Conduct & Disciplinary Policy

Transcription

1 Conduct & Disciplinary Policy A policy which sets out the Trust s policy, procedures and standards in relation to disciplinary matters. It aims to ensure that the standards are adhered to and that alleged breaches are dealt with in a fair, consistent and timely manner. Document No: EDH002 Version: Version 3.22 Authorised by: Trust Executive Team Date Authorised: 4 th December 2008 Next Review date: July 2012 Date Amended 26/11/15 Expiry Date: 30/11/16 Document Author: Central Policy Group

2 Pennine Acute Hospital NHS Trust Conduct & Disciplinary Policy/Procedure Main Revisions from previous issue Name of Previous Document: Previous Document Number: Conduct & Disciplinary Procedure EDH002 Previous Version Number: Version 3.21 Reason for Revision: Expiry date extended whilst review ongoing KEY OBJECTIVES The Disciplinary Policy and Procedure aims to make clear the kinds of acts and omissions that constitute misconduct at work and the procedures and sanctions which apply in respect of disciplinary matters, ensuring fairness, equality and consistency in their application. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 2 of 20

3 Contents Page No. 1. Aims of the Policy Scope General Principles and Responsibilities Investigations Informal Action Cases of Suspected Fraud Or Theft Criminal Offences Suspension Disciplinary Hearings Procedure at the Hearing Disciplinary Sanctions Appeals Implementation Monitoring Arrangements Policy Review References Appendices Appendix 1 Disciplinary Rules 18 Appendix 2 Procedure at Disciplinary Hearings & Appeals 20 Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 3 of 20

4 1. Aims of the Policy 1.1 This document sets out the Trust s policy, procedures and standards in relation to disciplinary matters. The key aim of this policy is to ensure that the standards are adhered to and that alleged breaches are dealt with in a fair, consistent and timely manner. This aim is consistent with PAHT Values and exemplified in standards detailed in current legislation. It should be read in conjunction with other closely related Trust policies and guidelines such as the Single Equality Scheme Guidance (< Single Equality Scheme doc>) 1.2 The objectives of the Conduct and Disciplinary Policy are to: set out the responsibilities and duties of management and staff in relation to handling disciplinary situations ensure fairness, equality and consistency of treatment of staff make staff aware of the kinds of acts and omissions that constitute misconduct /gross misconduct at work, (see Disciplinary Rules in Appendix 1) and the procedures and sanctions which apply in respect of disciplinary matters assist all employees to achieve and maintain acceptable standards of conduct in relation to their employment in the Trust 2. Scope 2.1 This policy applies to all staff, including medical and dental employed by the Trust. However in the case of medical & dental staff this policy must be used in conjunction with the Disciplinary Procedure for Medical staff (EDH010) Capability & Poor Performance Issues of capability and poor performance are not dealt with under this policy. Concerns of capability involving medical and dental staff are dealt with outside of this policy under the Trust s Disciplinary Procedure for Medical Staff, (EDH010). It should be noted that in the case of SpR s, placed under service level agreements, reference should be made to the Lead Employer Arrangements. Lead employer arrangements are identified outside of this policy. Concerns regarding poor work performance of non-medical staff are dealt with outside of this policy under the Trust s Capability Policy and Procedure, (EDH031). 2.2 This policy should be used in conjunction with the Trust s other relevant policies in dealing with misconduct for example related to smoking, substance abuse or protection of vulnerable groups e.g. child protection. 2.3 Conduct external to work may be the subject of this disciplinary procedure where it can be demonstrated to have a bearing on the employment contract and employment relationship. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 4 of 20

5 3. General Principles and Responsibilities 3.1 Early intervention when problems are identified is encouraged enabling a proactive, developmental or educational rather than a punitive approach to be taken. (Where appropriate this may be in line with the Trust s Capability Policy and Procedure, EDH031) 3.2 While the provision of supported improvement and encouragement are essential in moving away from a culture of blame to develop one of trust and freedom for staff to give of their best, it is accepted that there are occasions when the avoidance of disciplinary measures would be inappropriate and/or dangerous. 3.3 It is the responsibility of managers in implementing this policy to be open, honest, fair, consistent and timely in dealing with members of staff and to act in the best interest of patient care. 3.4 Employees are expected to recognise that decisions have to be taken balancing their interests with patient care and service interests, and to participate and co-operate with the implementation of these agreed procedures if required. 3.5 Trade union/professional organisation representatives have a responsibility to represent their members interests and to participate and cooperate in implementing the agreed procedures. 3.6 All staff have the right to be represented at all stages of the Disciplinary Procedure by a recognised trade union/recognised professional organisation representative of the Trust or work colleague. 3.7 Staff are not eligible to legal representation during any internal investigations and/or subsequent action in line with this policy. An exception to this would be for example in cases of suspected fraud or theft where the employee is required to be interviewed under caution. In these circumstances a suspected employee would be entitled to legal representation. (See section 6 of this policy and/or Section 7.5 of the Trust s Anti Fraud and Corruption Policy and Response Plan, EDF004). 3.8 If an issue arises that is concerned with a staff representative advice should be sought from the HR Department. However, if a manager considers that disciplinary proceedings are required, they must ensure that the relevant Divisional HR Manager is informed at the earliest possible opportunity. The Divisional HR Manager will then discuss the matter with the full time officer of that union as a matter of urgency before proceeding with further action. This course of action should not be taken without the full knowledge and consent of the union representative involved. 3.9 Where the employee has difficulty in understanding English, the services of an interpreter should be offered Where the employee has a disability, under the Disability Discrimination Act (DDA), any reasonable adjustments should be taken i.e. larger print documents, loop system etc. 4. Investigations 4.1 No disciplinary action will be considered until a thorough investigation has been Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 5 of 20

6 carried out. A manager will be designated to undertake the investigation and a member of the HR team will be allocated to advise and support the investigating officer. Please refer to the Trust s Management Guidelines-Investigations for Conduct and Disciplinary Cases, (EDH055) which is available on the Trust s intranet. 4.2 The purpose of carrying out investigations is to gather all the relevant facts relating to the allegations promptly. Normally the investigating manager will interview those individuals who may be able to provide relevant information. When interviewing the following points should be adhered to: Give the interviewee the opportunity to be supported by their trade union/professional organisation (Recognised by the Trust) representative or work colleague. Ensure that the questions asked are clear and not leading (See Investigation guidelines for managers) The interviewee should be advised that the information they provide may be used as evidence should the issue proceed to a disciplinary hearing and that they may be asked to attend any hearing as a witness (where appropriate). Notes should be taken of the meeting and a typed copy sent to the interviewee to ensure that they accurately reflect what was discussed during the meeting. The interviewee should be asked to sign and date a copy of the notes, make any appropriate amendments, and return these to the investigating manager within 10 working days. Notes will be accepted as a true record if not returned within allocated timeframe. 4.3 As part of the investigation the employee against whom the allegation has been made should be interviewed to ensure that they are clear about the allegation/complaint that has been made against them and to provide an opportunity for them to provide a response at an early opportunity and before a decision is made as to whether there appears to be a prima facie case to answer at a formal hearing. The employee should be: Given the opportunity to be accompanied by their trade union/professional organisation representative (recognised by the Trust) or work colleague Advised of the allegations/complaints that have been made and asked for their response to these Notes should be taken of the meeting and a typed copy sent to the employee to ensure that they accurately reflect what was discussed during the meeting. The employee should be asked to sign and date a copy of the notes, make any appropriate amendments, and return these to the investigating manager within 10 working days. Notes will be accepted as a true record if not returned within allocated timeframe. A copy will also be sent to their representative, if known. Advised as to the likely timescale of concluding the investigation 4.4 Once all the necessary information has been gathered the investigating manager Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 6 of 20

7 should collate the information and compile an investigation report. Consideration should be given to the information and on the basis of the evidence decide if there is any substance to the allegations/complaints. 4.5 The investigating officer should make a recommendation to the manager authorised to hear the case as to whether there is a prima facie case to answer or whether there is no case to answer. If there appears to be a case to answer then the individual should be advised in writing by the manager authorised to hear the case that the matter is to be considered at a disciplinary hearing (detailed in Section 9). If there appears to be no case to answer then the individual should be advised of this in writing by the manager authorised to hear the case, and should be given reasons for this decision. A copy should be sent to the employee s representative also if this is known. In some circumstances the investigating manager may recommend that although the evidence is not such as to recommend the issue being considered at a disciplinary hearing there are concerns to suggest other action such as further training, support/input from Occupational Health or a one to one meeting between the employee and their Manager. (See Section 5 Informal Action) 5. Informal Action 5.1 If following completion of a thorough investigation there is insufficient evidence to pursue the matter at a formal hearing, however there are concerns to suggest other action may be appropriate, the manager may recommend that the matter is dealt with informally. Informal action may include: Additional/further training Referral to Occupational Health for assessment of health to determine any reasonable support/modification of duties which may be appropriate Referral to Occupational Health for counselling Reflective cycle Supervision Objective setting Short term adjustment of hours/shifts One to one meeting with manager Please note this list is not exhaustive and other support mechanisms may be identified as appropriate depending on the circumstances/individual needs. 5.2 Any informal action should be discussed and agreed with the employee and his/her representative, where appropriate, and confirmed in writing. 5.3 Any informal action will be retained in the employee s personal file and may be referred to at a later date should a similar incident occur. 5.4 It is the manager s responsibility to ensure that any agreed action is arranged and completed by the employee and an update e.g. dates of training attended etc., recorded on the employee s personal file. 5.5 It is the employee s responsibility to carry out any agreed actions highlighted as part of the informal process. If an employee is unable to attend/meet any agreed action e.g. attend additional/further training or meet set objectives they must inform their Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 7 of 20

8 manager at the earliest opportunity to ensure alternative arrangements are made. 6. Cases of Suspected Fraud or Theft 6.1 In cases involving suspected fraud or theft the investigation manager should take note of the Trust s Standing Financial Instructions, (EDF006), and the Trust s Anti Fraud and Corruption Policy, (EDF004). These require an immediate referral to the Director of Finance who, if the issue relates to fraud, will refer to the Trust s Local Counter Fraud Specialist to carry out an investigation (in conjunction with the Regional Office of the Directorate of Counter Fraud Services, if appropriate). If the outcome of this investigation is that there is evidence of a case to be answered, the matter will either be referred back to the manager to pursue through the disciplinary procedures, or referred to the Police, or both. In cases of fraud the decision regarding the appropriate course of action, particularly as regards police involvement, will be taken by the Director of Finance in conjunction with the Chief Executive. 7. Criminal Offences 7.1 Disciplinary action should not be taken automatically against an employee because he/she has been charged with or convicted of a criminal offence. Each situation requires individual consideration on the basis of whether the employee s conduct warrants action because of its employment implications. 7.2 In situations where it is considered that the offence charged/conviction warrants investigation under the Disciplinary Procedure the provisions for investigations of Section 4 of this policy should be followed as far as is reasonably possible The investigation into the facts of the case should include meeting with the employee where possible. 7.3 Cases involving the police do not preclude the Trust from applying its own disciplinary procedures. These can be operated in parallel and it is not necessary to await the outcome of any prosecution before taking action/applying sanctions under this policy. However there may be occasions where the police require actions to be suspended and advice should be sought from HR in these circumstances. 7.4 If the employee refuses to co-operate with internal disciplinary investigations this does not stop the Trust from taking action. In these situations the employee should be advised in writing that unless further information is provided a decision will be taken, up to and including dismissal, on the basis of the information available. 7.5 In some cases the nature of the offence may have no bearing on the employee s employment but the employee may not be available for work because they are in custody or on remand. Where an employee is not available to work this is a failure to fulfil their contract of employment. Such a breach may result in termination and deemed a frustration of contract. Advice must be sought from HR in these circumstances. 7.6 Where, following a criminal conviction leading for example to the loss of a driving license, the continuation of employment in a particular job would be illegal, the Trust will consider whether reasonable adjustments can be made or suitable alternative work is available, depending on the circumstances. Termination of employment will Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 8 of 20

9 result where no suitable alternative work is available. Advice must be sought from the HR department in these circumstances. 8. Suspension 8.1 It is recognised that there may be occasions when in dealing with situations under this policy it is considered inappropriate for an employee to be at work and where the use of suspension may be considered. The use of suspension is not a disciplinary sanction. Careful consideration should be given to its use as the term suspension is emotive and can be seen both by the individual and others a having negative connotations including implied guilt. The following situations provide examples where suspension might be used but consideration should always be given to alternatives to suspension if such are available. Where a disciplinary offence is alleged to have taken place and an investigation is required, it may be considered a significant risk that the person against whom allegations have been made could either interfere with or influence an investigation if they remained at work. Where a manager feels that an employee is unfit for duty and that they may be a danger to patients, themselves or others. In such instances an assessment by the Occupational Health Service may be appropriate. Advice should be sought from the HR department in these circumstances. Where it is suspected that an employee is under the influence of either alcohol or drugs and it might be appropriate for the manager to defer investigating the circumstances 8.2 The following guidelines should apply to suspension: i) Suspension will be on full pay ii) Suspension will always be for as short a period as is possible and any extensions beyond that which the employee is originally informed will be confirmed in writing. Therefore all suspensions will be reviewed on a four weekly basis by the investigating officer, in conjunction with the Head of HR. iii) A named person with delegated authority, in line with delegated authority to dismiss, will normally carry out the suspension. This should not be the person responsible for potentially carrying out any resulting disciplinary action. (Please see section 11.4) iv) Wherever possible the manager contemplating suspension should seek advice from the Human Resources Department prior to suspending. v) Where possible and practicable, a trade union representative (recognised by the Trust) or work colleague if so requested by the employee should be present when the employee is informed of the suspension and the reason. vi) Written confirmation should be given within two working days stating the reasons for and expected duration of the suspension. vii) Staff who are suspended should be available to attend an interview at short Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 9 of 20

10 notice if required subject to the availability of representation/support i.e. 48 hours notice. The manager will make the necessary checks to ensure no pre-booked leave is being taken by the employee suspended. viii) Staff suspended must not work for another employer during their normal working hours. 8.3 A suspended employee should not without prior approval enter the Trust premises except to consult with their representative or for medical treatment themselves or a dependent. They must not discuss the case with any employee, outside the investigation, other than the representative assisting them with their case and their witnesses. 8.4 Any exclusion of medical and dental staff will be undertaken in line with the Trust s Disciplinary Procedure for Medical Staff, (EDH010), and the Department of Health s Health Service Circular 2003/ Suspension should be lifted if the investigation shows that the allegation is unfounded, or if further investigation can continue with the employee working. 9. Disciplinary Hearings 9.1 If following a full investigation there appears to be a case for considering disciplinary action, the employee will be required to attend a disciplinary hearing. 9.2 The investigating officer will be required to provide a written statement of case outlining the allegations, background to case, specific issues pertinent to the case, the investigation process/methods, a summary of the findings, conclusion and recommendation. The employee or their representative will be requested to present a written case in their defence, if they wish. If it is determined that there is a prima facie case to answer, at least 10 working days prior to any hearing, management will provide the employee accused (or their staff side representative) with copies of all relevant documentary evidence to enable them to respond in their defence. 9.3 At the disciplinary hearing the employee will be advised of the case against them and will be given the opportunity to state their case either personally or through their representative. 9.4 A manager who has had no involvement in any investigation relating to the case will conduct the disciplinary hearing and will be supported by a member of the HR team. The scheme of delegated authority to take disciplinary action is shown in Section The manager hearing the case will make a decision based on the information presented at the hearing including any mitigating circumstances put forward by the employee or their representative. 9.6 Disciplinary hearings should be held in suitable accommodation for the purpose, free of interruptions and with facilities for disabled participants if necessary. A separate room should be available for the employee under investigation to use prior to and during the hearing to discuss matters with his/her representative or companion. It may also be necessary to set aside further rooms for the manager presenting the findings of the investigation and for any witnesses who may be called. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 10 of 20

11 9.7 Staff required to attend as the subject of a disciplinary hearing must be informed in writing of: The allegation(s) made against them Their right to be accompanied at the hearing (as per section 3.6/9.10) Who will hear the case Any witness(es) that are to be called or will be available to be called and the right of the employee to call witnesses Any relevant evidence and statements which have not previously been shared The possible disciplinary actions which may be taken as a result of the hearing, if allegation(s) proven against them 9.8 Although it is the responsibility of the employee to make any necessary arrangements for representation, where management are aware of the employee s representative letters will be copied to them. 9.9 The employee or their representative must advise the employer of any witnesses to be called to ensure that the witnesses are available and have facilities at the hearing Employees have a statutory right to be accompanied by a trade union/professional organisation representative (recognised by the Trust) or work colleague at a formal disciplinary hearing. The representative must be allowed to address the hearing and may also be permitted to respond at the hearing on behalf of the employee Where the employee or representative is unable to attend a hearing on the date identified, then an alternative date within 5 to 10 working days will be expected which is suitable for all parties Where an employee fails to attend a disciplinary hearing without prior notification then the Trust may offer a further date for the hearing depending on the circumstances and a further failure to attend the hearing could result in the hearing proceeding and possible disciplinary action being taken against them in their absence The following parties will be present throughout the hearing: The manager hearing the case HR advisor Note taker The employee The employee s representative or workplace colleague The investigating officer will normally present the case. In exceptional Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 11 of 20

12 circumstances e.g. the investigating officer is absent, the HR Advisor who supported the investigation my present the case in their absence, or other nominated person. In some cases an adviser such as a clinical or other specialist may accompany the chairman although in every case any decision to take disciplinary action is the responsibility of the manager hearing the case Witnesses will attend only for the period of time when they are being asked to present their evidence and respond to questions. In some situations it may be considered appropriate for witnesses to be accompanied at the hearing. These companions would have no right to address or participate in the hearing. 10. Procedure at the Hearing 10.1 The manager hearing the case will introduce those present and confirm that the hearing is of a disciplinary nature within the terms of the Conduct and Disciplinary Policy and Procedure and could lead to disciplinary action being taken against the employee. The manager will then explain the procedure for the hearing, as detailed in Appendix 2 and summarized below The manager making the allegations will present the case and the findings of the investigation and may call any witnesses. The employee or their representative followed by the manager (or advisor) hearing the case can then question each witness as necessary The employee will then present their response to the allegation(s), including any mitigating circumstances, and witnesses may be called who can then be questioned by the manager making the allegations and the manager (or advisor) hearing the case Any party may request an adjournment for a limited period of time and will not be unreasonably refused by the manager hearing the case Once all the evidence has been presented the manager hearing the case may then ask supplementary questions to ensure his/her understanding of the respective positions The manager making the allegations will sum up the case against the employee followed by the employee or representative who will sum up their response There will then be an adjournment for the manager hearing the case to consider the evidence The employee should be advised of the timescale for communication of the outcome of the hearing. The manager hearing the case may invite the parties to wait to be called back to hear the decision and this decision will be confirmed in writing within 5 working days. Alternatively, the decision may be conveyed in writing only and this will normally be within 5 working days If disciplinary action is taken as a result of the hearing, the employee will be informed of their right to appeal against the decision, to whom the appeal should be addressed and the time allowed (21 calendar days) to lodge an appeal. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 12 of 20

13 10.10 Actions which may be taken as a result of a disciplinary hearing may be summarised briefly as follows: No case to answer. The allegations made against the employee will be removed from the record No disciplinary case to answer but performance/misconduct may be handled informally or in line with the Trust s Capability policy and Procedure, (EDH031), where appropriate. The employee is considered to be in breach of discipline and a warning at the appropriate level is issued in writing and a record kept in the employee s personal file for the period applicable to the level of warning. For repeated general misconduct or single acts of gross misconduct the employee may be dismissed, with or without notice, depending on the nature and severity of the offence. If notice is due, the employee may be given pay in lieu of notice The outcomes above must be read in conjunction with Section 11 below which gives further detail on the range of sanctions available to the manager hearing the case. 11. Disciplinary Sanctions 11.1 Where it is deemed necessary to take formal disciplinary action there are five possible sanctions: Oral Warning First Written Warning Final Written Warning Dismissal Alternatives to dismissal The sanction that is imposed on an employee following thorough investigation of the allegation(s) and following full consideration of all the evidence at a disciplinary hearing will depend on the severity of the situation It is not necessary for the level of sanctions to be used sequentially Any disciplinary sanction given will be monitored in the work place for a specified period of time equivalent to that specified for each of the sanctions listed above. Periods may need to be adjusted during lengthy absences for any reason. This is to ensure appropriate and satisfactory change/improvement in behaviour has occurred Oral Warning This stage of the disciplinary procedure is appropriate in circumstances which, although undesirable, have not resulted in significant risk or harm to patients, colleagues or Trust interests but where it is deemed inappropriate to use the informal process. If the result of the hearing is an oral warning the record of that warning will Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 13 of 20

14 stay on the employee s file for three months from the date of the hearing. The warning should point out the employee s failure/omissions, immediate and continued improvement required and any support which will be given and timescales for improvement (all where relevant) and the possible consequences of any further misconduct. The warning should be issued in writing, by the manager hearing the case, to confirm the outcome of the hearing. A signed copy acknowledging receipt and understanding of the content should be obtained from the employee. This signed copy will be placed in the employee s personal file. After the time limit has expired the warning letter and associated documentation will be removed and destroyed First Written Warning A First Written Warning may be given by the manager hearing the case and will remain valid for 6 months. The warning should clearly point out the employee s failure/omissions and should also detail how the employee could improve and if appropriate what support the organisation will give to help the employee. Details should also be given regarding agreed timescales for improvement if relevant and the possible consequences of any further failures The manager issuing the warning should inform the Line Manager to whom he/she reports that a warning has been issued. The warning must be issued in writing and a signed copy acknowledging receipt and understanding of the content should be obtained from the employee. This signed copy will be placed in the employee s personal file. After the time limit has expired the warning letter and associated documentation will be removed and destroyed Additional Action Depending on the circumstances and severity of the allegations the manager may consider additional action in line with Final Written Warning A Final Written Warning may be issued by the manager authorised to hear the case (see Section 11.5) and will remain valid for 12 months. The warning should point out the employee s failure/omissions, improvement required and any support which will be given and timescales for improvement (all where relevant) and the possible consequences of any further misconduct. The warning should be issued in writing and a signed copy acknowledging receipt and understanding of the content should be obtained from the employee. This signed copy will be placed in the employee s personal file. After the time limit has expired the warning letter and associated documentation will be removed and destroyed Authority to Take Disciplinary Action Action Short of Dismissal All disciplinary hearing will be conducted by an appropriate senior manager authorized to hear the case Dismissal The under-mentioned Directors and managers have authority to terminate contracts of employment in line with this policy in relation to staff for whom they have responsibility. Chief Executive and Executive Directors Divisional Directors Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 14 of 20

15 Heads of Department/Senior Managers authorized to do so by a Divisional Director The decision to dismiss an employee on disciplinary grounds will normally arise: As a result of further misconduct while a Final Written Warning is in force. In this situation the dismissal is likely to be with notice or pay in lieu of notice As a result of gross/serious misconduct. In these situations the dismissal is likely to be summary dismissal without entitlement to notice The decision to dismiss must only be taken after a full investigation of all the circumstances and following a disciplinary hearing at which the employee or their representative is given the opportunity to state their case. Following the decision to dismiss the employee should be advised as soon as is reasonably practicable of the reason for the dismissal. This should be by letter and should include the following: Details of who was present at the disciplinary hearing, excluding witnesses Details of the allegation(s) Reason(s) why the decision to dismiss was taken The date on which the employment will terminate Information on the appeals procedure, including details of timescale 11.7 Alternative to Dismissal The manager with authority to dismiss may consider alternatives to dismissal e.g. transferring the employee to another area/post within the organisation or downgrading an employee, even if they are subsequently ruled out as an alternative. The appropriateness of this will be dependent on individual circumstances and a final written warning will be recorded on the employee s personal file. Reductions in pay as a consequence of sanctions taken as an alternative to dismissal will not qualify for protection. 12. Appeals 12.1 Written Warnings An employee who is aggrieved at an outcome of an Oral/Written Warning has the right to appeal to the manager to whom the decision-maker is accountable (as advised in the warning letter). Any appeal should be made in writing and should be received within 21 calendar days of receipt of letter confirming the outcome, stating the reason for the appeal if the employee believes there was a failure to follow process/policy. The appeal will be considered by the senior manager and a senior member of the HR Department with no previous involvement in the case Dismissal An employee who is aggrieved at an outcome of dismissal has the right to appeal to the Director of Human Resources & Organisational Development. The appeal must: be made in writing Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 15 of 20

16 be received within 21 calendar days of the notification of dismissal state the grounds for the appeal e.g. failure to follow procedure, severity of sanction, disputed evidence etc The clerk to the panel will be required to determine the format of the hearing i.e. whether a full re-run of the original hearing will be required or a review. In the majority of cases it is likely that a re-run of the original hearing will be required unless the grounds for appeal is against the sanction only and the evidence and finding of guilt are not in contention; or where the appellant just wants consideration of new evidence. In these circumstances a review of the original hearing may be undertaken The Trust will convene a panel of two Executive or Divisional Directors plus one Nonexecutive director to hear the appeal against dismissal. No member of the panel will have had any previous involvement in the case Appeal hearings will be held within one month of receipt of the appeal. In certain circumstances this may be delayed e.g. due to annual leave, sickness, availability of panel members. The employee and their representative will be informed in writing of the date, venue and time of the appeal hearing. They will also be advised of the names of those who will hear the appeal The employee will be advised of their right to be represented by their trade union/professional organisation representative or work colleague The employee and the dismissing manager will be asked to submit a written case to the person acting as clerk to the appeal hearing at least 7 working days prior to the appeal hearing. They will also be required to submit the names of any witnesses to be called It will be the responsibility of the employee and the dismissing manager to inform any witnesses of the arrangements for the appeal hearing At least 5 working days before the appeal hearing, copies of the written cases and the names of any witnesses to be called will be circulated to the panel, the employee and the dismissing manager. 13. Implementation The Trust will demonstrate that this policy has been issued, read and implemented as follows: 13.1 Dissemination A variety of dissemination methods are in place to ensure all staff will be made aware of, have access to and comply with this policy and procedure, these include: Publication in the monthly core brief, including a brief description of the document and its intended core audience Publication in the Weekly Bulletin Publication in the monthly Medical Director/Nursing Director Bulletin Inclusion on the Document Management System on the Trust s intranet site, which all staff are encouraged to use Briefings at monthly Divisional Management Meetings on implementation Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 16 of 20

17 13.2 Report Back Process Minutes from Divisional Management Meetings 13.3 Training Arrangements Briefings at monthly Divisional Management Meetings Briefings at Directorate/CAT/Department Meetings as required Liaison with the Trust s Training and Education Department as necessary 14. Monitoring Arrangements 14.1 All conduct/disciplinary cases will be monitored on a monthly basis Compliance will be monitored by means of analysis of grievances submitted where there has been a failure to follow procedure Regular reports will be submitted to the HR & OD Committee, and subsequently ` Trust Board, on the number of conduct and disciplinary cases in progress, together with outcomes and appropriate action where necessary. 15. Policy Review 15.1 This policy will be jointly reviewed through the agreed policy review process by November 2010, or earlier at the request of either side with three months notice. 16. References Department of Health, (2003). Health Service Circular 2003/012: Maintaining High Professional Standards in the Modern NHS: A Framework for the Initial Handling of Concerns About Doctors & Dentists in the NHS. DoH, December 2003, Crown Copyright. Pennine Acute Hospitals NHS Trust Policies, Procedures & guidelines: Management Guidelines Investigations Conduct & Disciplinary Cases, (EDH055) Disciplinary Procedure for Medical Staff, (EDH010) Capability Policy & Procedure, (EDH031) Anti-Fraud & Corruption Policy & Response Plan, (EDF004) Standing Financial Instructions, (EDF006) Alcohol, Drug & Other Substance Misuse at Work Policy, (EDH052) Public Interest (Disclosure) Act (Whistleblowing) Policy, (EDH013) Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 17 of 20

18 Disciplinary Rules Appendix 1 The following disciplinary rules are adopted by The Pennine Acute Hospitals NHS Trust and are issued for the information of all employees. These rules are considered to be necessary for ensuring a safe and efficient workplace and for maintaining good employment relations. Breaches of the disciplinary rules will be dealt with under the Trust s Disciplinary Policy and Procedure. They are designed to be a guide to the conduct expected of staff in the Trust and to give a clear indication of the type of conduct that will warrant disciplinary action. It is intended as a guide and not an exhaustive list. Gross Misconduct Gross misconduct may result in summary dismissal and an employee committing any of the following offences may expect to have their appointment terminated without notice on the grounds that acts which constitute gross misconduct amount to a serious and unacceptable breach of contractual terms. Examples of gross misconduct are: - Theft, unauthorised or unlawful possession of property, including patients or colleagues property - Fraud, corruption or other type of dishonesty, such as receipt of bribes or falsification of time sheets or expenses - Incapability at work due to alcohol or illegal drugs (to be considered in line with the Trust s Alcohol, Drug & Other Substance Misuse at Work Policy, (EDH052)). - Misappropriation and/or misuse of drugs (to be considered in line with the Trust s Alcohol, Drug & Other Substance Misuse at Work Policy, (EDH052)). - Violence, assault, threatening or menacing behaviour towards staff, patients or members of the public - Verbal or physical abuse of patients, staff, visitors or members of the public including racial or sexual abuse or harassment or victimisation - Recklessness or negligence which threatens the health or safety of a patient, member of staff or member of the public - Action in serious breach of a professional code of conduct - The concealment or destruction of evidence in disciplinary cases, including evidence of malpractice - Misuse or disclosure of confidential information to unauthorised persons (other than protected acts under the Public Interest (Disclosure) Act 1998 refer to Trust Policy EDH013) - Serious breach of or refusal to follow Trust policies and procedures, Standing Orders and Standing Financial Instructions Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 18 of 20

19 - Infringement of Health and Safety regulations e.g. smoking on Trust /grounds premises - A criminal conviction which compromises the suitability of the employee to discharge his/her duties - Serious deliberate damage, misuse, abuse or lack of proper care of Trust equipment or facilities - Wilful omission or factual misrepresentation or provision of false information in application for employment - Private trading on Trust premises/using Trust resources The list above is not intended to be exhaustive. General Misconduct All employees are required to conform to general standards of conduct and performance. Breaches of these standards can be expected to result in disciplinary action. The following are examples of breaches of discipline that may result in a disciplinary sanction including a warning, transfer, downgrading or dismissal depending on the circumstances and previous disciplinary actions on record. - Poor time-keeping, including late arrival, early leaving and extended breaks when not part of authorized flexible working nor previously agreed with a line manager - Unauthorised absence or failure to comply with the Trust s notification requirements for sickness absence, holiday booking, or any other type of absence - Failure to follow Trust policies and procedures, including health and safety policies, drug policies, equal opportunity policies, Trust Standing Orders and/or Standing Financial Instructions - Infringement of Health and Safety regulations e.g. failure to wear/use essential protective safety dress/equipment, violation of hygiene rules - Failure to maintain essential professional registration - Action in breach of a professional code of conduct - Failure to follow reasonable instructions (subject to the employee s right to refuse to follow an unlawful instruction or an instruction which breaches their professional code of conduct) including persistent or unreasonable failure to submit activity information on time - Misuse or lack of proper care of Trust property, including computers and other equipment - Misuse or abuse of Trust resources and facilities including telephones, computers, stationery and food The above list is not intended to be exhaustive and it should be noted that depending on the nature/severity of the allegations could be classed as gross misconduct. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 19 of 20

20 Procedure at Disciplinary Hearings and Appeals A formal hearing convened under this policy will follow the procedure outlined below. Appendix 2 The manager hearing the case (or Chairman of the Panel in the case of appeal hearings) carries out introductions, identifying the role of each person, and explains the format of the hearing The manager presenting the case states the management case and calls any witnesses (if relevant) The employee or his/her representative and manager (or advisor) hearing the case may question any witnesses called and/or the manager presenting the case The manager presenting the case may re-examine the witnesses on any matters referred to in their questions by the manager (or members of the panel) hearing the case or by the employee or his/her representative The employee or his/her representative states his/her case in response and calls any witnesses (if relevant) The manager presenting the case and the manager (or advisor) hearing the case (or members of the panel) may question any witnesses called and/or the employee/representative presenting the case The employee or his/her representative may re-examine the witnesses on any matters referred to in their examination by the manager presenting the case or the manager (or panel/advisor) hearing the case The manager presenting the case sums up The employee or his/her representative sums up last The manager (or advisor) hearing the case (or members of the panel) may question any party to clarify matters which remain unclear at this point. They may also ask questions for the purpose of clarification during the proceedings if necessary at any time The manager hearing the case (or Chairman of the panel) may at his/her discretion defer a decision and adjourn the hearing to allow either party to produce further evidence if so requested. If this is not required: The parties withdraw while the manager (or panel) hearing the case considers the evidence and arrives at a decision. The HR adviser supporting the manager hearing the case (or the panel) may be requested to remain The manager hearing the case (or chairman of the panel) may re-call the parties to give the outcome of the hearing or he/she may inform the parties (before they adjourn or when re-called) that the decision will be notified at a later date. In either case, the decision is confirmed in writing, normally within 5 working days. Expiry Date: 30/11/16 (Please ensure you have the latest version of this document) Page 20 of 20