Policy and Guidance for the Declaration and Registration of Interests Receipt of Hospitality and Gifts Outside Employment General Policy No. 7 Version: 2 Ratified by: Wirral Community NHS Trust Board Date ratified: June 2013 Name of originator/author: Trust Board Secretary Name of responsible committee/individual: Quality & Governance Committee Date issued: July 2013 Review date: June 2015 Target audience: All Wirral Community NHS Trust staff UNLESS THIS VERSION HAS BEEN TAKEN DIRECTLY FROM THE TRUST WEB SITE THERE IS NO ASSURANCE THIS IS THE CORRECT VERSION
Review and Amendment Log Version No Type of Change Date Description of change 1 New Policy April 2011 New Policy 2 Review June 2013 Review 2/16
1. Introduction 1.1 The Standing Orders (SOs) of Wirral Community NHS Trust which were approved by the Board at its meeting on 1 April 2011, form part of the regulatory framework for the business conduct of the organisation. 1.2 The intention of this framework is to: Protect the Trust s interests: and Protect members of nominated groups and staff from any possible accusation that they acted less than properly. 1.3 All Board members, members of Board Committees and all staff should be aware of the existence of this policy document (and where necessary be familiar with the detailed provisions). 1.4 This policy is intended to provide advice to Trust staff who, in the course of their day to day work or as a result of their employment, either receive offers of gifts and hospitality or provide gifts and hospitality to others on behalf of the Trust. 2. Declaration of Interests and Receipt of Hospitality and Gifts 2.1 Standing Order section 1, chapter 7, paragraph 7.1 specifically covers the elements relating to Declaration, while the Standards of Business Conduct for NHS Staff document reinforces the responsibility of all staff to be aware of their responsibility. The Code of Conduct for NHS Boards requires the Board to set an example of good practice. The use of NHS funds for hospitality and entertainment should be capable of justification as reasonable in the light of general practice in the public sector. The use of such funds is open to be challenged by both External and Internal Audit. 3. Register of Interests 3.1 In accordance with Standing Order, section 1, chapter 7, paragraph 7.1, the Chief Executive will ensure that a Register is held to record formally the declaration of interests made by members of: The Trust Board Board Committees Staff Close family/relatives of the above members 3.2 The Register will be updated annually but members of the above groups and staff need to record any relevant interest as and when they occur i.e. do not wait for next annual update. 3/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
3.3 The Register, while being available for the Trust s external and internal auditors, will be made available for inspection by members of the public. The Trust will undertake a review of all entries in the Register before making available for public inspection. In accordance with Standing Order section 1, chapter 7, paragraph 7.1, the Trust will make arrangements to publicise both the existence of the Register and arrangements for viewing the Register (Trust website and Trust Annual Report). 4. Declaring Interests Members of the above groups are required to declare interests, using the form in Appendix 1, which are relevant and material to their membership. Examples of interests, which are regarded as relevant and material, are: 4.1 Remuneration A description of : (a) (b) (c) (d) (e) Remuneration received by virtue of being:- i. Employed or self employed; ii. The holder of an office; iii. The Director of an undertaking; iv. A partner in a firm; and v. Involved in undertaking a trade, profession, vocation or any other work Any allowance received in relation to the membership of any other organisation; The name, and registered name if different, and nature of any applicable employer, self-employment, business, undertaking or organisation The nature and regularity of the work that is remunerated; and The name of the directorship and the application of the applicable business 4.2 Related Undertakings A description of a Directorship that is not itself remunerated, but is of a company or undertaking which is a parent or subsidiary of a company or undertaking which pays remuneration. 4.3 Contracts A description of the nature and duration, but not the price, of a contract which is not fully implemented where:- (a) goods and services are to be provided to, or works are to be executed for, Wirral Community NHS Trust; and 4/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
(b) Any responsible person has a direct interest, or an indirect interest as a partner, owner or shareholder, Director or officer of a business or undertaking, in such goods and services. 4.4 Houses, Land and Buildings A description of any rights of ownership or other interests that may be significant to, or relevant to, or bear upon, the work or operation of Wirral Community NHS Trust. 4.5 Shares and Securities A description of, but not the value of, shares and securities in a company, undertaking or organisation that may be significant to, of relevance to, or bear upon, the work or operation of Wirral Community NHS Trust. 4.6 Non-Financial Interests A description of such interests as may be significant to, of relevance to, or bear upon, the work or operation of Wirral Community NHS Trust, including, without prejudice to that generality, membership of or office in: (a) other public bodies; (b) clubs, societies and organisations; (c) Trade Unions; and (d) voluntary organisations. 4.7 Hospitality Hospitality offered by Wirral Community NHS Trust (WCT) to WCT employees Provision of hospitality by WCT to employees of WCT would not normally be appropriate except in the case of working lunches in the course of meetings or workshops. However, there are occasions when, in the interests of good management, some expenditure would be appropriate even though there is no involvement of visitors from outside WCT. For example, an informal gathering or time out designed for team development or as part of a similar programme. The merits and benefits of each case must be considered and all instances approved by the relevant Head of Service and Director. The use of NHS monies for hospitality and entertainment at conferences and seminars should be carefully considered to be able to demonstrate good value in incurring public expenditure. 5/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
Refreshments should NOT be extended to spouses of staff unless the circumstances fully justify this and it is authorised by the Chief Executive following agreement with the relevant Director. Hospitality offered to WCT employees by external organisations Modest hospitality provided it is normal and reasonable in the circumstances (e.g. lunches in the course of working visits) may be acceptable. However, it should be similar to the scale of hospitality, which the NHS, as an employer, would be likely to offer. Staff should decline all other offers of hospitality or entertainment. Where there are exceptional circumstances or if any doubt exists, they should seek the advice of the Chief Executive/Directorate Head. Irrespective of whether hospitality is accepted all offers of hospitality should be declared. Staff must not allow themselves to be put in a position that might be deemed by others to have been influential in making a business decision as a consequence of accepting hospitality. Where gifts/prizes are donated by external organisations for competition purposes these should be logged and placed on the declaration form. An indication should be provided on how the gifts/prizes are distributed and no member of staff is to be a recipient of any of the gifts/prizes donated. The declaration form and any supporting documentation are to be forwarded to the Trust Board Secretary for inclusion in the gifts and hospitality register. Hospitality for visitors outside Wirral Community NHS Trust (WCT) The provision of hospitality by employees of Wirral Community NHS Trust to representatives of other organisations should be modest and appropriate to the circumstances. Any hospitality offered must be secondary to the purpose of the meeting and the level must be appropriate and in proportion to the event. The costs involved must not exceed the level which the recipients would normally adopt when paying for themselves at such an event or that which could be reciprocated by the NHS. 4.8 Drinks at meetings The Directorate Head should consider carefully whether provision of beverages (i.e. tea, coffee) is justifiable. Factors to be taken into account include the likely length of the meeting and the distance travelled by those visitors attending the meeting. 6/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
5. Gifts As the NHS operates a no-alcohol policy, only non-alcoholic drinks should be considered. 4.9 Working lunches Working lunches should be considered when a meeting takes place over the lunchtime period (12pm 1pm) and some of those attending are visitors. Even then, consideration should be given as to whether the provision of a lunch is appropriate. When considered necessary, the lunch should be limited to sandwiches or a modest buffet type meal and normally the in-house caterer or similar should be used. Modest hospitality ONLY should be provided other than in exceptional services approved by the Director or Chief Executive where necessary. Working lunches should not be provided for meetings that are due to finish by 1.00pm or for meetings that are due to start after 1.00pm. Working lunches must be authorised by the appropriate Head of Service. The person responsible for ordering refreshments is responsible for making sure that the number ordered is as near as possible to the number attending the meeting. Any invitees who have tendered their apologies should be omitted from the numbers given for hospitality. Inducements of any kind offered by contractors or other individuals/organisations external to the Authority may not in any way be connected with the performance of duties so as to constitute an offence under the Prevention of Corruption, and Bribery Acts. Any casual gifts received will be given to the person for whom they are intended. That person should acknowledge receipt of the gift and inform the donor that the item cannot be received personally but will be entered into a raffle for the benefit of all staff within the Trust. Any such gifts should be deposited with the Chief Executive s Personal Assistant. Articles of low intrinsic value (up to a maximum value of 15), such as diaries, calendars and small tokens of gratitude from patients or relatives, need not necessarily be refused. Items exceeding 15 are to be declared using the form in Appendix 2 and the completed form is to be sent to the Corporate Affairs Department for inclusion in the register. 7/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
Should any doubt exist, however, the advice of the Directorate Head and/or the Director of Finance should be obtained. 6. Outside Employment 6.1 General Principles In accordance with the Standards of Business Conduct for NHS (included within Standing Orders): NHS staff are advised not to engage in outside employment which may conflict with their NHS work, or be detrimental to it. Staff are advised to inform the Trust if they wish to undertake secondary employment through their appropriate Service Lead, Divisional Manager or Service Lead The Trust will be responsible for judging whether the interests of patients could be harmed by a member of staff undertaking such secondary employment. 6.2 Registering Outside Employment Any staff member engaged in outside employment/private practice must declare the details to their nominated Line Manager/Service Lead with immediate effect using the Outside Employment/Private Practice Form in Appendix 3 The Line Manager/Service Lead will return completed forms to the Employment Services Team in Human Resources Human Resources will maintain a database of outside employment declarations. Any concerns raised by the Line Managers/Service Leads will be reviewed with the HR Business Partner The database will be monitored annually and Line Managers/Service Leads will be asked to confirm accuracy of information held. The Education and Workforce Committee will receive an annual status report. New Employees will be asked to complete the Outside Employment/ Private Practice Form as part of their NHS employment check process and return to Human Resources before commencement of employment. It is possible that should there be a conflict of interest with an employee s outside employment/private practice that they would not be able to continue in both roles. 8/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
7. Further Guidance The interests that are declared should be declared in the minutes of the relevant body and subsequently recorded in the Trust s Annual Report. Standing Order 7 requires that interests of spouses should also be recorded. It is good practice to extend this requirement to close relatives also. If any member of these bodies has any doubt about the relevance of an interest, he/she should discuss the matter with the Chairman, Chief Executive or Director of Finance, as appropriate. If there is any doubt as to whether to record an interest, it is recommended to record it anyway. It should be noted that this policy is intended to protect the Trust itself, those who serve on its Committees/working groups and members of staff employed by it. The Register will be held by the Corporate Affairs Department in Old Market House (Tel: (0151) 651 3905). 8. Equality Impact Assessment In line with the Trust s Equality Scheme, each procedural document should be screened using the Policy Equality Impact Assessment Screening Tool by the manager responsible for its development, to consider whether there is an equality dimension or whether it is applicable to the Trust s duty to promote equality. The equality screening process and any wider impact assessment should be forwarded with the policy when approved to the Compliance Officer. As part of its development, this policy and its impact on equality have been reviewed by the Trust Board Secretary, as described above. The purpose of the assessment is to minimise and if possible remove any disproportionate impact on employees on the grounds of race, sex, disability, age, sexual orientation or religious belief. No detriment was identified. 9. Monitoring Compliance with this Policy Please see Appendix 5 for Monitoring Tool for this Policy 9/16 Policy and Guidance for the Declaration and Registration of Interests Version 2
Appendix 1 Register of Interest 2012/2013 STAFF MEMBER/CLOSE FAMILY/RELATIVES (Please delete if not applicable) Please indicate below to which Group you belong by ticking the relevant box(es): Board/ Board Committees Staff Member Other Please state Name (Please Print) Designation: Date of Declaration: Member s Signature: Line Manager (Please Print) Line Manager s Signature: Date: Register of Interest Nature of Interest Details of Relevant Organisation Effective Date Commencement of Interest Length of appointment (where applicable) Please complete the above form and return it to Corporate Affairs, 2 nd Floor, West Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL. Tel: 0151 514 2888 NB: IF THERE ARE NO INTERESTS TO RECORD PLEASE INDICATE A NIL RETURN 10/16
Appendix 2 Register of Gifts and Hospitality Please indicate below to which Group you belong by ticking the relevant box(es): Board/ Board Committees Staff Member Other Please state Name (Please Print) Designation: Date of Declaration: Member s Signature: Line Manager (Please Print) Line Manager s Signature: Date: Register of Gifts and Hospitality Item of Hospitality/ Gift (Brief Description) Accepted Yes/No Value Event Venue Date Name of Donor Details of any work donor is interested in securing at the Trust Please complete the above form and return it to Corporate Affairs, 2 nd Floor, West Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL. Tel: 0151 514 2888 NB: IF THERE ARE NO INTERESTS TO RECORD PLEASE INDICATE A NIL RETURN 11/16
APPENDIX 3 WIRRAL COMMUNITY NHS TRUST DECLARATION OF OUTSIDE WORK SECTION 1 In addition to your work with Wirral Community NHS Trust, do you undertake work outside of the Trust e.g. paid work/ voluntary work? YES NO Should you undertake any outside work during your employment with Wirral Community NHS Trust you must declare the details to your Line Manager/Service Lead and complete this form. Details of Outside Work Name: Job Title: Band/ Payscale: Service/ Department: Telephone Contact Details: Hours worked per week with Wirral Community NHS Trust: Please outline your work pattern within Wirral Community NHS Trust (e.g. days worked, shift pattern): Other Employers Name: Nature/ Type of Business: No. of hours worked per week in other employment: Please outline your work pattern in other employment (e.g. days worked, shift pattern): Will you be working more than 48 hours per week in total or more than 12 hours in any one 24 hour period as a result of your combined employment? Any other relevant information you wish to disclose: YES NO In regard to the Working Time Directive (WTD) please see additional forms to be completed within the policy. Also see link - http://www.legislation.gov.uk/uksi/1998/1833/contents/made SECTION 2 Declaration & Authorisation To be completed by Employee Name: Signature: Date: To be completed by Line Manager/ Service Lead Do you envisage a conflict of interest between outside work and the employee s employment with Wirral Community NHS Trust? Name of Line manager/ Service Lead: Signature: Date: YES NO Please complete and return this form to a member of the Employment Services Team Human Resources, Wirral Community NHS Trust, 2nd Floor, East Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL If you require assistance completing this form please contact a member of the team on 0151 514 2888 12/16
APPENDIX 3 WORKING TIME DIRECTIVE (WTD) If you will be working more than 48 hours per week in total or more than 12 hours in any one 24 hour period as a result of your combined employment please complete this form and accompanying form if applicable on Opt Out / Exemption of the Working Time Directive. In regard to the Working Time Directive (see link) for details that provides information on this. http://www.legislation.gov.uk/uksi/1998/1833/contents/made Please provide name: Job Title: Telephone Contact Details Band: Service / Department: Line Manager / Service Lead: Number of hours worked per week within Wirral Community NHS Trust Please outline your work pattern within Wirral Community NHS Trust (e.g. days worked, shift pattern) Other Employer s Name: Nature/Type of Business: Number of hours worked per week in other employment: Please outline your work pattern in other employment: (e.g. days worked, shift pattern) Any other relevant Information you wish to disclose: Signature: Date... Name of Line Manager/Service Lead Signature Date Please send the completed form to the Employment Service Team Human Resources, Wirral Community NHS Trust, 2nd Floor, East Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL 13/16
APPENDIX 3 WORKING TIME DIRECTIVE (WTD) EXEMPTION OPT OUT CLAUSE I agree that I may work for more than an average of 48 hours per week. (print name) If I change my mind or my circumstances change I will provide one week s notice by notifying my Employer (Wirral Community NHS Trust) in writing to the end of this agreement. Name (please print) Job title Department Signature date Line Manager/Service Lead Signature date Please send the completed form to the Employment Service Team Human Resources, Wirral Community NHS Trust, 2nd Floor, East Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL 14/16
Appendix 4 FLOWCHART FOR OUTSIDE EMPLOYMENT Employee works outside of the Trust in voluntary/ paid employment Complete Outside Employment Form Line Manager/Service Lead reviews annually to identify any conflict of interest or breach of working time directive Issues identified No issues identified Divisional Manager reviews and if necessary discusses with HR Business Partners and identifies way forward Outside Employment Form filed in staff s personnel folder 15/16
MONITORING TOOL Minimum requirement to be monitored How the Board members declare interests How staff members register outside employment Actions for Line Managers/Service Leads to take if staff members are engaged in outside employment which may pose a conflict of interest Outside employment database to be maintained by Human Resources and monitored annually by Line Managers/Service Leads for accuracy Process for monitoring Audit Audit Audit Audit Responsibility for completion Trust Board Secretary Trust Board Secretary HR and Line Managers/Service Leads HR and Line Managers/Service Leads Frequency of Monitoring Once in a financial year Once in a financial year Once in a financial year Once in a financial year Responsibility for Development of Action Plans Trust Board Secretary Trust Board Secretary HR HR Responsibility for Review of Results / Outcomes Audit Committee Audit Committee Education and Workforce Committee Audit Committee Education and Workforce Committee Audit Committee 16/16