Standards of Business Conduct and Managers Code of Conduct

Document name: Standards of Conduct in Public Service Policy Including Business Conduct and Manager’s Code of Practice Document type: Policy

Staff group to whom it All staff within the Trust applies:

Distribution: The whole of the Trust

How to access: Intranet and internet / ward folder

Issue date: May 2012

Last review: February 2015

Next review: February 2016 Reviewed by EMT 23.04.15 and review date extended to February 2017 Approved by: Executive Management Team

Developed by: HR Business Manager in conjunction with Finance, Procurement and Staff Side Organisations Director leads: Director of Human Resources and Workforce Development and Director of Finance Contact for advice: Local HR Managers Contents

1. Guiding Principle in Conduct of Public Business 1

2. Responsibility of Managers 1

3. Responsibility of Staff 1

4. Principles of Conduct in the NHS 2

5. Implementing the Guiding Principles Casual Gifts 2 5.1 Casual Gifts 2 5.2 Hospitality 2 5.3 Declaration of Interests 2 5.4 Preferential Treatment in Private Transactions 4 5.5 Contracts 4 5.6 Favouritism in Awarding Contracts 4 5.7 Warnings to Potential Contractors 4 5.8 Outside Employment 5 5.9 Private Practice 5 5.10 Rewards for Initiative 5 5.11 Commercial Sponsorship for Attendance at Courses 6 and Conferences 5.12 Commercial Sponsorship of Posts – “Linked Deals” 6 5.13 Commercial in Confidence 6 5.14 Legacies 7 5.15 Disciplinary Action 7 5.16 Gifts or Financial Transactions between Employees 7 5.17 Fraud Bribery and Corruption 7

6. Code of Conduct for NHS Managers 7

7. Equality Impact Assessment and Version Control 8

Appendix 1 Action Checklist for Managers

Appendix 2 Short Guide for Staff

Appendix 3 Declaration of Interest Flow Chart, Form and Guidance

Appendix 4 Q and A on Standards of Conduct in Public Service

Appendix 5 The Chartered Institute of Purchasing and Supply – Professional Code of Ethics

Appendix 6 Supplier Code of Conduct

Appendix 7 Certificate as to Canvassing Appendix 8 Equality Impact Assessment

Appendix 9 Version Control Sheet POLICY ON STANDARDS OF BUSINESS CONDUCT

1. Guiding Principle in Conduct of Public Business

It is a long established principle that public sector bodies, which include the NHS, must be impartial and honest in the conduct of their business, and that their employees should remain beyond suspicion. It is also an offence under the Prevention of Corruption Acts 1906 and 1916 for an employee corruptly to accept any inducement or reward for doing, or refraining from doing anything, in his or her official capacity, or corruptly showing favour, or disfavour, in the handling of contracts.

It is South West Yorkshire Partnership NHS Foundation Trust’s policy that All staff must follow the guiding principles set out in the policy.

Staff will need to be aware that a breach of the provisions of these Acts renders them liable to prosecution and may also lead to loss of their employment and superannuation rights in the NHS.

Also included with in this policy are the standards that are expected of NHS managers as laid down in the Code of Conduct for NHS Managers.

2. Responsibility of Managers

The Director of Human Resources and Workforce Development is responsible for the Development of this Policy and the EMT for approving it. Managers are responsible for ensuring the policy is brought to the attention of all employees; also that machinery is put in place for ensuring that it isy implemented. See further information at Appendix 1.

3. Responsibility of 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 to all NHS staff, i.e. those who commit NHS resources directly (e.g. by the ordering of goods) or those who do so indirectly (e.g. by the prescribing of medicines). A further example would be staff who may have an interest in a private nursing home and who are involved with the discharge of patients to residential facilities. There is an implied duty of fidelity in all employment contracts. See further information at Appendix 2. Professional Bodies such as the NMC also have strict guidance on the receiving of gifts and professional staff should be aware that contravention of their codes of conduct could jeopardise their registration. http://www.nmc-uk.org/Documents/Guidance/NMC-Guidance-on-professional- conduct-for-nursing-and-midwifery-students.pdf http://www.nmc-uk.org/Documents/Publications-NMC-Update/NMC-Update- April-2012.pdf

1 4. Principles of Conduct in the NHS

Staff of the Trust are expected to:-

 Ensure that the interest of patients remains paramount at all times;

 Be impartial and honest in the conduct of their official business;

 Use the public funds entrusted to them to the best advantage of the service, always ensuring value for money.

It is also the responsibility of staff to ensure that they do not:

 Abuse their official position for personal gain or to benefit their family or friends;

 Accept bribes;

 Seek to advantage or further private business or other interests, in the course of their official duties.

5. Implementing the Guiding Principles

5.1 Casual Gifts

Casual gifts offered by contractors or similar interested parties, at for example Christmas time, may not be in any way connected with the performance of duties so as to constitute an offence under the Prevention of Corruption Acts. However such gifts should nevertheless be politely but firmly declined. Articles of low intrinsic value such as post-it notes, diaries or calendars, or small tokens of gratitude from patients or their relatives, need not necessarily be refused. In cases of doubt (including where service users may be offended by refusal to accept) staff should discuss this with their line manager. No gift can be accepted over the maximum value of £30. Where any item, other than a low intrinsic value gift, is accepted by a member of staff, it must be declared in writing to the Trust. A Register of Gifts and Hospitality is maintained for the recording of staff declarations. See Appendix 3.

5.2 Hospitality

Modest hospitality, provided it is normal and reasonable in the circumstances, e.g. lunches in the course of working visits, may be acceptable, though it should be similar to the scale of hospitality which the NHS as an employer would be likely to offer. See Questions and Answers Appendix 4 for further information.

Staff should however decline all other offers of gifts, hospitality or entertainment. If in doubt they should seek advice from their line manager.

5.3 Declaration of Interests

Staff, including non-executive directors, will be kept aware of their responsibility to declare relevant interests to the Trust Board. Each new 2 member of staff will be informed of this policy during their induction process including that the policy can be found on the intranet in the document store.

It is the responsibility of all staff to inform the Trust of all cases where they, or their 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.

All staff should therefore declare such interests to the Trust, either on starting employment, or on acquisition of the interest. This to ensure that it may be known to (and in no way promoted to the detriment of either) the Trust or the patients whom it serves.

One particular area of potential conflict of interest, which may directly affect patients, is when NHS staff hold a self-beneficial interest in private care homes or hostels.

While it is the responsibility of staff to declare such interests, the Trust has a responsibility to introduce whatever measures it considers necessary to ensure that its interests and those of service users are adequately safeguarded. This may for example take the form of a contractual obligation on staff to declare any such interests.

Advice on professional conduct issued by the General Medical Council recommends that when a doctor refers a patient to a private care home or hostel, in which he or she has an interest, the patient must be informed of that interest before that referral is made.

This also applies to other members of staff, eg physiotherapists referring service users to a Private Practice in which they have an interest, or nurses who have an interest in a Private Nursing Home.

In determining what needs to be declared, the Trust and its staff should be guided by the principles set out in paragraph 4 above; also the more detailed guidance to staff contained in Appendices 2, 3 and 4.

Staff wishing to declare any relevant interests to the Trust Board in compliance with Circular HSG(93)5, or wishing to clarify any associated matters should discuss their interest with their manager.

If the interest needs to be declared they are then required to complete a Register of Interests form (see Appendix 3). This record will need to be sent to the Director of Finance, who will maintain a register of interests.

Any declarations of staff interests which are considered by the Director of Finance to have significant, or material implications as regards the conduct of the Trust’s business and the awarding of contracts, shall be reported by him/her to the Chief Executive who will consider whether that matters should be formally brought to the attention of the Trust Board, (e.g. for purposes of ratification).

3 5.4 Preferential Treatment in Private Transactions

Individual staff must not seek, or accept, preferential rates or benefits in kind for private transactions carried out with companies with which they have had, or may have, official dealings on behalf of the Trust. (This does not apply to concessionary agreements negotiated with companies by NHS management, or by recognised staff interests, on behalf of all staff – for example, NHS staff benefits schemes).

5.5 Contracts

All staff who are in contact with suppliers and contractors (including external consultants), and in particular those who are authorised to sign Purchase Orders, or place contracts for goods, materials or services, are expected to adhere to standards of the kind set out in the Chartered Institute of Purchasing and Supply (CIPS) code of Professional Ethics, see Appendices 5 and 6.

5.6 Favouritism in Awarding Contracts

Fair and open competition between prospective contractors or suppliers for NHS contracts 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 NHS business should be given any advantage over its competitors, such as advance notice of NHS requirements. This applies to all potential contractors, whether or not there is a relationship between them and the NHS employer, 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 NHS and the ability of the contractors to fulfil them.

No special favour will 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 a senior or relevant managerial capacity. Contracts may be awarded to such businesses where 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 who are known to have a relevant interest play no part in the selection.

5.7 Warnings to Potential Contractors

All invitations to potential contractors to tender for NHS business will include a notice warning of the consequences of engaging in any corrupt practices involving employees of public bodies. The statement which is also included in the Trust’s Supplier Code of Conduct see Appendix 6 is as follows:

By participating in this tender exercise prospective suppliers should also be in agreement with and adhere to the South West Yorkshire Partnership NHS Foundation Trusts Supplier Code of Conduct a copy of which is included within the tender documentation. Any supplier not wishing to comply with this term 4 should provide details of their objections which will be duly noted and considered within the contract award process. All suppliers, subcontractors, other business partners, third parties or agents involved in the products and services described in the main contract shall comply with the UK Bribery Act 2010, enacted from 1st July 2011.

As part of the tender process suppliers are also required to complete and return a “Certificate as to Canvassing” document see Appendix 7

5.8 Outside Employment

Employees of the Trust are advised not to engage in outside employment, which may conflict with their NHS work, or be detrimental to it. Staff should advise the Trust if they think they may be risking a conflict of interest in this area; the Trust will be responsible for judging whether the interests of patients could be harmed, in line with the principles in the paragraph above.

Outside employment could include working in a private clinic/hospital, registered nursing or residential care home. Other areas may include consultancy work, or involvement in the running of a voluntary sector organisation; even in a voluntary capacity.

Staff who wish to engage in such employment must obtain written consent, by writing to their manager, before taking up that employment.

Provided that any other employment is outside their normal working hours, and does not conflict with their duties with the Trust, this request will not be unreasonably refused. Failure to inform their manager in writing may be treated as a disciplinary offence.

Any financial interests or relationships which could relate to and/or affect the business of the Trust must be declared.

5.9 Private Practice

Medical staff employed within the NHS under nationally agreed Terms and Conditions of Service are permitted to carry out private practice in NHS Hospitals in accordance with their Terms and Conditions of Service. They are also entitled to undertake fee paying services which are not part of contractual or consequential services and not reasonably incidental to them.

 Consultants employed under the Terms and Conditions - Consultants (England) 2003 Schedule 9 - Provisions Governing the Relationship between NHS Work, Private Practice and Fee Paying Services Schedule 10 - Fee Paying Services

 Associate Specialist employed under the Associate Specialist Terms and Conditions of Service 2008 Schedule 10 - Provisions Governing the Relationship between NHS Work, Private Practice and Fee Paying Services Schedule 11 - Fee Paying Services

5  Speciality Doctors employed under the Speciality Doctors Terms and Conditions of Service 2008 Schedule 10 - Provisions Governing the Relationship between NHS Work, Private Practice and Fee Paying Services Schedule 11 - Fee Paying Services

All other Doctors are subject to the requirements laid down in paragraphs 40 - 43 of Pay and Conditions of Service for Hospital Medical and Dental Staff and Doctors in Public Health and Community Health Services.

5.10 Rewards for Initiative

The Trust will ensure that it is in a position to identify potential intellectual property rights (IPR), as and when they arise, so that they can protect and exploit them properly, and thereby ensure that they receive any rewards or benefits e.g. royalties in respect of work commissioned from third parties, or work carried out by their employees in the course of their NHS duties. Most IPR are protected by statute; the Trust will build appropriate specifications and provisions into the contractual arrangements, which it enters into before the work is commissioned, or begins. The Trust will seek legal advice if in any doubt in specific cases.

With regard to patents and inventions, in certain defined circumstances the Patents Act gives NHS employees a right to obtain some reward for their efforts. Other rewards may be given voluntarily to employees who within the course of their employment have produced innovative work of outstanding benefit to the NHS. Similar rewards should be voluntarily applied to other activities such as giving lectures and publishing books and articles.

In the case of collaborative research and evaluative exercises with manufacturers, the Trust should obtain a fair reward for the input provided. If such an exercise involves additional work for a Trust employee outside that paid for by the Trust under his or her contract of employment, arrangements should be made for some share of any rewards or benefits to be passed on to the employee(s) concerned from the collaborating parties. Care should however be taken that involvement in this type of arrangement with a manufacturer does not influence the purchase of other supplies from that manufacturer.

5.11 Commercial Sponsorship for Attendance at Courses and Conferences

Acceptance by staff of commercial sponsorship for attendance at relevant conferences and courses is acceptable, but only where the employee seeks permission in advance and the Trust is satisfied that acceptance will not compromise purchasing decisions in any way.

On occasions when the Trust considers it necessary for staff advising on the purchase of equipment to inspect such equipment in operation in other parts of the country (or exceptionally, overseas), it will consider meeting the cost, so as to avoid putting in jeopardy the integrity of subsequent purchasing decisions.

6 5.12 Commercial Sponsorship of Posts – “Linked Deals”

Pharmaceutical companies, for example, may offer to sponsor, wholly or partially, a post for a NHS employer. The Trust will not enter into such arrangements, unless it has been made abundantly clear to the company concerned that the sponsorship will have no effect on purchasing decisions. Where such sponsorship is accepted, monitoring arrangements should be established to ensure that purchasing decisions are not, in fact, being influenced by the sponsorship agreement.

Under no circumstances will the Trust agree to “linked deals” whereby sponsorship is linked to the purchase of particular products, or to supply from particular sources.

5.13 Commercial in Confidence

Staff should be particularly careful of using, or making public, internal information of a “commercial in-confidence” nature, particularly if its disclosure would prejudice the principle of a purchasing system based on fair competition. This principle applies whether private competitors or other NHS providers are concerned, and whether or not disclosure is prompted by the expectation of personal gain.

However, there should not be excessive secrecy on matters which are not strictly commercial per se. For example, the term “commercial in confidence” should not be taken to include information about service delivery and activity levels, which should be publicly available. Nor should it inhibit the free exchange of data for medical audit purposes, for example, subject to the normal rules governing patient confidentiality and data protection. In all circumstances the overriding consideration must be in the best interests of patients.

5.14 Legacies

An employee must notify their Manager if he/she receives a legacy connected in any way with his/her employment.

5.15 Disciplinary Action

Any breach of the requirements and principles of this policy are likely to be considered as gross misconduct under the Trust’s disciplinary procedures.

5.16 Gifts or Financial Transactions between Employees

Employees should consider their own situation and the implications to their position carefully when accepting or making gifts or undertaking financial transactions with other members of staff e.g. loans of money. In cases of doubt staff should seek advice from their manager.

5.17 Fraud, Bribery and Corruption

Trust is committed to taking all necessary steps to counter fraud, bribery and corruption. This may include criminal prosecution, civil proceedings and

7 disciplinary action, as well as referral to a professional or regulatory body. All employees have a duty to ensure that public funds are safeguarded, whether or not they are involved with cash or payment systems, receipts or dealing with contractors or suppliers. If an employee suspects that there has been fraud, bribery or corruption, or has seen any suspicious acts or events, they must report the matter to the nominated Local Counter Fraud Specialist. See link below: http://nww.swyt.nhs.uk/fraud/Pages/default.aspx

6.0 Code of Conduct for NHS Managers

Following the Kennedy Report (Bristol Inquiry), a working party was established to set core standards of conduct expected of NHS managers.

The Code of Conduct provides a guide for NHS managers in the work they do and the decisions/choices they have to make.

It also provides reassurance to the public that decisions are made against a background of professional standards and accountability.

Managers must ensure that they are aware of the contents of this Code and comply with its principles.

A copy of the Code can be downloaded from: http://www.nhsemployers.org/EmploymentPolicyAndPractice/UKEmploymentPractice /Pages/Core-Standards-For-NHS-Managers.aspx

7.0 Equality Impact Assessment and Version Control

These documents can be found at Appendices 8 and 9 respectively.

8 Appendix 1

Action Checklist for Managers

You must:

 Ensure that all staff are aware of this policy;

 Show no favouritism in awarding contracts (e.g. to businesses run by employees, ex-employees or their friends or relatives);

 Include a warning against corruption in all invitations to tender;

 Consider requests from staff for permission to undertake additional outside employment;

 Apply the terms of the regulations concerning doctors’ engagement in private practice;

 Receive rewards or royalties in respect of work carried out by employees in the course of their NHS work, and ensure that such employees receive due rewards;

 Similarly ensure receipt of rewards for collaborative work with manufacturers and pass on to participating employees;

 Ensure that acceptance of commercial sponsorship will not influence or jeopardise purchasing decisions;

 Refuse “linked deals” whereby sponsorship of staff posts is linked to the purchase of particular products or supply from particular sources;

 Avoid excessive secrecy and abuse of the term “commercial in confidence”.

Clarification of the above is contained in HSG (93)5 and reference should be made to this Guidance when interpreting the points in the checklist. Though this is not a recent Dept of Health publication, it is still the acknowledged as the current reference document. http://webarchive.nationalarchives.gov.uk/ +/www.dh.gov.uk/en/Publicationsandstatistics/Lettersandcirculars/Healthserviceguideline s/DH_4017845 Appendix 2 Short Guide for Staff

 Make sure you understand the guidelines on standards of business 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 could conflict;

 Declare to the Trust any relevant interest, using the form at Appendix 3. If in doubt, ask yourself:

(i) am I, or might I be, in a position where I (or my family/friends) could gain from the connexion between my private interests and my employment? (ii) do I have access to information, which could influence purchasing decisions? (iii) could my outside interest be in any way detrimental to the NHS or to patients’ interests? (iv) do I have any other reason to think I may be risking a conflict of interest?

If still unsure – Declare it!

 Adhere to the Professional Code of Ethics of the Chartered Institute of Purchasing and Supply, if you are involved in any way with the acquisition of goods and services;

 Seek the Trust’s permission before taking on outside work, if there is any question of it adversely affecting your NHS duties (Special guidance applies to doctors);

 Obtain the Trust’s permission before accepting any commercial sponsorship.

Do not:

 Accept gifts, inducements or inappropriate hospitality;

 Abuse your past or present 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. Clarification of the above is contained in HSG (93)5. Though this is not a recent Dept of Health publication, is still the acknowledged as the current reference document.

http://webarchive.nationalarchives.gov.uk/ +/www.dh.gov.uk/en/Publicationsandstatistics/Lettersandcirculars/Healthserviceguidelines/DH_4017845 Appendix 3

Flow Chart of how an interest is registered

Individual declares an interest to his/her manager

Either Or

Manager decides there Manager decides is no conflict of interest there could be a and it not a relevant conflict of interest concern to the Trust

No need to record "Register of Interests" the interest form is completed by the individual and given to the manager

Manager decides there is Manager decides there no conflict of interests at may be, or is, a conflict present and files the form of interest in personal file

Manager discusses the details with the appropriate Senior Form completed by the Manager/Director/Chief manager. Copy of the No action Executive and a decision is form filed in personal needed made on what, if any, action is file required

The interest needs to be registered

Manager adds comments/actions required to the form, ensuring actions are undertaken. Sends form to the Deputy Director of Finance, retaining a copy in the individual’s personal file.

Deputy Director of Finance files the form and takes appropriate action as required

[email protected]

Tel: 01924 327016 Fax: 01924 328613

Dear Colleague,

NHS Code of Conduct Declaration of Interests and Register of Interests, Hospitality and Gifts

The NHS Code of Conduct requires all staff to be honest and act with integrity. As part of the Trust’s commitment to comply with these values the Trust’s Standing Orders requires staff to inform the Chief Executive of any interest that they may have. These interests may include:-

a) directorships, including non-executive directorships held in private companies or Public Limited Companies (PLC’s) - with the exception of those of dormant companies.

b) ownership or part ownership of private companies, businesses or consultancies likely or possibly seeking to do business with the NHS.

c) majorities or controlling shareholdings in organisations likely or possibly seeking to do business with the NHS.

d) a position of authority in a charity or voluntary body in the field of health and social care.

e) any other Health related employment, including the NHS or any connection with a voluntary or other body contracting for NHS services.

In the case of married persons or persons living together as partners, the interest of one partner shall, if known to the other, be deemed to be also the interest of that partner.

Staff must also declare any other employment or business, or other relationship of his/her, or of a cohabiting spouse, that conflicts, or might reasonably be predicted could conflict with the interests of the Trust. You must also declare an interest if you have a close relative or husband/wife/partner working for the South West Yorkshire Partnership NHS Foundation Trust, or one of it's contractors or suppliers.

Any fraudulent activity arising from a failure to disclose conflicts of interests would be treated seriously by the Trust and may result in action being taken. The Trust would seek appropriate sanction and redress, which could be via disciplinary, criminal or civil means.

Please find attached a pro-forma that needs to be completed by you and your line manager who should return the completed form to:

Deputy Director of Finance South West Yorkshire Partnership NHS Foundation Trust Finance Dept, Ward 4 Castleford Normanton and District Hospital Lumley Street, Castleford, WF10 5LT

NB  This form is sent out annually requesting that staff declare their interests. In the absence of a completed return being received, it will be deemed that a nil return has been submitted. In these cases it is expected that where there is a change to a nil return you are responsible for notifying the Deputy Director of Finance of these changes.  This form must also be used to declare hospitality or gifts when this is appropriate to do so. IN STRICT CONFIDENCE DECLARATION OF INTERESTS – REGISTER OF INTERESTS, HOSPITALITY OR GIFTS

Name and Base Job Title

Details of Interest / Hospitality / Gift

I declare that the information I have given on this form is true and correct and that I have not declared any interests by any other method. I understand that if I knowingly provide false information this may result in disciplinary action and I may be liable for prosecution, along with criminal and or civil recovery proceedings. I consent to the disclosure of information on this form to and by the Trust and NHS Counter Fraud and Security Management Service for the purpose of verification of this declaration and for the investigation, prevention detection and prosecution of fraud. Signed Date

Comments of Line Manager and/or Head of Service as appropriate

Signed Date

Action Required by Finance, if any

 Copy to Personal File

 Original to Register of Interests File

When complete send to: The Deputy Director of Finance, CNDH, Lumley Street, Castleford WF10 5LT Appendix 4

STANDARDS OF CONDUCT IN PUBLIC SERVICE POLICY RECEIPT OF HOSPITALITY Questions and Answers

This section provides advice regarding a number of common situations that staff may have to consider in relation to this policy. Staff should always discuss any areas of uncertainty with their line manager and if necessary Head of Service / Department.

Hospitality & Gifts

Q1 Can pharmaceutical companies fund lunches and venues for Trust events?

A1 Yes, but the appropriate Director must agree these are reasonable in the circumstances. See also

Q2 Can Trust employees accept equipment, products, samples, literature and information offered by pharmaceutical companies (e.g. CO2 monitors offered to Smoking Cessation or products offered to the Continence Service to display and use for service user training)?

A2 Employees cannot accept such items as free gifts; however equipment may be reviewed as part of researching the market for a particular product. Any purchases need to be made in line with Trust procedures including Procurement Procedures and Operational Guidelines. Standing Financial Instructions, Infection Prevention and Control Polices etc. See also answer to Q3.

Q3 Can gifts such as post-it notes, pens and calendars be accepted?

A3 Staff may accept gifts of small value (i.e. no more than £30 or cumulative total of £100 per year). Where the item is of very low value (post-it notes, an inexpensive biro, coffee mug etc) it may be accepted and need not be declared. Where the value is greater than this (that is up to £30) it must be declared in writing to the Trust. The Trust will maintain a Register of Gifts and Hospitality for the recording of staff declarations.

Q4 A company providing training for the Trust offers an employee a wedding gift of a £50 voucher. Can this be accepted?

A4 No.

Q5 A potential supplier offers an employee a ticket for a sporting event at the week-end. Can this be accepted?

Q6 A relative of a recently deceased patient offers the nursing team £100 to contribute towards a Christmas lunch. Can this be accepted?

A6 Yes, however the employee receiving the money must obtain proof of receipt and send the money to the Finance team to pay into Trust Funds. The team can then apply to access this money. The gift will need to be declared.

Q7 A relative offers an employee a piece of jewellery from a deceased relative. Can this be accepted?

A7 No. It is difficult to determine the exact value of such items and it is likely to be higher than £30. The offer must be politely declined. Q8 A patient offers an employee some holiday vouchers as she is unable to use them. Can this be accepted?

A8 No - this is deemed to be a significant gift and cannot be accepted.

Training/Speaking/Events

Q9 Can pharmaceutical companies provide training or a speaker at a Trust event – e.g training, study day?

A9 In most cases no. However in exceptional circumstances the organiser should apply for permission from the appropriate Director.

Q10 Can an employee of Trust speak at an event which includes a supplier (e.g. pharmaceutical industry, equipment manufacturer)?

A10 This should be discussed with the line manager. Where this is agreed and accepted it must be declared. Employees cannot accept a personal payment or payment in kind for this. Where an invite is received as an employee of the Trust this must not be undertaken for a payment outside of work time.

Q11 Can an employee accept a request received outside of work to speak at an event?

A11 Yes, however they must ensure that they complete the form relating to declaration of outside employment. They must not use any Trust material during this work and absolute confidentiality of all matters relating to the Trust and its service users must be maintained in all respects.

Q12 Can an employee of the Trust attend an event run by a commercial company (e.g. the pharmaceutical industry/equipment supplier)?

A12 The employee would need to seek the agreement of their line manager prior to attendance. If the employee attends he/she should bring information back from the event for discussion within their team

Q13 Can an employee of the Trust attend a non sponsored independent professional event (i.e. Royal College event), where attendance fee, travel and/ or accommodation has been paid for by a pharmaceutical company?

A13 No. If the organisation considers that an employee should attend, this should be funded by the Trust.

Q14 Can industry representatives be invited to open/study days to demonstrate their products, if no fee is charged/received?

A14 Yes, if for example, staff are undertaking research of products available. However there should be no favouritism shown to any company and future purchase of equipment made in line with Trust procedures including Procurement Procedures and Operational Guidelines. Standing Financial Instructions etc.

Appendix 5

The Chartered Institute of Purchasing and Supply – Professional Code of Ethics

1. Introduction

This Code was approved by the CIPS Council on 11 March 2009 and is binding on CIPS members.

2. Use of the Code

Members of CIPS are required to uphold this code and to seek commitment to it by all those with whom they engage in their professional practice. Members are expected to encourage their organisation to adopt an ethical purchasing policy based on the principles of this code and to raise any matter of concern relating to business ethics at an appropriate level. The Institute’s Royal Charter sets out a disciplinary procedure which enables the CIPS Disciplinary Committee to investigate complaints against any of our members and, if it is found that they have breached the Code of Ethics to take appropriate action. Advice on any aspect of the Code of Ethics is available from CIPS.

3. As a member of the Chartered Institute of Purchasing & Supply, I will

a) maintain the highest standard of integrity in all my business relationships

b) reject any business practice which might reasonably be deemed improper

c) never use my authority or position for my own personal gain

d) enhance the proficiency and stature of the profession by acquiring and applying knowledge in the most appropriate way

e) foster the highest standards of professional competence amongst those for whom I am responsible

f) optimise the use of resources which I have influence over for the benefit of my organisation

g) comply with both the letter and the intent of: - the law of countries in which I practise - agreed contractual obligations - CIPS guidance on professional practice

h) declare any personal interest that might affect, or be seen by others to affect, my impartiality or decision making

i) ensure that the information I give in the course of my work is accurate

j) respect the confidentiality of information I receive and never use it for personal gain

k) strive for genuine, fair and transparent competition l) not accept inducements or gifts, other than items of small value such as business diaries or calendars m) always to declare the offer or acceptance of hospitality and never allow hospitality to influence a business decision n) remain impartial in all business dealing and not be influenced by those with vested interests

Appendix 6

South West Yorkshire Partnership NHS Foundation Trust

Supplier Code of Conduct The South West Yorkshire Partnership NHS Foundation Trust recognises the importance of good corporate citizenship and maintaining high standards of social, ethical and environmental conduct.

We are also committed to ensuring that our suppliers and contractors throughout the supply chain adopt a similar approach and have developed a supplier code of conduct which we expect all our suppliers to adhere to.

Laws and Ethical Standards

The supplier shall comply with all laws applicable to its business. The supplier should adhere to the principles of the United Nations’ Global Compact, UN Declaration of Human Rights as well as the 1998 International Labour Organisation’s “Declaration on Fundamental Principles and Rights at Work” in accordance with national law and practice, especially:

 Child Labour

The supplier shall not use child labour younger than the age of 15. In no event especially when national law or regulations permit the employment or work of persons 13 to 15 age on light work, the employment shall prevent the minor from complying with compulsory schooling or training requirements and being harmful to their health or development.

 Forced Labour

The supplier shall make no use of forced or compulsory labour.

 Compensation and Working Hours

The supplier shall comply with national applicable laws and regulations regarding working hours, wages and benefits.

 Discrimination

The supplier should promote the diversity and heterogeneity of the individuals in the company with regard to race, religion, disability, sexual orientation or gender among others.

Health & Safety

The supplier shall comply with applicable occupational health and safety laws and regulations and provide a safe and healthy working environment to prevent accidents and injury to health.

Business Continuity Planning

The supplier shall be prepared for any disruptions of its business (e.g. natural disasters, terrorism, software viruses, and medical/infectious diseases).

Improper Payments/Bribery The supplier and its subcontractors, other business partners, third parties or agents involved in the products and services described in the main contract shall comply with the UK Bribery Act 2010, enacted from 1st July 2011 and international anti-bribery standards as stated in the United Nations’ Global Compact and local anti-corruption and bribery laws. In particular, the supplier may not offer services gifts or benefits to South West Yorkshire Partnership NHS Foundation Trust employees in order to influence the employee’s conduct in representing the South West Yorkshire Partnership NHS Foundation Trust.

Environment

The supplier shall comply with all applicable environmental laws, regulations and standards as well as implementing an effective system to identify and eliminate potential hazards to the environment.

Business Partner Dialogue

The supplier shall communicate the above mentioned principles stated in the Code to its subcontractors and other business partners involved in the products and services described in the main contract and motivate them to adhere to the same standards.

Compliance with the Supplier Code of Conduct

The South West Yorkshire Partnership NHS Foundation Trust reserves the right upon reasonable notice to check compliance with the requirements of the Supplier Code of Conduct. The South West Yorkshire Partnership NHS Foundation Trust encourages its suppliers to implement their own binding guidelines for ethical behaviour.

The supplier agrees that it is responsible for controlling its own supply chain and that it shall encourage compliance with ethical standards, human rights, health and safety and environmental standards by any subsequent supplier of goods and services that are used by the supplier when performing its obligations under this Agreement.

Any breach of the obligations stipulated in this Supplier Code of Conduct is considered a material breach of contract by the supplier.

Appendix 7

SOUTH WEST YORKSHIRE PARTNERSHIP NHS FOUNDATION TRUST CERTIFICATE AS TO CANVASSING

Tender Ref: T0 XXXXXXXX

To: South West Yorkshire Partnership NHS Foundation Trust

Tender for: The Provision of XXXXXXXX

I/WE hereby certify that I/we have not canvassed or solicited any Member, Officer or Employee of the Trust in connection with the award of this Tender or any other Tender or proposed Tender for the Goods or Services and that no person employed by me/us or acting on my/our behalf has done any such act.

I/WE further hereby undertake that I/we will not in the future canvass or solicit any Member, Officer or Employee of the Trust in connection with the award of this Tender or any other Tender or proposed Tender for the Goods or Services and that no person employed by me/us or acting on my/our behalf will do any such act.

Signed ------Status ------

On behalf of ------

Tender Reference & Tender Title Entered Here:

Appendix 8 Equality Impact Assessment

Equality Impact Evidence based Answers & Actions: Assessment Questions: 1 Name of the policy that you Standards of Business Conduct Policy are Equality Impact Assessing

To ensure that employees adhere to the expected 2 Describe the overall aim of standards of business conduct required of NHS staff your policy and context? and that there is an appropriate means of declaring legitimate interests Who will benefit from this policy? All staff and the Trust

3 Who is the overall lead for this Director of Human Resources and Workforce assessment? Development

4 Who else was involved in HR Managers, Managers and Staff Side Organisations conducting this assessment?

5 Have you involved and Appropriate managers in Finance and Procurement consulted service users, were consulted as well as staff side organisations carers, and staff in developing this policy?

What did you find out and how N/A have you used this information?

6 What equality data N/A have you used to inform this equality impact assessment? 7 N/A What does this data say?

8 Taking into account the Where Negative impact has been identified please information gathered. explain what action you will take to remove or Does this policy affect one mitigate this impact. group less or more favourably than another on the basis of: If no action is to be taken please explain your reasoning. YES NO

Race N Disability N Gender N Age N Sexual Orientation N Religion or Belief N Transgender N Marriage and Civil N Partnership Pregnancy and N Maternity Carers N What monitoring 9 arrangements are you implementing or already have in place to ensure that this policy:

 promotes equality of N/A opportunity who share the above protected characteristics  eliminates N/A discrimination, harassment and bullying for people who share the above protected characteristics  promotes good relations between N/A different equality groups,

10 Have you developed an Action N/A Plan arising from this assessment?

11 Who will approve this Executive Management Team assessment and when will you publish this assessment.

12 Once approved, please forward a copy of this assessment to the Equality & Inclusion Team: [email protected]

Appendix 9 Version Control Sheet

This sheet should provide a history of previous versions of the policy and changes made

Version Date Author Status Comment / changes 1.0 Aug 03 James Corson Superseded 2.0 May 12 James Corson Superseded An extensive rewrite and change of title. It incorporates elements of the Barnsley PCT policy and reference to the Bribery Act and the revised CIPS professional Code. It also now makes reference to the Code of conduct for NHS Managers. This single procedure now replaces all the previous disciplinary documents for the forerunner organisations: Barnsley, Calderdale and Wakefield PCT’s 2.0a Apr 13 James Corson Superseded Links embedded in the document updated 2.0b Dec 13 James Corson Superseded Addition of further information on Fraud/bribery/corruption following a Focussed Quality Assessment 2.0c Feb 15 James Corson Current Further clarification of when staff can engage in outside employment. See para 5.8