Report to: Public Board of Directors Agenda item: 21 Date of Meeting: 26 April 2017

Transcription

1 Report to: Public Board of Directors Agenda item: 21 Date of Meeting: 26 April 2017 Title of Report: Status: Board Sponsor: Author: Appendices Review of the Board of Directors Declared Interests; Adoption of the Nolan Principles of Public Life; and Fit and Proper Persons Test Declaration For Approval Brian Stables, Chairman Helen Mullinger, Board of Director s Secretary Appendix 1: Summary of the Requirements of the Fit and Proper Persons Test Appendix 2: Information Requirements of the Fit and Proper Persons Test 1. Executive Summary of the Report To purpose of the report is to present the currently declared Board of Directors interests for approval and to remind the Board of Directors of the need to adhere to the Seven Principles of Public Life. The October 2014 Board of Directors meeting agreed that in addition to the annual review of declared interests and adoption of the Nolan Principles of Public Life, Board members would also be asked to declare that they continued to meet the requirements of the CQC s Fit and Proper Persons Test as set out in appendix 1 and Recommendations (Note, Approve, Discuss etc) The Board of Directors is asked to: a) Approve the Register of Directors Interests b) Agree to continue to abide by the Seven Principles of Public Life c) Confirm that members of the Board of Directors continue to meet the requirements of the Fit and Proper Persons Test. 3. Legal / Regulatory Implications All members of staff are required to declare relevant interests and for members of the Board of Directors these must be declared in the Trust s Annual Report. The requirements of the Fit and Proper Persons Test for executive and non-executive directors are set out in the Health and Social Care Act 2008 (Regulated Activities) Regulations Risk (Threats or opportunities link to risk on register etc) The Board Assurance Framework includes a risk relating to the skills and capacity of the Board of Directors. 5. Resources Implications (Financial / staffing) None identified 6. Equality and Diversity None identified Agenda Item: 21 Page 1 of 10

2 7. References to previous reports None identified 8. Freedom of Information Public Agenda Item: 21 Page 2 of 10

3 Review of the Board of Directors Declared Interests; Adoption of the Nolan Principles of Public Life; and Fit and Proper Persons Test Declaration 1. Background 1.1 The Trust s Code of Expectations of Employees requires all staff to declare relevant interests. In addition, the Trust Board Secretary writes to all Consultants and Senior Managers (Agenda for Change Band 8 and above) to remind them of the interests declared and the need to declare new interests which may arise. 1.2 It is good practice for the Board of Directors to receive the interests declared by its members at least once a year and these are presented below. 2 Board of Directors Declared Interests 2.1 The following interests have been declared by the members of the Board of Directors: Surname First Name Role Declared Interest Blanchard Helen Director of Nursing and Midwifery Brennan Moira Non Executive Director Buchanan Claire Director Human Resources (Non-Voting) No interests currently declared Chairman, Bathampton Parish Council Treasurer of Bathampton Village Hall Trustee of St John s Hospital Member Nominated Trustee of the Royal Mail Senior Executive Pension Scheme No interests currently declared Craft Tim Medical Director Director and shareholder of Anaesthetic Medical Systems (AMS) Ltd Director and shareholder of 10 Bar Ltd Foster Jocelyn Commercial Director (Non- Voting) Chair of Trustees, Apex Works (Charitable organisation in Leicester formerly providing services to support disadvantaged and marginalised individuals in Leicester into work) Complaints Panellist - Dental Complaints Service Private Dentistry Complaints Resolution Service Agenda Item: 21 Page 3 of 10

4 Surname First Name Role Declared Interest Hole Joanna Non-Executive Director Hood Nicholas Non-Executive Director Jones Howard Director of Estates and Facilities (Non-Voting) Scadding Jane Non-Executive Trustee of the Disabilities Trust (a national charity providing brain injury rehabilitation, autism and physical disability services) Investor in Veloscient Ltd (an organisation developing a platform to facilitate structured data capture for a range of markets including healthcare). No interest currently declared No interest currently declared No interest currently declared Trustee for Bath and Wiltshire School Sports Trust Director Scott James Chief Executive Vice-Chair, West of England Academic Health Science Network Senior Responsible Officer for the B&NES, Swindon and Wiltshire Sustainability and Transformation Plan. Stables Brian Chairman Director of Profex Associates Ltd - Management Consultancy Associate Lecturer, Open University MBA Programme Trustee, Wiltshire Air Ambulance Charitable Trust Trustee of Wiltshire MIND Sullivan Nigel Non-Executive Director Thompson Francesca Chief Operating Officer Truelove Sarah Director of Finance and Deputy Chief Executive Director of West Four Apartments Management Company Ltd Daughter is registered with the Trust s Temporary Staff Bank. Married to the Chief Finance Officer for Wiltshire Clinical Commissioning Group School Governor - The Corsham School Agenda Item: 21 Page 4 of 10

5 3 The Seven Principles of Public Life 3.1 The Committee on Standards in Public Life devised the Seven Principles, often referred to as the Nolan Principles, following its report into the standards of behaviour in public life in May The report identified that public life was more rigorously scrutinised than in the past, and that people in public life were not always as clear as they should have been about where the boundaries of acceptable conduct lay. 3.2 As a result, the Committee drew up the Seven Principles of Public Life as a restatement of the general principles of conduct under pinning public life, and stated that: all public bodies should draw up Codes of Conduct incorporating the Seven Principles; internal systems for maintaining standards should be supported by independent scrutiny; More was needed to be done to promote and reinforce standards of conduct in public bodies, in particular through guidance and training, including induction training. 3.3 The Trust demonstrates this though the completion of a register of interests a described above, the annual review of interests and further periodic reminding of the need to be open about relevant interests, and also by conducting the majority of its business in the public domain to ensure transparency and openness. 3.4 The seven principles 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 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. Agenda Item: 21 Page 5 of 10

6 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. 4. Fit and Proper Persons Test 4.1 The Health and Social Care Act (Regulated Activities) Regulations 2014 places a duty on NHS providers not to appoint a person or allow a person to continue to be an executive director or equivalent or a non-executive director under given circumstances. Providers must not appoint to an executive director post or a nonexecutive director post unless they are: Of good character; Have the necessary qualifications, skills and experience; Are able to perform the work that they are employed for after reasonable adjustments are made; Can supply information as set out in Schedule 3 of the Regulations (set out in appendix 1 of the report) 4.2 Paragraph 5 (4) of regulations states that in assessing whether a person is of good character, the matters considered must include those listed in Part 2 of Schedule 4. Part 2 of Schedule 4 refers to: Whether the person has been convicted in the United Kingdom of any offence or been convicted elsewhere of any offence which, if committed in any part of the United Kingdom, would constitute an offence, and Whether the person has been erased, removed or struck off a register of professionals maintained by a regulator of health care or social work professionals. The regulations list categories of persons who are prevented from holding the office: The person is an undischarged bankrupt or a person whose estate has had a sequestration awarded in respect of it and who has not been discharged; The person is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order or an order to like effect made in Scotland or Northern Ireland; Agenda Item: 21 Page 6 of 10

7 The person is a person to whom a moratorium period under a debt relief order applies under Part VIIA (debt relief orders) of the Insolvency Act 1986(40); The person has made a composition or arrangement with, or granted a trust deed for, creditors and not been discharged in respect of it; The person is included in the children s barred list or the adults barred list maintained under section 2 of the Safeguarding Vulnerable Groups Act 2006, or in any corresponding list maintained under an equivalent enactment in force in Scotland or Northern Ireland; The person is prohibited from holding the relevant office or position, or in the case of an individual from carrying on the regulated activity, by or under any enactment; The person has been responsible for, been privy to, contributed to or facilitated any serious misconduct or mismanagement (whether unlawful or not) in the course of carrying on a regulated activity, or discharging any functions relating to any office or employment with a service provider. 4.4 It is the responsibility of the Chairman to discharge the requirement placed on the provider, to ensure that all directors meet the fitness test and do not meet any of the unfit criteria. 4.5 The October 2014 Board of Directors meeting considered the requirements of the Fit and Proper Persons Test and Board members confirmed that they were Fit and Proper Persons. The Board of Directors agreed that in addition to the annual review of declared interests and adoption of the Nolan Principles of Public Life, Board members would also declare that they continued to meet the requirements of the CQC s Fit and Proper Persons Test. 5. Recommendations The Board of Directors is asked to: a) Approve the Register of Directors Interests; b) Agree to continue to abide by the Nolan Standards for Public Life c) Confirm that members of the Board of Directors continue to meet the requirements of the Fit and Proper Persons Test. Agenda Item: 21 Page 7 of 10

8 Appendix 1 Summary of the Requirements of the Fit and Proper Persons Test The amendment to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 which took effect from 27 th November 2014 has resulted in a new Directors Fit and Proper Persons test. This applies to all NHS organisations and includes Executive and Non-Executive Directors appointed to the Board. To be appointed or continue to be Director, individuals should now be: Of good character; Have the necessary skills and experience which are necessary for the relevant office or position or the work for which they are employed; Physically and mentally fit to perform the role that they are employed for after reasonable adjustments are made; When assessing if a person is of good character, the following must be considered: Whether the person has been convicted in the United Kingdom of any offence or been convicted elsewhere of any offence which, if committed in any part of the United Kingdom, would constitute an offence, and Whether the person has been erased, removed or struck off a register of professionals maintained by a regulator of health care or social work professionals. The CQC s definition of good character is not the objective test of having no criminal convictions but instead rests upon a judgment as to whether the person s character is such that they can be relied upon to do the right thing under all circumstances. This implies discretion for boards and council of governors in reaching a decision and allows for the fact that people can and do change over time. The regulations list categories of persons who are prevented from holding the office and for whom there is no discretion: The person is an undischarged bankrupt or a person whose estate has had a sequestration awarded in respect of it and who has not been discharged; The person is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order or an order to like effect made in Scotland or Northern Ireland; The person is a person to whom a moratorium period under a debt relief order applies under Part VIIA (debt relief orders) of the Insolvency Act 1986(40); The person has made a composition or arrangement with, or granted a trust deed for, creditors and not been discharged in respect of it; The person is included in the children s barred list or the adults barred list maintained under section 2 of the Safeguarding Vulnerable Groups Act 2006, or in any corresponding list maintained under an equivalent enactment in force in Scotland or Northern Ireland; Agenda Item: 21 Page 8 of 10

9 The person is prohibited from holding the relevant office or position, or in the case of an individual from carrying on the regulated activity, by or under any enactment; The person has been responsible for, been privy to, contributed to or facilitated any serious misconduct or mismanagement (whether unlawful or not) in the course of carrying on a regulated activity, or discharging any functions relating to any office or employment with a service provider. The regulations state it is the responsibility of the Chair of the NHS organisation to discharge the requirement placed on the Trust, to ensure that all directors meet the fitness test and do not meet any of the unfit criteria. The CQC will take enforcement action for breaches of the fit and proper person requirement using their existing regulatory powers. Agenda Item: 21 Page 9 of 10

10 Information Requirements of the Fit and Proper Persons Test Appendix 2 The CQC has the right to require the provision of information set out in Schedule 3 of the Regulations and such other information as it kept by the organisation that is relevant to the individual as follows: Proof of identity including a recent photograph. Where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997(38), a copy of a criminal record certificate issued under section 113A of that Act together with, after the appointed day and where applicable, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request)(39) Where required for the purposes of an exempted question asked for a prescribed purpose under section 113B(2)(b) of the Police Act 1997, a copy of an enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to children or vulnerable adults. Satisfactory evidence of conduct in previous employment concerned with the provision of services relating to: health or social care, or, children or vulnerable adults. Where a person has been previously employed in a position whose duties involved work with children or vulnerable adults, satisfactory verification, so far as reasonably practicable, of the reason why the person s employment in that position ended. In so far as it is reasonably practicable to obtain, satisfactory documentary evidence of any qualification relevant to the duties for which the person is employed or appointed to perform. A full employment history, together with a satisfactory written explanation of any gaps in employment. Satisfactory information about any physical or mental health conditions which are relevant to the person s capability, after reasonable adjustments are made, to properly perform tasks which are intrinsic to their employment or appointment for the purposes of the regulated activity. Agenda Item: 21 Page 10 of 10