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Standards of Business Conduct for

CCG Staff

Version No

Author Date Comments Approved by

V1 Head of Governance and Engagement

27-1-16 Amendments throughout document to reflect Fraud, Bribery and Corruption Standards for Commissioners 15-16 and specifically at paragraph 11

Audit Committee to review

V1 17-3-16 APPROVED Governing Body

V2.0 Head of Governance and Engagement

17-11-16 Amendments to reflect compliance with statutory guidance on conflicts of interest: Para 7.2 and 7.3 definitions of gift and modest hospitality Para 9 definitions of interests amended Para 11 reference to Conflicts of Interest Guardian Appendix 1 Guidance template appended for declaration of gifts and hospitality

V2.0 17-11-16 To be APPROVED Governing Body

RCCG/GB/165 ii.

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Reader information

Reference GOV005

Directorate Governance

Version 1.0

Title Standards of Business Conduct for CCG Staff

Author/Nominated Lead Head of Governance and Engagement Acknowledgement to Rushcliffe CCG as original authors

Approval Date 17-11-16

Approving Committee Governing Body

Review Date November 2017

Groups/staff Consulted All Staff, Lay Members

Target audience All CCG Staff including temporary and contract staff, Practice

Members, Lay Members and Associated Committee /Group

Members

Associated documents CCG Constitution

CCG Standing Orders and Standing Financial Instructions

ABPI Code of Professional Conduct relating to hospitality/gifts from

pharmaceutical/external industry

CCG Conflicts of Interest Policy

CCG Fraud, Bribery & Corruption Policy

CCG Raising Concerns at Work (Whistleblowing) Policy

Standards of Business Conduct for NHS Staff (HSG (93) 5)

Code of Conduct and Accountability for NHS Boards

Code of Conduct for NHS Managers

Institute of Purchasing and Supply Ethical Standards for the NHS

Superseded documents Gifts and Hospitality Policy – February 2014

Sponsoring Director Chief Officer

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Contents

1. Summary ................................................................................................................... 4

2. Introduction .............................................................................................................. 5

3. Purpose ..................................................................................................................... 5

4. Scope ........................................................................................................................ 6

5. Definitions ................................................................................................................. 6

6. Roles and Responsibilities ...................................................................................... 7

7. The Guidance in Practice ......................................................................................... 8

7.1. Overriding Principle ............................................................................................. 8

7.2. Acceptance of Gifts ............................................................................................. 8

7.3. Acceptance of Hospitality .................................................................................... 9

7.4. Provision of Hospitality by the CCG or its Employees .......................................... 9

7.5. Commercial Sponsorship .................................................................................. 10

7.6. Payment for Speaking at Meetings/Conferences ............................................... 11

7.7. Placing of Orders and Contracts ........................................................................ 11

7.8. Private Transactions .......................................................................................... 12

7.9. Employees’ Outside Employment ...................................................................... 12

7.10. Rewards for Initiative ..................................................................................... 12

7.11. Employment Issues........................................................................................ 12

8. Recording Gifts, Hospitality and Sponsorship ..................................................... 13

9. Conflicts of Interest ................................................................................................ 13

9.1. Declarations of Interest ...................................................................................... 15

10. Confidentiality ..................................................................................................... 16

11. Reporting Bribery, Corruption and Non-compliance with this Policy ............. 16

12. Monitoring Compliance and Effectiveness of the Policy ................................. 16

Annexes ......................................................................................................................... 18

Annex 1 – Short Guide for Staff – Guidance on the Standards for Business Conduct .. 18

Annex 2 – The Nolan Principles on Standards in Public Life ........................................ 19

Annex 3 – Extract from the Medicines (Advertising Amendments) Regulations 2005

Inducements and Hospitality ........................................................................................ 20

Annex 4 – Institute of Purchasing and Supply (IPS) – Ethical Code ............................. 21

Appendices ........................................................................... Error! Bookmark not defined.

Appendix 1 – Declaration Form in relation to Gifts, Sponsorship or Hospitality from Third

Parties Offered ............................................................................................................. 23

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1. Summary

It is the responsibility of all NHS staff to ensure that they are not placed in a position which

risks, or appears to risk, conflict between their private interest and their NHS duties. Staff

should understand that failure to follow this policy may damage NHS Rushcliffe Clinical

Commissioning Group and so may be viewed as a disciplinary matter. Staff should also be

aware of, and adhere to, their own professional codes of conduct where applicable.

This policy must be read in conjunction with the CCG’s Conflicts of Interest Policy. Whilst

this policy will make reference to the importance of having systems and process in place to

manage conflicts of interest within the CCG, the detailed guidance and procedures to be

followed are contained within the Conflicts of Interest Policy.

Declarations of Interest and the Acceptance of Gifts and Hospitality

Staff should declare any actual or perceived conflicts of interest in accordance with the

CCG’s Conflict of Interest Policy.

Gifts must not under any circumstances be solicited. Unsolicited gifts of low intrinsic value

which have a use in connection with the recipients work, such as calendars, pens and

diaries, may be accepted. Other personal gifts should be refused.

Hospitality must not, under any circumstances, be solicited. 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 the receipt of hospitality or

gifts must be subject to clear controls, and that any that is accepted must be declared and

recorded.

Whilst modest hospitality is an accepted courtesy of a business relationship, staff should not

accept hospitality which could be interpreted as a way of exerting an improper influence over

the way they carry out their duties.

Commercial Sponsorship

It is important to have a transparent approach to any sponsorship proposed to the CCG and

for the CCG to consider fully the implications of a proposed sponsorship deal before entering

into any arrangement. If any such partnership is to work, there must be trust and reasonable

contact between the sponsoring company and the NHS.

For the purposes of this policy, commercial sponsorship is defined as:

“Funding provided to the CCG from an external non-NHS source for any purpose,

including but not restricted to:- 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 (e.g.

speakers), building or premises.”

In all the cases stated in the definition above, the CCG and its employees must publicly

declare sponsorship (including the sponsorship of meetings through the provision of lunch)

or any commercial relationship linked to the supply of goods or services and be prepared to

be held to account for it.

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2. Introduction

The purpose of this policy it to ensure exemplary standards of business conduct are adhered

to, as public servants, by Governing Body members, committee and sub-committee

members and employees of Rushcliffe Clinical Commissioning Group, hereafter referred to

as “the CCG”, as well as individuals contracted to work on behalf of the CCG or otherwise

providing services or facilities to the CCG such as those within commissioning support units.

By reading and understanding this policy, individuals will be aware of their own

responsibilities as well as the CCGs’ responsibilities as a corporate body, including

constituent member practices. The policy also sets out the responsibilities of the CCG as an

employer, especially in light of the individual and corporate obligations regarding fraud,

bribery and corruption set out in the Bribery Act 2010.

The Bribery Act (2010) came into effect from the 1 July 2011. The act created five basic

offences:

Bribing another person with the intention of inducing that person to perform a

relevant function or activity or to reward that person for doing so.

Accepting a bribe with the intention that a relevant function or activity should be

performed improperly as a result.

Bribing a public official.

A director, manager or officer of a commercial organisation allowing or turning a blind

eye to bribery within the organisation (CCGs would be considered a commercial

organisation in this sense)

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 is had adequate procedures in place to prevent bribery.

Importantly, this policy draws attention to the consequences of non-compliance with its

requirements which may include disciplinary action and/or criminal prosecution. All

individuals within healthcare organisations are capable of being prosecuted for taking 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 10 years.

This policy must be read in conjunction with the existing CCG Conflicts of Interest Policy.

Whilst this policy will make reference to importance of having systems and process in place

to manage conflicts of interest within the CCG, the detailed guidance and procedures to be

followed are contained within the Conflicts of Interest Policy.

3. Purpose

This policy is intended to:

Make all staff aware of the CCG’s expectations of their conduct and behaviour

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Give staff the knowledge that they need to protect themselves from situations that may draw criticism or disciplinary and/or criminal action

Enable members of staff to express their concerns in an open and unthreatening way.

This policy sets out the arrangements for all staff in relation to their conduct inside work, and

where this has a bearing on their position within the CCG, outside of work.

4. Scope

This policy applies to all CCG staff (permanent, bank, agency, full-time and part-time),

including independent and lay members, Governing Body members and Committee

members and all references to ‘staff’ in this document shall be construed accordingly.

This policy covers the issues of declarations of conflicts of interest arising from the giving

and receipt of gifts and hospitality, educational and training events, speaking arrangements,

commercial sponsorship, contracting, procurement and intellectual property rights.

5. Definitions

Accountability Means that everything done by those who work in the NHS

must be able to stand the test of parliamentary scrutiny,

public judgements on propriety and professional codes of

conduct.

Bribery Means inducement for an action which is illegal, unethical or

a breach of trust. Inducements can take the form of gifts,

loans, fees, rewards or other privileges.

Corruption Means the offering or acceptance of inducements, gifts or

favours, payments or benefits in kind which may influence

the improper action of any person.

Openness Means that there should be sufficient transparency about

NHS activities to promote confidence between the CCG and

its staff, its patients and the public.

Probity Means that there should be an absolute standard of honesty

in dealing with the assets of the NHS. Integrity should be the

hallmark of all personal conduct in decisions affecting

patients, staff and suppliers, and in the use of information

acquired in the course of NHS duties.

Gifts of Low Intrinsic Value Items of low monetary value such as diaries, pens and

calendars.

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6. Roles and Responsibilities

Accountable Officer The Accountable Officer has overall responsibility for the

effective implementation and operation of this policy.

Governing Body The Governing Body must ratify the Standards of Business

Conduct for CCG Staff.

Head of Governance and

Engagement

The Head of Governance and Engagement is the author and

lead officer in ensuring the effective implementation of this

policy, with specific responsibilities for registers of interest

declarations, gifts and hospitality and sponsorship.

Executive Directors and

Senior Management

Approve sponsorship proposals relating to their respective

teams. Proposals that are sensitive or for significant sums of

money (£5k plus) should be approved at the Senior

Management Team meeting.

Member Practices, Governing Body and Committee/Sub-Committee members and individuals acting on behalf of the CCG

Governing Body, Committee and Sub-Committee members

and individuals acting on behalf of the CCGs (and their

constituent member practices), must act in accordance with

this policy in circumstances whether they are employed fully

by the CCG, hold appointments with the CCG, are employed

on a sessional basis or an honorary contract, or provide

services under a service level agreement with the CCG.

Members Practices and individuals of those Practices acting

on their behalf in the exercise of the CCG’s commissioning

functions must act in accordance with this policy.

Line Managers Line Managers must ensure their staff adhere to this policy

and in particular follow the procedures for declarations of

interests, gifts and hospitality and sponsorship.

All Staff It is the responsibility of all staff to ensure that they are not

placed in a position which risks, or appears to risk, conflict

between their private interests and their NHS duties. This

primary responsibility applies and has particular relevance

to:

Those who commit resources directly e.g. ordering of

goods or services;

Those who do so indirectly;

Those who make decisions that may benefit

themselves, their relatives or colleagues.

Further, all NHS staff are expected to:

Ensure that the interests of patients remain

paramount at all times;

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Are impartial and honest in the conduct of their

official business;

Use public funds entrusted to them to the best

advantage of the service, always ensuring value for

money;

Do not abuse their official position for personal gain

or to benefit family or friends;

Do not seek to further private business or other

interests in the course of their official duties;

Be aware that it is both a serious criminal offence

(Bribery Act 2010) and gross misconduct to act in a

corrupt manner.

Staff should understand that failure to follow this policy may

damage the CCG and its work and so may be viewed as a

disciplinary matter. Staff should be aware of, and adhere to,

their own professional codes of conduct where applicable.

7. The Guidance in Practice

7.1. Overriding Principle

Employees of the CCG, individuals of Member Practices, Governing Body and Committee

members and individuals acting on behalf of the CCG must not accept any fee or reward for

work done whilst on CCG duty other than that agreed under the terms and conditions of

employment. As a general rule, employees should not accept gifts and hospitality arising

from their employment or appointment with the CCG, except where these are of a token

nature only, in which case employees should inform their manager.

This includes gifts and hospitality offered by suppliers and potential suppliers of goods and

services to the CCG, and any participation in official and social events either within or

outside normal working hours.

Any offers of gifts, hospitality or sponsorship shall be recorded in accordance with section 8

of this policy.

7.2. Acceptance of Gifts

A ‘gift’ is defined as any item of cash or goods, or any service, which is provided for personal

benefit, free of charge or at less than its commercial value.

Personal gifts of any kind whatsoever must not, under any circumstances, be solicited.

Individual staff must not, under any circumstances, accept money. In addition, an offer of

money from a potential or existing contractor should be firmly refused and reported

immediately to the Head of Governance and Engagement.

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Small one off tokens of gratitude from patients, of low intrinsic value, may be accepted, and

declared using the form found at Appendix 1. If in doubt, staff should consult their line

manager. However, substantial gifts should be politely declined, quoting this policy.

Unsolicited gifts of low intrinsic value (less than £10) such as calendars, pens and diaries

which have a use in connection with the recipients work may be accepted. Other personal

gifts should be refused.

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.

7.3. Acceptance of Hospitality

Hospitality must not, under any circumstances, be solicited.

Staff should never accept lavish hospitality. The level of subsistence offered must be

appropriate and not out of proportion to the occasion. The costs involved must not exceed

that level which the recipients would normally adopt when paying for themselves.

Whilst modest hospitality (below £25) is an accepted courtesy of a business relationship,

staff should not accept hospitality, or any kind, that can be interpreted as a way of exerting

an improper influence over the way they carry out their duties.

Examples of hospitality which may be accepted included:

Invitation to a society or institute dinner or similar function

Attendance at an event at which there is a genuine need to impart information or

represent the CCG in the community

Attendance at an event which is clearly part of the life of the community or where the

CCG should be seen to be represented

The hospitality arises during attendance at a relevant conference or course, where it

is clear that the hospitality is corporate rather than personal.

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.

All other offers of hospitality or entertainment e.g. such as theatre or concert tickets, foreign

travel and accommodation etc. should be politely declined. In cases of doubt, advice should

be sought form the line manager or the Head of Governance and Engagement.

Hospitality offered or received must be notified in writing to the Head of Governance and

Engagement using the form attached at Appendix 1, who will enter the notification into the

CCG’s hospitality register. The register shall be routinely published as described in

paragraph 12.

7.4. Provision of Hospitality by the CCG 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 CCG and the NHS. Hospitality is not the ‘norm’ when conducting business;

it should be provided only when necessary and appropriate. Advice should always be sought

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in cases of doubt. All expenditure on hospitality provided should be capable of justification to

the CCG’s internal and external auditors.

7.5. Commercial Sponsorship

“The New NHS: Modern and Dependable” placed an obligation on NHS bodies to work

together, and in collaboration with other agencies, to improve the health of the population

they serve and the health service of the population.

Collaborative partnerships with industry can have a number of benefits in the context of this

obligation. It is important to have a transparent approach to any sponsorship proposed to the

CCG and for the CCG to consider fully the implications of a proposed sponsorship deal

before entering into any arrangement. 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.

For the purposes 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”.

In all these cases, the CCG and its employees must publicly declare sponsorship (including

the sponsorship of a meeting through the provision of lunch) or any commercial relationship

linked to the supply of goods and services and be prepared to be held to account for it, using

the form found at Appendix 1.

Where such collaborative partnerships involve a pharmaceutical company, the proposed

arrangements must comply fully with the Medicines (Advertising) Regulations 1994

(regulation 21 ‘inducements and hospitality’). See Annex 3 for more detail on the regulations

on inducements and hospitality.

Whatever type of agreement is entered into, the final decision must be made on the

evidence available to ensure that the product or service is the best for patients.

Before entering into any formal sponsorship agreement, a full business case and a draft

sponsorship agreement should be developed and approved by the Senior Management

Team and the Clinical Cabinet to ensure that the CCG:

Can satisfy itself, with reference to the 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;

Can assess the costs and benefits in relation to alternative options where applicable,

and to ensure that the decision making process is transparent and defensible;

To determine how clinical and financial outcomes will be monitored;

Can ensure that the sponsorship agreement has break clauses built in to enable the

CCG to terminate the agreement if it becomes clear that it is not providing expected

value for money and/or clinical outcomes.

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Under no circumstances should the CCG agree to ‘linked deals’ whereby sponsorship is

linked to future purchases of particular products or to supply from particular sources.

The CCG will ensure that all sponsorship deals are documented through the use of a

register held by the Head of Governance and Engagement, which can be audited as

appropriate. In order to demonstrate openness, the register will be available on request to

the public and routinely published in accordance with Freedom of Information Act

requirements.

7.6. Payment for Speaking at Meetings/Conferences

Should a member of staff, Governing Body and Committee members and individuals acting

on behalf of the CCG be asked to speak at an event relating to CCG business for which

payment is offered and it is delivered in working hours, then there are two choices open to

the member of staff which must be agreed with their line manager:

The payment should be credited to the CCG;

The member of staff takes annual leave or unpaid leave and the payment is made to

the member of staff as a private matter between the organisation making the

payment and the individual member of staff. The member of staff remains

responsible for any tax liability which arises.

7.7. Placing of Orders and Contracts

Fair and open competition between prospective contractors or suppliers for CCG contracts

(including where the CCG is commissioning a service through Any Qualified Provider) is a

requirement of NHS Standing Orders and of EC Directives on Public Purchasing for Works

and Supplies. This means that:

No private, public or voluntary organisation or company which may bid for CCG

business should be given any advantage over its competitors, such as advance

notice of CCG requirements. This applies to all potential contractors, whether or not

there is a relationship between them and the CCG, such as a long-running series of

previous contracts.

Each new contract should be awarded solely on merit, taking into account the

requirements of the CCG and the ability of the contractors to fulfil them.

No special favour is to be shown to current or former employees or their close

relatives or associates in awarding contracts to private or other businesses run by

them or employing them in any capacity. Contracts may be awarded to such

businesses when they are won in fair competition against other tenders, but

scrupulous care must be taken to ensure that the selection process is conducted

impartially, and that staff that are known to have a relevant interest play no part.

All staff, Member Practices, Governing Body and Committee members and individuals acting

on behalf of the CCG, in contact with suppliers and contractors (including external

consultants), and in particular those who are authorised to sign orders or place contracts for

goods, materials or services, are expected to adhere to professional standards of a kind set

out in the ethical code of the Institute of Purchasing and Supply, see Annex 4. They are also

required to declare any interest if they are participating in a specific procurement and

tendering processes.

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7.8. Private Transactions

Individual staff, Member Practices, Governing Body and Committee members and

individuals acting on behalf of the CCG must not seek or accept preferential rates or benefits

in kind for private transactions carried out by companies with which they have had, or may

have, official dealings on behalf of the CCG.

7.9. Employees’ Outside Employment

The standard employment contract used by the CCG sets out the terms concerning outside

employment: “You shall not be employed by any other person, firm or company without the

express permission of the CCG. If you have employment other than your employment with

the CCG, you must write to your manager giving details of the hours and days worked and

duties carried out, seeking agreement that this work will not be detrimental to your

employment within the CCG”.

Any employee who may be considering outside employment should discuss this in the first

instance with their manager before undertaking the employment.

Employees should be advised not to engage in outside employment during any periods of

sickness absence from the CCG. To do so may lead to a referral being made to the Counter

Fraud Specialist for investigation which may lead to criminal and/or disciplinary action in

accordance with the CCG Fraud, Bribery & Corruption Policy.

7.10. Rewards for Initiative

The CCG will identify potential intellectual property rights as and when they arise so that

they can protect and exploit them properly, and thereby ensure that they receive any

rewards or benefits (such as royalties) in respect of work commissioned from third parties, or

work carried out by individuals in the course of their NHS duties. Most intellectual property

rights are protected by statute e.g. patents are protected under the Patents Act 1977 and

copyright (which includes software programmes) under the Copyright Designs and Patents

Act 1988. To achieve this, NHS organisations and employers should build appropriate

specifications and provisions into contractual arrangements which they enter into before the

work is commissioned, or begins. They should always seek legal advice if in any doubt, in

specific cases.

In the case of collaborative research and evaluative exercises with manufacturers, the CCG

will obtain a fair reward for the input they provide. If such an exercise involves additional

work for a CCG employee or individual outside that paid for by the CCG under his or her

contract of employment, or sessional arrangements, arrangements will be made for some

share of any rewards or benefits to be passed on to the employees(s) or individuals

concerned from the collaborating parties. Care must be taken to ensure that involvement in

this type of arrangement with a manufacturer does not influence the purchase of other

supplies from that manufacturer.

7.11. Employment Issues

Staff involved in the appointment of new staff 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 the recruitment process where they are

related to an applicant, or have a close personal relationship outside work with him or her.

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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 friend.

Candidates making an application for appointment with the CCG are required to disclose in

writing whether, to their knowledge, they are related to a Governing Body member or

employee of the CCG. Failure to disclose such a relationship could disqualify a candidate

and, if he/she is appointed, could render him/her liable to immediate dismissal.

8. Recording Gifts, Hospitality and Sponsorship

All offers of gifts with a value in excess of £10 and hospitality with a value in excess of £25

per item must be declared and recorded. Gifts should be declared if several small gifts of

over £100 collectively are received from the same or closely related source in a 12 month

period.

Gifts, hospitality and sponsorship will be recorded in a central register in accordance with

this policy. The relevant forms found as appendices of this policy must be completed and

returned to the Head of Governance and Engagement in a timely manner (generally within 2

weeks) so that the details can be recorded on the central register. Failure to notify the CCG

may lead to disciplinary action against the member of staff.

Where gifts, hospitality or sponsorship are offered, but declined, the offer should still be

recorded in the register.

9. Conflicts of Interest

For detailed guidance on the management of conflicts of interest, please see the CCG

Conflicts of Interest Policy.

Conflicts of interest may arise where an individual’s personal interests or loyalties or those of

a connected person (a relative, close friend or business associate or business partner)

conflict with those of the CCG. Such conflicts may create problems such as inhibiting free

discussion which could result in decisions or actions being taken which are not in the

interests of the CCG and/or NHS England, and risk giving the impression that the CCG

and/or NHS England has acted improperly.

A conflict of interest is defined in: Managing Conflicts of Interest: Revised Statutory

Guidance for CCGs June 2016:

i) Financial interests - this is where an individual may get direct financial benefits from the consequences of a commissioning decision. This could, for example, include being:

A director, including a non-executive director, or senior employee in a private company or public limited company or other organisation which is doing, or which is likely, or possibly seeking to do, business with health or social care organisations.

A shareholder (or similar ownership interests), a partner or owner of a private or not-for-profit company, business, partnership or consultancy which is doing, or

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which is likely, or possibly seeking to do, business with health or social care organisations.

A management consultant for a provider. This could also include an individual being:

­ In secondary employment ­ In receipt of secondary income from a provider; ­ In receipt of a grant from a provider; ­ In receipt of any payments (for example honoraria, one-off payments, day

allowances or travel or subsistence) from a provider; ­ In receipt of research funding, including grants that may be received by

the individual or any organisation in which they have an interest or role; and

­ Having a pension that is funded by a provider (where the value of this might be affected by the success or failure of the provider).

ii) Non-financial professional interests - this is where an individual may obtain a non-

financial professional benefit from the consequences of a commissioning decision, such as increasing their professional reputation or status or promoting their professional career. This may, for example, include situations where the individual is:

An advocate for a particular group of patients;

A GP with special interests e.g., in dermatology, acupuncture etc.

A member of a particular specialist professional body (although routine GP membership of the RCGP, British Medical Association (BMA) or a medical defence organisation would not usually by itself amount to an interest which needed to be declared);

An advisor for the Care Quality Commission (CQC) or the National Institute for Health and Care Excellence (NICE);

A medical researcher.

GPs and practice managers, who are members of the governing body or committees of the CCG, should declare details of their roles and responsibilities held within their GP practices.

iii) Non-financial personal interests - this is where an individual may benefit personally in ways which are not directly linked to their professional career and do not give rise to a direct financial benefit. This could include, for example, where the individual is:

A voluntary sector champion for a provider;

A volunteer for a provider;

A member of a voluntary sector board or has any other position of authority in or connection with a voluntary sector organisation;

Suffering from a particular condition requiring individually funded treatment;

A member of a lobby or pressure group with an interest in health. iv) Indirect interests - this is where an individual has a close association with an

individual who has a financial interest, a non-financial professional interest or a non-financial personal interest in a commissioning decision (as those categories are described above) for example, a:

Spouse / partner

Close relative - parent, grandparent, child, grandchild or sibling

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Close friend

Business partner - a declaration of interest for a “business partner” in a GP partnership should include all relevant collective interests of the partnership, and all interests of their fellow GP partners

Whether an interest held by another person gives rise to a conflict of interests will depend upon the nature of the relationship between that person and the individual, and the role of the individual within the CCG.

The above categories and examples are not exhaustive and the CCG will exercise discretion on a case by case basis, having regard to the principles set out in the Conflicts of Interest Policy.

Further, it should be noted that:

the possibility of the perception of wrongdoing, impaired judgement or undue

influence shall also be considered a conflict of interest for the purposes of this policy

and should be declared and managed accordingly; and

where there is doubt as to whether a conflict of interest exists, it should be assumed

that there is a conflict of interest and declared and managed accordingly.

Where an individual has any queries with respect to conflicts of interest they should seek

advice from the Head of Governance and Engagement.

9.1. Declarations of Interest

Declarations of Interest shall be made and their existence regularly confirmed or updated

including in, but not limited to, the following situations:

on appointment of an individual to the CCG, its Governing Body or any committee or

sub-committee or other advisory or decision-making group or panel;

six monthly;

at meetings - all attendees shall be asked to declare any interest they have in any

agenda item before it is discussed or as soon as it becomes apparent, even if the

same interest has previously been declared in the Register or another meeting;

on an individual changing role or responsibility within a CCG or its Governing Body;

and

on any other change of circumstances that affects the individual’s interests (e.g.

where the individual takes on a new role outside the CCG or sets up a new business

or relationship).

In addition to the provisions above, individuals who have a conflict of interest have an

obligation to declare this in writing to the Head of Governance and Engagement as soon as

they become aware of it and in any event not later than 28 days after becoming aware.

Where an individual is unable to provide a declaration in writing, for example, if a conflict

becomes apparent during the course of a meeting, they must make an oral declaration

before witnesses, and provide a written declaration as soon as possible thereafter.

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10. Confidentiality

All staff, Member Practices, Governing Body and Committee members and individuals acting

on behalf of the CCG has a duty to maintain confidentiality of information at all times, and

only share information with those authorised to receive it. As a public body, the CCG

recognises the need for openness. However, this should not be confused with a breach of

confidentiality. All employees of the CCG must be aware that a breach of confidentiality is

potentially a serious disciplinary offence that could result in dismissal.

It is important that the information about staff should also be regarded as confidential and

not disclosed to anyone who is not authorised to receive it, without the prior consent of the

employee.

CCG employees may frequently find that, as part of their work, they have access to

confidential reports and information concerning the business of the CCG and other

organisations. The fact that they do have access to this information places a responsibility

on them to honour the trust placed on them by the nature of their employment. In addition,

‘commercial in confidence’ information must not be disclosed to any unauthorised person or

organisation, since its disclosure would prejudice the principle of a purchasing system based

on competition.

11. Reporting Bribery, Corruption and Non-compliance with this Policy

If you know or have good reason to suspect that an act of bribery or corruption has occurred

you should report the matter to your Counter Fraud Specialist only on 0116 2256120.

Alternatively, you may call the NHS Protect Fraud & Corruption Reporting Line on 0800 028

40 60.

In all other cases where you suspect non-compliance with this policy, you should raise the

matter in confidence, either verbally or in writing, with the Deputy Chief Officer or the Head

of Governance and Engagement, both of whom have been designated as independent

contacts under the Raising Concerns at Work Policy.

In extreme cases, if the matter is urgent or involves a serious hazard or danger, staff should

raise the issue in confidence with the Chief Officer (Accountable Officer), or if that is not

appropriate, the Conflicts of Interest Guardian (Lay Member for Audit and Governance).

Staff should not be afraid of raising concerns and will not experience any blame or

recrimination as a result of making any reasonably held suspicion known. If staff have any

general concerns about any of the issues raised in this document, they should contact the

Head of Governance and Engagement or a Human Resources representative from Arden

GEM Commissioning Support Unit.

12. Monitoring Compliance and Effectiveness of the Policy

The policy will be reviewed on a three yearly basis by the Head of Governance and

Engagement.

The Gifts and Hospitality register will be presented for review to the Audit Committee twice

yearly and published on the CCG’s website. Staff will be reminded of the policy and register

at least annually.

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The Head of Governance and Engagement will review register entries on a regular basis and

will address any inappropriate receipt of gifts/hospitality with the relevant person or manager.

13. Due Regard

This policy has been reviewed in relation to having due regard to the Public Sector Equality Duty (PSED) of the Equality Act 2010 to eliminate discrimination; harassment; victimisation; to advance equality of opportunity; and foster good relations between the protected groups.

14. Equality Statement

NHS Rushcliffe Clinical Commissioning Group (CCG) aims to design and implement policy documents that meet the diverse needs of our services, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account current UK legislative requirements, including the Equality Act 2010 and the Human Rights Act 1998, and promotes equal opportunities for all. This document has been designed to ensure that no-one receives less favourable treatment due to their personal circumstances, i.e. the protected characteristics of their age, disability, sex (gender), gender reassignment, sexual orientation, marriage and civil partnership, race, religion or belief, pregnancy and maternity. Appropriate consideration has also been given to gender identify, socio-economic status, immigration status and the principles of the Human Rights Act.

In carrying out its function, the CCG must have due regard to the Public Sector quality Duty (PSED). This applies to all activities for which it is responsible, including policy development, review and implementation.

15. Review

The Standards of Business Conduct Policy will be reviewed annually from the date of approval by the Governing Body.

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Annexes

Annex 1 – Short Guide for Staff – Guidance on the Standards for Business Conduct

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:

o 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?

o Do I have access to information with which I could influence purchasing

decisions?

o Could my outside interests be in any way detrimental to the NHS or patients’

interests?

o Do I have any other reason to think I may be risking a conflict of interest?

IF IN DOUBT – DECLARE IT

Observe the CCG Standing Order and Tendering and Contracting Procedures if you

are involved in any way with the purchase of goods and services.

Obtain your managers 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.

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.

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Annex 2 – The Nolan Principles on Standards in Public Life

The Nolan Committee was set up in 1994 to examine concerns about standards of conduct

of all holders of public office, including arrangements relating to financial or commercial

activities, and make recommendations as to any changes in arrangements which might be

required to ensure the highest standards of propriety in public life. The committee published

“seven principles of Public Life”, which it believes should apply to all those operating in the

public sector. These principles should be adopted by CCG staff and are as follows:

Selflessness

Holders of public office should act solely in terms of the public interest. They should not do

so in order to gain financial or other benefits for themselves, their family or their friends.

Integrity

Holders of public office should not place themselves under any financial or other obligation

to outside individuals or organisations that might seek to influence them in the performance

of their official duties.

Objectivity

In carrying out public business, including making public appointments, awarding contracts, or

recommending individuals for rewards and benefits, holders of public office should make

choices on merit.

Accountability

Holders of public office are accountable for their decisions and action to the public and must

submit themselves to whatever scrutiny is appropriate to their office.

Openness

Holders of public office should be as open as possible about all the decisions and actions

that they take. They should give reasons for their decisions and restrict information only

when the wider public interest clearly demands.

Honesty

Holders of public office have a duty to declare any private interests relating to their public

duties and to take steps to resolve any conflicts arising in a way that protects the public

interest.

Leadership

Holders of public office should promote and support these principles by leadership and

example.

All staff will be expected to adopt these principles when conducting official business for and

on behalf of the CCG so that appropriate ethical standards can be demonstrated at all times.

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Annex 3 – Extract from the Medicines (Advertising Amendments) Regulations 2005

Inducements and Hospitality

Extract from the Medicines (Advertising Amendments) Regulations 2005 Inducements

and Hospitality

(1) Subject to paragraph (2) and (4), where relevant medicinal products are being promoted

to persons qualified to prescribe or supply relevant medicinal products, no person shall

supply, offer or promise to such persons any gift, pecuniary advantage or benefit in kind,

unless it is inexpensive and irrelevant to the practice of medicine or pharmacy.

(2) The provisions of paragraph (1) shall not prevent any person offering hospitality

(including the provision of travelling or accommodation expenses) at events for purely

professional or scientific purposes to persons qualified to prescribe or supply relevant

medicinal products, provided that –

(a) such hospitality is strictly limited to the main scientific objective of the event, and

(b) it is offered only to health professionals.

(3) No person shall offer hospitality (including the provision of travelling or accommodation

expenses) at a meeting or event held for the promotion of relevant medicinal products unless

–

(a) such hospitality is strictly limited to the main purpose of the meeting or event, and

(b) the person to whom it is offered is a health professional.

(4) No person qualified to prescribe or supply relevant medicinal products shall solicit or

accept any gift, pecuniary advantage, benefit in kind, hospitality or sponsorship prohibited by

this regulation.

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Annex 4 – Institute of Purchasing and Supply (IPS) – Ethical Code

Introduction

1. The Code set out below was approved by the Institute’s Council on 26 February 1977 and

is binding on IPS Members.

Precepts

2. Members shall never use their authority or office for personal gain and shall seek to

uphold and enhance the standing of the Purchasing and Supply profession and the Institute

by:

(a) maintaining an unimpeachable standard of integrity in all their business

relationships both inside and outside the organisations in which they are employed;

(b) fostering the highest possible standards of professional competence amongst

those for whom they are responsible;

(c) optimising the use of resources for which they are responsible to provide the

maximum benefit to their employing organisation;

(d) complying both with the letter and the spirit of;

(i) the law of the country in which they practice;

(ii) such guidance on professional practice as may be issued by the institute

from time to time;

(iii) contractual obligations;

(e) rejecting any business practice which might reasonably be deemed improper.

Guidance

3. In applying these precepts, members should follow the guidance set out below:

(a) Declaration of Interest - Any personal interest which may impinge or might

reasonably be deemed by others to impinge on a member’s impartiality in any matter

relevant to his or her duties should be declared.

(b) Confidentiality and accuracy of information - The confidentiality of information

received in the course of duty should be respected and should never be used for

personal gain; information given in the course of duty should be true and fair and

never designed to mislead.

(c) Competition - While bearing in mind the advantages to the member’s employing

organisation of maintaining a continuing relationship with a supplier, any relationship

which might, in the long term, prevent the effective operation of fair competition

should be avoided.

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(d) Business gifts - Business gifts or other items of very small intrinsic value such as

business diaries or calendars should not be accepted.

(e) Hospitality - Modest hospitality is an accepted form of courtesy in a business

relationship. However, the recipient should not allow him or herself to reach a

position whereby he or she might be deemed by others to have been influenced in

making a business decision as a consequence of accepting such hospitality; the

frequency and scale of hospitality accepted should not be significantly greater than

the recipients employer would be likely to provide in return.

(f) When it is not easy to decide between what is and what is not acceptable in terms

of gifts and hospitality, the offer should be declined or advice sought from the

member’s superior.

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Appendices

Appendix 1 Template Declarations of Gifts and Hospitality

Recipient

Name

Position Date of

Offer

Date of

Receipt (if

applicable)

Details of Gift /

Hospitality

Estimated

Value

Supplier /

Offeror

Name and

Nature of

Business

Details of

Previous

Offers or

Acceptance

by this

Offeror/

Supplier

Details of the

officer

reviewing

and

approving the

declaration

made and

date

Declined or

Accepted?

Reason for

Accepting or

Declining

Other

Comment

The information submitted will be held by the CCG for personnel or other reasons specified on this form and to comply with the organisation’s policies. This information may be held in both manual and electronic form in accordance with the Data Protection Act 1998. Information may be disclosed to third parties in accordance with the Freedom of Information Act 2000 and published in registers that the CCG holds. I confirm that the information provided above is complete and correct. I acknowledge that any changes in these declarations must be notified to the CCG as soon as practicable and no later than 28 days after the interest arises. I am aware that if I do not make full, accurate and timely declarations then civil, criminal, professional regulatory or internal disciplinary action may result. I do / do not (delete as applicable) give my consent for this information to published on registers that the CCG holds. If consent is NOT given please give reasons:

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Signed: Date:

Signed: Position: Date:

(Line Manager or a Senior CCG Manager)

Please return to:

Head of Governance and Engagement NHS Rushcliffe CCG Easthorpe House 165 Loughborough Road Ruddington Nottingham NG11 6LQ