Documentation Control REFERENCE CORPORATE GOVERNANCE FRAMEWORK CHAPTER 9 DATE APPROVED APPROVING BODY TRUST BOARD IMPLEMENTATION DATE VERSION 6 SUPERSEDES NUH VERSION 5 (DECEMBER 2010) CONSULTATION UNDERTAKEN DATE OF COMPLETION OF EQUALITY IMPACT ASSESSMENT TARGET AUDIENCE SUPPORTING PROCEDURE(S) DIRECTORS GROUP, AUDIT COMMITTEE, LOCAL COUNTER FRAUD SERVICE, STAFF SIDE 1FEBRUARY 2010 ALL STAFF N/A REVIEW DATE APRIL 2013 LEAD EXECUTIVE AUTHOR/LEAD MANAGER FURTHER GUIDANCE/INFORMATION CHIEF EXECUTIVE TRUST SECRETARY TRUST SECRETARY EXT 76002 DEPUTY TRUST SECRETARY EXT 76003 Nottingham University Hospitals NHS Trust Standards of Business Conduct Policy Version 6 (APRIL 2011) 1
CONTENTS PARA TITLE PAGE 1. Introduction 3 2. Responsibilities of Managers 3 3. Responsibilities of Staff 4 4. Declaration of Interests 5 5. Acceptance of Hospitality/Entertainment/Travel Expenses By The Trust Or Its Employees 6 6. Provision of Hospitality By The Trust Or Its Employees 8 7. Gifts 8 8. Sponsorship 9 9. Free of Charge/Donated Goods/Services 13 10. Other related issues: Employment Issues Maintaining Confidentiality Tendering And Contract Procedures Short Guide For Staff 13 11. Equality Impact Assessment Statement 15 12. We Are Here For You Mission Statement 17 13. References/Associated Policies and Procedures 17 Appendix One Short Guide for Staff 18 Appendix Two Equality Impact Assessment Report 20 Appendix Three Certification of Employee Awareness 23 2
AND PROCEDURE 1 INTRODUCTION 1.1 This document should be read in conjunction with the Trust s Standing Orders, Standing Financial Instructions and Scheme of Delegation, together with the relevant clauses in staff employment contracts. 1.2 The Trust will be and must be seen to be impartial and honest in the conduct of its business in accordance with sound corporate governance principles and the public service values of accountability, probity and openness. 1.3 The Trust requires high standards of corporate and personal conduct of its staff, based on the recognition that patients come first. The purpose of this policy and procedure is to describe the principles to be followed by each member of staff to ensure that this is the case. 1.4 This policy and procedure is intended to: 1.4.1 Make all staff aware of the Trust s expectations of their conduct and behaviour. 1.4.2 Give staff the knowledge and information they need to protect themselves from situations that may draw criticism or even disciplinary action. 1.4.3 Enable members of staff to express their concerns in an open and unthreatening way. 1.5 The Bribery Act (2010) is operative from 1 July 2011. The Act creates five basic offences: 1.5.1 bribing another person with the intention of inducing that person to perform a relevant function or activity improperly or to reward that person for doing so. 1.5.2 accepting a bribe with the intention that a relevant function or activity should be performed improperly as a result. 1.5.3 bribing a foreign public official 3
1.5.4 a director, manager or officer of a commercial organisation allowing or turning a blind eye to bribery within the organisation (The question of whether any particular organisation falls within the definition of a commercial organisation will be considered on the facts in individual cases. It is, however, safe to assume that an NHS Trust or NHS Foundation Trust could be deemed a commercial organisation for the purposes of this Act). 1.5.5 failing to prevent bribery where a person (including employees, agents and external third parties) associated with a relevant commercial organisation bribes another person intending to obtain or retain a business advantage. This is a strict liability offence which can be committed by the organisation unless it can show, in its defence, that it had adequate procedures in place to prevent bribery. 1.6 All individuals within healthcare organisations (including private sector) are capable of being prosecuted for taking or offering a bribe. For example, the giving or receipt of hospitality could be interpreted as a bribe. There is no maximum level of fines that can be imposed and an individual convicted of an offence can be imprisoned for up to ten years. 2 RESPONSIBILITIES OF MANAGERS 2.1 The Chief Executive is the Trust s designated Accountable Officer and has overall responsibility for ensuring the Trust operates efficiently, economically and with probity 2.2 Trust Directors and Managers are responsible for assisting Trust employees in complying with this policy by: 2.2.1 Ensuring that the policy and its requirements are brought to the attention of employees for whom they are responsible, and that those employees are aware of its implications for their work. 2.2.2 Ensuring that their members of staff have a thorough understanding of the Trust s governance arrangements 4
3 RESPONSIBILITIES OF STAFF All NHS staff are expected to: 3.1 Ensure that the interests of patients remain paramount at all times 3.2 Be impartial and honest in the conduct of their official business and, 3.3 Use the public funds entrusted to them to the best advantage of the service, always ensuring value for money. 3.4 Not abuse their official position for personal gain or to benefit their family or friends. 3.5 Not seek to advantage, or further, private business or other interests, in the course of their official duties. 3.6 Be aware that it is both a serious criminal offence (Bribery Act 2010) and disciplinary matter to act in a corrupt manner (see section 1.5 above). 3.7 Understand that failure to follow this policy may damage the Trust and its work and so may be viewed as a disciplinary matter, to be dealt with under normal disciplinary procedures, and the penalty could include dismissal. In accordance with the Fraud and Corruption Policy, suspected offences of fraud, corruption or bribery will be reported to the Trust s Local Counter Fraud Specialist for formal investigation. Where evidence of such offences is identified, criminal sanctions, including referral for prosecution, will be considered and applied as appropriate. 5
4 DECLARATION OF INTERESTS 4.1 Please also refer to the Non Medical and Dental Staff Secondary Interests and Employment Policy and Medical Staff Secondary Interests and Employment Policy, which require additional declarations to be made. 4.2 The Code of Accountability for NHS Boards requires Trust Board Directors to declare interests which are relevant and material to the NHS Board of which they are a Director. Please refer to Standing Orders. The declaration should be made on form DOI 1. 4.3 All Trust employees must ensure that their private and personal interests do not influence their decisions, and that they do not use their positions to obtain personal gain of any sort, either for themselves directly, or their families, friends or associates. Such interests include where an employee, or his or her close relative or associate, has a controlling 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. 4.4 Staff must declare any actual or potential conflicts of interest in writing to the Trust Secretary on form DOI 2 for recording in the Trust s Register of Interests. It may be necessary to bring entries in this register to the attention of senior officers and/or the Board and it will be made available to the Trust s auditors, if requested. It shall also be regularly scrutinised by the Audit Committee and published in accordance with Freedom of Information Act requirements. 4.5 Periodic reminders for staff to declare any interests will be sent to staff by the Trust Secretary. 4.6 Members of staff are particularly reminded of the need to declare any relevant interest in an organisation (whether NHS or otherwise) involved in healthcare services (whether provision, commissioning or otherwise). Advice from professional bodies should also be followed. 4.7 A Short Guide for Staff has been included at the end of the Policy for ease of reference. 6
5 ACCEPTANCE OF HOSPITALITY/ENTERTAINMENT/TRAVEL EXPENSES BY THE TRUST OR ITS EMPLOYEES (REFERRED TO COLLECTIVELY AS HOSPITALITY) 5.1 The principle of integrity requires that staff should not place themselves under an obligation that might influence, or be perceived to influence, the conduct of their duties. This means that the receipt of hospitality (or gifts see below) must be subject to clear controls, and that any that is accepted must be declared and recorded. 5.2 Hospitality must not, under any circumstances, be solicited. 5.3 Staff should never accept lavish hospitality. 5.4 Whilst modest hospitality is an accepted courtesy of a business relationship, staff should not accept hospitality, of any kind, which could be interpreted as a way of exerting an improper influence over the way they carry out their duties. 5.5 Examples of hospitality which may be accepted, include: 5.5.1 Invitation to a society or institute dinner or similar function. 5.5.2 Attendance at an event at which there is a genuine need to impart information or represent the Trust in the community. 5.5.3 Attendance at an event which is clearly part of the life of the community or where the Trust should be seen to be represented. 5.5.4 The hospitality arises during attendance at a relevant conference or course, where it is clear that the hospitality is corporate rather than personal. 5.6 Even in the context of acceptable types of hospitality, their frequency and/or scale should not be significantly greater than the NHS, as an employer, would be likely to offer. 7
5.7 Hospitality may also be an issue in relation to sponsorship by external organisations from industry (see later section of this policy for sponsorship issues in general). Travel and subsistence expenses of staff attending suppliers, potential suppliers or third parties in connection with purchases by the Trust should be paid by the Trust unless prior written approval to external funding has been given by the authorised officer (see form SCBP1). 5.8 With the exception of paragraph 5.9, all hospitality offered (even if declined) or received must be notified in writing, by the recipient, to the Trust Secretary on form SBCP1, who will enter the notification into the Trust s Hospitality Register. The register shall be regularly scrutinised by the Audit Committee and published in accordance with Freedom of Information Act requirements. 5.9 Notification should be made as soon as practically possible after the receipt and, if possible, beforehand. If in doubt, staff should always err on the side of making a declaration. 5.10 Staff may accept modest working meals and light refreshments (or more significant hospitality which is clearly integral to a training course etc.) without making any declaration. 5.11 The following examples are intended as a (non exhaustive) illustration of what would be not regarded as acceptable hospitality: 5.11.1 A holiday or weekend in any holiday centre. 5.11.2 Offers of hotel accommodation, or tickets for the theatre, shows, concerts, sporting events etc. 5.11.3 Corporate hospitality events or other similar types of activities. 5.11.4 Use of an external company s flat or hotel suite. 5.11.5 Any form of hospitality which is extended to immediate members of the family. 8
5.12 When a specific, external person or body has a matter currently in issue with the Trust, for example an arbitration arising from a contract, or if the Trust is making purchasing or procurement decisions, common sense dictates that an offer of hospitality be refused, even if, in normal circumstances, it would be regarded as hospitality of an acceptable nature. 5.13 When staff decline hospitality, they should do so in a polite but firm matter and draw the attention of the person making the offer to the existence of this policy and the Bribery Act (2010). If necessary, staff should pay their share of any costs and, where eligible under Trust rules, claim these from the Trust in the usual way. 6. 0 PROVISION OF HOSPITALITY BY THE TRUST OR ITS EMPLOYEES The proposed use of public funds for hospitality and/or entertainment should be considered very carefully. Inappropriate or excessive spending can cause lasting damage to the reputation of the Trust and the NHS. See also section 1.5 regarding the Bribery Act (2010). Hospitality is not the norm when conducting business; it should be provided only when necessary and appropriate. Advice should always be sought from the Trust Secretary or Director of Finance and Procurement in cases of doubt. All expenditure on hospitality provided should be capable of justification to the Trust s internal and external auditors. 7.0 GIFTS 7.1 Personal gifts (of any kind, whatsoever) must not, under any circumstances, be solicited. 7.2 Individual staff must not, under any circumstances, accept money (but see paragraph 7.4 regarding accepting donations for charitable funds). 7.3 In addition, an offer of money from a potential or existing contractor should be firmly refused and reported immediately to the Director of Finance and Procurement or the Trust Secretary. 9
7.4 Proposals by any person (other than a contractor) to make a financial donation to the Trust should be advised on how to make a donation to the Trust s charitable funds. 7.5 In the event that a member of staff is made aware that he or she has been made a beneficiary in a will of a patient or a service user, the employee should report the matter to his/her manager who must discuss it with the employee and the Director of Finance and Procurement or the Trust Secretary. See also GG/CM/033 Patients Making a Will Policy. 7.6 Small, one off, tokens of gratitude from patients, their relatives or carers, of low intrinsic value may be accepted. If in doubt, staff should consult their line manager. However, substantial gifts should be politely declined, quoting this policy. 7.7 The giving of a substantial gift by a patient, relative or carer, can compromise the professional nature of the staff/patient relationship. 7.8 Unsolicited gifts of low intrinsic value (such as calendars, pens and diaries) which have a use in connection with the recipient s work, may be accepted. Other personal gifts should be refused or if this is impossible, should be accepted and immediately handed over to the line manager and a record of the circumstances made and retained by the recipient. 7.9 Staff must not, under any circumstances, accept personal gifts with a significant financial value, or any benefits in kind, such as offers of holiday accommodation. 8 SPONSORSHIP 8.1 NHS bodies work together, and in collaboration with other agencies, to improve the health of the population they serve and the health services provided for that population. 8.2 Collaborative partnerships with industry can have a number of benefits in the context of this obligation. It is important to have a transparent approach about any proposed sponsorship which would benefit the Trust and for the Trust to consider fully the implications of a proposed sponsorship deal before entering into any arrangement. 10
If any such partnership is to work, there must be trust and reasonable contact between the sponsoring company and the NHS. Such relationships, if properly managed, are of mutual benefit to the organisations concerned. 8.3 For the purpose of this policy, commercial sponsorship is defined as including [NHS funding] from an external source, including funding of all, or part of, the costs of a member of staff, NHS research, staff training, pharmaceuticals, equipment, meeting rooms, costs associated with meetings, meals, gifts, hospitality, hotel and transport costs (including trips abroad), provision of free services (speakers), buildings or premises. 8.4 In all these cases, Trust employees must declare sponsorship or any commercial relationship linked to the supply of goods or services on form SBCP 2 and be prepared to be held to account for it. All declarations are entered into a Sponsorship Register, which is regularly scrutinised by the Audit Committee. 8.5 Where such collaborative partnerships involve a pharmaceutical company, the proposed arrangements must also comply fully with the relevant regulations. 8.6 Whatever type of agreement is entered into, a clinician s judgement must always be based upon clinical evidence that the product is the best for their patients. 8.7 Before entering into any sponsorship agreement the Trust will: 8.7.1 Satisfy itself, with reference to information available, that there are no potential irregularities that may affect a company s ability to meet the conditions of the agreement or impact on it in any way, for example checking financial standing by referring to company accounts; 8.7.2 Assess the costs and benefits in relation to alternative options where applicable, and to ensure that the decision making process is transparent and defensible; 11
8.7.3 Ensure that legal and ethical restrictions on the disclosure of confidential patient information, or data derived from such information, are compiled with; 8.7.4 Determine how clinical and financial outcomes will be monitored; 8.7.5 Ensure that the sponsorship agreement has break clauses built in to enable the Trust to terminate the agreement if it becomes clear that it is not providing expected value for money and/or clinical outcomes. 8.8 The Trust will apply the following principles: 8.8.1 Purchasing decisions, including those concerning pharmaceutical and appliances, will always be taken on the basis of best clinical practice and value for money. Such decisions will take into account their impact on other parts of the health care system, for example, products dispensed in hospital which are likely to be required by patients regularly at home. 8.8.2 When the Trust is offered significant discounts on drugs, it will consult the relevant commissioners about possible implications for subsequent prescribing in primary care. 8.8.3 When making purchasing decisions on products which originate from NHS intellectual property, the use of ethical standards will ensure that the decision is based on best clinical practice and not on whether royalties will accrue to an NHS body. 8.8.4 Deals in which sponsorship is linked to the purchase of particular products, or to supply from particular source, will not be allowed, unless as a result of a transparent tender for a defined package of goods and services. 8.8.5 Patient information attracts a legal duty of confidence and is treated as particularly sensitive under Data Protection legislation. Professional codes of conduct also include clear confidentiality requirements. The Trust will assure itself, taking advice when necessary, that sponsorship arrangements are both lawful and meet appropriate ethical standards. 12
8.8.6 Where a sponsorship arrangement permitting access to patient information appears to be legally and ethically sound (for example, where the sponsor is to carry out or support NHS functions, where patients have explicitly consented), a contract will be drawn up which draws attention to obligations of confidentiality, specifies security standards that should be applied, limits use of the information to purposes specified in the contract and makes it clear that the contract will be terminated if the conditions are not met; 8.8.7 Where the major incentive to entering into a sponsorship arrangement is the generation of income rather than other benefits, then the scheme should be properly governed by income generation principles rather than sponsorship arrangements. Such schemes should be managed in accordance with income generation requirements, i.e. they must not interfere with the duties or obligations of the Trust. A memorandum trading account should be kept for all income generation schemes; 8.8.8 As a general rule, sponsorship arrangements involving the Trust will be at a corporate, rather than individual level. 8.8.9 If publications are sponsored by a commercial organisation, that organisation should have no influence over the content of the publication. The company logo can be displayed on the publication, but no advertising or promotional information should be displayed. The publication should contain a disclaimer which states that sponsorship of the publication does not imply that the Trust endorses any of the company s products or services. 8.8.10 All Trust employees should discuss the implications, with their manager, before accepting an invitation to speak at a meeting organised by a pharmaceutical company. The company should have no influence over the content of any presentation made by the Trust employee. It should be made clear that the employee s presence does not imply that the Trust endorses any of the company s products or services. 13
9 FREE OF CHARGE/DONATED GOODS/SERVICES 9.1 Free of charge or donated goods or services may only be accepted in accordance with Standing Financial Instructions. 10 OTHER RELATED ISSUES 10.1 This section reminds staff about other issues, for their attention, in terms of the principles of good business conduct, which are also addressed in other Trust publications. 10.2 Employment Issues: 10.2.1 Staff involved in making appointments should ensure that these are made on the basis of merit alone. It is unlawful to make an appointment based on anything other than the ability of the candidate to undertake the duties of the post. In order to avoid any possible accusation of bias, staff should not be involved in an appointment where they are related to an applicant, or have a close personal relationship outside work with him or her. 10.2.2 Similarly, staff should not be involved in decisions relating to discipline, promotion or pay adjustments, or any other employment matter, for any other employee who is a relative, partner or close personal friend. 10.2.3 Candidates making an application for any appointment with the Trust are required to disclose in writing whether, to their knowledge, they are related to any member of the Trust. Failure to disclose such a relationship shall disqualify a candidate and, if he/she is appointed, shall render him/her liable to immediate dismissal. 10.2.4 Staff are advised not to engage in outside employment which may conflict with their NHS work, or be detrimental to it. This includes engaging in other work when claiming occupational sick pay from the Trust. Staff are required to declare any outside or secondary employment to their line manager in accordance with the Secondary Interests and Employment 14
Policy. Staff are advised to seek advice from their manager if they think a conflict of interest may arise. 10.2.5 Where staff wish, or are asked, to undertake lectures or prepare articles/publications outside of their employment with the Trust, the additional question of individuals receiving fees, allowances or royalties may arise. If an individual has made a contribution to a lecture/publication in his/her own time without using the Trust s resources (for example, stationery, typing, photocopying) then the Trust would view the retention of such fees by the individual as legitimate. In such circumstances, the individual would, of course, be responsible for making an appropriate declaration to the Inland Revenue. Where an individual has contributed to a lecture/publication as a byproduct of his/her normal working activities and/or undertaken the work during office hours utilising the Trust s facilities, the fee would normally fall payable to the Trust. 10.3 Maintaining Confidentiality 10.3.1 All employees of the Trust have a duty to maintain confidentiality of information at all times. As a public body, the Trust recognises the need for openness. However, this should not be confused with a breach of confidentiality. All employees of the Trust must be aware that a breach of confidentiality is potentially a serious disciplinary office that could result in dismissal. 10.3.2 Staff must not disclose anything learned about a patient to anyone not authorised to receive it. 10.3.3 It is important that information about staff should also be regarded as confidential and not disclosed to anyone who is not authorised to receive it, without the prior approval of the employee. 10.3.4 Trust employees may frequently find that, as part of their work, they have access to confidential reports and information concerning the business of the Trust and other NHS organisations. The fact that they do have access to this information places a responsibility on them to honour the trust placed in them by the nature of their employment. In addition, Commercial in Confidence information must not be disclosed 15
to any unauthorised person or organisation, since its disclosure would prejudice the principle of a purchasing system based on competition. 10.4 Tendering and Contracting Procedures 10.4.1 Staff involved in tendering and purchasing are perhaps more vulnerable than other colleagues to accusations of impropriety. Even the appearance of impropriety can be highly damaging to the employee and to the Trust. It is vital that all purchasing decisions are made on an objective basis, and seen to be so. Please refer Standing Orders and detailed Tendering and Contract Procedures Chapters 3 and 6 of the Trust s Corporate Governance Framework 10.5 A short guide for staff is appended to the policy. 11 EQUALITY AND DIVERSITY STATEMENT All patients, employees and members of the public should be treated fairly and with respect, regardless of age, disability, gender, marital status, membership or non membership of a trade union, race, religion, domestic circumstances, sexual orientation, ethnic or national origin, social & employment status, HIV status, or gender re assignment 16
11.1 EQUALITY IMPACT ASSESSMENT STATEMENT NUH is committed to ensuring that none of its policies, procedures, services, projects or functions discriminate unlawfully. In order to ensure this commitment all policies, procedures, services, projects or functions will undergo an equality impact assessment. Reviews of equality impact assessments will be conducted inline with the review of the policy, procedure, service, project or function 17
12 WE ARE HERE FOR YOU MISSION STATEMENT: This Trust is committed to providing the highest quality of care to our patients, so we can pledge to them that we are here for you. This Trust supports a patient centred culture of continuous improvement delivered by our staff. The Trust established the Values and Behaviours programme to enable Nottingham University Hospitals to continue to improve patient safety, outcomes and experiences. The set of twelve agreed values and behaviours explicitly describe to employees the required way of working and behaving, both to patients and each other, which would enable patients to have clear expectations as to their experience of our services. 13 REFERENCES/ASSOCIATED POLICIES AND PROCEDURES HSG 93/5 Standards of Business Conduct for NHS Staff The Codes of Conduct and Accountability for NHS Boards [April 1994] The Code of Conduct for NHS Managers [October 2002] Bribery Act (2010) Fraud and Corruption Policy Whistle Blowing Policy Non Medical and Dental Staff Secondary Interests and Employment Policy Medical Staff Secondary Interests and Employment Policy 18
Appendix 1 SHORT GUIDE FOR STAFF DO: Make sure you understand the rules and guidance on standards of conduct, and consult your manager if you are not sure. Make sure 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: 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? Do I have access to information with which I could influence purchasing decisions? Could my outside interests be in any way detrimental to the NHS or patients interests? Do I have any other reasons to think I may be risking a conflict of interest? If still unsure declare it on form DOI 2 (attached to this policy) Observe the Trust s Standing Order rules and Tendering and Contracting Procedures if you are involved in any way with the purchase of goods and services. Obtain your manager s permission before accepting any commercial sponsorship. DO NOT: Accept any inducements, personal gifts (other than items of nominal value or of no personal nature) or inappropriate hospitality. 19
Abuse your 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. 20
APPENDIX 2 Equality Impact Assessment Report Outline Remember that your EIA report should demonstrate what you do (or will do) to make sure that your service/policy is accessible to different people and communities, not just that it can, in theory, be used by anyone. A one size fits all approach can often inadvertently exclude. 1. Name of Policy or Service Standards of Business Conduct Policy 2. Responsible Manager Trust Secretary 3. Name of Person Completing Assessment Deputy Trust Secretary 4. Date EIA Completed 1 February 2011 5. Description and Aims of Policy/Service (Including Relevance to Equalities) The Trust will be and must be seen to be impartial and honest in the conduct of its business in accordance with sound corporate governance principles and the public service values of accountability, probity and openness. The Trust requires high standards of corporate and personal conduct of its staff based on the recognition that patients come first. The purpose of this policy and procedure is to describe the principles to be followed by each member of staff to ensure that this is the case. The policy and procedure is intended to: 21
Make all staff aware of the Trust s expectations of their conduct and behaviour Give staff the knowledge and information they need to protect themselves from situations that may draw criticism or even disciplinary action Enable members of staff to express their concerns in an open and unthreatening way. 6. Brief Summary of Research And Relevant Data HSG 93/5 Standards of Business Conduct for NHS Staff The Codes of Conduct and Accountability for NHS Boards [April 1994] The Code of Conduct for NHS Managers [October 2002] Bribery Act (2010) Policy on Fraud and Corruption Whistleblowing Policy Non Medical and Dental Staff Secondary Interests and Employment Policy Medical Staff Secondary Interests and Employment Policy 7. Methods and Outcome of Consultation Directors Group Audit Committee Local Counter Fraud Service NUH Staff Side 22
8. Results of Initial Screening or Full Equality Impact Assessment: EQUALITY GROUP AGE GENDER RACE SEXUAL ORIENTATION RELIGION OR BELIEF DISABILITY DIGNITY AND HUMAN RIGHTS WORKING PATTERNS SOCIAL DEPRIVATION ASSESSMENT OF IMPACT NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED NO IMPACT IDENTIFIED 9. Decisions and/or Recommendations (Including Supporting Rationale) Following on from the initial screening, this policy does not have an impact on any of the above strands of equality as the policy clearly states in the introduction that the policy is relating to the conduct of the Trust s staff in relation to hospitality, expenses, gifts, sponsorship etc. 10. Equality Action Plan (If Required) N/A 23
11. Monitoring and Review Arrangements (Including Date Of Next Full Review) This policy is to be reviewed in accordance with Trust policy. 24
Appendix 3 CERTIFICATION OF EMPLOYEE AWARENESS DOCUMENT TITLE STANDARDS OF BUSINESS CONDUCT (CHAPTER 9 CORPORATE GOVERNANCE FRAMEWORK) VERSION 6 (NUMBER) VERSION (DATE) APRIL 2011 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. 25