GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY

Transcription

1 GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY 1 SUMMARY This document sets out Haringey Clinical Commissioning Group policy maintaining high ethical standards in the acceptance of gifts and hospitality and declaring conflicts of interest. 2 RESPONSIBLE PERSON: Sarah Price, Chief Officer 3 ACCOUNTABLE DIRECTOR: Jennie Williams, Director of Quality and Integrated Governance 4 APPLIES TO: This Policy must be adhered to by all staff (whole or part time) and by Governing Body and Committee Members. 5 GROUPS/ INDIVIDUALS WHO HAVE OVERSEEN THE DEVELOPMENT OF THIS POLICY: Steve Beeho, Head of Integrated Governance Jennie Williams, Director of Quality and Integrated Governance 6 GROUPS WHICH WERE CONSULTED AND HAVE GIVEN APPROVAL: Senior Management Team, 8 July 2013 Audit Committee, 11 July EQUALITY IMPACT ANALYSIS COMPLETED: Policy Screened Add date Template completed Add date 8 RATIFYING COMMITTEE(S) & DATE OF FINAL APPROVAL: 9 VERSION: CCG Governing Body, 25 July AVAILABLE ON: Intranet Website 11 RELATED DOCUMENTS: Anti-Fraud & Bribery Policy Prime Financial Policies, as set out in GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 1 of 15

2 Appendix E of the Haringey CCG Constitution Standards of Business Code of Conduct Code of Conduct: Managing conflicts of interest where GP practices are potential providers of CCG-commissioned services 12 DISSEMINATED TO: All staff, Governing Body and Committee Members. 13 DATE OF IMPLEMENTATION: DATE OF NEXT FORMAL REVIEW: January 2014 DOCUMENT CONTROL Date Version Action Amendments First draft Second draft Minor change relating to Prime Financial Policies following review by Senior Management Team Third draft Changes made following comments by Audit Committee on GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 2 of 15

3 Contents Section Page 1 Introduction 4 2 Policies statement 4 3 Scope of this policy 4 4 Who this policy applies to 5 5 Roles and responsibilities 5 6 Main body of the policy 6 Declarations of interest 6 Declaring an interest Interests which are relevant and material 6 Advice on interests 6 A personal family interest 7 Recording of interests 7 Conflicts of interest which arise 7 during the course of a meeting The Register of Interests 8 Declarations of gifts and hospitality 8 Legal position The Bribery Act 2010 What staff should do when they refuse 9 a gift, loan, or offer of hospitality or sponsorship What staff may accept 10 Declaring a gift or the offer of sponsorship 11 or hospitality 7 Training 11 8 Dissemination and implementation 12 9 Monitoring Review 12 Appendices Appendix A Declaration of Interest Form 13 Appendix B Register of Gifts and Hospitality 15 Declaration Form GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 3 of 15

4 1. INTRODUCTION 1.1 This document sets out Haringey Clinical Commissioning Group s (CCG) Policy for maintaining high ethical standards in the acceptance of gifts and hospitality and declaring conflicts of interest. 2. POLICY STATEMENT 2.1 The aim of this Policy is to ensure that the CCG is impartial and honest in the conduct of its business. Having a policy and carrying out that policy will protect staff from any suspicion of corruption, and protect the reputation of the CCG. 2.2 The policy explains what the CCG expects of organisations who work with the CCG in terms of standards of behaviour when conducting business. It also sets out the requirements with which each individual member of staff that falls within its scope must comply to ensure they are not placed in a position which risks or appears to risk a conflict between their private interests and their NHS duties. It cannot cover all situations or circumstances and therefore staff are required to be thoughtful in their dealings in matters that might compromise their own or the CCG s reputation or ethical standards. 3. SCOPE OF THIS POLICY 3.1 The CCG s Policy is underpinned by national guidance HSG (93) 5 and in statute by the Bribery Act 2010 (the Act) which supersedes the Prevention of Corruptions Acts 1906 and The CCG is a public body and as such has a duty to ensure that: All its business dealing are conducted to the highest standards of openness, honesty and probity; The interests of the CCG and its patients come first; and Public funds are properly safeguarded. In particular, staff should ensure they do not: Abuse their official position for personal gain or to benefit their family or friends; Misuse any financial procedures of the CCG for personal gain; Wilfully neglect to perform their duty or wilfully misconduct themselves; Perform a relevant function or activity improperly; Remove items of CCG property without authorisation; and Seek to gain advantage or further private or business interests in the course of their official duties. 3.3 Staff are expected to comply with this Policy and ensure they: Declare conflicts that may arise between their NHS work and their personal interests; Abide by the rules regarding the acceptance of gifts, hospitality and sponsorship; Inform the Head of Integrated Governance if they suspect they have been offered a gift or hospitality with corrupt intent. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 4 of 15

5 3.4 The Bribery Act does not aim to criminalise reasonable or proportionate hospitality or to prevent activities that benefit the CCG and its patients. One of the objectives of this Policy is to ensure that staff are aware of their responsibilities and when doing business they take appropriate action to ensure they do not engage in any corrupt activities that could damage the reputation of the CCG. 4. WHO THIS POLICY APPLIES TO 4.1 This Policy must be adhered to by all staff (whole or part time) and by Governing Body and Committee Members. 4.2 The term Staff includes individuals who are: Employed under a contract of employment with the CCG; unpaid volunteers of the CCG; not employed by the CCG but who exercise functions on behalf of e.g. non- NHS contract staff. 4.3 Where this Policy covers individuals whose main employer is not the CCG it will seek assurance that their employing organisation has in place adequate procedures which are designed to prevent instances relating to bribery. 4.4 It also covers any persons associated with suppliers of goods or services to or on behalf of the CCG. (For the purposes of this policy, this relates to persons associated with subsidiaries and controlled entities, Joint Venture partners, advisors, distributors and agents of intermediaries). The CSU, on behalf of the CCG, shall ensure that any person who is performing services or providing goods to the CCG understands the CCG s Gifts, Hospitality and Declarations of Interest Policy. 4.5 Any breach of this Policy will be taken seriously and may lead to disciplinary action up to and including dismissal as outlined in the CCG s disciplinary policy and procedures. Furthermore staff are advised that a breach of the provisions of the Bribery Act 2010 also renders them liable to criminal prosecution. 4.6 Where this Policy is not adhered to in reference to cases of fraud and corruption non-compliance by staff will be dealt with in accordance with the CCG s counter fraud policy. 5. ROLES AND RESPONSIBILITIES 5.1 For the purposes of this Policy, the CCG has designated the Head of Integrated Governance as responsible for carrying out a range of functions, reporting to the Director of Quality and Integrated Governance. However, it is important to note that none of the requirements in this Policy contradicts or conflicts with an individual s rights as set out in the CCG s whistleblowing (raising concerns and freedom of speech) policy nor is anything contained in this Policy deemed as overriding the CCG s legal duty to comply with the Freedom of Information Act. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 5 of 15

6 5.2 This Policy is deemed to be an integral part of the CCG s Standing Orders (SO), and Prime Financial Policies and should be read in conjunction with them. These documents also require staff to act with integrity at all times. 5.3 Staff should note that this Policy does not replace or substitute any professional or other codes of conduct that members of staff or individuals connected with the CCG are obliged to follow. 6. MAIN BODY OF THE POLICY Declarations of interest 6.1 When staff have personal interests - for example in an equipment manufacturer or a pharmaceutical company - these must not conflict with their official duties nor impair their ability to carry out their duties. This guidance provides advice on what constitutes a conflict of interest and how to declare and register a conflict of interest. 6.2 Staff who have either a direct or indirect interest in an organisation with which the CCG has a business relationship (or if they have previously worked for such an organisation) may be vulnerable to allegations of impropriety. This also applies to partners (i.e. life partners and business/joint venture partners), relatives and close associates of that member of staff. 6.3 Staff should exercise caution in areas where an interest might arise, or be perceived as arising. If their dealings or interests might influence or be seen by others to influence the CCG s business relationships with that organisation the interest must be declared. 6.4 All relevant material interests should be formally declared. Interests which are relevant and material 6.5 Interests which should be regarded as relevant and material are: Directorships, including non-executive directorships held in private companies or PLCs (with the exception of those of dormant companies*); Ownership or part-ownership of private companies, businesses or consultancies; Majority or controlling share holdings in organisations; A position of authority in a charity or voluntary organisation; Any connection with a voluntary organisation contracting NHS services; Where there is a contractual relationship with an organisation that provides a relevant function on behalf of the CCG Research funding/grants that may be received by an individual or their department; Interests in pooled funds that are under separate management (any relevant company included in this fund that has a potential relationship with the CCG must be declared). *those with directorships (including non-executive directorships) held in dormant private companies or PLCs should be declared if the company has only been declared dormant in the previous financial year. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 6 of 15

7 Advice on interests 6.6 If Governing Body members have any doubt about the relevance of an interest, this should be discussed with the Chair of the CCG as appropriate, or with the Head of Integrated Governance. 6.7 The influence rather than the immediacy of the relationship is more important in assessing the relevance of an interest. The interests of partners in professional partnerships including general practitioners should also be considered. A personal family interest 6.8 A personal family interest relates to the personal interests of a family member and involves a current payment to the family member of the employee or member. The interest may relate to the manufacturer or owner of a product or service being evaluated, in which case it is regarded as specific, or to the industry or sector from which the product or service comes, in which case it is regarded as nonspecific. The main examples include the following: Any consultancy, directorship, position in or work for a healthcare industry, of one that the NHS engages with that attracts regular or occasional payments in cash or in kind. Any fee-paid work commissioned by a healthcare industry for which the member is paid in cash or in kind. Any shareholdings, or other beneficial interests, in a healthcare industry which are either held by the family member. Funds which include investments in the healthcare industry that are held in a portfolio over which individuals have the ability to instruct the fund manager as to the composition of the fund. 6.9 No personal family interest exists in the case of: Assets over which individuals have no financial control (for example, occupational pension funds) and where the fund manager has full discretion as to its composition. Accrued pension rights from earlier employment in the healthcare industry. Recording of interests 6.10 Staff are required to declare their interests using the Declaration of Interests Form attached as Appendix 1 which is also available as an online form. All declarations must be evidenced by a signature and sent to the Head of Integrated Governance, who is the register holder The Head of Integrated Governance will assess the significance of interests that have been registered at least quarterly. If as a result of that assessment discussions are required regarding the significance of the interest this will be discussed with the Director of Quality and Integrated Governance Declarations should be made as soon as practicable. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 7 of 15

8 Conflicts of interest which arise during the course of a meeting 6.13 During the course of a CCG Governing Body meeting, if a conflict of interest is established, the Governing Body Member concerned should withdraw from the meeting and play no part in the relevant discussion or decision. The register of interests 6.14 The Chief Officer will ensure that a Register of Interests is established to record formally declarations of interests of CCG Governing Body Members. In particular the Register will include details of all Directorships and other relevant and material interests which have been declared by CCG Governing Body Members The Register will be available to the public and the Chief Officer will take reasonable steps to bring the existence of the Register to the attention of local residents and to publicise arrangements for viewing it The Register of Interests will be monitored and reviewed on a rolling basis every six months by the Audit Committee It is the responsibility of staff to notify the CCG of any changes in circumstances in relation to their declaration. This includes instances where they are no longer connected to an organisation they had previously declared or where an organisation they had previously had a direct connection with has dissolved or ceased trading/filed for bankruptcy. Declarations of gifts and hospitality 6.18 Staff are required to exercise high standards of honesty and probity in the course of all their dealings on behalf of the CCG to avoid corrupt practices. Additional requirements are placed on staff by the Bribery Act The Bribery Act 2010 defines bribery as: Two general offences 1) Offering or giving a bribe to induce someone to behave, or reward someone for behaving, improperly and 2) requesting or accepting a bribe either in exchange for acting improperly, or where the request or acceptance is itself improper; A new corporate offence Negligently failing to prevent bribery by being given or offered by an employee or agent or other associated person on behalf of that organisation in order to obtain or retain business for that organisation; Bribing a foreign official Bribery is a damaging practice that affects both private and public companies. The CCG has a zero tolerance approach towards bribery and will uphold all laws relevant to countering bribery and corruption. See Appendix C for a summary explanation and examples of bribery If staff have personal, financial or other problems they may be more vulnerable to offers of inducement which may come in the form of gifts, hospitality and sponsorship than they would otherwise be. It is in the interest of staff to discuss GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 8 of 15

9 such matters in confidence with our counselling service to avoid unwarranted suspicion Staff are encouraged to raise concerns about any issue or suspicion of bribery at the earliest possible stage. If they are unsure whether a particular act constitutes bribery, or have any other queries relating to bribery, they should raise them with the Head of Integrated Governance or their line manager Staff should tell the local counter fraud specialist for the CCG or the Head of Integrated Governance as soon as possible if they are offered a bribe, or are asked to make one or suspect that this may happen in the future or have knowledge of such activity Other than in limited circumstances (see section 7.4) the receipt of goods, hospitality, loans, benefits in circumstances and sponsorship that provide no direct benefit to the CCG is not acceptable and should generally be refused and declared. This includes but is not limited to: Goods or services for private use e.g. maintenance work Payment by business contacts to subsidise social events Discounts on products with the exception of those offered to all staff through the Communications unit Tickets to cultural or sporting events - with the exception of those offered to all staff through the Communications unit Use of a flat or other accommodation The offer of a holiday or other similar inducement Staff must also refuse any offer of money whether in the form of cash, cheque or as vouchers for the purchase of goods. Any offer should be refused with a letter from the recipient explaining that staff are prohibited from accepting money Where exceptionally staff are offered and accept a gift in kind the acceptance of that gift must be justified (refer to paragraph 9). In accepting a gift staff should think about the context in which the gift has been offered and/or the affect accepting that gift will have on their position. If a gift is accepted or declined, it must be declared Offers to pay travel, subsistence and related costs to visit premises or attend events organised by a third party (e.g. a contractor or supplier) should be refused unless there is a clear benefit to the CCG and this can be demonstrated. Any offer must be declared whether it is accepted or refused Staff should also pay particular attention to the circumstances in which hospitality is offered. For example the acceptance of hospitality from an individual or organisation on occasions listed below is never acceptable and offers must be refused and reported: During a related tendering exercise Where a related contract is due to come to an end Where the performance of a contract is in question linked sponsorship arrangements whereby external sponsorship is linked to the CCG procurement of goods and services GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 9 of 15

10 Other circumstances where acceptance might compromise the member of staff or the CCG Where staff believe an organisation has offered gifts or hospitality in expectation of something in return this must be reported to the Head of Integrated Governance as this could be considered an inducement under the Bribery Act What staff should do when they refuse a gift, loan, or offer of hospitality or sponsorship 6.29 Any offer should be refused and must be returned with a letter from the recipient explaining politely that staff are prohibited from accepting gifts etc. The offer should be declared using the Gifts and Hospitality Form and a copy of the letter attached. What staff may accept 6.30 Gifts from a patient - Staff may accept a gift from a patient up to a value of 25 (not money, vouchers or cheques) - which is offered as a token of appreciation for the care they have received indeed in some circumstances it would be discourteous not to. These gifts do not need to be declared. If a gift from a patient is offered as a token of appreciation but is judged to have a value of above 25 the recipient must discuss with their line manager whether the gift can be accepted. Gifts of over 25 whether accepted or refused must be entered onto the Gift and Hospitality Register (see paragraph 6.1). Where staff believe they have been offered a generous gift to speed up treatment (for example offered the gift before treatment has commenced) the gift should both be refused and declared and the Head of Integrated Governance should be informed. These items should generally be retained in the workplace Gifts from external organisations Staff may accept unsolicited small tokens to a value of 25; this might include: Inexpensive or trivial promotional material such as diaries, calendars, mugs or other stationery goods which display the provider s name where the intention is general advertising not specifically related to the CCG; A conventional personal gift such as chocolates or flowers; Work-related publications. These items should generally be retained in the workplace and do not need to be declared. If several small tokens are given to an individual or department from the same source within any one year this matter should be referred to the line manager who should discuss the issue with the Head of Integrated Governance as soon as possible. Staff should also note that although the current limit is set at 25, they may be required to explain any acceptance of a gift even if it is of a lower value. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 10 of 15

11 There are occasions when it would not be proper to refuse a gift, for example if the CCG deals with a foreign company or organisation where the cultural custom and practice is to exchange gifts. In these circumstances staff must seek guidance from the Head of Integrated Governance or the Chief Finance Officer Hospitality and Benefits This Policy does not apply to hospitality provided to staff who are permitted to attend externally organised courses, conferences or seminars paid for by the CCG providing that the hospitality is included in the overall cost of the attendance fee and available to all the attendees or, if a large event, available to the majority of attendees. It also does not apply to permissible expense incurred whilst on official business. Hospitality must be secondary to purpose of any meeting or event and should only be accepted by staff where there is a genuine link to the CCG s working arrangements and/or a bona fide business purpose can be demonstrated. Some examples include: Attending a corporate reception/event to network; A meeting/event hosted by one of the CCG s external partners to develop a sounder working relationship; An industry or society function e.g. HSJ or Royal College function (If one attends a function as a registered member of that society there is no requirement to declare); Speaking in a professional capacity at a conference or event The level of hospitality offered should be proportionate and not give rise to inference of impropriety. It must be reasonable and appropriate to both the occasion and to the business conducted by the CCG; and the costs involved must not exceed that level which the recipients would normally adopt when paying for themselves or that which could not be reciprocated by the CCG As with gifts staff are expected to use their judgement when they are offered and accept hospitality from external organisations. They must be able to demonstrate that the appropriateness and/or frequency of hospitality can be justified. Declaring a gift or the offer of sponsorship or hospitality 6.35 Staff are required to declare any offer of a gift, declare offers of hospitality whether accepted or refused using the Gifts and Hospitality Form attached as Appendix 2 which is also available on the Intranet. 7. TRAINING 7.1 This Policy will be drawn to the attention of newly appointed CCG employees in the staff induction programme. Reminders to raise awareness on key aspects of this Policy e.g. declaration of interest reminders will be sent via or otherwise at least every six months. 7.2 Executive directors and managers and equivalent staff will have responsibility for implementation and for ensuring that all staff under their direction are made aware of this Policy directly. Those departments involved in aspects of procurement will be GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 11 of 15

12 asked to draw its content to the attention of suppliers and contractors where practicable and appropriate. 7.3 If staff are in any doubt about matters concerning this Policy they should seek advice from their manager or director in the first instance. Any individual who provides advice to staff under this Policy should record the advice given in writing by either or letter and keep a copy as this may be required for audit purpose. 7.4 Advice on this Policy and its applicability should be directed in the first instance to the Head of Integrated Governance or the Chief Finance Officer. 8. DISSEMINATION AND IMPLEMENTATION 8.1 This Policy and all associated forms will be made available on the CCG s Intranet or copies of the forms can be requested from the CCG administrator. A copy of this Policy will be given to Governing Body members on appointment. 9. MONITORING 9.1 Two registers, the Register of Interests and a Gift and Hospitality Register will be held centrally by the Head of Integrated Governance. The Register of Interests will record all business and commercial interests declared by staff. The Gift and Hospitality Register will record all offers of gifts, hospitality and sponsorship accepted or refused by staff. Details of what information is recorded on the two registers is described in the guidance appended to this Policy. 9.2 Summaries of the respective registers will be provided to the Director of Quality and Integrated Governance and will be subject to a corporate review. The review will take into account any significant changes to contracts or suppliers which may have resulted from or be perceived to have links with disclosed declarations of interests. A report of the review will be made annually to the audit committee. 9.3 Internal audit will be invited to undertake a periodic review of compliance with this Policy. 9.4 The outcome of audit findings and monitoring will be incorporated into a bi-annual review of the Policy. 10. REVIEW 10. This policy will be reviewed bi-annually. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 12 of 15

13 APPENDIX A REGISTER OF INTERESTS DECLARATION FORM This form should be completed and returned to Steve Beeho, Head of Integrated Governance, Haringey CCG, River Park House, 225 High Rd, Wood Green, London N22 8HQ or at steve.beeho@haringeyccg.nhs.uk Name: 1. Directorships, including non-executive directorships, held in private companies or PLCs (with the exception of dormant companies): Ownership, part-ownership or directorships of private companies, businesses or consultancies likely, or possibly seeking, to do business with the NHS: Majority or controlling shareholdings in organisations likely, or possibly seeking, to do business with the NHS: Position of authority in a charity or voluntary organisation in the field of health and social care:.. GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 13 of 15

14 5. Any connection with a voluntary or other organisation contracting for NHS services or commissioning NHS services:.. 6. Any connection with an organisation, entity or company considering entering into, or having entered into, a financial arrangement with the CCG (including lenders or banks):.. 7. Any position of responsibility in a professional body, trade union, political or campaigning group:.. 8. Any of the above interests held by a spouse or partner:.. 9. Any other interests you feel should be declared: I have no interests to declare (Please tick if appropriate) Signed: Date: GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 14 of 15

15 APPENDIX B REGISTER OF GIFTS AND HOSPITALITY DECLARTION FORM Date that gift or hospitality received / declined Details of gift / hospitality Reason for acceptance / refusal Signed: Countersigned: Name: Date: Date: Please return to: Head of Integrated Governance Haringey Clinical Commissioning Group 4 th Floor, River Park House 225 High Road London N22 8HQ GIFTS, HOSPITALITY AND DECLARATIONS OF INTEREST POLICY Page 15 of 15