Derbyshire Community Health Servicesis responsible for providing NHS Services in the Derbyshire County area and is hosted by Derbyshire County Primary Care Trust.

Standards of Business Conduct PolicyIncorporating: Gifts and Hospitality

SponsorshipDeclaration of Interests

Document History

Version Date: December 2012

Version Number: 3.0

Status: Approved

Next Revision Due: December 2014

Developed by: Chief Executive’s Department

Policy Sponsor: Deputy Trust Secretary/Head of Medicines Management

EQIA completed:(including reference number)

EIA/MCURD/13042012

Approved by: Quality Services Committee

Date approved: December 2012

Revision History

Version Revision date

Summary of Changes

3.0 March 2012 Organisational Changes Inclusion of Bribery Act 2010 Inclusion of process and form for providing

hospitality Merger of Sponsorship and Standards of

Business Conduct Policies

To help ensure that this policy is as accessible as possible, it has been left-aligned and is available in alternative formats and languages. To obtain a copy of the policy in large print, audio, Braille (or other format) or in a different language, please contact The Communications Team by e-mail (communications@dchs.nhs.uk) or telephone 01773 525099.

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Derbyshire Community Health Servicesis responsible for providing NHS Services in the Derbyshire County area and is hosted by Derbyshire County Primary Care Trust.

TABLE OF CONTENTS

1. Background..............................................................................................4

2. Aim / Purpose...........................................................................................5

3. Definitions and an explanation of terms used......................................4

4. Intended Users.........................................................................................6

5. General......................................................................................................6

5.1 Breaches of Policy.............................................................................7

6. Gifts and Hospitality................................................................................8

6.1 Hospitality offered to DCHS or their employees.............................8

6.2 Hospitality offered by DCHS.............................................................8

6.3 Gifts.....................................................................................................9

6.4 Business Gifits.................................................................................10

6.5 Donations .........................................................................................10

6.6 Wills ..................................................................................................11

6.7 Declaring Business Interests..........................................................11

6.8 Nursing/Care Homes........................................................................12

6.9 Preferential Treatment in Private Transactions ............................12

6.10 Contracting for Goods and Services ...........................................12

6.11 Private Practice/Outside Employment.........................................13

6.12 Inspection of Equipment...............................................................13

6.13 Recruitment and Selection of Employees....................................14

6.14 Confidentiality ...............................................................................14

7. Sponsorship...........................................................................................14

7.1 Suitability for Sponsorship.............................................................15

7.2 Requirement for Sponsorship.........................................................15

7.3 Requirements for Staff when dealing with Non-NHS Patients.....16

7.4 Requirements for staff when dealing with Non-NHS

Organisations/ Pharmaceuticals.....................................................16

7.5 Funding from Non-NHS organisations for educational

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events...............................................................................................17

7.6 Projects involving collaborative working with a Non-NHS

Organisation.....................................................................................17

8. Support and Additional Contacts.........................................................18

9. References and Associated Documents..............................................18

9.1 References .......................................................................................18

9.2 Associated Documents ...................................................................19

10. Trust Accountability/Responsibilities..................................................19

10.1 The DCHS Way Expectations........................................................19

10.2 Individuals......................................................................................19

10.3 Committees.....................................................................................22

11. Monitoring and Performance Management.........................................23

12. Equality & Impact Statement .............................................................23

13. Appendices..................................…………………...…………………….25

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1. Background

It is a long established principle that public sector bodies, including the NHS, must be scrupulously impartial and honest in the conduct of their business and that as an employee of the Trust you should remain beyond suspicion.

The introduction of the Bribery Act 2010 places responsibility on the organisation to ensure robust procedures are in place to prevent bribery and corruption taking place within the Trust. The Trust believes it is the responsibility of all employees 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.

All individuals within healthcare organisations are capable of being prosecuted for taking or offering a bribe. There is no maximum level of fines that can be imposed and an individual convicted of an offence can be imprisoned for up to ten years. The Bribery Act (2010) came into force on 1 July 2011 and creates five basic offences:

1.1 Bribing another person with the intention of inducing that person to perform a relevant function or activity improperly or to reward that person for doing so

1.2 Accepting a bribe with the intention that a relevant function or activity should be performed improperly as a result

1.3 Bribing a foreign public official1.4 A Director, manager or officer of a commercial organisation allowing or

turning a blind eye to bribery within the organisation (The question of whether any particular organisation falls within the definition of a “commercial organisation” will be considered on the facts in individual cases. It is, however, reasonable to assume that an NHS Trust or NHS Foundation Trust could be deemed a “commercial organisation” for the purpose of this Act)

1.5 Failing to prevent bribery – where a person (including employees, agents and external third parties) associated with a relevant commercial organisation bribes another person intending to obtain or retain a business advantage. This is a strict liability offence which can be committed by the organisation unless it can show, in its defence, that it had adequate procedures in place to prevent bribery

As an employee you have a responsibility to respond to other employees, patients and suppliers impartially, to achieve value for money from the public funds with which you are entrusted and to demonstrate high ethical standards of personal conduct. Recognising that statements of this nature cannot allude to every possible contingency, it is assumed that all employees are able to distinguish between acceptable and unacceptable behaviour in the conduct of their duties. Staff must not misuse or make available official “commercial in confidence” information to persons or organisations not reasonably needing access, particularly if its disclosure would prejudice the principle of a purchasing system for the Trust based on fair competition. If, however you are uncertain about the correctness or propriety of any proposed business

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transactions, or in relation to hospitality, declaration of interests or commercial sponsorship then you must seek guidance from a senior manager.

2. Aim/Purpose

The aim of this policy is to:

Provide you as an employee of Derbyshire Community Health Services NHS Trust with clear guidance to ensure that you are aware of your responsibilities in relation to the conduct of business within the NHS and the consequences of failing to observe those responsibilities.

3. Definitions and an Explanation of Terms Used

Gifts – the transfer of something without the expectation of payment

Hospitality – the reception and entertainment of individuals

Commercial Sponsorship – 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.

Accountability - 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.

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 affecting service users, employees and suppliers and in the use of information acquired in the course of NHS duties.

Openness – Means that there should be sufficient transparency about NHS activities to promote confidence between the Trust and its employees, service users and the public.

Under the Bribery Act 2010 improper performance is defined in summary as‘performance which amounts to a breach of an expectation that a person will act in good faith, impartially, or in accordance with a position of trust’. The offence applies to bribery relating to any function of a public nature,

connectedwith a business, performed in the course of a person’s employment or performed on behalf of a company or another body of persons. Thereforebribery in both the public and private sectors is covered by the Act.

It is an offence for a person to offer, promise or give a financial or other advantage to another person in one or two cases:

Case 1 applies where that person intends the advantage to bring about the improper performance by another person of a relevant function or activity or to reward such improper performance.

Case 2 applies where the person knows or believes that the acceptance of the advantage offered, promised or given in itself constitutes the improper performance or a relevant function or activity.

4. Intended Users

Table of Intended Users:All DCHS NHS Trust employed staff, including management staff, seconded and sessional staff, all grades of community hospital and clinic staff as well as staff based within GP surgeries such as District Nurses and Health Visitors. It covers any interaction with Non-NHS organisations such as pharmaceutical companies.

DCHS Chief Executive’s Department YES

Finance Performance and Information YESQuality YES

Strategy YESOperations YES

People and Organisational Effectiveness YESMedical Directorate YES

Leicester Employees YESGovernors YES

Within this policy where it states “all employees”, please note, that it relates to all the employees who are highlighted in the table above

5. General

DCHS staff must NOT: abuse their past or present official position to obtain preferential

rates for private deals unfairly advantage one competitor over another or show favouritism

in agreeing to sponsorship misuse or make available official ‘commercial in confidence'

information accept any inducements or inappropriate hospitality or gifts

DCHS staff MUST: complete the relevant forms appropriately

Declare their interests which could include: Shares Event attendance Speakers at events Funded focus groups Article writing Membership of advisory panels of pharmaceutical companies Funded questionnaires Close family members employed by a relevant organisation

You should refer to the Trust Whistleblowing Policy for guidance on how to report concerns that you do not feel able to raise through normal reporting channels.

5.1 Breaches of Policy

5.1.1 Alleged breaches of this policy will be investigated under the terms of the Trust Disciplinary Procedure.

5.1.2 Employees are expected to be open and honest in making declarations in accordance with this policy. In accordance with the Trust’s Fraud and Corruption Policy all suspicions of fraud and/or corruption occurring within the NHS will be referred to the Trust’s Local Counter Fraud Specialist and or NHS Counter Fraud Service for formal investigation. Should evidence of fraud or corruption be discovered the Trust may initiate disciplinary, criminal and civil sanctions as appropriate. Please see Section 8.0 for details on how to contact the Trust’s local Counter Fraud Specialist.

5.1.3 Under the Prevention of Corruption Acts, 1906 and 1916, it is an offence for employees corruptly to accept any gifts or consideration as an inducement or reward for:

Doing, or refraining from doing, anything in their official capacity; or Showing favour or disfavour to any person in their official capacity.

Under the Prevention of Corruption Act 1916, any money, gift or consideration received by an employee in public service from a person or organisation holding or seeking to obtain a contract will be deemed by the courts to have been received corruptly unless the employee proves the contrary.

5.1.4 The Bribery Act creates the offence of offering or receiving bribes and of failure to prevent a bribe being paid on an organisation’s behalf. It makes it an offence for a person to offer, promise or give a financial or other advantage to another person if:

a) That person intends the advantage to bring about the improper performance by another person of a relevant function or activity or to reward such improper performance;

or

b) That person knows or believes that the acceptance of the advantage offered, promised or given in itself constitutes the improper performance of a relevant function or activity.

The maximum sentence for bribery committed by an individual is 7 to 10 years imprisonment. The offence applies to bribery relating to any function of a public nature, connected with a business, performed in the course of a person’s employment or performed on behalf of a company or another body of persons. Therefore bribery in both the public and private sectors is covered by the Act.

You should be aware that breaches of these Acts renders you liable to prosecution which may also lead to loss of employment and pension rights in the NHS.

6. Gifts and Hospitality

6.1 Hospitality offered to DCHS or their employees

Modest hospitality is an accepted courtesy of a business relationship. However, the recipient, whether the Trust or an individual, should not reach a position whereby the Trust or individual might be deemed by others to have been influenced in making a business decision as a consequence of being offered or accepting of such hospitality; the frequency and/or scale of such hospitality should not be significantly greater than the Trust or the recipient’s employer would be likely to provide in return.

Examples of modest hospitality which may be accepted include: 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 Trust Hospitality that arises during attendance at a relevant

conference or course, where it is clear that the hospitality is corporate rather than personal

Staff may accept modest light refreshments and working meals which are clearly integral to a training course or meeting without making a declaration.

All other hospitality must be declared on the form provided at Appendix 1- (Hospitality Register) and returned to the Chief Executive’s Department at the earliest opportunity following the offer/receipt for inclusion on the gifts and hospitality register. The person making the declaration is advised to also retain a photocopy of the form for their own record.

6.2 Hospitality offered by DCHS

The proposed use of public funds for hospitality must be considered as highly exceptional and unusual. Inappropriate or excessive spending can cause lasting damage to the reputation of the Trust and the NHS. There are also potentially serious implications for individual employees and the Trust arising

from the Bribery Act (2010). Hospitality is not the “norm” when conducting business; it should be provided only when necessary and appropriate. All expenditure on hospitality provided should be capable of justification to the Trust’s internal and external auditors.

The provision of very modest hospitality is usually an acceptable courtesy (for example, where members of the public not employed by DCHS attend or support Trust events in their own time and with no financial benefit to them or a meeting where the provision of light refreshments may be appropriate). With the exception of extremely minor ‘hospitality’ (for example, tea, coffee and soft drinks to a small number of people) all hospitality (appropriately provided) must be declared at the earliest opportunity following the offer/receipt using the form at Appendix 2 – (Record of Hospitality provided by DCHS to third parties) and returned to the Chief Executive’s Department for inclusion on the Gifts and Hospitality Register. The person making the declaration is advised to also retain a photocopy of the form for their own record.

Examples of inappropriate provisions of hospitality would include those circumstances where the amount of money spent would be excessive (regardless of the nature of the event or the recipients) or where (regardless of the size of the expenditure) the nature of the recipient (for example, external companies) would make the provision of hospitality unacceptable.

Under no circumstances whatsoever must hospitality be provided to individuals or organisations where this may give rise to concern or criticism that undue influence may be sought or obtained.

6.3 Gifts

Personal gifts of any kind must not be solicited under any circumstances. Small tokens of gratitude from patients or their relatives may be accepted.

If the value of the gift is higher than £20, this must be entered onto the gifts and hospitality form and sent to the Chief Executive’s Department at the earliest possible opportunity following receipt for inclusion on the gifts and hospitality register – please see Appendix 3 – (Gifts and Donations Register). Gifts with a value of higher than £20 that are declined by the member of staff must also be recorded on the form, clearly stating in the “Item accepted” column that the gift was declined. The person making the declaration is advised to also retain a photocopy of the form for their own record.

If a member of staff is in any doubt regarding the acceptance of a personal gift, they must speak to their line manager in the first instance at the earliest possible opportunity and a written record of advice provided by the line manager retained if in the manager’s opinion the gift is not considered to be one which must be declared and recorded in accordance with this policy.

Personal gifts with a value of less than £20 do not need to be recorded on the form; however gifts must be declared if several small gifts worth a total of over £100 are received from the same or closely related source in a 12 month period.

Under no circumstances whatsoever shall an individual accept money. Where such an offer is made it must be declined, but advice can be offered on how the person making the offer can make a donation to DCHS’ Charitable Trust fund (see section 6.5).

6.4 Business Gifts

It is regarded by DCHS as best practice for staff to not accept gifts that bear a logo of a commercial company, product or brand. These may be deemed to be promotional and not in keeping with the image of the Trust. Such gifts may include; pens, note-pads, mouse mats, mugs, calendars and calculators for example. They must be politely but firmly declined.

Small value items offered to staff as part of health promoting campaigns would not normally be in conflict with this section of the policy because these are public health campaigns that DCHS might support. A campaign that might be perceived to be political in nature (even if it is health-related) is one where staff must think carefully before accepting any gifts that are so branded: some people might support the work of a particular organisation, some may not and the potential for DCHS to be perceived to be supporting one particular campaign over another could be most inappropriate.

Where small value items i.e. less than £20 in value, are received at training courses, conferences, seminars or part of a "promotional" exercise that have received the approval of DCHS, either through its sponsorship procedures or by purchasing places at these events, they do not need to be declared on the register.

The policy is not aimed at preventing the activities of any of the recognised trade unions that represent DCHS staff and therefore union-branded products would not normally be seen to be contrary to the organisations’ interests or this policy.

6.5 Donations

This section should be read in conjunction with DCHS’ Financial Procedure DFP22 – Charitable Funds Staff who are offered donations must proceed via DCHS’ Charitable Trust fund procedures, as follows: -

i) Identify and agree the donor’s intentions.ii) Advise the donors of any appropriate existing funds including General

Purpose funds so as to avoid, where necessary, the need for new funds to be created.

iii) Avoid accepting donations with unethical, impossible, undesirable or administratively difficult objectives (for example, conditions that discriminate against people on lifestyle grounds, or (perhaps) which have recurrent revenue implications).

Where doubts exist staff must refer these to the Patients Monies and Charitable Funds Manager for advice before accepting the donation. Further advice can also be obtained directly from the Director of Finance, Performance & Information. The Trust Board may need to give final approval before accepting some donations.

6.6 Wills

6.6.1 If you have been made aware that a patient or client intends to include you in their Will a bequest to you of money or property this should be discouraged or at least ask that the Trust’s Charitable Funds are made the beneficiary of the bequest.

6.6.2 You should report any such circumstances to your line manager immediately.

6.6.3 If you benefit from a bequest this must be formally reported in writing immediately to your line manager.

6.6.4 Under no circumstances is it acceptable for you as an employee of the Trust to retain monies left to you in a bequest. These must be donated to either Trust Charitable Funds or a charity of your choice.

6.7 Declaring Business Interests

6.7.1 A declaration of business interest should be made prior to the commencement of employment. Failure to do so may render you liable to dismissal. Any changes during the course of your employment should be immediately notified in writing to your manager.

6.7.2 You must make your line manager aware of any circumstances where you or someone closely associated with you, has a significant financial interest directly or indirectly or holds a position of authority in any business, voluntary or charitable body, which has or may compete for a contract to supply goods or services to the Trust.

6.7.3 If you are in doubt as to whether to declare an interest you should consider the following questions:

Am I or might I be in a position where I, my family or friends could gain from the connection between my private interests and my employment?

Do I have access to information which could influence purchasing or service commissioning decisions?

Could my outside interests be in any way detrimental or be seen to be detrimental to the NHS or to service users interests?

6.7.4 If you are a senior manager, a budget holder or are employed in the private health sector in addition to your NHS post you will be required to complete a declaration of interest form on an annual basis which will be held on your personal file by your line manager and a copy sent to the Chief Executive’s Department for entry on a central DCHS register.

(see Appendix 5 – Declaration of Interests) and send a copy into the central register within the Chief Executive’s Department. Notwithstanding this you must declare any change to your interests as they occur.

6.7.5 If you are not required to make an annual formal declaration you must still complete a declaration of interest form if any potential conflict arises.

6.8 Nursing/Care Homes

6.8.1 If you are involved in the discharge of patients to care homes and may be involved in supporting families to find suitable placements for that patients individual clinical needs you should declare an interest if you are involved with a care home.

6.9 Preferential Treatment in Private Transactions

6.9.1 You must not seek or accept preferential rates or benefits in kind for private transactions with companies with which you have had or may have dealings with on behalf of the Trust (this does not affect local or nationally agreed employee discount or benefits schemes).

6.9.2 You must notify your line manager of any offers of preferential rates or other inducements made to you by such companies in an attempt to influence purchasing or commissioning decisions.

6.10 Contracting for Goods and Services

6.10.1 If you sign purchase orders or place contracts for goods and services you are expected to adhere to the standards of conduct detailed in the Ethical Code of the Institute of Purchasing and Supply (see Appendix 6 – Institute of Purchasing and Supply – Ethical Code)

6.10.2 You are expected to adhere to Trust Standing Orders and Standing Financial Instructions at all times.

6.10.3 You must ensure 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 requirements. This applies to all potential contracts whether or not there has been a previous contract or business relationship.

6.10.4 You should show no special favour to current or former Trust 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.

6.10.5 Contracts may be awarded to such businesses where they are in fair competition against other tenders you must ensure and be able to demonstrate that the selection process was conducted impartially and

that any employee known to have an interest played no part in the selection.

6.10.6 All potential contractors must be warned of the consequences of engaging in corrupt practices involving Trust employees by the inclusion of a notice in the tender documentation.

6.10.7 If an organisation offers to sponsor a post (fully or partially) or an item of equipment or donate money you should make clear to that organisation that this will have no effect on future purchasing decisions.

6.10.8 Under no circumstances may you on behalf of the Trust agree to “linked deals”, whereby sponsorship/donations are dependent on the purchase of particular products or supply from particular sources.

6.11 Private Practice/Outside Employment

6.11.1 Consultants, Associate Specialists, Medical and Dental Professionals are permitted to carry out private practice subject to the provisions of their Trust contract of employment and their NHS Terms & Conditions of Service. Private work must not take place during NHS paid time. Paid time is considered to include payments of NHS sick pay arising as a result of an employee declaring that they are unfit for work due to sickness, whether medically or self-certified.

6.11.2 Other employees may undertake private work provided this work does not conflict with your employment with the Trust or take place during your contracted hours with the trust. Outside employment must not take place during NHS paid time/contracted hours. Paid time is considered to include payments of NHS sick pay arising as a result of an employee declaring that they are unfit for work due to sickness, whether medically or self-certified.

6.11.3 You should seek the permission of your line manager and if appropriate the relevant Head of Service or Assistant Director before taking on outside work if there is a risk of conflict of interest (See also HRP02 Secondary Working Policy)

6.11.4 You must never in the course of your employment with the Trust ‘advertise’ to patients/clients your private work.

6.11.5 You should always seek prior permission from the relevant Head of Service before accepting consultancy work or before agreeing to lecture or speak for a fee at seminars/conferences.

N.B. The Trust has additional arrangements which have to be in place if an individual is undertaking private work on Trust premises, or using Trust equipment or resources – please speak to your line manager if this applies to you.

6.12 Inspection of Equipment

6.12.1 If it is considered necessary for you to travel to locations other than those of the Trust to inspect equipment prior to purchase all expenses must be paid for by the Trust.

6.12.2 You must turn down any offers from suppliers as acceptance could jeopardise the integrity of the purchasing decision.

612.3 Approval must be sought from the relevant Assistant Director for any overseas visits.

6.13 Recruitment and Selection of Employees

6.13.1 All applicants for employment with the Trust, including current employees must declare relationships with other employees of the Trust.

6.13.2 You must not participate in the selection process for any vacancy where any applicant has declared a relationship to you.

6.13.3 You must not use your position to try and influence recruitment decisions for any vacancy where an applicant has declared a relationship to you.

6.13.4 You must not use your position to provide any candidate who has declared a relationship to you with additional information not available to other candidates which would give them an unfair advantage.

6.14 Confidentiality

6.14.1 You must not disclose the private affairs or confidential information of the Trust to any unauthorised person.

6.14.2 You must not use for your own purposes any information acquired in relation to the Trust’s business, e.g. details of contracts, details of budgets, details of business/strategic plans.

6.14.3 You must not misuse or make available official “commercial in confidence” information to persons or organisations not reasonably needing access, particularly if its disclosure would prejudice the principle of a purchasing system for the Trust based on fair competition.

7. Sponsorship

Collaborative partnerships with industry can have a number of benefits. An important part of that joint working will be a transparent approach to any sponsorship proposed to DCHS. If any such partnership is to work there must be trust and reasonable contact between the sponsoring company and DCHS. Such relationships, if properly managed, are of mutual benefit to the organisations concerned.

The House of Commons Health Committee Report on the Influence of the Pharmaceutical Industry acknowledges that the UK pharmaceutical industry conducts much excellent research, produces products that contribute to health, and is of great economic importance, but its influence is such that it dominates clinical practice.

Almost all the literature available shows that the more doctors rely on commercial sources of information, the less appropriate and less cost-effective are their prescribing decisions. Pharmaceutical companies see promotion of their products as important in influencing prescribing behaviour and continue to spend much of their revenue on this activity. Whilst most of the evidence focuses on doctors, pharmaceutical companies target other health care professionals including Derbyshire Community Health Services NHS Trust (DCHS) staff, many of whom will have supplementary/independent prescribing status.

7.1 Suitability for Sponsorship

7.1.1 Sponsorship will be considered for the following:

Audit work Research Publications Training and other educational resources Provision of facilities (i.e. for meetings/seminars/training) Provision of free services (i.e. speakers)

7.1.2 Sponsorship will not be accepted for:

Pharmaceuticals, reagents, appliances, diagnostics or equipment which may influence a change in prescribing behaviour. This includes, for example, a sponsorship arrangement to fund the purchase of blood glucose monitoring machines that would affect the decision to purchase strips for those machines.

Direct funding of DCHS staff posts.

7.2 Requirements for Sponsorship

7.2.1 All agreements must be transparent, open to scrutiny and be a matter of public record.

7.2.2 Sponsorship dealings must not create inappropriate links or images of the Trust in the minds of purchasers, patients or the general public. For example the sponsoring organisation shall not use the name of the Trust including logos or its employees or services to infer endorsements of products or activities of the organisation without explicit agreement.

7.2.3 The sponsoring organisation cannot promote its products through the work it is supporting by direct advertisement (except by promotional stands as appropriate at sponsored meetings).

7.2.4 Clinical decisions must always be made in the best interests of patients. No agreements are acceptable which compromise clinical judgement.

7.2.5 Clinical aspects, such as guidelines and patient information, must always be under local control. Where local guidelines do not currently exist, development of guidelines or protocols will be co-ordinated via the appropriate Trust group or committee.

7.2.6 Sponsorship arrangements which may allow non-NHS personnel access to confidential information, such as patient records, are not permitted.

7.3 Requirements for staff when dealing with Non-NHS organisations

All NHS staff are expected to: ensure that the interests of patients remain 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 whilst always ensuring value for money.

7.3.1 No member of staff shall engage with a Non-NHS organisation or representatives without approval from their line manager.

7.3.2 Staff from non-NHS organisation will only be seen by appointment.

7.4 Requirements for staff when dealing with Non-NHS organisations – Pharmaceuticals

7.4.1 Only products currently on the Primary Care or Derbyshire hospital formularies may be promoted. Any information regarding new products or products not currently on these formularies or if unsure should be directed to the Head of Medicines Management or nominated representative. See: Derbyshire Medicine Management Prescribing and Guidelines

7.4.2 Sponsored activity which may be associated with influencing the use of pharmaceuticals, diagnostics, reagents, appliances, or other associated equipment must be approved by the Head of Medicines Management or nominated representative. This arrangement will apply to any Non-NHS organisation who manufacture and/or promote pharmaceuticals including associated divisions of their business irrespective of the nature of activity to be sponsored.

7.4.3 Representatives must not approach any prescribers unless requested to do so by the Medical Director or the Head of Medicines Management or nominated representative.

7.4.4 Non-NHS organisation representatives must not visit wards or departments unless previously approved by the Head of Medicines Management or nominated representative.

7.4.5 For each authorised visit to a ward or department, the appropriate pharmacist responsible for that area must be notified. The pharmacist must be given the opportunity to be present on any occasion where representatives have been invited to talk to DCHS staff.

7.4.6 No supplies or samples of products (pharmaceuticals/appliances/diagnostics) must be left in the hospital/clinic/other DCHS premises, nor be accepted by any DCHS staff employee unless approved by the Head of Medicines Management or nominated representative.

7.4.7 No indication on prescribing data/usage or whether a product is stocked in the hospital pharmacy must be given without the approval and confirmation of the Head of Medicines Management or nominated representative.

7.4.8 Representatives must not approach DCHS prescribers in order to ‘lobby’ for decisions to be made in favour of their products.

7.4.9 Staff organising sponsorship should be aware of the Association of the British Pharmaceutical Industry Code of Practice (http://www.abpi.org.uk) and are encouraged to report any possible breach to the Head of Medicines Management or nominated representative.

7.5 Funding from Non-NHS organisations for educational events

7.5.1 The policy applies equally to funding received to enable “in-house” educational meetings to be arranged as well as DCHS staff being funded to attend external educational meetings.

7.5.2 If funding is not available from within DCHS, then Appendix 7 – (DCHS NHS Trust Agreement for Non-NHS Funding of Educational Events) and 9 – (Check List for Assessing Education Events and Collaborative Working) must be submitted.

7.5.3 Any product to be promoted at the meeting must be on the appropriate Primary Care or Derbyshire hospital formularies, and not be directly relevant to the subject of the meeting. The method of promotion should be agreed prior to the meeting taking place.

7.5.4 Non NHS promotional stands should preferentially be placed outside of the room(s) where the event is to take place, for example in a foyer. In all cases non NHS promotional stands will be removed once the event has commenced.

7.5.5 No employee or associated representative from a Non-NHS organisation will be allowed to be a delegate to the event without written approval from the Head of Medicines Management or nominated representative. If the Non-NHS organisation is not a

pharmaceutical company the Head of Medicines Management will discuss with the Chief Executive’s Department

7.6 Projects involving collaborative working with a non-NHS Organisation

7.6.1 Collaboration between DCHS and a non-NHS organisation shall be on the basis of a signed written agreement defining the exact nature of the support provided – see Appendix 8 – (DCHS NHS Trust Agreement for Collaborative Working) and Appendix 9- (Checklist for Assessing Education Events and Collaborative Working).

7.6.2 The written agreement must clearly specify the benefits to the NHS, DCHS and its patients arising from any project involving collaborative working. The benefits to the non-NHS organisation must also be explicit.

7.6.3 All agreements must include a ‘break’ clause, enabling the termination of the agreement at short notice. This should outline the repercussions of a non-NHS organisation breaking the terms of the signed agreement.

7.6.4 The identity of any patient or other confidential information will not be made available to the non-NHS organisation except as listed in the signed written agreement.

7.6.5 Reports or information cannot be used elsewhere without the permission of the Trust.

8. Support and Additional Contacts

Trust Secretary – Babington Hospital 01773 525065Deputy Trust Secretary - Babington Hospital 01773 525007

Local Counter Fraud Specialist – Tel 0115 8835323

Head of Medicines Management - 01246 253056

For further advice on Charitable Trust funds please contact:

Patient Monies and Charitable Funds Manager – St Mary’s Court 01246 253034

9. References and Associated Documents

Bribery Act 2010Financial Procedure DFP22 – Charitable Funds

http://share.derbyshirechs.nhs.uk/sites/dchs-pp/Pages/nonclinical.aspxCounter Fraud Policy

Association of the British Pharmaceutical Industry Code of Practice (http://www.abpi.org.uk) (see Appendix 8)

9.1 References

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

Institute of Purchasing and Supply – Ethical Code Code of Conduct for NHS Managers 2002 First Report of the Committee on Standards in Public Life (May

2005) Combined Code of Conduct and Accountability for the Trust Board The NHS Constitution The Bribery Act 2010

9.2 Associated Documentation

Code of Conduct for Trust Board Members Code of Conduct for Governors Counter Fraud Policy Standing Financial Instructions (SFI’s) General Code of Conduct Whistle Blowing Policy Protocol for Local Counter Fraud Specialist (LCFS) Disciplinary Procedure Secondary Employment Policy

10. Trust Accountability / Responsibilities

10.1 The DCHS Way Expectations:

What we can all expect from DCHS: Share and support us in understanding our vision, values and priorities Be clear as to what is expected of us and what our part is to play in the

organisation Support us to deliver our job in the best way Manage and support us to maximize our performance Communicate with us in a timely, open and honest way Listen to us and involve us in decision making Respect and value diversity

What DCHS can expect from all of us:

Put patients at the heart of what we are doing, promoting their health at every opportunity

Go to the extra mile for patients, carers, colleagues and the good of the organisation

Continuously improve our performance and our services

Eliminate waste and ensure we work as efficiently and flexibly as possible

Live the DCHS values and behaviours Fulfil the requirements of our professional standards Take responsibility for promoting the reputation and image of DCHS at

every opportunity

10.2 Individuals:

10.2.1 Chief Executive

The Chief Executive has responsibility from the DCHS Board for ensuring that there are safe and effective systems in place to deliver high quality services.

10.2.2 Director of Operations

The Director of Operations is responsible for the high quality, efficient and effective community services provided by the four Operational divisions within the Trust, ensuring that they meet and exceed performance standards.

10.2.3 Director of Quality / Chief Nurse

The Director of Quality / Chief Nurse is responsible for the professional leadership of non-medical clinicians across the Trust and for ensuring the highest possible quality of care for patients and service users. The Director of Quality is also responsible for the development and implementation of effective strategies and systems to improve patient safety and patient experience across the Trust.

10.2.4 Director of Strategy

The Director of Strategy is responsible for developing and leading the Trust’s business development function, ensuring business opportunities and challenges are proactively identified and effectively managed to support delivery of the Trust’s strategy.

10.2.5 Director of People & Organisational Effectiveness

The Director of People & Organisational Effectiveness is responsible for providing visible, credible and effective leadership to the Trust in the development and delivery of a HR, workforce and organisational development strategy to support the delivery of both Trust strategies and objectives.

10.2.6 Director of Finance, Performance & Information

The Director of Finance, Performance & Information is responsible for providing leadership and management to the finance, information and performance functions and takes responsibility for the financial stewardship, probity and governance of the Trust’s resources.

10.2.7 Medical Director

The Medical Director is responsible for providing medical leadership and direction to the Trust Board to ensure that clinical issues are understood and appropriately drive the Trust’s strategic and

operational plans.

10.2.8 Chief Executive’s Department

The Chief Executive’s Department is responsible for maintenance of the central registers for gifts, hospitality, sponsorship and declaration of interests, for reporting of a summary of gifts, hospitality, sponsorship and declaration of interests to the Audit and assurance Committee and for providing advice on corporate governance issues.

10.2.9 Head of Medicines Management

The Head of Medicines Management is responsible for the safe provision of pharmaceutical services throughout the Trust and is responsible for the medicines management systems used by DCHS clinical staff. He should also provide the Trust Board with assurances that decisions on prescribing and sponsorship are made within a framework of probity.

10.2.10 Head of Service / Operational Managers

The Heads of Service and Operational Managers have a responsibility to ensure that the policy is implemented within their area and that their teams are aware of the policy and have received the appropriate training.

10.2.11 Employees

Professionally registered employees; all employees are accountable for their professional practice and hold individual responsibility to maintain their knowledge and skills.

All employees have a responsibility to be aware of and read policies appropriate to their roles and others where necessary. They should be aware of, and comply with, their responsibilities within the individual policies of the Trust.

10.2.12 Policy Sponsor

The policy sponsor is responsible for ensuring that:

the policy is developed in line with this framework; the policy is disseminated to its target audience; appropriate training is given in the use of the policy; the policy is properly implemented; its implementation is monitored and reviewed on a regular basis.

The policy sponsor for this policy is Head of Medicines Management / Deputy Trust Secretary.

10.2.13 Local Counter Fraud Specialist

The Local Counter Fraud Specialist is responsible for investigating matters involving fraud, corruption or bribery on behalf of the Trust, in accordance with the Fraud Policy.

10.2.14 Managers Role

It is the role of line managers to:

Ensure you are familiar with this and other Trust policies relating to the conduct of business within your service area of the Trust.

To abide by the principles contained within the Code of Conduct for NHS Managers 2002.

To provide advice and support to employees regarding the standards of business conduct expected of them.

10.2.15 Employees Role

Your responsibilities are to:

Ensure you are familiar with all Trust policies relevant to your responsibilities for the allocation and use of Trust resources;

Ensure that the needs of service users remain paramount at all times;

Be impartial and honest in the conduct of your official business;

Use the public funds entrusted to you to the best advantage of the service ensuring value for money;

Ensure that you do not abuse your official position for personal gain or for that of your family or friends;

Ensure that you do not seek to advantage or further your private business interests in the course of your official business;

Alert your manager/counter fraud should an individual attempt to offer you as an employee of the Trust financial benefits to secure a contract or preferential treatment (including employment);

Alert your manager/counter fraud if you suspect that another employee of the Trust has been offered/accepted such financial inducement. Provided this is raised in good faith you will be protected under the Trust’s Whistleblowing policy;

Complete declaration of interest forms.

10.3 Committees:

10.3.1 DCHS Board

The DCHS Board has ultimate responsibility for DCHS. The Board’s prime duty is to ensure good governance throughout the Trust and act in the best interests of the public for the services DCHS provides.

10.3.2 The Quality Business Committee (QBC)

QBC will be responsible for the Governance aspects of the Quality Business domain of the DCHS Way, on behalf of the Board and will shape, influence and provide overall assurance regardring the delivery of the Performance Framework, Financial strategy and investment, IM&T Strategy, Business Development Framework and Integrated Business Plan (IBP).

10.3.3 The Quality People Committee (QPC)

QPC will be responsible for overseeing the development of the People and Organisational Development Strategy, providing assurance to the Board that DCHS has the right staff, in the right place, doing the right things. This will include ensuring that staff are recruited, trained and qualified to do the roles required, monitor DCHS’ Quality People performance targets, ensure that effective workforce plans and development are in place and ensure DCHS has effective staff involvement and engagement. The Quality People Committee will have joint responsibility with the Quality Service Committee for developing and assuring equality and diversity activity.

10.3.4 The Quality Service Committee (QSC)

QSC will be responsible for shaping, influencing and providing overall assurance in relation to the quality of DCHS services. This will incorporate the three elements of quality governance i.e. – patient safety, the patient experience and the effectiveness of care in relation to patient outcomes. This will be achieved by working on the delivery of DCHS Quality Strategy and compliance against regulatory requirements and external scrutiny.

10.3.5 The Audit and Assurance Committee

The Audit and Assurance Committee is responsible for providing assurance to the Trust Board, through the oversight, assessment, review and scrutiny of functions, process and systems within the Trust to maintain a sound system of internal control.

10.3.6 Charitable Funds Group

The Charitable Funds Group is one of the key committees reporting into the Quality Business Committee. The group will oversee the day to day management of the Charitable Funds and any associated properties.

The Gropup has delegated authority from the Board, as Corporate Trustees, to make decisions regarding the utilisation of the funds and the investment of surplus funds in line with the scheme of delegation.

The Charitable Funds Group will support the Quality Business Committee in ensuring that high standards are maintained regarding the management of Charitable Funds and that the requirements of the Charity Commission are met.

11. Monitoring and Performance Management of the Policy

Minimum Requirement Monitoring Who Frequency Review Duties and responsibilities/ Equality Impact Assessment (EIA)

Review of policy

Policy Sponsor

2 Yearly – Policy review

Audit and Assurance Committee and Quality Service Committee

Summary of Gifts and Hospitality register and any non-compliance with the policy

Corporate Governance Report

Chief Executive’s Department

Quarterly Audit and Assurance Committee

Summary of Sponsorship and any non-compliance with the policy

Corporate Governance Report

Chief Executive’s Department

Quarterly Audit and Assurance Committee

12. Equality Impact Statement

We welcome feedback on this policy and the way it operates. We are interested to know of any possible or actual adverse impact that this policy may have on any groups in respect of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation

The person responsible for equality impact assessment of this policy is the Head of Medicines Management / Deputy Trust Secretary.

This policy has been screened to determine equality relevance for thefollowing equality groups: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation. The policy is considered to have low equality relevance and has had a Level 1 assessment completed.

Details of Hospitality

Date and Title of Event

Name and Address of Host

Organisation

Nature / Extent of Hospitality Received

Approximate total value of hospitality

being offered

Approval Granted by Manager

Please return to:Julie StottChief Executive’s DepartmentBabington Hospital Derby RoadBelper, Derbyshire, DE56 1WHDirect Line 01773 525007julie.stott@dchs.nhs.uk

25

Appendix 1 – Hospitality Register

Appendix 2 - Record of Hospitality Provided by DCHS to third parties (that is, External Organisation or Individuals not employed by DCHS)

Details of recipient of hospitality provided by DCHS

Ward/Department / Directorate providing Hospitality

Contact name and telephone number

Details of hospitality being offered

Full details of why the hospitality is being offered

Approximate total value of hospitality being offered

Approval Granted by:

Line manager (Level 1 Officer)

Signature Date

Please return to:Julie StottChief Executive’s DepartmentBabington Hospital Derby RoadBelper, Derbyshire, DE56 1WHDirect Line 01773 525007julie.stott@dchs.nhs.uk

Appendix 3 – Gifts and Donations Register

Please populate all fields as fully as possible, it is important to provide us with as much information as you can. This includes the estimated value of the item or service

Full name (print)

Place of work

Date Item Offered

Person/Company making the offer

Estimated Value

Item accepted

Fate of item Signature

Please return to:Julie StottChief Executive’s DepartmentBabington Hospital Derby RoadBelper, Derbyshire, DE56 1WHDirect Line 01773 525007julie.stott@dchs.nhs.uk

Appendix 4 - The Seven Principles of Public Life(Taken from the first report of the Committee on Standards in Public Life – May 2005)

SelflessnessHolders 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.

IntegrityHolders 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 official duties.

ObjectivityIn 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.

AccountabilityHolders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.

OpennessHolders 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.

LeadershipHolders of public office should promote and support these principles by leadership and example.

Appendix 5 - Declaration of Interests

For support at any stage in completing, please contact your Line Manager, Staff Partnership Representative or the Chief Executive’s Department.

I have read the Trust Standards of Business Conduct Policy, and confirm that;

1) I, my family, friends or associates do not at the present date have:either a controlling and/or significant interest in a business ((including a private company, public sector organisation, other NHS employer and/or voluntary organisation)

or a business relationship (remunerated or otherwise) or other activity or pursuit in an organisation which could become involved in the supply of goods or services to Derbyshire Community Health Services NHS Trust.

Please tick here if this statement applies to you (If circumstances change and I do have a declarable interest I understand it is my responsibility to compete another declaration of interest form).

2) I do have an interest to declare as set out below. I agree to notify the Trust of any changes to the interest declared below, by completing another declaration of interest form.

Please tick here if this statement applies to you

Declaration:a) I, my family, my friend(s) and/or associate(s) have an interest in the following company/organisation;

Name:............................................................................................……………………Address:

............................................................................................………………………

............................................................................................………………………

…………………………………………………………………………………………..

b) Please explain why you think you have an interest to declare. (e.g. - my spouse/partner is employed by the above mentioned company/organisation).

The interest in the above Company/Organisation is:

............................................................................................................................

...........................………………………………………………………………………

............................................................................................................................c) What position does the person who has the interest in the above company/organisation hold? (Director, Partner, Shareholder or Employee):

.............................................................................................................…………

d) When did this interest in the above company/organisation begin?

Date:.......................................................................................................………

e) As an employee of the Trust do you receive, directly/indirectly from the company/organisation you’ve mentioned:-

a) Remuneration Yes No Please tick as appropriate

b) Hospitality Yes No Please tick as appropriate

c) Expenses Yes No Please tick as appropriate

d) Other * Yes No Please tick as appropriate

*Please specify............................................................................................................................

……………………………………………………………………………………….…

f) Please complete the following section in block capitals.Your name: ...................................................................................……………………………..Job Title: ..................................................................................……………………………...Directorate: .................................................................…………………………………………

I confirm that I have read the Trust’s Standards of Business Conduct Policy and have declared all my interests in accordance with the terms of the Policy. I confirm that the information I have given is correct and complete and agree that the information I have supplied may be exchanged with third parties for the purpose of the prevention, detection and investigation of criminal and disciplinary offences.

Signed:..................................................……………………Date:.......................

Appendix 6 - Institute of Purchasing and Supply (IPS) – Ethical Code(Reproduced by kind permission of Institute of Purchasing and Supply)

1. Introduction

The Code set out below was approved by the Institute’s Council on 26 February 1977 and is binding on IPS members.

2. Precepts

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 with both the letter and the spirit of:

i. the law of the country in which they practice:ii. such guidance on professional practices 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.

3. Guidance

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 must 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.

d. Business Gifts

Business gifts, other than items of very small intrinsic value such as business diaries or calendars, should not be accepted.

e. Hospitality

Modest hospitality is an accepted courtesy of 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 recipient’s employer would be likely to provide in return.

When it is not easy to decide between what is and is not acceptable in terms of gifts or hospitality, the offer should be declined, or advice sought from the member’s superior.

Appendix 7 – DCHS NHS Trust Agreement for Non-NHS Funding of Educational Events

NOTE FOR DCHS MANAGERS: a copy of Appendix 9 must be submitted tooPLEASE COMPLETE SECTIONS MARKED WITH * BEFORE SUBMITTING

Agreement between DCHS NHS Trust and *                         insert name of non-nhs organisation here (The Sponsor)

Application for funding of £*           for *                         insert description of meeting here

1) The Sponsor will abide by the DCHS sponsorship policy for working with Non-NHS organisations.

2) Only products in the Derbyshire Hospitals or Primary Care formulary may be promoted at the meetings.

3) The Sponsor will contact the organisers prior to the meeting to confirm the products they wish to promote and will agree the method of promotion. These must be detailed as below for sponsorship to be considered by the Head of Medicines Management/Chief Executive’s Department

4) All speakers at the event will be asked to declare any commercial interests to the audience at the beginning of the event.

5) Non NHS promotional stands should preferentially be placed outside of the room(s) where the event is to take place, for example in a foyer. In all cases non NHS promotional stands will be removed once the event has commenced.

6) No employee or associated representative from a Non-NHS organisation will be allowed to be a delegate to the event without written approval from the Head of Medicines Management/Chief Executive’s Department. Approval for sponsorship is not approval for non-NHS delegate attendance.

Product to be sponsored Method of Promotion Agreed y/n

* *

* *

* *

* *

Name of DCHS Manager requesting sponsorship

Signature and DesignationDate

* * *

Name of Non-NHS organisation representative

Signature, Designation and Non-NHS organisation name

Date

* * *

To be completed by the Head of Medicines Management /Chief Executive’s Department only

Name of Head of Medicines Management or nominated representative/Chief Executive’s Department

Signature and date Approved?y/n

36

Appendix 8 – DCHS NHS Trust Agreement for Collaborative Working

NOTE FOR DCHS MANAGERS: a copy of Appendix 9 must be submitted tooPLEASE COMPLETE SECTIONS MARKED WITH * BEFORE SUBMITTING

Funding of: *                               eg, name of project

By: *                                         non-nhs organisation (The Sponsor)

Application for funding of £*               

*Please complete on a separate sheetBasis for the Work: Justification for the work, brief background, purpose and objectives of the work to be funded. To include the contribution from DCHS, if any, defining the work and audit / training / meetings to be held.Description of the Work and Personnel involved: Overall and detailed objectives, personnel / organisations involved, expected benefits and outcomes.Project Action Plan: Detailed description of the project to show how funding will be used and timescales.

1) The Sponsor agrees to abide by the DCHS NHS Trust sponsorship policy for working with Non-NHS organisations.

2) The Sponsor may only be involved to the extent defined in this agreement, consistent with DCHS's sponsorship policy for working with Non-NHS organisations.

3) Any reports resulting from the work may acknowledge The Sponsor’s contribution.4) Such reports will be used for the purposes described above. The Sponsor cannot use any

reports or information from this work without explicit permission from the Trust.

The Sponsor knows of no potential embarrassment that would accrue to DCHS as a result of this agreement. The Sponsor shall not use the name of DCHS including logos or its employees or services to infer endorsements of products or activities without explicit agreement.

Name of DCHS Manager requesting sponsorship

Signature Designation Date

* * *

Name of Non-NHS organisation representative

Signature, Designation and Non-NHS organisation name

Date

* * *

To be completed by the DCHS Head of Medicines Management/Chief Executive’s Department only

Name of Head of Medicines Management or nominated representative/Chief Executive’s Department

Signature and date Approved?y/n

Appendix 9 – Checklist for assessing education events and collaborative working

CHECKLIST FOR ASSESSING EDUCATIONAL EVENTS AND COLLABORATIVE WORKING SUCH AS PROJECTS, AUDIT AND

PUBLICATION FOR NON-NHS FUNDING

Yes No1. Have you considered if the proposal can be funded using DCHS resources? E.g.

educational events should use NHS buildings/facilities, NHS catering, local/NHS speakers and other available NHS resources wherever possible.

2. Are you satisfied with your knowledge of the sponsoring organisation(s) i.e. is there evidence of audited accounts, is the organisation and its ownership known, is it capable of being independently audited?

3. Does the proposal on offer align with current views on evidence-based clinical practice?

4. Is the proposal on offer consistent with DCHS priorities?

5. Are you satisfied that the offer is independent of purchasing or prescribing decisions?

6. Have all appropriate parties discussed the proposed offer?

Can you confirm that there is no current or potential conflict of interest for DCHS in relation to the proposal offered?Is this or a similar service (or other) available from another source, eg, within or outside of DCHS? Can they be compared with each other?

7. For collaborative working, will DCHS be provided with a fully documented service agreement that covers:

a. The aims and objectives of the collaborative workingb. An outline of the accountability framework within which the provider will operatec. The protocols to be used on the programme, including a full description of the

service(s) to be provided and the names and details of personnel to be involvedd. The procedure to be followed in the event of adverse incidentse. Any professional indemnity and liability arrangements that the service provider

has in placef. The option to modify or suspend the programme in the light of any

assessments, evaluations or adverse eventsg. The option for either party to withdraw, with agreed and clearly defined notice

periods on both sides8. Are the skills, competencies, professional status and qualifications of the named

individuals who will directly be involved with the programme of a sufficient level to provide the aims and objectives effectively, efficiently and reliably?

9. Are the lines of accountability of that individual - clinical, professional and managerial - clearly documented and appropriate?

10. The proposal does not require access to confidential information by non-NHS personnel 11. Have all offers of sponsorship including gifts or hospitality accepted (greater than £20)

been registered in the Trust's Gifts and Hospitality and Sponsorship Register?

Please provide a copy of Appendix 9 to the Head of Medicines Management when submitting requests for funding as per Appendix 7 and 8. DCHS should hold copies of all Service Agreements for collaborative

working.

Appendix 10 – Application procedure for DCHS Sponsorship

Is this application for an educational event or a proposal

for collaborative working?

Application for educational event Application for collaborative working e.g. projects, audit,

publications

Consider use of DCHS resourcesE.g. educational events should

use NHS buildings /facilities, NHS catering, local/NHS speakers.

If yes move to next step

Consider use of DCHS existing resources or alternative funding

streams.If yes move to next step

If DCHS funds not available or if a DCHS bid, complete appendix 7 and appendix 9 and submit for

approval

Complete appendix 8 and appendix 9.

Submit for approval

Appendix 11 – Extract from the ABPI Code of Practice for the Pharmaceutical Industry (2011)

http://www.abpi.org.uk/our-work/library/guidelines/Documents/ABPI_Code_2011.pdf

Clause 18 Items for Patients, Promotional Aids, the provision of Medical and Educational Goods and Services, Agreements to Benefit Patients such as Joint Working, Outcome Agreements and Patient Access Schemes18.1 No gift, benefit in kind or pecuniary advantage shall be offered or given to members of the health professions or to administrative staff as an inducement to prescribe, supply, administer, recommend, buy or sell any medicine, subject to the provisions of Clauses 18.2 and 18.3. 18.2 Health professionals may be provided with items which are to be passed on to patients and which are part of a formal patient support programme, the details of which have been appropriately documented and certified in advance as required by Clause 14.3 The items provided must be inexpensive and directly benefit patient care. They may bear the name of the company providing them. They must not be given out from exhibition stands. They must not be given to administrative staff unless they are to be passed on to a health professional.18.3 Health professionals and appropriate administrative staff attending scientific meetings and conferences, promotional meetings and other such meetings may be provided with inexpensive notebooks, pens and pencils for use at such meetings. They must not bear the name of any medicine or any information about medicines but may bear the name of the company providing them.18.4 Medical and educational goods and services which enhance patient care, or benefit the NHS and maintain patient care, can be provided subject to the provisions of Clause 18.1. They must not be provided to individuals for their personal benefit. Medical and educational goods and services must not bear the name of any medicine but may bear the name of the company providing them. 18.5 Joint working between one or more pharmaceutical companies and health authorities and trusts and the like is acceptable provided that this is carried out in a manner compatible with the Code. Joint working must always benefit patients.A formal written agreement must be in place and an executive summary of the joint working agreement must be made publicly available before arrangements are implemented.18.6 The provision of medical and educational goods and services in the form of donations, grants and benefits in kind to institutions, organisations or associations that are comprised of health professionals and/or that provide healthcare or conduct research (that are not otherwise covered by the Code) are only allowed if: they comply with Clause 18.4 or are made for the purpose of supporting research they are documented and kept on record by the company they do not constitute an inducement to prescribe, supply, administer, recommend, buy or sell

any medicine. Pharmaceutical companies must make publicly available details of donations and grants provided in accordance with Clause 18.6.

18.7 Contracts between companies and institutions, organisations or associations of health professionals under which such institutions, organisations or associations provide any type of services on behalf of companies (or any other type of funding by the company not otherwise covered by the Code) are only allowed if such services (or other funding): comply with Clause 18.4 or are provided for the purpose of supporting research do not constitute an inducement to prescribe, supply, administer, recommend, buy or sell any

medicine.

Clause 18 Supplementary InformationClause 18.1 Long term or Permanent LoanThe requirements of Clause 18.1 cannot be avoided by providing health professionals or practices etc with items on long term or permanent loan. Such items will be regarded as gifts and subject to the requirements of this clause.Competitions and QuizzesThe use of competitions, quizzes and suchlike, and the giving of prizes, are unacceptable methods of promotion. This does not preclude the use at promotional meetings of quizzes which are intended to gauge attendees’ knowledge of the subject matter of the meetings, provided that such quizzes are non-promotional in nature and are bona fide tests of skill that recognise the professional standing of the audience and no prizes are offered. To be acceptable a quiz must form part of the meeting’s formal proceedings. Exhibition stands must notbe included in any way in the conduct of a quiz.

Promotional AidsA promotional aid is defined as a non-monetary gift made for a promotional purpose. Promotional aids may be given to health professionals and administrative staff only in accordance with Clause 18.3. Health professionals may, however, be provided with items which are to be passed on to patients in accordance with Clause 18.2.

Items to be passed on to patients may bear the name of a medicine and/or information about medicines only if such detail is essential for the proper use of the item by patients. Items for the personal benefit of health professionals or administrative staff must not be offered or provided.

Many items given as promotional aids in the past are no longer acceptable. These include coffee mugs, stationery, computer accessories such as memory sticks, diaries, calendars and the like.

Items for use with patients in the clinic, surgery or treatment room etc are also no longer acceptable. These include surgical gloves, nail brushes, tongue depressors, tissues and the like.

Items such as toys and puzzles intended for children to play with may no longer be provided.

Items for use in the home or car remain unacceptable. Examples include table mats, coasters, clocks, desk thermometers, fire extinguishers, rugs, thermos flasks, coffee pots, tea pots, lamps, travel adaptors, toolboxes, umbrellas, neck cushions, plant seeds, road atlases and compact discs of music.

Pharmaceutical companies can no longer give diaries and desk pads etc to health professionals and appropriate administrative staff but there is nothing to prevent them being given by other parties which are not pharmaceutical companies. In the past these have sometimes carried advertisements for prescription medicines but this is now not acceptable. Advertisements for prescription medicines must not appear on any items which pharmaceutical companies could not themselves give.

The total cost to the donor company of all such items provided to an individual person attending a meeting must not exceed £6, excluding VAT. The perceived value to the recipient must be similar.

Full Equality Impact Assessment / Equality Analysis*

*This form is a simplified version of the on-line form.

1. Name of the project / proposal (give a brief description)

Gifts, Hospitality and Sponsorship Policy

This is a policy provides guidance for staff in receiving gifts, hospitality and sponsorship

2. What is the aim of the project / proposal? Why is it needed?

The aim of this policy is to: provide DCHS staff and stakeholders with clear guidance on when it is felt

appropriate for the Trust to offer and to accept gifts and hospitality as part of the routine of conducting NHS business

ensure that DCHS set the highest standards of probity, ethics and honesty and that these are adhered to at all times and in all business transactions

Provide the Trust Board with assurances that decisions on prescribing and sponsorship which give mutual advantage are made within a framework of probity.

Provide for Non-NHS organisations an understanding of the limits of DCHS jurisdiction and to state positively that DCHS, regardless of the prescribing practice of individual practitioners will not endorse specific products as a result of a sponsorship agreement.

Give Commissioners positive assurance with regard to the nature of relationships between DCHS and Non-NHS organisations.

Provide a mechanism of transparency by which all sponsorship received by DCHS may be declared.

3. Which of the following Protected Characteristics or equality groups is it relevant to? (Tick all that apply below)

Age Disability Gender Reassignment / Transgender Marriage and Civil Partnership Pregnancy and Maternity Race Religion or belief Sex Sexual Orientation Other (carers, socio-economically deprived, etc.)

4. What data, information or intelligence do you have that shows how it may affect (or does affect) any or all of the equality groups?

(You may find the following types of information useful: demographic data and other statistics; recent research findings; the results of consultations / surveys; the results of equality monitoring data; analysis of complaints.)

The Gifts, Hospitality and Sponsorship should not affect any of the equality groups, however could have an impact on the disability group regarding the interpreting and reading of the policy. e.g. dyslexic or visually impaired members of staff may have difficulty with reading or interpreting the document.

DCHS employs approximately 4,500 staff and a total of 31 (0.7%) of employees currently declaring a disability*

Significant proportion (3565 or 81%) of employees are currently ‘Undefined’, which means their disability status is unknown*

Solutions for this could be the visually impaired person can request the policy in another format or on yellow paper which can make documents easier to read.All of our documents are produced in an easy to read format; Font Ariel size 12 as a minimum.A dyslexic member of staff could have someone talk through the policy with them.

This policy could also impact on certain religion and beliefs, there maybe someone who cannot accept a gift as per their religion or beliefs.

62% are ‘Undefined’ and 6% do not want to disclose their religion or belief*

A solution could be their choice as to whether the gift is accepted on the Trust’s behalf, or refusal of the gift.

* Figures taken from Workforce Equality Data and Analysis Report 2011

5. Is there any evidence that any of the equality groups have different needs, experiences, issues and priorities in relation to this project / proposal?

Yes No Not knownAge Disability Gender Reassignment / Transgender

Marriage and Civil Partnership

Pregnancy and Maternity Race Religion or belief Sex Sexual Orientation Other (carers, socio-economically deprived, etc.)

Note: A broad interpretation should be taken of the word ‘evidence’. It should include anecdotal evidence and evidence derived from monitoring data and qualitative or quantitative analysis where available. It should also include the results of previous consultations with relevant groups, organisations or individuals.

Comments:

Having spoken with the Communications Team, there has never been a request for a policy or procedure document to be produced in an alternative format.

6. In the context of your response to questions 4 and 5, do you need to engage with any specific group(s) or undertake further research to determine the effect of this project / proposal on one or more equality group? (Please specify below)

No further evidence required at this stage

7. What key actions do you intend to take (or have you taken) to address the findings arising from this Full EIA / Equality Analysis? (List key actions here)

Although there has never been a request for a policy a procedure to be produced in another format, the Communications Team have agreed that a database will be kept as evidence should any requests come through them

Emma Wild Corporate Governance Officer 30/7/2012