SECTION: HUMAN RESOURCES POLICY AND PROCEDURE NO: 10.10 NATURE AND SCOPE: SUBJECT: POLICY - TRUSTWIDE CONDUCT The policy explains the process to be undertaken where there are incidents of alleged minor, serious or gross misconduct and persistent failure to meet the standards of conduct, performance and practice required by the Trust. DATE OF LATEST RATIFICATION: SEPTEMBER 2017 RATIFIED BY: EXECUTIVE LEADERSHIP TEAM IMPLEMENTATION DATE: SEPTEMBER 2017 REVIEW DATE: AUGUST 2020 ASSOCIATED TRUST POLICIES AND PROCEDURES Maintaining High Professional Standards in the Modern NHS - 10.14 Fraud, Bribery & Corruption Policy & Response Plan 5.06 Health, Safety & Welfare - 16.01 Digital Investigations 7.12 Email/Internet General - 7.14 Grievance (inc Bullying & Harassment) 10.11 Employment Policy 10.08 Allegations of Abuse made against an Employee, Agency Worker, Volunteer, Student or Bank Worker 17.05 Registration Authority Policy 7.07 Prevent Policy 2.04 ISSUE 8 SEPTEMBER 2017 0
NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST CONDUCT POLICY AND PROCEDURE UCONTENTS 1.0 Conduct Policy 2.0 Conduct Procedure 3.0 Roles & Responsibilities 4.0 Single Equality Scheme 5.0 Scope of the Procedure 6.0 Definitions 7.0 Right of Representation 8.0 Identification of Misconduct 9.0 Informing the Employee of the Allegation 10.0 Informal Action 11.0 Formal Disciplinary Procedure 12.0 Schedule of Delegated Authority 13.0 Suspension from Duty and Alternatives to Suspension 14.0 Investigation 15.0 Criminal Investigations 16.0 Relationship to other Complaints Procedures 17.0 Disciplinary Hearing 18.0 Failure to Attend a Disciplinary Hearing 19.0 Attendance at a Disciplinary Hearing When Absent from Work through Sickness 20.0 Resignation Prior to a Disciplinary Hearing 21.0 Appeals Against Disciplinary Action 22.0 Implementation 23.0 Training 24.0 Target Audience 25.0 Review Date 26.0 Consultation 27.0 Relevant Trust Policies 28.0 Monitoring Compliance 29.0 Equality Impact Assessment 30.0 Legislation Compliance 31.0 Champion Expert Writer Appendix 1 Appendix 2 Appendix 3 Expected Standards of Conduct Agreement to use Email as a Communication tool Disciplinary Hearing Format and Process ISSUE 8 SEPTEMBER 2017 1
Appendix 4 Appendix 5 Equality Impact Assessment (EIA) Screening Tool Record of Changes ISSUE 8 SEPTEMBER 2017 2
1.0 UCONDUCT POLICY NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST CONDUCT POLICY AND PROCEDURE 1.1 Nottinghamshire Healthcare NHS Foundation Trust is committed to providing services by committed members of staff who display positive attitudes, embody the Trust s values and demonstrate high standards of professionalism in their work. 1.2 This requires all levels of staff to recognise the impact of their personal and professional conduct on the delivery of services and to take responsibility and be accountable for their behaviours. Maintaining the highest possible standards requires a working environment which promotes openness, transparency and a culture of organisational learning and development. 1.3 This policy and procedure provides a framework for the Trust to facilitate and support employees in taking personal responsibility for their conduct and, where required, effect improvement(s) to the appropriate standard through a structured and constructive process. Whenever an issue arises regarding the conduct of employees, consideration will always be given to the individual circumstances of that case. 1.4 The procedure incorporates the ACAS Code of Practice on Discipline and Grievance Procedures, ensures compliance with the Employment Act 2002 (Dispute Resolution) Regulations 2004 and the policy document 22TUMaintaining High Professional Standards in the Modern NHS. U22T 1.5 This policy and procedure must be read and applied in conjunction with the Guidance for Managers; Conduct document. 2.0 UCONDUCT PROCEDURE 2.1 The purpose of the Conduct Procedure is to: a) set out the steps that will be taken in relation to conduct matters; b) ensure that as far as is possible conduct matters are dealt with quickly, consistently and reasonably, taking into account the circumstances of each case; c) ensure that, wherever possible, actions lead to an improvement in performance or conduct to at least a satisfactory minimum level. 2.2 Appendix 1 gives examples of misconduct. This is not necessarily an exhaustive list but illustrates acts which are likely to give rise to action within the scope of this policy and procedure. 3.0 UROLES AND RESPONSIBILITIESU 3.1 The Trust standards and rules of conduct are based on the core values of openness, professional accountability, mutual respect and public probity. 3.2 All levels of staff and others working on Trust premises that are covered by an honorary, or bank contract or letter of authority are expected to work to these same high standards of conduct and behaviour. ISSUE 8 SEPTEMBER 2017 3
3.3 Failure to work in accordance with these standards may be regarded as misconduct, which may, depending upon the circumstances, be regarded by the Trust as so serious that such a failure constitutes gross misconduct. 3.4 The Trust s Responsibilities The Trust is committed to creating and maintaining a positive workforce environment which promotes equality and embraces diversity, both within the workforce and in service delivery. This policy will be implemented with due regard to this commitment. The Trust will, in partnership with Trade Union colleagues, review key workforce metrics including numbers of and duration of suspensions, conduct investigations and disciplinary hearings, bi-annually or more often if required, to ensure that all cases are managed effectively, supportively and in a timely manner. 3.5 Managers and supervisory staff at all levels within the Trust will: ensure that members of their team are aware of the high standards of conduct expected within their role with the Trust in a format which is accessible to their needs; facilitate, support and guide staff to take personal responsibility and accountability for performing to their highest standards at work and to embody the NHS Values as per the NHS Constitution and the Trust s POSITIVE values base; treat all staff fairly, consistently and equitably and take action to address any forms of prejudice, discrimination or victimisation in the implementation of this procedure; promote a culture and climate in which staff, in taking responsibility for their conduct, are empowered to implement changes to improve standards of service delivery; ensure that pro-active steps are taken to identify and address areas of poor conduct; constructively, fairly and effectively to the benefit of the service and the member of staff; continue to promote the development of effective and dynamic partnership relationships. Ensure that any employee who are subject to this process, either at the informal or formal stage, are supported and signposted/have access to appropriate supportive interventions such as staff counselling, occupational health, IAPT services. 3.6 Trade Union representatives will work in partnership with managers to facilitate and support employees to actively take personal responsibility and accountability for raising standards of conduct and performance. Managers should work closely with representatives where appropriate to address any concerns through open and supported interventions. 3.7 Senior Workforce Advisors/Workforce Advisors will work closely with managers, trade union representatives and investigating officers regarding the application of this policy and procedure providing appropriate advice, support and guidance. 3.8 Professional Advisors will be drawn upon, where necessary and appropriate, from sources internal and external to the Trust to ensure that professional advice is provided prior to and at disciplinary hearings to the manager authorised to take disciplinary action. This includes any relevant appeals. 4.0 USINGLE EQUALITY SCHEME ISSUE 8 SEPTEMBER 2017 4
4.1 In applying this procedure, managers, employees and their representatives will have regard to the principles and requirements of the Trust s Single Equality Scheme. The Trust is committed to equality, diversity and human rights accordingly the implementation of this policy and its impact will be monitored across all equality strands and reported regularly to the Trust Board. 4.2 Managers will not discriminate in the application of this policy and procedure in respect of age, disability, race, ethnicity or national origin, gender, religion/belief, sexual orientation, domestic circumstances, employment status, gender identity, marriage or civil partnership status, pregnancy or maternity, mental health status, political affiliation or trade union membership. 4.3 In all cases, full and sensitive consideration should be given to equality and diversity needs/requirements or issues that may exist when implementing this policy and procedure. It should be recognised that in some cases, the perceived behaviour of individuals may be a reflection of diverse backgrounds and identities and can be subject to misinterpretation. Therefore, judgments regarding an individual s conduct, capability or performance should always be fully and appropriately informed, which may in some instances, require diversity specific/focused input, guidance/advice. 5.0 USCOPE OF THE PROCEDUREU 5.1 This procedure applies to all employees of Nottinghamshire Healthcare NHS Foundation Trust and others working on Trust premises that are covered by a bank registration, an honorary contract or letter of authority. 5.2 In all cases relating to Medical and Dental Staff the national agreed procedures set out in High Professional Standards in the Modern NHS: A framework for the Initial Handling of Concerns About Doctors and Dentists in the NHS, will also apply which are reflected in the Trust policy Maintaining High Professional Standards Policy (10.14). 6.0 UDEFINITIONS 6.1 For the purposes of this policy, the following definitions apply: Misconduct Gross Misconduct The Trust Conduct which falls short of that which the Trust expects of its employees and which is less than gross misconduct see Appendix 1, Section 1. Gross misconduct is generally seen as misconduct serious enough to undermine the contract between the employer and the employee thus justifying summary dismissal. (ACAS Guide to Discipline and Grievances at Work 2015). Examples which may constitute gross misconduct are identified in Appendix 1, Section 2. Nottinghamshire Healthcare NHS Foundation Trust 7.0 RIGHT OF REPRESENTATION 7.1 Employees have the right to be assisted and accompanied at formal disciplinary hearings (including the confirmation of a warning or other disciplinary action) by an accredited representative of a trade union or professional organisation or by a work colleague not acting in a legal capacity. 8.0 UIDENTIFICATION OF MISCONDUCT 8.1 On receipt of information, or in knowledge of, possible misconduct, the manager should undertake sufficient enquiry to enable them to make a decision relating to the severity of the ISSUE 8 SEPTEMBER 2017 5
ISSUE 8 SEPTEMBER 2017 6 Conduct 10.10 allegations received and to determine whether the allegations are minor and can therefore be addressed informally with the employee, or are of a gravity that requires a detailed investigation to be undertaken to determine the full facts and circumstances of the matter. 9.0 UINFORMING THE EMPLOYEE OF THE ALLEGATION 9.1 Employees will be informed of the full nature and extent of the allegation(s) known at the time and the investigation process will be confirmed with the employee in writing within 7 calendar days. There may be circumstances where this is not possible initially due to external bodies which may be involved such as the Police, Counter fraud and Local Authority Safeguarding Boards. In these circumstances the employee will be informed of the allegation(s) as soon as possible. 9.2 The fact that an employee is absent from work through sickness when allegation(s) are raised, should not automatically cause delay in dealing with the matter. They should be informed of the nature and extent of the allegation as outlined above, unless there are exceptional circumstances. 9.3 It should be agreed at the outset of the process if email is going to be used as the communication tool with the employee and the form shown in Appendix 2 should be completed and signed by the employee. 10.0 UINFORMAL ACTION 10.1 Cases of minor misconduct may be addressed effectively and swiftly by the employee s immediate line manager through a structured discussion with the employee regarding the necessary standards required and the required improvement in their conduct. 10.2 It should be made clear to the employee from the outset of the meeting that this is not formal disciplinary action; therefore no formal sanction can be applied. 10.3 The purpose of the meeting is to: a) Identify specifically where the expected standards of conduct are not being met. b) Explore with the employee concerned any reasons that may exist for these standards not being met. c) Encourage, facilitate and support the employee to improve their standard of conduct d) Consider whether any training, guidance, mentoring or other support may be required and how this could be provided. e) Discuss and confirm with the employee the time period in which the required improvement in conduct should be achieved and establish appropriate monitoring and review arrangements. f) Explain to the employee that failure to meet the required standards of conduct may leave no alternative than for the matter to be considered under the Formal Disciplinary Procedure. 10.4 Records must be made of the initial and subsequent review meetings. A copy of this record must also be provided to the employee concerned and a copy stored on the employee s personal file. This should be placed on their personal file for six months until the final review meeting has taken place and the required improvement has been demonstrated. Any patterns of similar cases of minor misconduct which may become apparent following the required demonstration of improvement must be addressed and may be progressed under
the formal disciplinary procedure. 11.0 UFORMAL DISCIPLINARY PROCEDURE 11.1 The formal disciplinary procedure will apply where: The employee does not improve their conduct and/or behaviour satisfactorily, following meetings held to discuss issues of minor misconduct and /or An allegation of misconduct is considered by the authorised manager to be of a serious nature and requires proper and due investigation to determine the full facts and circumstances of the matter, in the first instance. 12.0 USCHEDULE OF DELEGATED AUTHORITY 12.1 The Trust Schedule of Delegated Authority identifies the appropriate officers authorised to take action to address conduct issues. This is available on the Trust intranet. 13.0 USUSPENSION FROM DUTY AND ALTERNATIVES TO SUSPENSION 13.1 In some cases it will not be appropriate for a member of staff to remain at work whilst an investigation is being undertaken. After consideration of the circumstances it may be possible, as an alternative to suspension, to transfer the employee concerned to a different work area temporarily either to undertake a similar or different role. However, this decision may only be confirmed by the appropriate Executive/Clinical Director/General Manager / Head of Service. Advice must first be taken from a Senior Workforce Advisor/Workforce Advisor. 13.2 All allegations of abuse of a patient/service user by a member of staff will generate a safeguarding alert as a minimum and require the submission of allegation record to the Divisional Safeguarding Lead 13.3 Examples of circumstances where suspension from work should be considered are where the employee s continuing attendance would: Compound the alleged offence Frustrate or interfere with the investigation Jeopardise the safety or wellbeing of any person (including the employee) Affect the Safeguarding of vulnerable adults and/or children 13.4 During a period of suspension from work the employee will receive full pay in addition to an average of any enhancements which would usually form part of the employee s salary. 13.5 There may be circumstances where pay may be withheld during a period of suspension e.g. where the employee is absent without permission or unable to fulfill their contract of employment with the Trust. 13.6 It should be emphasised that suspension from duty or temporary transfer to a different area of work does not constitute disciplinary action, or suggest that any conclusions have been drawn prior to or before the completion of the investigation process. 13.7 The Clinical Director/General Manager/Head of Service will also identify a suitable person to act as a point of contact and support for the suspended member of staff. The person acting in this capacity should not be operating as a member of the immediate team in which the suspended staff member works and must had no involvement in the matter/incident under investigation, in any way. ISSUE 8 SEPTEMBER 2017 7
13.8 Where the need to possibly suspend an employee occurs outside normal working hours (9am 5pm) the individual must be sent home. Prior to any suspension, managers must contact a Senior Workforce Advisor/Workforce Advisor to discuss the case and seek approval from the relevant Clinical Director/General Manager/Head of Service. Once approval has been sought a meeting with the employee needs to take place in order to suspend or temporarily transfer them. Where a meeting is not possible e.g the employee is in police custody, a letter must be sent confirming the action taken. 13.9 The suspension or temporary transfer to a different work area should be confirmed in writing normally within 48 hours stating the reasons and any conditions that apply. 13.10 Where an employee has been suspended from duty or temporarily transferred to a different work area, the continued appropriateness of the suspension/transfer will be reviewed by the relevant Clinical Director/General Manager/Head of Service initially after 3 calendar days. Thereafter, the continued appropriateness of the suspension/transfer will be reviewed every two weeks. Every attempt will be made to ensure that the period of suspension/transfer is kept to a minimum. At each review a letter must be sent to the employee advising them of the progress of the investigation and of the decision to extend or remove the suspension from duty or temporary transfer. 14.0 UINVESTIGATION 14.1 In all instances where an alleged incident of misconduct or a complaint has been made against an employee, an investigation of all the relevant facts should be undertaken by a suitably trained investigation officer. The format for investigations will vary depending on the circumstances. The individual against whom the allegation is made and key witnesses will be interviewed and notes taken as part of those interviews. 14.2 It is important for all parties concerned to expedite the investigation process. Investigatory meetings will be arranged as soon as possible (whilst giving reasonable notice) and do not require formal invites to be sent by the investigating officer. If the individual whom the allegation is against or a witness is unable to attend an investigatory meeting they will be given one other alternative date before the investigation proceeds in the absence of their interview (unless exceptional circumstances are agreed). Employees may request the support of their Trade Union representative or work colleague at investigatory meetings and should make the necessary arrangements. 14.3 The employee and witnesses will be given 7 calendar days (from date of receipt of the notes) to make amendments to the notes and return to the investigating officer. If the notes are not returned within the specific timeframe, the original notes taken will be considered to be an accurate reflection of the interview. All members of staff involved in this process may also submit a written statement regarding the events. All staff will comply fully with the investigation process and failure to do so may in itself be regarded as a conduct issue to be dealt with in accordance with this procedure. 14.4 The investigation process of the alleged incident will be thorough, impartial and objective and conducted in a sensitive and non-confrontational manner with respect for the rights of all those involved. 14.5 The role of the Investigating Officer is one of a fact finder, involving the interviewing of individuals, the collecting, recording and analysing of relevant information and the submission of the investigation report. It is not the role of the Investigating Officer to make any judgements or recommendations regarding the investigation, nor to act as management advocate when presenting the facts of the investigation to any disciplinary hearing. 14.6 The investigation process should be completed in as short a timeframe as possible, to ISSUE 8 SEPTEMBER 2017 8
prevent additional stress and anxiety to those involved. The Clinical Director/General Manager/Head of Service commissioning the investigation should review the progress of the investigation at fortnightly intervals to ensure it is completed in a timely manner. The employee against whom the allegations have been made will be informed of the progress and of reasons for any delay in the completion of the investigation in writing following each fortnightly review. 14.7 The fact that an employee is absent from work through sickness during an investigation process should not automatically delay the investigation. 15.0 UCRIMINAL INVESTIGATIONS 15.1 Where an employee is subject to investigation by the Police or other statutory body such as the Counter Fraud Team, the Trust will be entitled to pursue its own or complementary investigation unless specifically instructed that doing so would impede the criminal investigation. Where the Police or other statutory body instructs that the Trust s investigation process is halted, the arrangements will be suspended until clearance to proceed with internal investigation is received. However, disciplinary action under this procedure will not necessarily await or be dependent upon the outcome of such investigations and their subsequent legal proceedings. 15.2 If an allegation against an employee potentially involves criminal behaviour, the Trust has the right to inform the Police or other statutory body. This will depend on the evidence available and the circumstances of the case. 15.3 Any allegations or evidence of fraud, bribery or corruption should be immediately referred to the Counter Fraud Specialist as per the Fraud, Bribery and Corruption Policy and Response Plan. 16.0 URELATIONSHIP TO OTHER COMPLAINTS PROCEDURES 16.1 The Trust operates a number of other procedures which contain investigatory processes (e.g. Patients Complaints Procedure, IR1/SUI Policies and Procedures, safeguarding enquiries) which focus on resolving the concerns raised. Where the outcome of such investigations undertaken under these policies and procedures highlight concerns relating to the conduct of an employee this may lead to a further, separate investigation being undertaken in accordance with the Conduct Policy and Procedure. Where witness statements may have been taken for an investigation in accordance with other complaints procedures, these may be used for the purposes of the Conduct investigation. Where this may be the case, the witness will be invited to review their statement as part of the conduct investigation process and add any additional information they deem relevant. 17.0 UDISCIPLINARY HEARINGU 17.1 Where is it determined that a formal disciplinary hearing should proceed, following the conclusion of the investigation process the manager authorised to take disciplinary action will inform the employee and the representative in writing 14 calendar days in advance, that a disciplinary hearing, held in accordance with the Conduct Policy & Procedure will be convened. Written notification of the arrangements for the hearing will also detail the nature of the allegation(s) and confirm, where the allegations relate to possible gross misconduct, that summary dismissal may be a possible outcome of the hearing. 17.2 The purpose of the hearing will be to consider the facts relating to the allegation(s) investigated and where upheld, the most appropriate actions to raise the employee s standard of conduct. 17.3 Witnesses to the circumstances may be called by the Chair of the panel, investigating ISSUE 8 SEPTEMBER 2017 9
officer or by the employee. All witnesses will co-operate fully with the hearing process and failure to do so may result in their conduct being addressed in accordance with this policy and procedure. 17.4 The format and process for the disciplinary hearing is attached as Appendix 2 17.5 An authorised manager (see schedule of delegated authority) different to the manager that conducted the investigation will conduct the hearing. The Trust s professional advisers (e.g. Associate Directors of Nursing or other Professional Leads) should be present at the disciplinary hearing, in all cases where staff are professionally registered. Any referral to a professional body will be made by the appropriate professional advisor. 17.6 A Senior Workforce Advisor/Workforce Advisor will be present at all disciplinary hearings in a professional advisory capacity. 17.7 The disciplinary hearing should be conducted as soon as practicable after the completion of the investigation, taking into the account the 14 calendar days notice of the hearing required to be provided to the employee. 17.8 The decision of the hearing will normally be confirmed on the day of the hearing, though where further consideration or advice is required the decision will be confirmed following adjournment, but no later than 3 calendar days after the date of the hearing, unless there are exceptional circumstances which prevent this from happening. 17.9 A note taker (arranged by the authorised manager) will be present to ensure a written record of the hearing is taken. 17.10 Where a case of misconduct is established, full consideration will be given to the most appropriate action for securing an improvement in the employee s standard of conduct to prevent similar incidents occurring in the future. In such instances consideration will be given to whether the employee poses any future risks to patients, carers, colleagues or others. Consideration will also be given to whether the employee concerned has acknowledged accountability for their actions and displays a commitment to improve. 17.11 Action to address incidents of misconduct will always focus on achieving improved conduct and may involve the sanctioning of formal warnings and/or other action such as transfer of base or post, temporary periods of additional supervision and/or other remedial actions appropriate for securing an improvement in the employee s standard of conduct. Due regard will be given to the Trust s duty outlined in the Equality Act 2010 to make reasonable adjustments for disabled employees. 17.12 In all instances of gross misconduct the disciplinary panel should consider the appropriateness of alternative action to dismissal, such as downgrading and transfer to an alternative role in addition to an appropriate warning. 17.13 Where formal warnings are sanctioned the following principles apply: Verbal Warning First Written Warning Final Written Warning Dismissal Warning for 6 months to be confirmed in writing with a copy retained on the employee s personal file Warning for 9 months to be confirmed in writing with a copy retained on the employee s personal file Warning for 12 months to be confirmed in writing with a copy retained on the employee s personal file. In serious cases of misconduct and as an alternative to dismissal, option to extend warning to 2 years. Where the decision to dismiss an employee follows a current live warning this will be confirmed in writing to the employee detailing their period of statutory notice or payment in lieu of notice. ISSUE 8 SEPTEMBER 2017 10
Where the decision is taken to dismiss an employee on the grounds of established gross misconduct this will constitute summary dismissal without statutory notice. Conduct 10.10 17.14 Where an individual is issued with a formal warning and subsequently is absent through sickness for 2 weeks or more following the issuing of a disciplinary warning, the time limit related to the warning will be extended by the length of the individual s absence. 17.15 Formal action will end for the purposes of the staged warning procedure, after the specified time period following continued satisfactory conduct. 17.16 On completion of a formal disciplinary hearing, the employee s line manager who is responsible for the team in which the employee works, will be advised of the outcome of the disciplinary hearing and any related actions. Information will be confidential and only shared on a need to know basis. 17.17 When employees move job role as a result of a formal disciplinary process, the full information relating to the reasons for the move will be provided to the receiving line manager who is responsible for the team in which the employee will work. Information will be confidential and only shared on a need to know basis. The employee s management file should be fully transferred to their new manager. 18.0 UFAILURE TO ATTEND A DISCIPLINARY HEARING 18.1 Where a disciplinary hearing has been arranged and the employee fails to attend, the Chair of the hearing may, depending on the circumstances, reconvene the disciplinary hearing on one further occasion. Should the employee fail to attend the hearing on the second occasion, the case will be heard using all of the information and evidence available at the time and a decision made in the employees absence. 19.0 UATTENDANCE AT A DISCIPLINARY HEARING WHEN ABSENT FROM WORK THROUGH SICKNESS 19.1 The fact that an employee is absent from work through sickness when facing a disciplinary hearing or when called as a witness, should not automatically cause delay in dealing with the matter. In such cases full consideration must be given to the nature of the illness or injury and the advice/referral to Occupational Health may be required. In such cases the General Manager/Head of Service will consult with a Senior Workforce Advisor/Workforce Advisor to determine whether it is reasonable to proceed with the disciplinary hearing, in the circumstances. 20.0 URESIGNATION PRIOR TO A DISCIPLINARY HEARING 20.1 Where an employee resigns from their employment during an investigation or prior to a disciplinary hearing regarding their misconduct the Trust may hold a review meeting to consider the outcome of the investigation and associated documentation. 20.2 Actions arising from this review hearing may include referral to the appropriate professional body and the Disclosure & Barring Service. 20.3 Employers, social services, statutory agencies and professional regulators have a duty to refer relevant information to the DBS where individuals are either known to pose a risk or may have harmed vulnerable adults or children and where they have been dismissed or are considering dismissal. Failure to refer the individual and the information will be considered a criminal offence, even if the individual voluntarily resigns, retires, is made redundant or is transferred to another post. ISSUE 8 SEPTEMBER 2017 11
21.0 UAPPEALS AGAINST DISCIPLINARY ACTIONU 21.1 Please refer to the Trust s Appeal Procedure. 22.0 UIMPLEMENTATION 22.1 As this policy has already been implemented, no implementation plan is required. 23.0 UTRAINING 23.1 Ongoing training is provided to officers likely to be involved in the implementation of this policy and procedures. 24.0 UTARGET AUDIENCE 24.1 All Trust employees and others working on Trust premises that are covered by a bank registration, an honorary contract or letter of authority 25.0 UREVIEW DATE 25.1 This policy will be reviewed in 3 years or in light of organisational or legislative changes. 26.0 UCONSULTATION 26.1 Consultation will be via Leadership Council (LC) and staff side representatives 27.0 URELEVANT TRUST POLICIES Fraud, Bribery and Corruption Policy & Response Plan 5.06 Health, Safety & Welfare - 16.01 Email/Internet General - 7.14 Grievance (including Bullying and Harassment) Policy 10.11 Maintaining High Professional Standards Policy 11.18 Allegations of Abuse made against an Employee, Agency Worker, Volunteer, Student or Bank Worker - 17.05 Clinical Supervision 10.17 Employment Policy 10.08 Registration Authority Policy 7.07 Prevent Policy 2.04 28.0 UMONITORING COMPLIANCE 28.1 The implementation of this agreement and its effectiveness will be monitored on an ongoing basis by relevant General Managers/Heads of Service, senior members of the Human Resource Departments and members of the Core Group. This monitoring process will include the consideration of employment relations statistics provided to management groups. The agreement, whilst having a formal review date, will be amended at an earlier date if required. 29.0 UEQUALITY IMPACT ASSESSMENT 29.1 An Equality Impact Assessment has been completed in respect of this agreement and has been undertaken by the Policy Working Group, comprising of HR/Workforce representatives and Staff Side Representatives. 30.0 ULEGISLATION COMPLIANCE ISSUE 8 SEPTEMBER 2017 12
30.1 ACAS Guide to Discipline and Grievances at Work 2015 30.2 Employment Act 2008. 30.3 Department of Health Maintaining High Professional Standards in the Modern NHS. 30.4 The Equality Act (2010) 31.0 UCHAMPION AND EXPERT WRITER 31.1 The Champion of this policy is the Director of Human Resources, and the Expert Writer is the Deputy Head of Workforce & Organisational Effectiveness. ISSUE 8 SEPTEMBER 2017 13
UAPPENDIX 1 UEXPECTED STANDARDS OF CONDUCT As employees represent the Trust to our patients, carers and the public, the highest standards of conduct are required at all times. This includes maintaining high levels of both professional and personal conduct and behaviour which embodies the Trust s POSITIVE values. Specific examples of the standards of conduct the Trust expects are listed below (please note this list is not exhaustive). SECTION 1 - GENERAL CONDUCT a) All employees are expected to attend regularly and punctually and not to absent themselves from duty without permission or abuse sick pay regulations. b) All staff are required to maintain confidentiality of any information they acquire from their employment with the Trust. Unauthorised disclosure or misuse of information will be treated as gross misconduct. c) Health and Safety Policies and Procedures must be observed at all times. d) Security requirements including the wearing of/presentation of Identification Badges must be observed at all times. e) Conduct and dress should be acceptable, in line with the Trust Dress Code Guidance.. f) All reasonable duties and instructions given to individuals by supervisors and managers must be carried out. g) Notification of sickness arrangements, including statutory sick pay, should be completed and the sick pay provisions should not be abused. h) Any work outside of the Trust s employment must not affect, hinder or conflict in any way with the interests of the Trust. i) Compliance with all of the Trust s Policies and Procedures is essential. j) Maintenance of professional registration for professionals requiring registration to practice. SECTION 2 - OFFENCES WHICH MAY CONSTITUTE GROSS MISCONDUCT Serious or deliberate actions or incidents that could constitute gross misconduct are major breaches of the Trust s standard of expected conduct, which may potentially make any further relationship between the Trust and the employee impossible. The following list provides examples of actions and circumstances that may constitute gross misconduct. Actions which constitute gross misconduct can take many forms, and therefore this list is not intended to be exhaustive. a) Any act of dishonesty, theft or fraud, including misuse, misappropriation, unauthorised use, or concealment of the Employer s funds, property or resources (see also Fraud, Bribery and Corruption Policy and Response Plan). b) Breach of Trust s Standing Financial Instructions, including corruption and undeclared receipt of gifts as an inducement or reward. ISSUE 8 SEPTEMBER 2017 14
c) Any form of threatening, violent, abusive or aggressive behaviour, whether physical or verbal, towards colleagues, service users or any other person, whether connected or unconnected with the Trust (see also Grievance Policy (including Bullying and Harassment) including racism, homophobia, disablism, sexual harassment etc.) d) Ill treatment or mishandling of service users or carers or any other form of negligence, including dereliction of duty and for the avoidance of doubt, sleeping whilst on duty. e) Deliberate or negligent damage to property or equipment belonging to the Trust, its patients, service users or carers, its suppliers or other Trust employees f) Falsification of qualifications that are a stated requirement of employment or any information used in support of an application for any post in the employment of the Trust g) Breach of confidentiality, including breach of duty regarding non disclosure of confidential information h) Failure to declare criminal offences, arrests, charges, cautions or conviction causes either on application for employment or during employment. An employee who is arrested, charged or cautioned must inform their line manager as soon as possible, whether this be connected to their employment or not. Failure to do so may be considered as gross misconduct. i) Serious incapability at work brought on by alcohol or illegal drugs j) Consuming alcohol and/or other illegal substances whilst on Trust premises or whilst employed on Trust business (unless, in the case of alcohol, this is at the express invitation or permission of the Trust). See Alcohol & Drug Related Misuse policy & Procedure. k) Failure to comply with Trust policies, procedures and guidance relating to the use of IT equipment, email or the intranet or internet. l) Failure to maintain professional registration, loss of registration or failure to inform the Trust if an employee is subject to allegations/investigations or sanction by their relevant regulatory body. m) Falsification of Identity or Right to Work Documents which would affect the persons legal right to work within the UK. ISSUE 8 SEPTEMBER 2017 15
UAPPENDIX 2 UAGREEMENT TO USE EMAIL AS A COMMUNICATION TOOL I understand that the security of emails cannot be guaranteed outside the Trust Network, and that there is a possibility of the information being sent to and/or intercepted by another individual by mistake. I will ensure the Trust is notified if I change my email address from that detailed below. I have agreed with the Trust that I wish the following information to be communicated to me and or my representative by email and that if at any point I wish to change this I will be held responsibility for notifying the person designated as my key contact in relation to the investigation........... My email address is.. Individuals Details Print Name Signature Date Trust Representative Details Print Name... Signature Date.. To be held within the investigation file. ISSUE 8 SEPTEMBER 2017 16
UDISCIPLINARY HEARING PROCESS UAPPENDIX 3 The Chair of the panel welcomes everyone to the Hearing, manages introductions and roles of panel members, explains the process for the Hearing and emphasises the need for confidentiality, ensures everyone has the correct paperwork and reminds the employee of the allegations and possible outcomes of the Hearing The Investigating Officer shall present the facts of the investigation. The employee and/or their representative shall have the opportunity to ask questions of the Investigating Officer and any witnesses. The members of the panel shall have an opportunity to ask questions of the Investigating Officer and any witnesses. The employee and their representative shall put his/her case, including any mitigating circumstances that the employee wishes to draw to the panel s attention. They may also call witnesses. The Investigating Officer shall have the opportunity to clarify any points relevant to the investigation with the employee, their representative and their witnesses. The members of the panel shall have the opportunity to ask questions of the employee, their representative and any witnesses. Whilst the presentation of an employee s case may be undertaken by his/her representative, the employee will, unless agreed for exceptional reasons at the outset of the hearing, be expected to respond to direct questions. The panel is empowered to recall witnesses if they consider that this will help them arrive at a decision. The Investigating Officer will provide a verbal summary of the investigation. The employee and their representative shall have the opportunity to sum up their response to the investigation and the allegations. The panel may, at their discretion, adjourn the hearing in order that further evidence may be produced. The panel shall deliberate in private with the option of recalling both parties to clarify areas of uncertainty. If recall is necessary, the Investigating Officer and the Employee/ Representative shall return even if only one of them is to be questioned. No statement of previous acts of misconduct by the employee or expired formal warning or warnings unrelated to the alleged offence on which the hearing is based, shall be made until after the panel has made a decision as to whether a disciplinary offence has been committed. Where the panel are able to conclude within a reasonable time, the employee shall be recalled to the hearing and informed verbally of the outcome of the hearing and advised of their right of appeal. The outcome of the hearing will also be confirmed to the employee within 3 calendar days of the hearing being held. ISSUE 8 SEPTEMBER 2017 17
UAPPENDIX 4 EQUALITY IMPACT ASSESSMENT (EIA) SCREENING TOOL Name of policy/procedure/strategy/plan/function etc being assessed: Brief description of policy/procedure/strategy/plan/ function etc and reason for EIA: Names and designations of EIA group members: List of key groups/organisations consulted Data, Intelligence and Evidence used to conduct the screening exercise Conduct Policy The policy explains the process to be undertaken where there are incidents of alleged minor, serious or gross misconduct and persistent failure to meet the standards of conduct, performance and practice required by the Trust. Charlotte Whyman Deputy Head of Workforce & Organisational Effectiveness Andrea Dickens Trust Staff Side Chair Neil Thompson - Local Partnerships Staff Side Chair (General) Dave Miller Local Partnerships Staff Side Chair (Mental Health) Catherine Conchar Associate Director of Equality & Diversity Core Group, LC Previous policies, ER casework and workforce metrics, WRES ISSUE 8 SEPTEMBER 2017 0
Equality Strand Race Gender Incl. Transgender Disability Incl. Mental Health and LD Does the proposed policy/procedure/ strategy/ plan/ function etc have a positive or negative (adverse) impact on people from these key equality groups? Please describe The policy identifies that Leaders at all levels the Trust must treat all staff fairly, consistently and equitably and take action to address any forms of prejudice, discrimination and victimisation in the implementation of the policy. The policy outlines that managers will not discriminate in respect of any of the equality strands. The policy identifies that full and sensitive consideration should be given to all equality and diversity needs/requirements or issues which arise or may exist when implementing the policy and procedure. ISSUE 8 SEPTEMBER 2017 1 Are there any changes which could be made to the proposals which would minimise any adverse impact identified? What changes can be made to the proposals to ensure that a positive impact is achieved? Please describe N/A Have any mitigating circumstances been identified? Please describe Bi-annually or more often if required, the Trust together with staff side representatives will review the key workforce metrics including the number and duration of suspensions, conduct investigations and disciplinary hearings across all of the equality strands. Impact of the policy is monitored across all equality strands and reported regularly to management groups and to the Trust Board. As Race N/A As Race As above As Race N/A As Race As above Areas for Review/Actions Taken (with timescales and name of responsible officer) Author to review in 3 years Religion/Belief As Race N/A As Race As above Sexual Orientation As Race N/A As Race As above Age As Race N/A As Race As above Social Inclusion*P Community Cohesion*P 2 1 As Race N/A As Race As above As Race N/A As Race As above
*P *P *P P The P Community Conduct 10.10 Human Rights *P 3 As Race N/A As Race As above 1 Pfor Social Inclusion please consider any issues which contribute to or act as barriers, resulting in people being excluded from society e.g. homelessness, unemployment, poor educational outcomes, health inequalities, poverty etc 2 Cohesion essentially means ensuring that people from different groups and communities interact with each other and do not exclusively live parallel lives. Actions which you may consider, where appropriate, could include ensuring that people with disabilities and non-disabled people interact, or that people from different areas of the City or County have the chance to meet, discuss issues and are given the opportunity to learn from and understand each other. 3 Human Rights Act 1998 prevents discrimination in the enjoyment of a set of fundamental human rights including: The right to a fair trial, Freedom of thought, conscience and Religion, Freedom of expression, Freedom of assembly and association and the right to education Conclusions and Further Action (including whether a full EIA is deemed necessary and agreed date for completion) Following the EAI screening exercise it has been concluded that a full EIA is not needed. The policy, as required by the Equality Act ensures that the specific requirements of diverse groups are identified, considered and met as appropriate within the remit of this policy and procedure. The policy also clearly requires managers to ensure full and informed consideration is given to avoid misinterpretation of cultural behaviour(s)/identities. Screening Tool Consultation End Date 5:00pm on Thursday 2 March 2017 Name of Equality and Diversity (E&D) Group Approving EIA (i.e. Directorate E&D Group, Divisional E&D Forum or Trustwide E&D Steering Group) Name of Responsible Officer Name and Contact Details (tel. e-mail, postal) Equality and Diversity Subcommittee of the Board of Directors Charlotte Whyman, Deputy Head of Workforce & Organisational Effectiveness 22TUCharlotte.whyman@nottshc.nhs.uk U22T Tel: 01159691300 ext 11194 ISSUE 8 SEPTEMBER 2017 2
Policy: Conduct (previously 11.02) UAPPENDIX 5 Issue: 08 Status: Author Name and Title: APPROVED Deputy Head of Workforce & Organisational Effectiveness Issue Date: 20 SEPTEMBER 2017 Review Date: AUGUST 2020 Approved by: EXECUTIVE LEADERSHIP TEAM (13/09/2017) Distribution/Access: Normal RECORD OF CHANGES DATE AUTHOR POLICY DETAILS OF CHANGE 11/06 J Fleet PE/01 Change to review date/house style only 11/08 K Waters 11.02 Update and review of full content 11/10 K Waters 11.02 (issue 5a) Appendix 3 - penultimate bullet point amended 11/10 K Waters 11.02 Link to Maintaining High Professional Standards (issue 5b) included Jan 12 K Waters 11.02 Minor changes to Section 5 and Appendix 1 (bullet (Issue 5c) points h & i) Oct 13 Hr Manager 11.02 (Issue 6) Minor changes throughout May 14 P Hall 10.10 Updated policy number Update other relevant policies to reflect the correct policy numbers Title of policy changed from Conduct to Nov 14 Sept 17 HR Manager C. Whyman 10.10 (Issue 7) 10.10 (issue 8) Disciplinary Title of policy changed from Disciplinary to Conduct Update and review of full content ISSUE 8 SEPTEMBER 2017 0