FREE ELECTRONIC LIBRARY - Theses, dissertations, documentation

Pages:   || 2 | 3 | 4 |

«MEETING: PUBLIC BOARD MEETING 25 February 2015 Agenda item and Paper 7 Number CM/02/15/07 Agenda Title Declaration of Interests Policies for CQC ...»

-- [ Page 1 ] --

Agenda Item: 7

Paper No: CM/02/15/07


25 February 2015

Agenda item and Paper 7

Number CM/02/15/07

Agenda Title Declaration of Interests Policies for CQC

Board, and CQC Staff

Sponsor Eileen Milner, Executive Director C&CSD

Authors Alexandra Jones, Board Secretary


Actions required by the Board:

• Approve the Declaration of Interests Policy for CQC’s Board.

• Approve the Declaration of Interests Policy for CQC’s Staff.

• Note that both Policies apply to Executive Directors.

1. Introduction

1.1. The Board’s Declaration of Interests Policy has been in the process of revision in recent months, in order to align it with the staff Declaration of Interests Policy and ensure that it is current, comprehensive and relevant.

1.2. PricewaterhouseCoopers’ (PwC) as our internal auditor advised CQC on the draft of the Declaration of Interest and Resolution of Conflict Policy for CQC staff, which was first approved by the Board in November 2014, to ensure the two policies were mutually consistent and met current good practice.

1.3. At its meeting in December 2014, the Board requested that further revision and improvement to the Board’s policy be undertaken, and charged the Board Secretary with this task. In producing this revised draft, reference has been had to the Declaration of Interests policies of: Monitor; NHS England; the NHS Trust Development Authority; and Ofsted: and to PwC’s corporate governance guidance.

1.4. The Board policy reflects the standards set out by the Committee on Standards in Public Life, and known as the Nolan Principles. It will replace Section 9 of the Board Standing Orders.

1.5. The Board policy applies to all CQC Commissioners and members of Committees, independent members of committees and members of any advisory committee, such as the National Information and Governance Committee.

1.6. Both the Board policy and the staff policy apply to Executive Directors. This is because the Board policy includes how declaration of interests will be managed Page 1 of 24 Agenda Item: 7 Paper No: CM/02/15/07 during Board meetings. Executive Directors will only need to submit one declaration form.

1.7. The Staff’s policy is as approved by the Board at its meeting in November 2014, with the addition of some text clarifying declaration of other potentially declarable relevant involvements by inspectors, specialist advisers and Experts by Experience as well as by CQC staff. The policy applies to all these categories of staff and contractors.

1.8. Both revised policies are now being put before the meeting of the Board in February 2015, to ensure mutual consistency and their simultaneous adoption and implementation as companion policies.

1.9. The Board Secretary is charged with overseeing the annual process of Declaration of Interests, coordinating on the Staff policy with Human Resources.

2. Summary

2.1. This policy sets out CQC’s requirements that recognise and disclose activities that might give rise to conflicts of interest or the perception of conflicts and ensure such conflicts are properly managed or avoided. As such it is essential to CQC’s compliance with best governance practice, and an important foundation supporting CQC’s organisational value of Integrity.

3. Recommendations

3.1. The Board is asked to consider and approve the CQC Board Declaration of Interests Policy, and to ensure that any conflicts between private interests and public duties of the Board are correctly identified, appropriately managed and effectively resolved.

3.2. The Board is also asked to confirm its approval of the CQC Staff Declaration of Interests Policy.

4. Attachments

4.1 CQC Board Declaration of Interests Policy as at 25 February 2015

4.2 CQC Staff Declaration of Interests Policy as at 25 February 2015.

–  –  –



1.1 The Care Quality Commission (CQC) places great importance on ensuring its staff members and Commissioners demonstrate the highest standards of conduct. Those engaged by the CQC must always maintain and publicly demonstrate high standards of professional conduct, impartiality, honesty and integrity.

1.2 All CQC staff and Commissioners are required to identify and disclose activities that might give rise to conflicts of interest or the perception of conflicts, and to ensure that such conflicts are seen to be properly managed or avoided.

1.3 If properly managed, activities can usually proceed as normal whilst at the same time upholding the person's obligations to CQC and protecting the integrity and reputation of the organisation. By contrast, conflicts which are not managed effectively may jeopardise public confidence and cause serious damage to the credibility of the organisation and the reputation of the individuals concerned.

1.4 This document sets out the Declaration of Interests Policy for Board members. It reflects the Standards of Business Conduct set out by the Committee on

Standards in Public Life, and known as the ‘Nolan Principles’:

• Selflessness

• Integrity

• Objectivity

• Accountability

• Openness

• Honesty

• Leadership.


2.1 The policy applies to:

• CQC Non-Executive and Executive Board members (i.e. Commissioners);

• Any advisory committee appointment by the CQC Board, including ACGC, RGV, NIGC and Remuneration Committee. This also includes any independent members and members of any sub-committees the board may, from time to time establish; and

• Executive Directors.

2.2 The following CQC policies should be read in conjunction with this document (please note this list is not exhaustive):

• Code of Conduct

• Whistleblowing

• Gifts and Hospitality

• Procurement

• Whistleblowing

–  –  –


3.1 This section describes the CQC’s policy in relation to the declaration and identification of interests, and the management of conflicts of interest.

Adherence to this Declaration of Interest Policy by CQC Board members is mandatory in order to identify and manage current or potential conflicts that may arise between the interests of the CQC and the Personal Interests, associations and relationships of CQC board members.

3.2 Failure to adhere to this Register of Interests policy may leave a Board member open to allegations of criminal activity, as an individual could be gaining unfair advantages or financial rewards for themselves or a family member, friend or associate. Failure to adhere can also give rise to potential reputational damage for the CQC and/or the Board member.


4.1 If a member of the CQC Board, or a Committee or sub-committee member knowingly has any interest or duty which is material and relevant, or the possibility of such an interest or duty, whether direct or indirect and whether pecuniary or not, that, in the opinion of a fair-minded and informed observer would suggest a real possibility of bias in any matter that it brought up for consideration at a meeting of the Board or any Committee or sub-committee of CQC, s/he shall disclose the nature of the interest or duty to the meeting.

4.2 The declaration of interest or duty may be made at the Board or Committee meeting, at the start of the discussion of the item to which it relates, or in advance in writing to the Board Secretary. If an interest or duty has been declared in advance of the meeting, this will be made known by the Chair of the meeting prior to the discussion of the relevant agenda item. In the event of the person not appreciating at the beginning of the discussion that an interest or duty exists, s/he should declare such an interest as soon as he becomes aware of it.

4.3 If a member of the CQC Board or a Committee or sub-committee member has acted in accordance with the provisions of paragraphs 4.1 and 4.2 above and has fully explained the nature of their interest or duty, the members of the Board or Committee or sub-committee present will decide unanimously whether and to what extent that person

–  –  –

4.4 Where the Chair of the meeting has a relevant interest then s/he must advise the Board or the Committee or sub-committee accordingly, and with their agreement and subject to the extent decided participate in the discussion and the determination of the issue, and the extent to which s/he had access to any written papers on the matter. If it is decided that the Chair should leave the meeting because of a conflict of interest, the Senior Independent Director or another member of the Board, Committee or subcommittee will be asked to chair the discussion of the relevant agenda item in accordance with the procedure set out in paragraphs 4.1and 4.2 above.

4.5 All interests-related disclosures and discussions will be recorded in the meeting minutes.


5.1 Board members are required to declare any Personal Interests that may arise in

connection with the business of CQC in accordance with the policy terms set out below:

5.2 For the purpose of this policy the following terms shall have the meanings set out

as follows:

–  –  –

5.3 The definition of ‘relevant person’ above is a fairly exhaustive list. In practice, the range of declarable relationships/relevant persons is likely to be rather narrower, and to focus primarily on relationships that are actually proximate, and/or that clearly fall into the categories of disclosable interests in paragraphs 6.9 and 6.10 below. In practice, there are likely to be occasional instances where the precise degree of ‘proximity’ or disclosability is a grey area, hence the general advice to consult the Board Secretary in case of doubt.


6.1 CQC Board members will take all reasonable steps to identify conflicts of interest that arise or may arise in the course of the exercise of their duties. CQC Board members are required to declare any Personal Interest in any matter of CQC business that may directly or indirectly give rise to a conflict of interest, or the potential for, or perception of, conflict of interest.

6.2 CQC Board members are not required to declare all interests which they may have outside the CQC, but rather those interests that relate to or could influence or be perceived to influence CQC business.

6.3 In this connection, Board members will need to exercise judgment, common sense and individual integrity. In case of any doubt, the default position should be to err on the side of caution, and declare the potential interest, thus creating transparency and allowing CQC to assess and determine any possible conflict, using the guidance at paragraphs 6.9 and 6.10 below, to judge what is reasonable or declarable.

6.4 If any CQC Board member is unsure as to whether an interest should be declared, then he or she should seek guidance from the CQC’s Board Secretary.

6.5 If a Board member has, and knows of, no declarable interests, then he or she should state this fact.

6.6 Any suspicion that relevant Personal Interests may not have been declared should be reported to the CQC’s Board Secretary.

–  –  –

6.7 CQC Board members should register all relevant interests in accordance with Paragraph 6.9 and 6.10 below, and should also declare any Personal Interest at a meeting of the Board or Committee, when dealing with or discussing a matter to which the Interest is pertinent.

6.8 The declaration of any relevant interests will be included as an agenda item at the beginning of each and every board meeting and committee meeting.

6.9 The main categories of declarable interests for Board members are:

• Family relationships

• Friends and associates

• Financial and business dealings, relationships and interests

• Current or previous employment

• Memberships, involvements and affiliations with other relevant organisations.

6.10 More specifically, a CQC Board member is considered to have a Personal Interest in a matter of CQC Business where that CQC Board member or any Relevant

person and /or Close Association to the CQC Board member:

1. is a director (including non-executive directorships), partner or employee, has a direct shareholding, or otherwise has a position of ownership (all or part), control or management of a Private Company or PLC of a businesses which has a contract with the CQC or may seek to secure contracts with the CQC;

2. holds a position of executive or non-executive authority within a charity or voluntary organisation in the health and social care field;

3. holds another public office;

4. has held positions such as those listed at 1, 2 or 3 above in previous employment; in the previous five years (if a Non-Executive Board member); or ever (if an Executive Board member);

5. has a professional or legal obligation to someone else (such as being a trustee);

6. is likely to make a financial gain, or avoid financial loss, through the item under discussion / matter in which the Board is engaged;

7. has an interest in the outcome of a matter that is distinct from the CQC’s interest;

8. has a financial or other incentive to favour the interest of another party or group over the interests of the CQC;

9. has received a gift, hospitality or other benefit from an organisation or individual in the health and social care field;

10. is a member of a society or association in the health and social care field;

Pages:   || 2 | 3 | 4 |

Similar works:

«610189A PRXXX10.1177/1532673X15610189American Politics ResearchO’Geen and Parker research-article2015 Article American Politics Research 2016, Vol. 44(4) 618–648 Strategic Cooperation: © The Author(s) 2015 Reprints and permissions: Modeling Concurring sagepub.com/journalsPermissions.nav DOI: 10.1177/1532673X15610189 Behavior on the U.S. apr.sagepub.com Supreme Court Andrew J. O’Geen1 and Christopher M. Parker2 Abstract How do competing motivations influence the decisions of justices to...»

«Hamilton College Administrative Information Systems Security Policy and Procedures Approved by the IT Committee (December 2004) Table of Contents Summary Overview Definition of Administrative Information Employee Information Family Educational Rights and Privacy Act (FERPA) Student “Directory Information”, as defined by FERPA Gramm-Leach-Bliley Act (GLBA) Security Administration Passwords Student Employees Web Access to Information Department Security Manager Responsibilities Anti-Virus...»

«THEORIES OF URBAN POVERTY AND IMPLICATIONS FOR PUBLIC HOUSING POLICY Alexandra M. Curley Urban poverty has been the subject of sociological and political debate for more than a century. In this article I examine theories of urban poverty and their place in American housing policy. I first discuss theories that have arisen out of the sociological and policy discourse on urban poverty and the research that supports and challenges these theories. I then review current public housing initiatives...»

«Insuring Trusts and the Personal Lines Homeowners Customer SPONSORED BY INSURING TRUSTS & THE PERSONAL LINES HO CUSTOMER Robin Federici, CPCU, AAI, ARM, AINS, AIS, CPIW PO BOX 781 NORTH KINGSTOWN, RI 02852 Phone: 401-294-3557 Fax: 401-294-3557 Fred’s Cell: 401-524-4567 Robin’s Cell: 401-529-9617 E-mail: EFEDERICI@IETA.BIZ ROBINF@IETA.BIZ Web site: WWW.IETA.BIZ This material has been designed for use in training programs for insurance industry personnel. It is not intended to be used as a...»

«Institute for Policy Research Northwestern University Working Paper Series WP-15-15 Can a Scaffolded Summer Reading Intervention Reduce Socioeconomic Gaps in Children’s Reading Comprehension Ability and Home Book Access? Results from a Randomized Experiment Jonathan Guryan Faculty Fellow, Institute for Policy Research Associate Professor of Human Development and Social Policy Northwestern University James S. Kim1 Associate Professor of Education Harvard University Lauren Capotosto Assistant...»

«ESTUDIO DEL “PLAN FRONTERAS PARA LA PROSPERIDAD” EN EL DEPARTAMENTO DE NORTE DE SANTANDER (2010-2013) ANA MARIA MEZA RODRIGUEZ UNIVERSIDAD COLEGIO MAYOR DE NUESTRA SEÑORA DEL ROSARIO FACULTAD DE CIENCIA POLITICA BOGOTÁ D.C., 2015 Estudio del “Plan Fronteras para la Prosperidad” en el Departamento de Norte de Santander (2010-2013) Estudio de Caso Presentado para optar por el título de Politóloga En la Facultad de Ciencia Política y Gobierno Universidad Colegio Mayor Nuestra Señora...»

«PUBLIC HOUSING and COMMUNITY DEVELOPMENT REASONABLE ACCOMMODATION POLICIES AND PROCEDURES ATTACHMENT C OF THE SECTION 8 ADMINISTRATIVE PLAN EFFECTIVE 5-8-14 Reasonable Accommodations Policy and Procedures Attachment C of the S8 Administrative Plan Effective 5-8-14 TABLE OF CONTENTS INTRODUCTION...1 Policy Statement..1 Legal Authority...1 Monitoring and Enforcement..2 General Reasonable Accommodation Policy Information.2 DEFINITIONS...4 AUXILIARY AIDS AND EXAMPLES OF REASONABLE ACCOMMODATIONS.5...»

«The Sherman Kent Center for Intelligence Analysis Occasional Papers: Volume 2, Number 2 Tensions in Analyst-Policymaker Relations: Opinions, Facts, and Evidence Jack Davis Sherman Kent Center This memorandum on tensions in analyst-policymaker relations is occasioned by recent media accounts of DOD-Intelligence Community differences over the extent of Iraqi-al Qa’ida ties. Similar patterns of tension have existed over the decades. The following conclusions could have been crafted about Vietnam...»

«Employee Group Benefits UNDERWRITTEN BY SUN LIFE INSURANCE AND ANNUITY COMPANY OF NEW YORK Exempt Secretarial Employees GROUP POLICY NUMBER 86786 POLICY EFFECTIVE DATE May 1, 2001 POLICY AMENDMENT DATE October 1, 2004 93C-LH-NY Welcome to Sun Life Insurance and Annuity Company of New York (Sun Life (N.Y.)). Sun Life (N.Y.) is pleased to be your Employer’s insurance carrier for the benefits provided in the Group Policy. The description of Eligible Classes in the Benefit Highlights will help...»


«I n t e r nat i o na l L e c tu r e S e r i e s o n Po p u lat i o n I s su e s The John D. and Cathe rine T. MacArthur Foundation Population Policy: Authoritarianism versus Cooperation P RO F. A M A RT YA S E N August 17, 1995 New Delhi, India International Lecture Series on Population Issues The Lecture Series The address by Dr.Amartya Sen is the fourth in the International Lecture Series on Population Issues sponsored by the Population Program of the John D. and Catherine T. MacArthur...»

«SRIRUPA ROY srirupa@gmail.com; sroy@gwdg.de Centre for Modern Indian Studies and Institute for Political Sciences University of Göttingen Waldweg 26, 37073 Göttingen, Germany Phone: +49 551 39-12742 Fax: +49 551 39-14215 ACADEMIC POSITIONS 2011-present Professor and Chair of State and Democracy, Centre for Modern Indian Studies and Institute for Political Sciences, University of Göttingen, Germany. 2012-present Founding Co-Director, the CeMIS-CeMEAS Transregional Research Network, (CETREN),...»

<<  HOME   |    CONTACTS
2016 www.theses.xlibx.info - Theses, dissertations, documentation

Materials of this site are available for review, all rights belong to their respective owners.
If you do not agree with the fact that your material is placed on this site, please, email us, we will within 1-2 business days delete him.