Business Ethics Policy
Business Ethics Policy
Page:
Page 1 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Recommended by
Executive Management Team
Approved by
Audit Committee
Approval date
19 September 2012
Version number
2.0
Review date
September 2015
Responsible Director
Chief Executive
Responsible Manager (Sponsor)
Corporate Secretary
For use by
All Trust employees
This policy is available in alternative formats on request. Please contact the Corporate Governance Assistant on 01204 498379
Business Ethics Policy
Page:
Page 2 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Change record form Version
Date of change
Date of release
Changed by
Reason for change
x.1
14 Dec 2007
14 Dec 2007
P Howard
Document Creation
x.2
18 Feb 2008
18 Feb 2008
P Howard
Amendments following consultation process
1.0
19 Mar 2008
20 Mar 2008
P Howard
Board approved version
x.3
6 Aug 2012
7 Aug 2012
P Buckingham
Periodic Review
0.4
22 Aug 2012
3 Sep 2012
P Buckingham
Updated to incorporate consultation feedback
2.0
19 Sep 2012
20 Sep 2012
P Buckingham
Updated to reflect Committee approval
Business Ethics Policy
Page:
Page 3 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Policy on Gifts, Hospitality and Interests Contents 1.
Introduction…………………………………………………………………………………………………………………..5
2.
Purpose of the Policy…………………………………………………………………………………………………....5
3.
Scope and Definitions…………………………………………………………………………………………………….5
4.
Responsibility…………………………………………………………………………………………………………………5
5.
What are Business Ethics………..……………………………………………………………………………………..6
6.
NHS Foundation Trust Code of Governance…....................................................................6
7.
Principles of Standards in Public Life……………………………………………………………………………..6
8.
Codes of Conduct…………………………………………………………………………………………………………..8
9.
Gifts, Hospitality and Interests……………………………………………………………………………………….9
10. Conduct at Meetings……………………………………………………………………………………………………..9 11. Raising Concerns …………………………………………………………………………………………………………..9 12. References…………………………………………………………………………………………………………………..10 13. Regulatory Bodies………………………………………………………………………………………………………..11 Appendix 1: Conduct and Etiquette at Meetings…………………………………………………………………12
Business Ethics Policy
Page:
Page 4 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
1.
Introduction
1.1
Good business ethics underpin all activities of the Trust. In pursuance of its strategic aims, the Trust must ensure that its business activities are conducted to the highest standard and are capable of withstanding scrutiny. Having an explicit Business Ethics Policy is considered to be a hallmark of a well-managed organisation and represents good corporate governance.
2
Purpose of the Policy
2.1
This policy is intended to provide an ethical framework within which all business activities are expected to be completed.
3
Scope and Definitions
3.1
Scope – This policy relates to all employees of the Trust and all persons acting on behalf of the Trust
3.2
Definitions – ‘employee’ and ‘staff member’ relate to all persons directly employed by the Trust, including Non-Executive Directors. There is an expectation that any contractors, sub-contractors, consultants and associates will behave in a similar ethical manner.
3.3
For the avoidance of doubt, the term ‘employees’ at section 3.1 incorporates NonExecutive Directors.
4.
Responsibility
4.1
It is the responsibility of each and every staff member to ensure that they are conversant with and follow the guidance contained within this policy. Managers should bring the policy to the attention of all new employees on commencement of their role and where appropriate, should ensure that a signed acceptance of any relevant codes of conduct is included as part of the induction process. This signed acceptance should form part of the employee’s personal record.
Business Ethics Policy
Page:
Page 5 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
5.
What are Business Ethics?
5.1
‘Business Ethics’ is a term that is difficult to define. Business ethics are a function of the values of individuals working in organisations, the corporate culture created by senior management, codes of conduct operating in individual organisations and within individual professions, the social norms of the society within which the organisation is located and the prevailing laws. Good business ethics are in synergy with the Trust’s strategic aims.
6.
The NHS Foundation Trust Code of Governance
6.1
The purpose of the Code of Governance is to assist NHS Foundation Trust Boards in improving their governance practices by bringing together the best practice of public and private sector corporate governance. While the Code is best practice advice rather than mandatory guidance, NHS Foundation Trusts are strongly encouraged to take full account of the best practice provisions described in the Code and are required to make appropriate compliance statements in their annual reports.
6.2
The Code of Governance includes a number of provisions that specifically relate to business ethics. For example, the Board is expected to establish the values and standards of conduct for the Trust in accordance with NHS values and accepted standards of behaviour in public life (the Nolan Principles). Similarly, the Board is expected to follow a policy of openness and transparency in its proceedings and decision making. Consequently, it is Trust policy to demonstrate compliance with the Code of Governance wherever practicable.
7.
Principles of Standards in Public Life
7.1
The Committee on Standards in Public Life was established in 1994 by the then Prime Minister, John Major, in response to concerns that conduct by some politicians was unethical.
7.2
The Committee’s original Terms of reference were ‘to examine current concerns about standards of conduct of all holders of public office, including arrangements relating to financial and commercial activities and make recommendations as to any changes in present arrangements which might be required to ensure the highest standards of propriety in public life’. These Terms of Reference have since been extended to include the funding received by political organisations.
Business Ethics Policy
Page:
Page 6 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
7.3
‘Public Office’ covers ministers, civil servants and advisers, members of Parliament and UK Members of the European Parliament, members and senior officers of all non-departmental public bodies and of NHS bodies, non-ministerial office holders, members and other senior officers of other bodies discharging publicly-funded functions and elected members and senior officers of local authorities.
7.4
The Committee published their first report in 1994 and stated the general principles of conduct which underpin public life. They devised seven principles, otherwise known as the ‘Nolan Principles’, which dictate the manner in which holders of public office should conduct themselves. It is the policy of the Trust that all employees should demonstrate and abide by these principles at all times and the Trust’s commitment to these principles will be re-affirmed by the Board of Directors on an annual basis.
7.5
The seven principles of public life are: Selflessness Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other material benefits for themselves, their family or their friends. Integrity Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties. Objectivity In carrying out public business, including making public appointments, awarding contracts or recommending individuals for rewards and benefits, holders of public office should make choices on merit. Accountability Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.
Business Ethics Policy
Page:
Page 7 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Openness Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. Honesty Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. Leadership Holders of public office should promote and support these principles by leadership and example.
8.
Codes of Conduct
8.1
Various codes of conduct are already in existence and, as previously stated, it is not the intention of this policy to duplicate or replace existing codes. Rather, this policy seeks to combine the principles of the various codes in order to provide guidance on good business practice.
8.2
Section 9 of the Trust Standing Orders makes specific reference to standards of business ethics and the manner in which business should be conducted. The Standing Orders document also contains the full codes of conduct within its appendices and, where applicable, this is indicated below in parentheses.
8.3
Codes of Conduct already in existence include:
8.4
Code of Conduct for NHS Boards (appendix 2) Code of Conduct for NHS Managers (appendix 4) Standards of Business Conduct for NHS Staff (appendix 5) Vocation-specific codes, including those of the Health Professions Council, General Medical Council, etc
A copy of the Standing Orders document can be found in the Corporate Governance section of the Trust’s intranet http://nww.nwas.nhs.uk. Vocation-specific codes are
Business Ethics Policy
Page:
Page 8 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
available from individual regulatory bodies and details of a number of regulatory bodies are given at section 12. 8.5
In addition, the Trust’s values statement provides a number of key principles that the organisation will abide by in all its business activities.
9.
Gifts, Hospitality and Interests
9.1
The Trust has a policy on gifts, hospitality and interests. All employees must ensure that they are familiar with this policy and follow the guidance contained within it.
10.
Conduct at Meetings
10.1
Meetings are an integral part of the Trust’s business activities, at which individuals have the opportunity to present their points of view and challenge those of others. In order to provide an environment where internal scrutiny is encouraged, it is essential that meetings are conducted appropriately and effectively and that the behaviour of those present contributes to the effectiveness of meetings. The role of the Chairperson in this respect cannot be overstated.
10.2
A summary of meeting etiquette has been produced and has been included at appendix 1. It is expected that all members of the Trust will abide by this etiquette when attending or chairing meetings. It should also be noted that this etiquette also applies to meetings where participants may not be physically present such as teleconferences or video conferences for example.
11.
Raising Concerns
11.1
While this policy sets out the ethical framework within which business will be conducted, it is recognised that there may be occasions where the conduct of individuals, or groups, does not meet either the standards set out in this policy, or associated policy documents, or the values established by the Trust. In such circumstances, it is important that employees are able to raise concerns appropriately in order that inappropriate behaviours may be addressed.
Business Ethics Policy
Page:
Page 9 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
11.2
There are various means for employees to raise concerns and the approach selected may be determined by the relevant circumstances or the nature of the breach. The three principal means are as follows:
Concerns may be reported via line management Where fraudulent activity is suspected, concerns may be reported anonymously in accordance with the reporting procedure set out in the Trust’s Counter Fraud & Corruption Policy Concerns may also be reported anonymously in accordance with the reporting procedure set out in the Trust’s Whistleblowing Policy.
11.3
In circumstances where individuals feel that it is necessary to raise concerns, it is likely that there will be degree of sensitivity around the concerns. For this reason, individuals may be reluctant to follow the policy reporting mechanisms detailed above. While this is understandable, it is imperative that individuals are able to raise genuine concerns, in a non-threatening environment and without fear of censure, as it is only through the reporting of concerns that inappropriate behaviours can be addressed.
11.4
Consequently, in such circumstances employees will be able to raise concerns with the Corporate Secretary as a contact point for independent and confidential advice. The Corporate Secretary will provide relevant advice and, depending on the circumstances, will either initiate action in accordance with the relevant policy reporting procedures or raise the concern with the relevant Director to seek a resolution. It should be made clear that this option is not a charter for gripes and moans and nor should it be seen as a means of circumventing normal reporting lines.
11.5
The Corporate Secretary will maintain a confidential record of any concerns raised in accordance with clause 11.4 in order to log disposition and resolution and to provide a means of identifying themes or trends relating to breaches of business ethics.
12.
References
12.1
The following reference materials were used in the production of this policy:
Committee for Standards in Public Life (2007) Eleventh Report of the Committee on Standards in Public Life (CM 7006) London:HSMO
Mattacks, K (2006) Business Strategy and Planning. London: ICSA Publishing
Business Ethics Policy
Page:
Page 10 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
North West Ambulance Service NHS Trust (2011) Standing Orders Bolton: NWAS
13.
Regulatory Bodies
13.1
Websites for a number of regulatory bodies are given below for information:
Health Professions Council: http://www.hpc-uk.org Nursing and Midwifery Council: http://www.nmc-uk.org General Medical Council: http://gmc-uk.org Chartered Institute of Management Accountants: http://www.cimaglobal.com Association of Chartered Certified Accountants: http://www.accaglobal.com Chartered Institute of Public Finance & Accountancy: http://www.cipfa.org.uk Chartered Institute of Personnel and Development: http://www.cipd.co.uk
Business Ethics Policy
Page:
Page 11 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Appendix 1: Conduct and Etiquette at Meetings Role of the Chair 1. Supervise the agenda and prepare well, anticipating the main areas of debate and controversy. Ensure that the agenda and associated papers are available to all members at least 3 working days in advance of the meeting. 2. Make sure that administrative matters e.g. venue arrangements, individual to take minutes, are taken care of in advance of the meeting. 3. Attend the meeting on time, start the meeting on time and keep control of time during the meeting. Ensure that introductions are made if appropriate. 4. Set, or keep to, the rules of the meeting. Check that the meeting is quorate and that business conducted is within the group’s Terms of Reference. Ensure that business is conducted in accordance with Trust policies and in compliance with good governance. 5. Control the discussion, ensuring that comments are made through the Chair and making sure that everyone who wishes to contribute has their say. 6. Encourage contributions from members, ask questions to clarify and summarise as necessary. 7. Act to keep discussions to the point in order to complete the agenda. 8. Provide the final word to bring discussions to a conclusion – preferably on a positive note. 9. Ensure that decisions are recorded appropriately in the minutes. 10. Following the meeting, check and approve draft minutes and ensure prompt distribution to group members.
Business Ethics Policy
Page:
Page 12 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
Meeting Etiquette Attendees will be expected to observe the following etiquette at meetings: 1. Demonstrate mutual trust, respect and honesty. 2. Demonstrate commitment to attending meetings, reading briefing papers, arriving on time and participating wholeheartedly. 3. The focus of meetings should be on the business being transacted and therefore the use of mobile phones, blackberry devices and other portable equipment should be avoided to reduce distraction end ensure focus. 4. Demonstrate determination, tolerance and sensitivity through: Rigorous and challenging questioning, tempered by respect Being demanding and persistent rather than attacking, crushing or dismissive. 5. Be tolerant of diverse points of view and: Avoid giving offence – be ready to apologise Avoid taking offence – stay open to discussion 6. Promote group support and: Be sensitive to colleagues’ need for support when challenging or being challenged. The group will ensure that no one becomes isolated in expressing their view and that all ideas are treated with respect. 7. Observe confidentiality ensuring that discussions are candid, not secret. 8. Demonstrate a commitment to making the most of the time available by: Supporting the Chair and colleagues in making best use of time. Ensuring that time is well used by making individuals points relevant and short. 9. Observe the principle of collective responsibility. Whilst individuals are free to promote debate and provide opposing points of view during the debate phase, once a decision is taken, no matter how unpopular, it should be owned corporately and not subject to ‘opting out’ during the implementation phase.
Business Ethics Policy
Page:
Page 13 of 13
Author:
Corporate Secretary
Version:
2.0
Date of Approval:
19 September 2012
Status:
Final
Date of Issue:
20 September 2012
Date of Review
September 2015
