on 26 February 1977 and is
binding on IPS members.
Precepts
2.
Members shal never use their authority or office for personal gain and shal seek to uphold
and enhance the standing of the Purchasing and Supply profession and the Institute by:
a. maintaining an unimpeachable standard of integrity in al their business relationships
both inside and outside the organisations in which they are employed;
b. fostering the highest possible standards of professional competence amongst those for
whom they are responsible;
c. optimising the use of resources [or which they are responsible to provide the maximum
benefit to their employing organisation;
d. complying both with the letter and the spirit of;
i. the law of the country in which they practise;
i . such guidance on professional practice as may be issued by the Institute from time
to time;
i i. contractual obligations;
e. rejecting any business practice which might reasonably be deemed improper.
Guidance
3.
In applying these precepts, members should fol ow the guidance set out below:
a. Declaration of interest. Any personal interest which may impinge or might reasonably
be deemed by others to impinge on a member's impartiality in any matter relevant to
his or her duties should be declared.
b. Confidentiality and accuracy of information. The confidentiality of information received in
the course of duty should be respected and should never be used for personal gain;
information given in the course of duty should be true and fair and never designed to
mislead.
c. Competition. While bearing in mind the advantages to the member's employing
organisation of maintaining a continuing relationship with a supplier, any relationship
which might, in the long term, prevent the effective operation of fair competition, should
be avoided.
d. Business Gifts. Business gifts other than items of very smal intrinsic value such as
business diaries or calendars should not be accepted.
e. Hospitality. Modest hospitality is an accepted courtesy of a business relationship.
However, the recipient should not al ow him or herself to reach a position whereby he
or she might be deemed by others to have been influenced in making a business
decision as a consequence of accepting such hospitality; the frequency and scale of
hospitality accepted should not be significantly greater than the recipient's employer
would be likely to provide in return.
f. when it is not easy to decide between what is and is not acceptable in terms of gifts or
hospitality, the offer should be declined or advice sought from the member's superior.
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 14 of 19
Appendix B
CODE OF CONDUCT FOR NHS MANAGERS - 2002
Introduction
The Code sets out the core standards of conduct expected of NHS managers. It wil serve two
purposes:
• to guide NHS managers and employing health bodies in the work they do and the
decisions and choices they have to make.
• to reassure the public that these important decisions are being made against a
background of professional standards and accountability.
Code of Conduct for NHS Managers
As an NHS manager, I wil observe the fol owing principles:
• make the care and safety of patients my first concern and act to protect them from risk;
• respect the public, patients, relatives, carers, NHS staff and partners in other agencies;
• be honest and act with integrity;
• accept responsibility for my own work and the proper performance of the people I manage;
• show my commitment to working as a team member by working with al my col eagues in
the NHS and the wider community;
• take responsibility for my own learning and development.
This means in particular that:
1.
I wil :
• respect patient confidentiality;
• use the resources available to me in an effective, efficient and timely manner having
proper regard to the best interests of the public and patients;
• be guided by the interests of the patients while ensuring a safe working environment;
• act to protect patients from risk by putting into practice appropriate support and
disciplinary procedures for staff; and
• seek to ensure that anyone with a genuine concern is treated reasonably and fairly.
2.
I wil respect and treat with dignity and fairness, the public, patients, relatives, carers, NHS
staff and partners in other agencies. In my capacity as a senior manager within the NHS I
wil seek to ensure that no one is unlawful y discriminated against because of their religion,
belief, race, colour, gender, marital status, disability, sexual orientation, age, social and
economic status or national origin. I wil also seek to ensure that:
• the public are properly informed and are able to influence services;
• patients are involved in and informed about their own care, their experience is valued,
and they are involved in decisions;
• relatives and carers are, with the informed consent of patients, involved in the care of
patients;
• partners in other agencies are invited to make their contribution to improving health and
health services; and
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 15 of 19
• NHS staff are:
– valued as col eagues;
– properly informed about the management of the NHS;
– given appropriate opportunities to take part in decision making.
– given al reasonable protection from harassment and bul ying;
– provided with a safe working environment;
– helped to maintain and improve their knowledge and skil s and achieve their
potential; and
– helped to achieve a reasonable balance between their working and personal lives.
3.
I wil be honest and wil act with integrity and probity at al times. I wil not make, permit or
knowingly al ow to be made, any untrue or misleading statement relating to my own duties
or the functions of my employer.
I wil seek to ensure that:
• the best interests of the public and patients/clients are upheld in decision-making and
that decisions are not improperly influenced by gifts or inducements;
• NHS resources are protected from fraud and corruption and that any incident of this
kind is reported to the NHS Counter Fraud Services;
• judgements about col eagues (including appraisals and references) are consistent, fair
and unbiased and are properly founded; and
• open and learning organisations are created in which concerns
• about people breaking the Code can be raised without fear.
4.
I wil accept responsibility for my own work and the proper performance of the people I
manage. I wil seek to ensure that those I manage accept that they are responsible for their
actions to:
• the public and their representatives by providing a reasonable and reasoned
explanation of the use of resources and performance;
• patients, relatives and carers by answering questions and complaints in an open,
honest and wel researched way and in a manner which provides a ful explanation of
what has happened, and of what wil be done to deal with any poor performance and,
where appropriate giving an apology; and
• NHS staff and partners in other agencies by explaining and justifying decisions on the
use of resources and give due and proper consideration to suggestions for improving
performance, the use of resources and service delivery.
I wil support and assist the Accountable Officer of my organisation in his or her
responsibility to answer to Parliament, Ministers and the Department of Health in terms of
ful y and faithful y declaring and explaining the use of resources and the performance of the
local NHS in putting national policy into practice and delivering targets.
For the avoidance of doubt, nothing in paragraphs two to four of this Code requires or
authorises an NHS manager to whom this Code applies to:
• make, commit or knowingly al ow to be made any unlawful disclosure;
• make, permit or knowingly al ow to be made any disclosure in breach of his or her
duties and obligations to his or her employer, save as permitted by law.
If there is any conflict between the above duties and obligations and this Code, the former
shal prevail.
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 16 of 19
5.
I wil show my commitment to working as a team by working to create an environment in
which:
• teams of frontline staff are able to work together in the best interests of patients;
• leadership is encouraged and developed at al levels and in al staff groups; and
• the NHS plays its ful part in community development.
6.
I wil take responsibility for my own learning and development. I wil seek to:
• take ful advantage of the opportunities provided;
• keep up to date with best practice; and
• share my learning and development with others.
Implementing the Code
1.
The Code should be seen in a wider context that NHS managers must fol ow the ‘Nolan
Principles on Conduct in Public Life’, the ‘Corporate Governance Codes of Conduct and
Accountability’, the ‘Standards of Business Conduct’, the ‘Code of Practice on Openness in
the NHS’ and standards of good employment practice.
2 .
In addition many NHS managers come from professional backgrounds and must fol ow the
code of conduct of their own professions as wel as this Code. In order to maintain
consistent standards, NHS bodies need to consider suitable measures to ensure that
managers who are not their employees but who
(i) manage their staff or services;
or
(i ) manage units which are primarily providing services to their patients
also observe the Code.
3.
It is important to respect both the rights and responsibilities of managers. To help managers
to carry out the requirements of the Code, employers must provide reasonable learning and
development opportunities and seek to establish and maintain an organisational culture that
values the role of managers. NHS managers have the right to be:
• treated with respect and not be unlawful y discriminated against for any reason;
• given clear, achievable targets;
• judged consistently and fairly through appraisal;
• given reasonable assistance to maintain and improve their knowledge and skil s and
achieve their potential through learning and development; and
• reasonably protected from harassment and bul ying and helped to achieve a
reasonable balance between their working and personal lives.
Breaching the Code
4.
Al eged breaches of the Code of Conduct should be promptly considered and fairly and
reasonably investigated. Individuals must be held to account for their own performance,
responsibilities and conduct where employers form a reasonable and genuinely held
judgement that the al egations have foundation. Investigators should consider whether
there are wider system failures and organisational issues that have contributed to the
problems. Activity, the purpose of which is to learn from and prevent breaches of the Code,
needs to look at their wider causes.
5. Local employers should decide whether to investigate al eged breaches informal y or under
the terms of local disciplinary procedures. It is essential however that both forms of
investigation should be, and be seen to be, reasonable, fair and impartial. If Chief
Executives or Directors are to be investigated, the employing authority should use
individuals who are employed elsewhere to conduct the investigation. The NHS
Confederation, the Institute of Healthcare Management and the Healthcare Financial
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 17 of 19
Management Association are among the organisations who maintain lists of people who
are wil ing to undertake such a role.
Application of Code
6.
This Code codifies and articulates certain important contractual obligations that apply to
everyone holding management positions. These include Chief Executives and Directors
who as part of their duties are personal y accountable for achieving high quality patient
care. The Department of Health wil in the next few months issue a proposed new
framework of pay and contractual arrangements for the most senior NHS managers. Under
this framework the job evaluation scheme being developed as part of the ‘Agenda for
Change’ negotiations is likely to be used as the basis for identifying which other managerial
posts (in addition to Chief Executives and Directors) should be automatical y covered by the
Code. The new framework wil also specify compliance with the Code as one of the core
contractual provisions that should apply to al senior managers.
7.
For al posts at Chief Executive/Director level and al other posts identified as in paragraph
6 above, acting consistently with the Code of Conduct for NHS Managers Directions 2002,
employers should:
• _ include the Code in new employment contracts;
• _ incorporate the Code into the employment contracts of existing postholders at the
earliest practicable opportunity.
Action
8.
Employers are asked to:
(i) incorporate the Code into the employment contracts of Chief Executives and Directors
at the earliest practicable opportunity
and include the Code in the employment
contracts of new appointments to that group;
(i ) identify any other senior managerial posts, i.e. with levels of responsibility and
accountability similar to those of Director-level posts, to which they consider the Code
should apply. (The new framework for pay and contractual arrangements wil help more
tightly define this group in due course.)
(i i) investigate al eged breaches of the Code by those to whom the Code applies promptly
and reasonably as at paragraphs four to five;
(iv) provide a supportive environment to managers (see paragraph three above).
Effective date: 9 October 2002
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 18 of 19
Appendix C
SHREWSBURY & TELFORD HOSPITAL NHS TRUST
PATIENT APPRECIATION & GIFTS/HOSPITALITY MONITORING FORM
HOSPITAL SITE:
_____________________________________________________
WARD/DEPARTMENT
___________________
MONTH/YEAR
Date
Name of individual
Gift/hospitality/
Thank
Value of
Name of
providing gift/
Donation
you
gift/hospitality/
reporting
hospitality/donation
(Please state)
letter/card
donation
person
(Please
£
tick)
Please complete this form and return it on the first day of the month to:
Patient Services Officer, Princess Royal Hospital
THESE FORMS HAVE TO BE RETURNED ON A MONTHLY BASIS. PLEASE DO NOT PUT
MORE THAN ONE MONTH AT A TIME ON.
Please note that any gift/hospitality (patient donations excluded) with a value exceeding the
threshold (as defined in HR52 Standards of Business Conduct Policy), must be declared by
the employee in writing, within 2 weeks of receipt to the Corporate Affairs office.
Standards of Business Conduct
Policy Number HR52
Issued: Jan 2007
Page 19 of 19