MEDICAL STAFF SECONDARY INTERESTS AND EMPLOYMENT POLICY. Documentation Control

Transcription

1 MEDICAL STAFF SECONDARY INTERESTS AND EMPLOYMENT POLICY Documentation Control Reference Approving Body HR/PT&C/023 Trust Board Date Approved 25 Implementation Date 25 Summary of changes from previous Formatting and clarification of version points only Medical Staff Secondary Interests Supersedes and Employment Policy Version 2 Human Resources Consultation Undertaken JLNC Directors Group Date of Completion of Equality Impact Assessment Date of Completion of We are here for You Assessment Date of Environmental Impact Assessment (if applicable) Legal and/or Accreditation Implications Target Audience February 205 see separate template at Appendix 2 February 205 see separate template at Appendix 4 May 205 see separate template at Appendix 3 Employees are contractually obliged to declare a secondary interest or employment Medical Staff Review Date June 208 Lead Executive Director of Human Resources

2 Author/Lead Manager Further Guidance/Information Director of Human Resources Directorate HR Managers 2

3 CONTENTS Paragraph Title Page.0 Introduction Executive Summary Policy Statement Definitions Roles and Responsibilities Policy Requirements Training and Implementation Impact assessments Monitoring Matrix 0.0 Relevant Legislation, National Guidance and Associated NUH Documents 2 Appendix Appendix 2 Appendix 3 Appendix 3 Appendix 4 Declaration of Interest Form Equality Impact Assessment Environmental Impact Assessment 8 We Are Here for You Policy Assessment Certification Of Employee Awareness

4 .0 Introduction... The Trust recognises that many Senior Medical Staff will be engaged in other employment or work in addition to their work for their Trust (that is in hours not contracted with the Trust). Indeed the right to carry out private work is enshrined in both the pre and post 2003 contracts. There will be other situations where medical staff do carry out NHS work for service providers other than the Trust, or work for pharmaceutical, charitable or other organisations for which they receive financial benefit or might financially benefit in the future...2 It is also accepted that the NHS wishes to increasingly develop plurality of providers, in support of greater choice for patients. As a result medical staff employed by the Trust may also be considering working for other healthcare providers who wish to provide NHS services, or to be establishing themselves as a provider in their own right to provide NHS services outside their contract with the Trust...3 All staff subscribe to the highest standards of probity and integrity in their professional life. This policy provides a mechanism whereby no member of senior medical staff can be said to have failed to be open about their non-trust interests or employment or to have pursued such interests to the detriment of their work for the Trust...4 This policy requires medical staff to register such additional ( secondary ) employment with the Trust. In most situations it is accepted that such employment will not constitute a conflict of interest for the member of staff in relation to their work with the Trust. However it is important that there is transparency about such arrangements so that there is no appearance of such a conflict...5 The policy also describes those circumstances where the Trust may believe that the secondary interest or employment is not 4

5 appropriate:- Where there is a need to develop a package of measures to address legitimate patient safety concerns. where a consultant holds a strategic management position in more than one organisation. holding a strategic management position in one organisation while assisting another organisation to tender for NHS funded services. assisting more than one organisation to respond to the same tender for NHS-funded services. sharing of commercially sensitive information to third parties 2.0 Executive Summary This policy describes therefore the process by which medical staff should inform the Trust of any secondary employment or interest. It goes on to identify the process the Trust must follow if it believes there to be a conflict of interest. This policy covers medical and dental staff who have a contract of employment with the Trust. 3.0 Policy Statement This policy covers the broad process and principles involved where Consultants or Associate Specialists may work in addition to their employment with NUH, and the obligation to inform the Trust, as principal employer, of such work. This policy applies to clinical academic staff for the period of time where their job plan is allocated to the Trust otherwise the relevant University of Nottingham policy applies It goes on to describe the actions that the Trust must take if it believes there to be a conflict in such arrangements, and also indicates an appeal mechanism that may be followed. 5

6 4.0 Definitions In this policy, the term Secondary Interests and Employment includes the following common examples -: o paid employment outside the Trust including private practice; o self-employment; o bank/locum/agency work; o reservist occupations; o a director role; o a contract for services; o a management consultancy/professional role 4..2 The key test for establishing whether any role might fall within the ambit of this policy is whether the member of staff might receive remuneration or compensation for the work undertaken. Roles undertaken on a voluntary basis where there is never any prospect of financial reward do not therefore fall within the scope of this policy. If however there is doubt in the employee s mind as to whether the role constitutes secondary employment then they are advised to report the role A conflict of interest occurs where a member of staff engages in an outside activity that interferes, or appears to interfere, with fulfillment of their obligations as an employee to the Trust. For example, it is possible that by bidding for work in competition with the Trust, the bidding itself will constitute a conflict of interest, irrespective of whether or not the individual subsequently wins the bid It should be noted that interest includes the employment of a close family member, spouse or partner. 6

7 5.0 Roles and Responsibilities Medical Director - Responsible for distribution of this policy, monitoring and implementation of the policy Clinical Director / Head of Service - Accountable for ensuring that Secondary Employment and other interests are discussed through the job planning process and that there is proportionate and reasonable consideration of potential conflicts of interest Medical Staff - Ensure that any secondary employment or interests are declared as they arise and annually through the job planning process. This should also include whether they intend to opt out of the requirements of the working time directive Consultants and Associate Specialists/Speciality Doctors are required to confirm any secondary employment or interests as part of the job planning process, via the form attached at Appendix Where a doctor is considering taking on new secondary employment or interests, they should promptly inform their Head of Service, via an updated version of the form in Appendix. 6.0 Policy Requirements The Trust understands that Consultants and Associate Specialists will typically perform other duties without detriment to their work with the Trust Following a declaration, where the manager agreeing the job plan feels there is a possible conflict of interest this should be referred to the Clinical Director. Further discussions with the individual 7

8 consultant or Associate Specialist should take place to establish the nature of the role The following are examples of situations where secondary employment will typically be judged by the Clinical Director to mean that secondary employment conflicts with an employee s work for the Trust-: As a result of patient safety concerns arising from the specific performance / conduct of the consultant or Associate Specialist. This could include concerns regarding working excessive hours. The employee holds management positions for example, Head of Service, Clinical Director, in NUH whilst providing assistance to another organisation to tender for NHS-funded services in competition with NUH. The employee holds strategic management positions for example, Head of Service, Clinical Director, in NUH while undertaking a similar role in another organisation. The employee is assisting more than one organisation including the Trust to respond to the same tender for NHS-funded services Assistance may include the following -: Providing advice on market conditions, service planning and tender development Providing assistance in presentation of tenders Canvassing colleagues to participate in non-nuh competitive tenders Signing letters of support or tender documents 6..5 Where following these discussions, the Trust feels that the secondary employment conflicts with the individual s contract of employment with the Trust, the Trust will request them to withdraw from their secondary employment. This will be confirmed in writing, 8

9 requesting a written response within no more than two weeks to confirm the withdrawal If the Consultant / Associate Specialist refuses to withdraw from the secondary employment in question then the Trust will consider what further formal steps might be taken in line with the Trust s agreed disciplinary processes If the Consultant/Associate Specialist believes that the designation of the secondary employment as a conflict of interest is unreasonable then they may ask for the decision to be reviewed at Stage Two of the Trust s Grievance Process Where a panel is convened at this stage of the grievance process a representative from outside the Trust will form part of the membership of the panel Medical Staff should refrain from their Secondary Interests and Employment if they are on sick leave from the Trust, unless otherwise advised by Occupational Health. This includes any work during what would normally be off duty periods, e.g. weekends, unless they have received prior permission in writing from their Head of Service Medical Staff on sick leave from the Trust should also not take up any new Secondary Interests and Employment unless they inform their manager Undertaking secondary employment whilst on sick leave from the Trust may constitute fraud, and therefore gross misconduct. 7.0 Training and Implementation 7. Training 9

10 There is no training requirement for this policy. Managers and staff may seek advice from Human Resources in the case of a query. 7.2 Implementation This policy will be included in the Trust Policy Document Library for reference by staff as appropriate. 7.3 Resources No additional resources are required. 8.0 Trust Impact Assessments 8. Equality Impact Assessment An equality impact assessment has been undertaken on this draft and has not indicated that any additional considerations are necessary. 8.2 Environmental Impact Assessment An environmental impact assessment has been undertaken on this draft and has not indicated that any additional considerations are necessary. 8.3 Here For You Assessment A Here For You assessment has been undertaken on this document and has not indicated that any additional considerations are necessary. 0

11 9.0 Policy / Procedure Monitoring Matrix Minimum requirement to be monitored Responsible individual/ group/ committee Process for monitoring e.g. audit Frequency of monitoring Responsible individual/ group/ committee for review of results Responsible individual/ group/ committee for development of action plan Responsible individual/ group/ committee for monitoring of action plan Declarations of interest Audit Committee Via register Monthly Audit Committee n/a n/a

12 0.0 Relevant Legislation, National Guidance and Associated NUH Documents 0. Health and Attendance Policy Working Time Regulations Policy Disciplinary Policy & Procedures Standards of Business Conduct Grievance Policy Capability Policy Consultant Job Planning Policy Private Patient and Overseas Visitors Policy A Code of Conduct for Private Practice: Guidance for NHS medical and dental staff 2

13 DECLARATION OF INTERESTS (ALL STAFF) Form DOI 2 APPENDIX All staff must declare to the chief executive, (as soon as the interest arises) any other employment or business or other relationship that conflicts, or might reasonably be predicted could conflict with the interests of the Trust. Staff are reminded of the following: (i) (ii) (iii) Where any officer of the trust comes to know that the trust has entered into, or proposes to enter into, a contract in which he, or any person connected with him (co-habiting spouse/partner), has any pecuniary interest, direct or indirect, the officer shall declare their interest by giving notice in writing of such fact to the chief executive or the trust secretary as soon as practicable. An officer should also declare to the chief executive any other employment or business or other relationship of his, or of a cohabiting spouse/partner, that conflicts, or might reasonably be predicted could conflict with, the interests of the trust. The trust will require interests, employment or relationships so declared to be entered in a register of interests of staff. All declared interests will be formally recorded in a Register of Interests, which is regularly reviewed by the Audit Committee of the Board. They will also be routinely published in accordance with the Freedom of Information Act. NAME: (please print) JOB TITLE: WARD/DEPARTMENT/DIRECTORATE: CONTACT TELEPHONE NUMBER: INTERESTS TO DECLARE COMPANY/ORGANISATION INTEREST SIGNATURE: DATE: THE COMPLETED FORM SHOULD BE SUBMITTED TO THE TRUST SECRETARY 3

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15 Equality Impact Assessment (EQIA) Form APPENDIX 2 Q. Date of Assessment: February 205 Q2. For the policy and its implementation answer the questions a c below against each characteristic (if relevant consider breaking the policy or implementation down into areas) Protected Characteristic a) Using data and supporting information, what issues, needs or barriers could the protected characteristic groups experience? i.e. are there any known health inequality or access issues to consider? The area of policy or its implementation being assessed: b) What is already in place in the policy or its implementation to address any inequalities or barriers to access including under representation at clinics, screening Race and No N/A N/A Ethnicity Gender No N/A N/A Age No N/A N/A Religion No N/A N/A Disability No N/A N/A Sexuality No N/A N/A c) Please state any barriers that still need to be addressed and any proposed actions to eliminate inequality 5

16 Pregnancy and No N/A N/A Maternity Gender No N/A N/A Reassignment Marriage and No N/A N/A Civil Partnership Socio-Economic No N/A N/A Factors (i.e. living in a poorer neighbour hood / social deprivation) Area of service/strategy/function Q3. What consultation with protected characteristic groups inc. patient groups have you carried out? There is no evidence i.e. previous Disputes or grievances to suggest the policy is implemented inappropriately. Q4. What data or information did you use in support of this EQIA? Q.5 As far as you are aware are there any Human Rights issues be taken into account such as arising from surveys, questionnaires, comments, concerns, complaints or compliments? Q.6 What future actions needed to be undertaken to meet the needs and overcome barriers of the groups identified or to create confidence that the policy and its implementation is not discriminating against any groups What By Whom By When Resources required 6

17 Q7. Review date 7

18 APPENDIX 3 Environmental Impact Assessment The purpose of an environmental impact assessment is to identify the environmental impact of policies, assess the significance of the consequences and, if required, reduce and mitigate the effect by either, a) amend the policy b) implement mitigating actions. Area of impact Waste and materials Soil/Land Water Air Environmental Risk/Impacts to consider Is the policy encouraging using more materials/supplies? Is the policy likely to increase the waste produced? Does the policy fail to utilise opportunities for introduction/replacement of materials that can be recycled? Is the policy likely to promote the use of substances dangerous to the land if released (e.g. lubricants, liquid chemicals) Does the policy fail to consider the need to provide adequate containment for these substances? (e.g. bunded containers, etc.) Is the policy likely to result in an increase of water usage? (estimate quantities) Is the policy likely to result in water being polluted? (e.g. dangerous chemicals being introduced in the water) Does the policy fail to include a mitigating procedure? (e.g. modify procedure to prevent water from being polluted; polluted water containment for adequate disposal) Is the policy likely to result in the introduction of procedures Action Taken (where necessary) NO None identified NO NO NO 8

19 Energy Nuisances and equipment with resulting emissions to air? (e.g. use of a furnaces; combustion of fuels, emission or particles to the atmosphere, etc.) Does the policy fail to include a procedure to mitigate the effects? Does the policy fail to require compliance with the limits of emission imposed by the relevant regulations? Does the policy result in an increase in energy consumption levels in the Trust? (estimate quantities) Would the policy result in the creation of nuisances such as noise or odour (for staff, patients, visitors, neighbours and other relevant stakeholders)? NO NO NO NO 9

20 We Are Here For You Policy and Trust-wide Procedure Compliance Toolkit The We Are Here For You service standards have been developed together with more than,000 staff and patients. They can help us to be more consistent in what we do and say to help people to feel cared for, safe and confident in their treatment. The standards apply to how we behave not only with patients and visitors, but with all of our colleagues too. They apply to all of us, every day, in everything that we do. Therefore, their inclusion in Policies and Trust-wide Procedures is essential to embed them in our organization. Please rate each value from 3 ( being not at all, 2 being affected and 3 being very affected) Value Score (- 3). Polite and Respectful Whatever our role we are polite, welcoming and positive in the face of adversity, and are always respectful of people s individuality, privacy and dignity. 2. Communicate and Listen We take the time to listen, asking open questions, to hear what people say; and keep people informed of what s happening; providing smooth handovers. 3. Helpful and Kind All of us keep our eyes open for (and don t avoid ) people who need help; we take ownership of delivering the help and can be relied on. 4. Vigilant (patients are safe) Every one of us is vigilant across all aspects of safety, practices hand hygiene & demonstrates attention to detail for a clean and tidy environment everywhere. 20

21 5. On Stage (patients feel safe) We imagine anywhere that patients could see or hear us as a stage. Whenever we are on stage we look and behave professionally, acting as an ambassador for the Trust, so patients, families and carers feel safe, and are never unduly worried. 6. Speak Up (patients stay safe) We are confident to speak up if colleagues don t meet these standards, we are appreciative when they do, and are open to positive challenge by colleagues 7. Informative We involve people as partners in their own care, helping them to be clear about their condition, choices, care plan and how they might feel. We answer their questions without jargon. We do the same when delivering services to colleagues. 8. Timely We appreciate that other people s time is valuable, and offer a responsive service, to keep waiting to a minimum, with convenient appointments, helping patients get better quicker and spend only appropriate time in hospital. 9. Compassionate We understand the important role that patients and family s feelings play in helping them feel better. We are considerate of patients pain, and compassionate, gentle and reassuring with patients and colleagues. 0. Accountable 3 Take responsibility for our own actions and results. Best Use of Time and Resources Simplify processes and eliminate waste, while improving quality 2. Improve Our best gets better. Working in teams to innovate and to solve patient frustrations TOTAL 4 2

22 APPENDIX 4 CERTIFICATION OF EMPLOYEE AWARENESS Document Title Medical Staff Secondary Interests and Employment Policy Date 25 I hereby certify that I have: Identified (by reference to the document control sheet of the above policy/ procedure) the staff groups within my area of responsibility to whom this policy / procedure applies. Made arrangements to ensure that such members of staff have the opportunity to be aware of the existence of this document and have the means to access, read and understand it. Signature Print name Date Directorate/ Department The manager completing this certification should retain it for audit and/or other purposes for a period of six years (even if subsequent versions of the document are implemented). The suggested level of certification is; Clinical directorates - general manager Non clinical directorates - deputy director or equivalent. The manager may, at their discretion, also require that subordinate levels of their directorate / department utilize this form in a similar way, but this would always be an additional (not replacement) action. 22