14/01/2014. Validation Date: 21 st January 2014

Transcription

1 Document Type: POLICY Title: Disciplinary Policy Scope: Trust Wide Author/Originator and title: Eleanor Palmer-Rigby, Human Resources Manager Lynne Bentham, Staff Side Chair Replaces: Version 4 Disciplinary Procedure Corp/Proc/203 Name Of: Divisional/Directorate/Working Group: HR Policy Forum Validated by: JNCC Unique Identifier: CORP/POL/525 Version Number: 1.4 Status: Ratified Classification: Organisational Responsibility: Human Resources Description of amendments: Previously harmonised policy. Amendments throughout streamlining the policy and separating the Policy and the Procedure Version 1.1 Section 3 first paragraph, minor update regarding recording devices. Version 1.2 Section 2 inclusion of link to procedure. Section 3.1.3, 4 th paragraph new sentence. Version 1.3 Section change to paragraph 4., Section 3.1.3, change to paragraph 4, 5 and 6. Version 1.4 Addition of A34 and A35 to Appendix 2. Section 8 updated as a result. Date of Meeting: 14/01/2014 Validation Date: 21 st January 2014 Ratified by: Ratified Date: Trust Management Team (TMT) 27/02/2014 Review dates may alter if any significant changes are made Risk Assessment: Not Applicable Financial Implications Not Applicable Which Principles of the NHS Constitution Apply? Principle 3 Issue Date: 27/02/2014 Review Date: 01/01/2017 Does this document meet the requirements of the Equality Act 2010 in relation to Race, Religion and Belief, Age, Disability, Gender, Sexual Orientation, Gender Identity, Pregnancy & Maternity, Marriage and Civil Partnership, Carers, Human Rights and Social Economic Deprivation discrimination? Initial Assessment

2 CONTENTS 1 PURPOSE SCOPE POLICY Disciplinary Procedure Investigation Informal Resolution Recorded Conversation Formal Procedure Formal Disciplinary Sanctions Stage 1 First Written Warning Stage 2 Final Written Warning Stage 3 Dismissal Other Action Short of Dismissal Appeals Disciplinary Rules General Misconduct Gross Misconduct Restriction of Practice and Exclusion from Work Criminal Offences and Offences Committed Outside of Work Duties within the Organisation Managers Employees HR Representatives Trade Union Representatives All stakeholders ATTACHMENTS ELECTRONIC AND MANUAL RECORDING OF INFORMATION LOCATIONS THIS DOCUMENT ISSUED TO OTHER RELEVANT/ASSOCIATED DOCUMENTS SUPPORTING REFERENCES/EVIDENCE BASED DOCUMENTS CONSULTATION WITH STAFF AND PATIENTS DEFINITIONS/GLOSSARY OF TERMS AUTHOR/DIVISIONAL/DIRECTORATE MANAGER APPROVAL Appendix 1: General Misconduct Appendix 2: Gross Misconduct Appendix 3: Equality Impact Assessment Form Page 2 of 20

3 1 PURPOSE Blackpool Teaching Hospital NHS Foundation Trust (The Trust) requires high standards of conduct from all members of staff and is committed to helping and encouraging staff to improve and to learn from mistakes. The Disciplinary Policy and accompanying Procedures provides a framework to manage concerns which arise about an employee s conduct in a fair and timely way. It aims to help staff to achieve and maintain required standards of conduct. 2 SCOPE The policy applies to all staff employed by Blackpool Teaching Hospitals NHS Foundation Trust. The procedure to be applied in cases of professional misconduct or professional competence of medical and dental staff is set out in the Trust s Disciplinary Procedure for Hospital Medical and Dental Staff (See Section 7). Staff employed in a training capacity are entitled to be dealt with under the terms of the disciplinary procedure in respect of the termination of training or of student, trainee or pupil status; but if there is a national statutory body responsible for the conduct of professional training the requirements of that body will be complied with. In the case of Doctors in training, the Postgraduate Dean will be notified / involved as required through the Postgraduate Tutor of Foundation Programme Director. The Policy does not cover situations in which performance is unsatisfactory because of inadequate knowledge or skills. These situations are dealt with under the Performance Management Policy of the Trust (See Section 7). 3 POLICY NB: The Trust does not permit the tape recording, by any device, of any disciplinary investigation or disciplinary meetings. The content of such recordings would be regarded by the trust as inadmissible, without the express permission of all those present. Managers are responsible for ensuring that employees are aware of the required standards of conduct. Managers will ensure that concerns about conduct are brought to the attention of staff at the earliest opportunity. Managers should try to resolve minor matters of concern informally. If informal approaches do not bring about improvement or if the misconduct is sufficiently serious, the formal stages of the disciplinary policy will apply. Managers will ensure that all action taken under this policy and procedure is reasonable. Staff will be given the opportunity to know the reasons and the nature of evidence for disciplinary action. Staff will be given the opportunity to be represented at all formal stages of the procedure. Staff will have the opportunity to respond fully to allegations Page 3 of 20

4 before disciplinary action is taken. Managers will ensure that the main points of a formal meeting are summarised in an outcome letter. Employees have the right to appeal against any formal disciplinary action. Information relating to disciplinary cases will only be shared with those who have legitimate right to be informed. Breaches of confidentiality by any party to a disciplinary process may lead to disciplinary action. 3.1 Disciplinary Procedure Investigation An investigation to establish the facts of a case will be carried out before formal disciplinary action is taken. The employee s manager will liaise with the Human Resources Advisor to agree who should be the Investigating Officer. Where there is an allegation of criminal activity or fraud, the manager should also consult with the Trust s Local Counter Fraud Specialist (LCFS) and with their Human Resources representatives, prior to contacting the employee. Under normal circumstances, as soon as the allegation comes to light the investigating officer will meet with the member of staff to establish their version of events and determine if the case requires further investigation. Staff are entitled to seek Trade Union representation and advice. Managers shall allow staff representatives to attend investigation meetings, where this does not unreasonably delay the conclusion of an investigation. Disciplinary action against Trade Union Representatives: Whilst normal disciplinary standards apply to their conduct as employees, no disciplinary action will be taken against an accredited representative of a recognised Trade Union until the case has been discussed with a full time official of that union. The manager will provide the employee with a copy of notes taken during investigation meetings. Where there is disagreement about the accuracy of notes, the employee can provide the manager with their own version of the meeting notes. Investigations by the LCFS will be conducted in accordance with the NHS Counter Fraud and Corruption Manual and the Trust s Fraud and Corruption Policy and Response Plan (See Section 7). Managers should also refer to the Investigation Guide for Managers (See Section 7). The Trust will only delay its disciplinary processes when it is absolutely necessary. Guidance on writing Terms of Reference, Investigation Reports, or Management Statements of Case, are available within the Investigation Guide for Managers (See Section 7) Informal Resolution Recorded Conversation The Trust recognises that cases of minor misconduct are best dealt with informally and quickly. A quiet word is often all that is required to improve conduct. In some cases additional training, coaching and advice may be needed. Page 4 of 20

5 When there are concerns about staff conduct, managers will ensure that they talk to staff in private as soon as possible, normally within a few days. This will be a two-way discussion, aimed at discussing shortcomings in conduct and encouraging improvement. Criticism should be constructive with emphasis on finding ways for staff to improve. Where improvement is required managers will make sure that staff understand what needs to be done, how their conduct will be reviewed, and over what period. Managers should keep brief notes of any informal action for reference purposes. Where appropriate, managers may also summarise concerns and expectations in the form of a letter, a copy of which will be placed on the personal file. If informal action does not bring about the required improvement, or the misconduct is too serious to be classed as minor, formal disciplinary action will be considered Formal Procedure At all formal stages of the Disciplinary Procedure, once the matter has been investigated and it has been established that there is a case to answer, a disciplinary meeting will be arranged with minimum delay. Reasonable notice (normally 7 days) will be given of the arrangements for the meeting, including who will be present at the hearing. The manager responsible for bringing the case will provide the employee in advance with the Management Statement of Case (MSOC) detailing the allegation and any witness statements or supporting documentation. The employee must be advised if a formal warning or dismissal is a potential outcome. Employees, managers and representatives must make all reasonable steps to attend. The employee has the right to be accompanied by a Trade Union Representative or a Work Colleague. If the employee or the Representative wishes to call witnesses to the hearing, it is the responsibility of the employee/trade Union Representative to arrange their attendance. Where an individual is being prevented from attending the hearing due to release from duty, the Employee or their Representative should contact HR for support to achieve the release from duty. Where the Manager presenting the case intends to call witnesses, these details should be shared with all parties in advance of the hearing. Where the Employee or their Representative feels that management witnesses are not being called that they believe are material to their own case, they should raise this matter formally with the chair of the hearing, preferably in advance. Alternatively they can seek to call these witnesses themselves. The manager hearing the allegation may be accompanied by a professional advisor if considered necessary. A HR Representative may be present at meetings at which first written or final written warnings are a potential outcome. A HR representative will always attend hearings at which dismissal is a potential outcome. If dismissal is a potential outcome, the chair of the meeting must be either: Page 5 of 20

6 Board Level Director Deputy Director Assistant Director/Associate Director or equivalent who reports into a Board Level Director At the meeting the investigating manager will state the nature of the allegations and outline the case by going through the MSOC. The employee will be given full opportunity to respond to the allegations. Whilst the employee has to respond directly to any questions, the employee s representative has the right to outline the employee s case, ask questions and clarify questions and statements for and on behalf of the employee. In considering the sanction, the manager will take account of the employee s previous work record and other mitigating factors. The meeting will follow the Disciplinary and Appeals Procedure (See Section 7). Witnesses will be called to attend as appropriate. The outcome of the meeting will be confirmed in writing within 5 working days. If disciplinary action is to be taken the letter will include details of the complaint, the improvement required (if appropriate) and the right to appeal. It will also state that further disciplinary action may be taken if there is not a satisfactory improvement. The formal process for managing misconduct for medical and dental staff varies slightly for consultant and in cases of professional misconduct. The policy to be followed is the Disciplinary Procedure for Medical and Dental Staff (See Section 7) Formal Disciplinary Sanctions The seriousness of the misconduct will determine the level of disciplinary action to be taken. The procedure may be entered at any stage Stage 1 First Written Warning If the employee fails to meet required standards following informal action of the offence is sufficiently serious to warrant moving straight to the formal stages, a First Written Warning may be given. First Written Warnings are confirmed in writing and apply for 12 months after which time they elapse Stage 2 Final Written Warning If the failure to meet required standards continues or if the offence is one of sufficiently serious (but not gross misconduct), a final written warning may be given. Final written warnings are confirmed in writing and apply for 12 months after which time they will elapse. If a further offence is committed within the 12 month period of any warning, the warning will remain live pending the outcome of an investigation or disciplinary hearing Stage 3 Dismissal If conduct remains unsatisfactory or if the offence constitutes gross misconduct, dismissal will normally result. Except in case of gross misconduct, dismissal will be with notice or with pay in lieu of notice. Cases of Gross Misconduct will result in summary dismissal i.e. Page 6 of 20

7 dismissal without notice. Dismissal due to professional misconduct will be reported to the employee s professional body (See Section 7) and the Independent Safeguarding Authority as appropriate. Letters confirming dismissal must be sent by Registered Post Other Action Short of Dismissal In addition to the use of a final written warning the following actions may also be appropriate where action short of dismissal has been taken: Final written warning and downgrading (without pay protection) Final written warning and transfer Final written warning and downgrading (without pay protection) & transfer Appeals Any employee has the right of appeal against a formal disciplinary sanction. A more senior level of manager than heard the original case, will hear the appeal. An appeal must be made in writing within 14 days of receipt of the letter detailing the disciplinary sanction. The details of the person to whom the appeal should be lodged will be contained in the letter Disciplinary Rules General Misconduct General Misconduct is conduct or behaviour which does not merit immediate dismissal but is of an unacceptable standard for the efficient functioning of the Trust. These offences are deviations from the general standards of conduct and performance expected from a member of staff. Repeated instances of this type of offence could result in dismissal following the application of the Trust s Disciplinary Policy in full or part, depending on the circumstances. A list of offences that constitute General Misconduct is contained in Appendix Gross Misconduct Gross Misconduct is behaviour or an offence that so undermines the trust and confidence the Trust has in an employee that he/she cannot be retained in employment in any capacity with the Trust. These are offences which affect the relationship between the employees and the Trust to such an extent that the member of staff cannot any longer reasonably be retained in his/her post by the Trust. Any member of staff who commits any act of Gross Misconduct will be dismissed without notice unless there are sufficient mitigating circumstances. A list of offences that constitute Gross Misconduct is contained in Appendix 2. Page 7 of 20

8 3.1.6 Restriction of Practice and Exclusion from Work Any exclusion from duty must be authorised by either a Director of the Trust, Deputy Director, Associate Director of Operations or Assistant Director. In addition it is good practice to seek HR advise prior to undertaking any exclusion, to ensure consistency. In this part of the procedure the phrase exclusion from work has been used to replace the word suspension which can be confused with action taken by a formal regulatory body (such as the GMC or the NMC) to suspend a qualified practitioner from the register pending a hearing of their case or as an outcome of a formal hearing. In the case of Medical and Dental staff the exclusion must adhere to the conditions in Section 3.5 of the Disciplinary Procedure for Medical and Dental Staff (CORP/PROC/451) (See section 7). The Trust will ensure that:- Exclusion from work is only used as an interim measure while action to resolve a problem is being considered; Where an employee is excluded, it is for the minimum necessary period of time: this can be up to but no more than four weeks at a time without a formal review; The Trust will ensure that any extension of exclusion beyond four weeks will be sanctioned by the Trust Officer who originally authorised the exclusion, or another colleague who also has the authority to exclude; Exclusion from the workplace is a temporary measure and is a precautionary act, not a disciplinary one. Exclusion from work will be reserved for only the most exceptional circumstances. Exclusion will only be used:- To protect the interests of patients or other staff. In cases of fraud, bribery or corruption exclusion would only be appropriate if:- The member of staff has the ability to manipulate, amend, delete or destroy any information/evidence that may be required in the investigative process; The member of staff has the ability to intimidate any potential witness, involved in the investigative process. Alternative ways to manage the risk of the employee remaining at work and thereby avoiding the need for exclusion are as follows: Appropriate senior level supervision of normal clinical commitments sanctioned by the Director of Nursing or the Medical Director; Restricting the employee to certain duties (administrative for example) or clinical tasks about which there is no doubt of the employee s ability or intentions; Transfer to another area of work if appropriate; Sick leave for the investigation of specific health problems. Employees will be excluded on full pay (that is what they would have earned had they been at work, including any shift premium and unsocial hours payments) to allow a full investigation to be completed and/or where it is undesirable for the employee(s) to remain on duty. If serious misconduct is not initially suspected or believed to have occurred and the employee concerned is not excluded, but during the course of an investigation the Page 8 of 20

9 person conducting it reasonably forms the opinion that a serious breach of discipline may have occurred, the employee who is the subject of the investigation may then be excluded. Employees must advise Human Resources of any secondary form of employment, including self-employment, agency employment or voluntary employment conducted whilst the staff member is excluded from work. Any decision to exclude will be confirmed in writing to the employee within 3 working days and such written confirmation will state that the nature and any special conditions of the exclusion and that it is precautionary, not disciplinary, pending the outcome of the investigation. Some examples which may warrant exclusion include: Serious clinical negligence; Intimidation or assault; Theft; Fraud, bribery or corruption; Criminal acts or investigations by the Police into allegations of criminality This list is not exhaustive. If the period of exclusion lasts more than four weeks and no disciplinary allegations have been made and communicated in writing the employee has the right to appeal against the continuation of their exclusion from work under the terms of the Trust s Resolution Procedure (See section 7). This right of appeal will not apply in cases involving police inquiries, where legal procedures are pending or a formal committee of enquiry has been or is being established. When undertaking exclusion, the employee should be told: The reason for suspension; They must not do anything that might interfere with the investigation; They are not allowed to contact their work area or approach anyone involved or likely to be involved in the case; If they would like to contact witnesses who may support their case, they should do this via the investigating manager, or, if different, their own manager, or their Trade Union Representative; Except in medical emergencies, they are required to remain off Trust premises unless given express permission by the line manager or a named deputy to attend for a specific purpose e.g. meeting a representative, an investigation meeting, a counselling appointment, a medical consultation etc. They have to be reasonably available between 9am to 5pm Monday to Friday, excluding public holidays to attend meetings. Permission for any periods of absence e.g. annual leave, must be requested Criminal Offences and Offences Committed Outside of Work If an employee is charged or convicted of an offence, whether committed on or off duty, the Trust will consider whether the offence renders the employee unsuitable for continued employment and may take disciplinary action up to and including dismissal. The Trust reserves the right to take action independently of any legal proceedings. Page 9 of 20

10 3.1.8 Duties within the Organisation Managers Managers must ensure that staff are aware of the required standards of conduct and handle disciplinary concerns fairly and promptly in accordance with this Policy. They are responsible for promoting a culture in which concerns are dealt with openly and fairly, with an emphasis on learning from mistakes. Managers must log formal disciplinary cases with their HR representative Employees Employees are expected to act in accordance with the standards of behaviour defined with in the Trust s Vision and Values and as defined by their professional bodies, where applicable. Employees have a personal responsibility to ensure that they are familiar with them. Employees also have a duty to protect the assets of the Trust, including information, goodwill and property. In addition, all employees have a responsibility to comply with all applicable laws and regulations relating to ethical business behaviour, procurement, personal expenses, conflicts of interest, confidentiality and the acceptance of gifts and hospitality. Employees are expected to raise concerns about colleagues behaviour to an appropriate manager, especially where there could be consequences for patient safety. The Whistleblowing Policy applies (See Section 7) HR Representatives HR Representatives provide support and guidance on the application of this policy Trade Union Representatives Trade Union Representatives will work in partnership with managers to ensure that the policy is applied in a fair and consistent manner. Where an allegation arises, trade union representatives will work with other stakeholders to ensure that decisions can be taken promptly, thereby minimising staff anxiety All stakeholders All stakeholders will ensure the management of conduct cases is constructive, nonadversarial and supportive of the overriding aim of helping staff to improve through the fair, systematic and consistent application of the Disciplinary Policy. 4 ATTACHMENTS Appendix Number Title 1 General Misconduct 2 Gross Misconduct 3 Equality Impact Assessment Tool 5 ELECTRONIC AND MANUAL RECORDING OF INFORMATION Electronic Database for Procedural Documents Held by Policy Co-ordinators/Archive Office Page 10 of 20

11 6 LOCATIONS THIS DOCUMENT ISSUED TO Copy No Location Date Issued 1 Intranet 27/02/ Wards, Departments and Service 27/02/ OTHER RELEVANT/ASSOCIATED DOCUMENTS Unique Identifier Title and web links from the document library CORP/GUID/201 Investigations Guide for Managers doc CORP/POL/011 Attendance Management Policy docx CORP/POL/136 Fraud and Corruption Policy and Response Plan pdf CORP/POL/200 Drugs, Alcohol and Substance Misuse Policy docx CORP/POL/202 Criminal Records Bureau Disclosures doc CORP/POL/214 Whistleblowing (Raising Concerns) Policy docx CORP/POL/233 Smokefree Policy docx CORP/POL/234 Recruitment and Selection (on-medical staffing) docx CORP/POL/235 Recruitment & Selection (Medical staffing) doc CORP/PROC/200 Grievance Procedure doc CORP/PROC/204 Capability Procedure doc CORP/PROC/208 Prevention of Bullying & Harassment Policy doc CORP/PROC/451 Disciplinary Procedure for Medical & Dental Staff doc Page 11 of 20

12 7 OTHER RELEVANT/ASSOCIATED DOCUMENTS Unique Identifier Title and web links from the document library CORP/PROC/482 Equality Analysis doc CORP/PROC/594 Referral to the NMC and Health Professionals Council docx CORP/PROC/636 Disciplinary and Appeals Procedure docx 8 SUPPORTING REFERENCES/EVIDENCE BASED DOCUMENTS References In Full Acas code of Practice Crown. (2009). The Health and Social Care Act 2008 (Regulated Activities) Regulations Available: Last accessed 24/07/2015. Crown. (2014). The Health and Social Care Act 2008 (Regulated Activities) Regulations Available: Last accessed 24/07/2015. Employment Rights Act 1996 Employment Relations Act 1999 Employment Act CONSULTATION WITH STAFF AND PATIENTS Name Designation HR Policy Forum JNCC 10 DEFINITIONS/GLOSSARY OF TERMS Full Time Officer An official currently employed and accredited by a nationally recognised NHS negotiating body to represent its members. Where such a body does not employ a full-time officer the term also means some other person nominated by that nationally recognised NHS negotiating body. General Misconduct Conduct or behaviour which does not merit immediate dismissal but is of an unacceptable standard for the efficient functioning of the Trust. Gross Misconduct Behaviour or an offence that so undermines the trust and confidence the Trust has in an employee that he/she cannot be retained in employment in any capacity with the Trust. LCFS Local Counter Fraud Specialist MSOC Management Statement of Case Trade Union A representative of a recognised negotiating body of the Trust. Representative The Trust Blackpool Teaching Hospital NHS Foundation Trust Page 12 of 20

13 11 AUTHOR/DIVISIONAL/DIRECTORATE MANAGER APPROVAL Issued By Eleanor Palmer- Checked By Louise Benfield Rigby Job Title Human Resources Job Title Head of Employee Manager Relations Date June 2014 Date June 2014 Page 13 of 20

14 Appendix 1: General Misconduct These offences are deviations from the general standards of conduct and performance expected from a member of staff. Instances of this type of offence could result in dismissal following the application of the Trust s Disciplinary Procedure in full or part depending on the circumstances. The Trust considers the following to be examples of the type of offences, which constitute General Misconduct. B 1 B 2 B 3 B 4 B 5 B 6 B 7 B 8 B 9 B 10 B 11 B 12 B 13 B 14 B 15 B 16 Unauthorised possession of Trust assets, property or the like, and/or unauthorised possession of the assets, property or the like of a fellow employee; Unjustified refusal of a lawful and reasonable instruction. Unauthorised absence from his/her place of work, including extended or unauthorised breaks during working hours Sleeping whilst on duty, including during unpaid time off, which could have an adverse effect on one s fitness for work; Failure to observe Health and Safety, and/or Fire regulations or related instructions. Failure to maintain compliance with mandatory training Failure to comply with the requirements of the Trust's No-Smoking Policy (Smokefree See Section 7). Personal misconduct of a sufficiently serious nature as to affect his/her performance of duties and/or relationship between the member of staff and the Trust. Negligence in job performance. Poor work performance. Unauthorised use of the Trust's resources or of information obtained during the course of his/her employment. Refusal, without reasonable grounds, to wear any uniform or protective clothing provided by the Trust. Undertaking any other employment which adversely affects the performance of his/her duties. Use of the Trust's resources for personal reasons not connected with his/her duties. Failure, without reasonable grounds, to comply with the requirements of the Trust's Policies and Procedures. Behaviour, which exposes the Trust to justifiable complaints arising out of legislation such as Disability Discrimination Act, or the like. Page 14 of 20

15 Appendix 1: General Misconduct B 17 B 18 B19 Any act or omission committed by an employee that results in a financial loss to the Trust; Discussing the content of an on-going investigation with unauthorised persons. Undertaking a presentation, lecture or similar which devalues public opinion of the Trust or its customers Page 15 of 20

16 Appendix 2: Gross Misconduct These are offences, which affect the relationship between the employees and the Trust to such an extent that the member of staff cannot any longer reasonably be retained in his/her post by the Trust. Any member of staff who commits any act of Gross Misconduct will be dismissed without notice unless there are sufficient mitigating circumstances. The Trust considers the following to be examples of the type of offences which constitute Gross Misconduct :- A 1 A 2 A 3 A 4 A 5 A 6 Theft or attempted theft on the Trust premises or during employment by the Trust. Fraudulent manipulation of accounts, financial statements, expenses claims, time sheets or other official records. Misappropriation or attempted misappropriation of the Trust s funds or resources. Acceptance of gifts or hospitality in contravention of the Bribery Act 2010, and, HSG (93)5 "Standards of Business Conduct for NHS staff". Failure to inform the Trust of any pecuniary interest of which the employees is aware in a contract which has been; or is proposed to be, entered into by the Trust in accordance with the provision of HSG (93)5 "Standards of Business Conduct for NHS staff." Serious misrepresentation at the time of appointment including (but not limited to):- a) previous employment b) qualifications c) date of birth d) declaration of health e) failure to disclose relationship to any other member of the Trust s staff f) failure to disclose any criminal offences or cautions in accordance with the provision of the Rehabilitation of Offenders Act 1974, when so required. A 7 A 8 A 9 A 10 A 11 A 12 Serious misrepresentation at any time during employment in connection with qualifications held. Consumption of alcohol and/or misuse of drugs and/or other substances to an extent which affects the satisfactory performance of the member of staff's duties and/or jeopardise the safety and welfare of a patient(s), member(s) of the public or member(s) of staff. Physical or indecent assault during the course of employment and/or on the Trust premises. Ill-treatment of and/or sexual offences against patients. Any communication, conduct or behaviour, with a discriminatory undertone; Any form of coercion, intimidation, and/or interference in an ongoing investigation; Page 16 of 20

17 Appendix 2: Gross Misconduct A 13 Any form of bullying and/or harassment of a fellow employee, a patient and/or a member of the public; A 14 A 15 A 16 A 17 A 18 Loss, damage, negligent, misuse or unauthorised use of Trust property or assets; Deliberate disclosure of privileged and confidential information to any unauthorized persons out with the provisions of EL (93) 57 "Guidance for Staff on Relations with the Public and the media". Negligent or deliberate failure to comply with the legal requirement and/or the Trust's regulations concerning medicines. Working whilst contravening an enactment or breach of rules laid down by any relevant statutory bodies. Criminal offence(s) outside of the working situation, which substantially affect the performance of duties, or relationship between the member of staff and the Trust. A.19 Wilful damage caused by a member of staff during the course of his/her employment or on the Trust's premises. A.20 Any act or omission, constituting a serious danger to the Health and Safety of any person during the course of his/her employment or on the Trust Premises. A 21 A 22 A 23 A 24 A 25 A 26 A 27 A 28 Any act or omission constituting serious negligence in a member of staff s performance of his/her duties. Unjustified refusal of a lawful and reasonable instruction, which could result in immediate serious consequences or could result in the contravention of any other Gross Misconduct offence. Undertaking any other employment while unable to attend for duty for reason of illhealth and being in receipt of sick pay. In considering such potential gross misconduct attention will be paid to status of the employee, i.e. whether full or part-time, and the nature of the employee s duties with Trust and the duties of the other employments. Any breach of an explicit term of his/her contract of employment with the Trust; and/or any disregard of common law practice. Verbal abuse of a patient(s), member(s) of the public or member(s) of staff during the course of employment or on the Trust's premises. Harassment by a member of the Trust s staff on another member of staff, contractor or representative of the Trust. Practising without a professional registration in a profession where there is a requirement to obtain and maintain a professional registration. Words or acts that seriously breach the Trusts Equal Opportunity Policy, including Page 17 of 20

18 Appendix 2: Gross Misconduct any form of discrimination, victimisation or harassment of employees or patients on the grounds of sex, race, sexual orientation, disability, age, belief or religion. A 29 A 30 A 31 A 32 A33 Maliciously making or assisting someone else to make an unfounded complaint. Displaying of a dangerous weapon on Trust property or in a Trust vehicle; assault, or an attempt to assault any person(s), patient(s) or employee(s). Gross Insubordination; Offering or receiving a bribe at work and/or outside of work, which could have an adverse effect on the Trust good name; Accepting payment for work from another source when you are being paid to be on duty for the Trust. A34: If you hold the position of director (or a director equivalent role), declaring that you meet the fit and proper person requirements under the Health and Social Care Act 2009 (Regulation of Regulated Activities) Regulations 2014, knowing that such a declaration is or may be untrue. A35: If you hold the position of director (or a director equivalent role), knowingly failing to inform the Trust that you have ceased or may have ceased to meet the fit and proper person requirements under the Health and Social Care Act 2009 (Regulation of Regulated Activities) Regulations Page 18 of 20

19 Appendix 3: Equality Impact Assessment Form Department Organisation Wide Service or Policy Procedure Date Completed: January 2014 GROUPS TO BE CONSIDERED Deprived communities, homeless, substance misusers, people who have a disability, learning disability, older people, children and families, young people, Lesbian Gay Bi-sexual or Transgender, minority ethnic communities, Gypsy/Roma/Travellers, women/men, parents, carers, staff, wider community, offenders. EQUALITY PROTECTED CHARACTERISTICS TO BE CONSIDERED Age, gender, disability, race, sexual orientation, gender identity (or reassignment), religion and belief, carers, Human Rights and socio economic/deprivation. QUESTION RESPONSE IMPACT What is the service, leaflet or policy development? What are its aims, who are the target audience? Does the service, leaflet or policy/ development impact on community safety Crime Community cohesion Is there any evidence that groups who should benefit do not? i.e. equal opportunity monitoring of service users and/or staff. If none/insufficient local or national data available consider what information you need. Does the service, leaflet or development/ policy have a negative impact on any geographical or sub group of the population? How does the service, leaflet or policy/ development promote equality and diversity? Does the service, leaflet or policy/ development explicitly include a commitment to equality and diversity and meeting needs? How does it demonstrate its impact? Does the Organisation or service workforce reflect the local population? Do we employ people from disadvantaged groups Will the service, leaflet or policy/ development i. Improve economic social conditions in deprived areas ii. Use brown field sites. Improve public spaces including creation of green spaces? Does the service, leaflet or policy/ development promote equity of lifelong learning? Does the service, leaflet or policy/ development encourage healthy lifestyles and reduce risks to health? Does the service, leaflet or policy/ development impact on transport? What are the implications of this? Does the service, leaflet or policy/development impact on housing, housing needs, homelessness, or a person s ability to remain at home? Are there any groups for whom this policy/ service/leaflet would have an impact? Is it an adverse/negative impact? Does it or could it (or is the perception that it could exclude disadvantaged or marginalised groups? The Procedural Document is to ensure that all members of staff have clear guidance on processes to be followed. The target audience is all staff across the Organisation who undertakes this process. Not applicable to community safety or crime Issue Action Positive Negative Raise awareness of the Yes Clear Organisations format and processes identified processes involved in relation to the procedural document. Page 19 of 20 N/A N/A No N/A N/A No N/A N/A Ensures a cohesive approach across the Organisation in relation to the procedural document. The Procedure includes a completed EA which provides the opportunity to highlight any potential for a negative / adverse impact. Our workforce is reflective of the local population. N/A N/A N/A N/A N/A None identified ACTION: All policies and procedural documents include an EA to identify any positive or negative impacts.

20 Appendix 3: Equality Impact Assessment Form Please identify if you are now required to carry out a Full Equality Analysis No (Please delete as Name of Author: Signature of Author: Eleanor Palmer-Rigby appropriate) Date Signed: June 2014 Name of Lead Person: Signature of Lead Person: Name of Manager: Signature of Manager Date Signed: Date Signed: Page 20 of 20