Policies Procedures & Guidelines. Suspension Policy. Version: 1 Ratified by: Lewisham Joint Staff Partnership Committee Date ratified: March 2006

Transcription

1 Policies Procedures & Guidelines Suspension Policy Version: 1 Ratified by: Lewisham Joint Staff Partnership Committee Date ratified: Name of originator/author: HR Department Date issued: Review date: July 2010 Target audience: All staff Page 1

2 Version Control Reference LEW/HR/Suspension Policy Date Approved Approving Body JSPC Implementation Date Version 1 Supersedes N/A Consultation Supporting Procedure Presented to JSPC Review Date July 2010 All PCT policies and procedures with particular reference to the Disciplinary Policy and Procedure and Hearing and Appeals Policy and Procedure Lead Executive Author/Lead Manager Further Guidance Human Resources Department HR Manager ACAS, CIPD, DOH and NHS Employers Implementation Target audience All PCT Staff Implementation plan in place Yes Tools for dissemination & Intranet Date of dissemination Monitoring Monitoring method Audit Frequency Annual Responsibility HR Department Reporting HR Department Page 2

3 Equalities Impact Assessment Screening Grid Note: See equalities impact assessment guidance notes on PCT website at before completion. Equality Group Race Disability Gender Age Sexual Orientation Religion or belief Deprivation Dignity and Human Rights Assessment of Impact Page 3

4 1. INTRODUCTION Lewisham Primary Care Trust (PCT) recognises that occasionally it is necessary to suspend an employee from work where it may be considered as a matter of patient safety, or to aid the investigation. Suspension is a neutral act, which is without prejudice and is not a disciplinary sanction. This policy sets out the purpose of suspension and the underlying principles, together with the procedure to be followed and the rules, which apply to staff who have been suspended. 2. SCOPE This policy, procedure and set of rules applies to all staff directly employed by the PCT. Whereby issues concerning medical staffing arise from both a capability and /or conduct perspective, further guidance should be sought immediately before any action is taken from the Director of Human Resources, Medical Director and the National Clinical Assessment Authority (NCAA). 3. DEFINITION Suspension is where an employee who is available and willing to work continues to receive the benefits of their employment contract including pay 1 but is not required to attend or undertake work for or on behalf of the PCT. Suspension is a neutral act which is without prejudice and is not a disciplinary sanction. 4. PURPOSE The purpose of suspension is to immediately remove an employee from the PCT s premises and activities in order to: a) Create the opportunity to establish information related to an incident(s) or matter(s) relating to the employee s contract of employment with the PCT. This can include for example:- - Investigations into complaints/allegations of misconduct or other breaches of discipline, - Suspension for medical reasons - Matters relating to health and safety And/or b) Safeguard the interests of service users and the general public, other employees or the member of staff concerned, or the PCT. 1 Basic salary plus High Cost Living Supplement and fixed allowances which are not linked to basic pay (e.g. regular car user) and rostered enhancements (i.e. those paid during other absences such as sickness and annual leave). Page 4

5 5. PRINCIPLES 5.1 If an employee is suspended it will be for the minimum necessary period of time in order to minimise the stress to the individual, disruption to services and cost to the PCT. 5.2 Suspension is a serious measure and such action will only be taken as a last resort after alternative ways of minimising risk and ensuring a speedy and thorough investigation have been properly considered. (see section 6.3). 5.3 Where patient safety is at risk, the opportunity to exclude staff from work or restrict their activities so that the situation can be defused and investigated at the earliest opportunity is vitally important. 5.4 The decision to suspend must be taken promptly, having taken account of the nature and seriousness of the events and reviewed the alternatives (see sections 6.1, 6.2 & 6.3). 5.5 The decision to suspend will normally be taken by the employee s immediate line manager (with advice see para 6.2) as long as this does not delegate the authority to suspend below professional supervisor/service line manager level/line manager (i.e. a line manager who reports to a community/borough/departmental manager, who is in turn directly accountable to a Borough Director/Executive Director). 5.6 In the absence of the line manager with authority to suspend, the most appropriate senior manager on site will have the authority to suspend. 5.7 Should paragraph 5.6 be actioned - the appropriate senior manager / line manager will review this decision by the next working day. 5.8 The decision to suspend will normally be taken (in liaison with the line manager if s/he is not the suspending manager) following advice from Human Resources, as long as such advice is available within an appropriate time scale. If Human Resources advice is not available the manager should proceed with the suspension and inform Human Resources at the earliest opportunity. (see section 6.5). 5.9 Appendix 1, Lewisham PCT incident Decision Tree is detailed for further guidance. The appropriate Human Resources contact should also obtain further guidance, particular in relation to clinical incidents, from the relevant directorate / professional body if needed Where the reasons for suspension include financial aspects such as possible fraud, corruption, theft, larceny, misappropriation of funds or failure to act in the best interests of the PCT, the Director of Finance will also be immediately informed of the suspension by the suspending manager. Page 5

6 5.11 Suspension is not part of the disciplinary process and will not be used as a disciplinary sanction Any suspension should be for a limited period of time whilst further action is to be agreed The PCT will take all practical steps to ensure that matters are dealt with as quickly as possible and a suspended employee will be kept informed of the progress of the investigation (see section 6.12). 6. PROCEDURE 6.1 Once a manager has been informed of an allegation/complaint or incident regarding an employee, the manager must decide without delay whether suspension is necessary and ensure that the employee concerned stops working immediately. 6.2 Having reviewed appendix 1 - In reaching his/her decision the manager should discuss the case with Human Resources and consider the available information promptly but thoroughly, including: - the nature of the allegation/incident - the seriousness of the allegation/incident - the potential risk to service users, the public or the PCT - the potential risk to the employee (e.g. of further allegations) - the potential hindrance to the investigation process (e.g. security of records, further contact with complainant or other service users) If Human Resources advice is not available (e.g. out of normal office hours) the manager may seek advice from other senior management colleagues and wherever possible must notify the relevant Director (or the Director on-call). If no advice is available the manager must make a decision without delay and proceed with the suspension if they decide it is required. The manager should subsequently discuss the case with Human Resources at the earliest opportunity. The manager should also make their Director or immediate manager aware of the situation. 6.3 On the basis of his/her assessment the manager must consider, with Human Resources advice, whether suspension is necessary or whether alternative action could be taken which would be less disruptive to the service and the individual, without compromising the aims and principles set out in sections 4 and 5 of this policy. Alternative options could include: - limited duties in the normal workplace - alternative duties in the normal workplace - relocation to another part of the PCT with or without any change in duties Page 6

7 Relocation or changes in duties will be the decision of the suspending manager (in liaison with the line manager), taking due regard of the individual s skills and abilities and/or the remit of their existing contract. The manager must be satisfied, as far as possible, that if the employee is allowed to remain at work, there is no continuing risk to service users and the general public, other staff, the employee themselves or the PCT, and/or that the investigative process will not be hindered. 6.4 If the manager decides to suspend the employee, s/he will convene a meeting to inform the employee at the earliest opportunity. [It must be noted that there will be rare occasions where a meeting is not appropriate or possible (e.g. due to the employee s absence). In such circumstances the suspension will be carried out in the employee s absence and confirmed in writing in line with section 6.9.] 6.5 Before this meeting takes place the employee should be advised that they may be accompanied by a Trade Union representative or work colleague if they so wish. Every effort must be made to accommodate this request if made. However in the event that the employee is not able to arrange this within 2 hours the manager should proceed with the suspension. In exceptional circumstances it may be necessary for the manager to suspend the employee immediately. For example where a member of staff is abusive, threatening violence or suspected of being under the influence of alcohol or other substances whilst on duty. 6.6 The meeting must take place in private and the manager should be accompanied by another senior colleague who is acting as a witness. Only in exceptional circumstances will the manager suspend without a witness. 6.7 At the suspension meeting the manager must: - Explain the purpose of suspension as set out in this policy and stress in particular that suspension is without prejudice and is not a disciplinary sanction. - Clearly explain the reason/s for the suspension including the content of any allegations that have been made. - Advise the employee of his/her rights: - To continue to receive pay for the duration of the suspension period: - To be kept informed of the progress of the investigation (see section 6.12) - Provide the employee with a copy of this policy - Inform the employee of their responsibilities during the period of suspension in accordance with section 7 of this policy. 6.8 The suspension is effective from the date and time of the meeting or date of the letter if the suspension was undertaken by writing. Page 7

8 6.9 The manager should confirm in writing the date, time and venue of the suspension meeting and the matters discussed in line with point 6.7 above. If the suspension is to allow an investigation to take place the letter will also indicate how long the investigation is expected to last. This letter will be sent within 2 working days of the suspension meeting having taken place. Alternatively, if it is not possible to give a realistic estimate of the length of the investigation until preliminary investigations have been carried out, the letter confirming suspension will be sent within 2 working days and a further letter will be sent as soon as possible giving an estimate. Any time scales given are only estimates or targets and are not to be regarded as strict deadlines as circumstances may change and unavoidable delays may occur Following the decision to suspend the manager must consider, with advice from Human Resources, whether other NHS or professional bodies should be notified. The purpose of such notification would be to minimise any potential risk that might be caused if the employee continued with, or obtained employment elsewhere (for example with a temporary staff agency) The manager must also confirm whether the individual is employed elsewhere in the PCT in any capacity (e.g. bank, fixed term, part time) and agree in consultation with the relevant managers and Human Resources whether the suspension should apply to all employment with the PCT If it becomes evident that the investigation will not be concluded within the original estimated time scale, the employee must be informed of this fact in writing by the investigating manager, indicating the revised estimate of when the investigation will be complete Suspensions should be reviewed every two weeks and the employee should be informed of the result of each review The length of suspension will always be kept to an absolute minimum and if at any time during the suspension, investigation shows that the reasons for suspension no longer apply (e.g. the allegations are without foundation or that further investigation can continue with the employee working normally) the suspension will be lifted and the employee allowed to return to work as soon as practicable Any investigation not completed within three months should be reported to the PCT board, outlining any reasons for the delay and the reasons for the continued suspension and why restrictions on practice would not be an appropriate alternative Should the suspension continue progress reports should be made to the board every 4 weeks, again outlining the reasons for the continued suspension and why restrictions on practice would not be an appropriate alternative. Page 8

9 6.17 Where possible the line manager should make arrangements to ensure that he/she maintains contact with the employee on professional developments, and take part in Continuing Professional Development (CPD). Advice should be sought from Human Resources The decision to lift a suspension before the conclusion of the investigation will only be taken by the suspending manager on the advice of the investigating manager and Human Resources. It must be clear whether clinical and other responsibilities are to remain unchanged or what duties and restrictions are to be and any monitoring arrangements to ensure patient safety If after the investigation has been completed it is decided that there is no case to answer the employee will return to normal duties as soon as possible. This will be communicated to the employee either in writing or at a meeting which is then confirmed in writing If the outcome of the investigation is that there is a case to answer, the employee should be so advised in writing within 7 calendar days of the investigation having been completed. 7. RULES An employee who has been suspended under the provisions of this policy must abide by the rules set out below. Failure to do so will be regarded as a breach of disciplinary rules and considered in accordance with the PCT s disciplinary policy. A suspended employee: - must not undertake work of any kind (paid or unpaid) for any other organisation/s during hours for which they are contracted to work for the PCT; - must be available to take part in the investigation during their contracted hours of work; - must inform their line manager of any circumstances which would affect this availability e.g. sickness - must not take annual leave unless this has been approved by their line manager. Any leave that had been booked at the time of the suspension will be reviewed and where possible will be honoured. - must not enter PCT premises at any time during their suspension unless they have been given specific permission by their line manager on each occasion. Such visits will normally only be for the purpose of attending investigatory meetings or meeting their representative. - will not attempt to make contact with other PCT employees, clients, patients or any other individual involved in the case, or in any other way hinder the process of investigation. Page 9

10 - must comply with a request to surrender work related keys, ID badge, work diary and/or any other items which are the property of the PCT. 8. REVISION OF PROCEDURE This procedure may be revised from time to time in light of changing circumstances. Any amendments to the procedure will be made by the PCT only after full consultation with staff representatives and with a notice period of three months unless otherwise agreed by both sides. The review period for this policy will be two years. Nothing in this policy overrides statute. Page 10

11 Appendix 1: Lewisham PCT Incident Decision tree adapted from James Reasons Culpability Model Start here Ill Health Foresight Test Substitution test Were the actions as intended? Does there appear to be evidence of ill health or substance misuse? Did the individual knowingly depart from agreed protocols or safe procedures? Would another individual coming from the same professional group, possessing comparable qualifications and experience behave in the same way? Were adverse consequences intended? Consult HR Immediately Consider Referral to Police and disciplinary / regulatory body OH Referral Suspension Advise individual to consult Trade Union representative Consult HR Immediately Consider Reasonable adjustment to duties OH Referral Sick Leave Advise individual to consult Trade Union representative Page 11 Did the individual know they had a medical condition? Is there evidence of reckless behaviour? Consider Consult HR Immediately Reasonable adjustment tp duties OH Referral Suspension Advise individual to consult Trade Union representative Were the protocols and safe procedures available, workable, intelligible, correct and in routine use? Consider Were there mitigating circumstances e.g. root causes promoting protocol violations Consult HR Immediately Reasonable adjustment to duties OH Referral Corrective Training Advise individual to consult Trade Union representative Were there any deficiencies in training and selection or experience? Consult HR Immediately Consider SYSTEM ERROR REVIEW SYSTEM