contract of employment d1- sep2008

Advicesheet

D1Contracts of employment

Advicesheet

Contracts of employment D1

PART 1

Contracts of employment 4

Grievance procedures 5

Disciplinary procedures 6

Statutory sick pay 7

Restraint of trade 9

Other employment rights 9

PART 2

Employment contract with explanatory notes 10

Sickness/injury absence and pay policy 22

Grievance procedure 25

Disciplinary procedure 26

Equal opportunities policy 29

Confidentiality policy 33

Employment rights checklist 37

ACAS addresses 38

Futher help and advice 40

This advice sheet helps

members draw up statements of

conditions of employment for all

staff employed in general

practice. The BDA can offer

advice and help on

associateships, employed and

self-employed performers,

partnerships and locumships

and has model agreements to

cover each type of arrangement.

The BDA Practice Compendiumalso contains these and other

employment-related models that

you can customize for your own

practice.

contents page



In general, a contract exists as soon as an employee accepts the employer’s

terms and conditions of employment by starting work. Both employer and

employee are bound by the terms offered and agreed. The terms may be

written down or merely spoken, expressly stated or implied, for example by

custom and practice.

In common law, the existence of a contract imposes certain obligations on and

gives certain rights to the parties. Employees are under a duty to give faithful

and honest service and to obey lawful instructions, provided they are in

accordance with the terms of the contract; an employer must take reasonable

care of the employee’s safety. While most employees do not have a right to be

given work, they cannot be laid off without pay unless this is specifically

provided for in their contract.

All employees must, within two months of starting work, be provided with

written information about their terms and conditions of employment. Failure to

supply written particulars may be referred by an employee to an employment

tribunal. The written statement may be provided in instalments within the first

two months of employment. The statement can refer the employee to separate

‘reasonably accessible’ documents for particulars relating to sickness and sick

pay, pensions, and the length of notice which the employer is obliged to give

and entitled to receive to terminate the contract. For example, documents could

be pinned to a notice board or kept in a handbook in the staff room. Particulars

of all of the other conditions listed below must be included in the document(s)

given to the employee.

The “written statement” must contain the following:

� Names of the employer and employee

� The date employment began and a statement about continuity

� Job title or a brief description of duties

� Place of work or, if the employee is required or allowed to work in more than

one location, an indication of this and of the employer’s address

� Scale or rate of remuneration or the method of calculating that remuneration

� Intervals at which remuneration is paid

� Hours

� Holidays and holiday pay

� Sickness and sick pay

� For non-permanent employment, the period for which employment is

expected to continue or, if it is a fixed term, the date on which it will end

� Pension and position under the Social Security Pensions Act 1975

� Notice required to give and entitled to receive

� Grievance procedure

� Disciplinary rules and procedure

� Details of any collective agreements which directly affect the terms and

conditions of employment.

The written statement gives an employee a clear indication of the main terms

and conditions of employment. It includes the minimum information an

employer must give an employee as required by legislation. The statement is

not the ‘contract of employment’ but merely contains the employer’s statement

of what has been agreed. When the courts consider the contract, account will

be taken of written statements and of other expressly stated or implied

conditions.

In practice, however, most employers find it worthwhile to provide a more

comprehensive statement of the terms and conditions. The BDA’s model

contract includes all of the basic terms that must be included in the written

Contracts ofemployment

The written statement


statement, plus some additional terms that have been drafted specifically for

employees working in dental practices. Part 2 of this advice sheet includes

guidance notes explaining what the terms mean and how they apply. If you use

the BDA’s model contract of employment, you do not need to give an employee

a separate written statement of terms.

The model, however, can only offer guidance. Circumstances vary from practice

to practice and you need to tailor the contract to your specific needs. The BDA

is happy to advise if you are uncertain how to do this.

A written statement or contract should be issued to employees as early as

possible. Any agreed changes to the main terms and conditions must be

notified in writing to the employee not more than one month after such changes

take effect. Any related documentation must also be updated. Where significant

changes are to be made to an employment contract, an employer must consult

with employees and provide adequate time and opportunity for employees to

raise their objections and concerns. For more information on varying an

employment contract, see BDA Advice Note Change management and Contractvariation available on the BDA website www.bda.org.

It is good practice to research a prospective employee’s background. You

should always ask for and take up references. Ideally, you should have two

references, one from the most recent employer. It is not advisable to accept

written references handed to you from a prospective employee as they may not

be authentic. Ensure that job offers are in writing and are clearly made ‘subject

to satisfactory references’. You also have to do certain legal checks on new

employees:

� Criminal Records Bureau – you must check for any unspent convictions of

all staff joining an NHS or mixed NHS/private practice

� Independent Safeguarding Authority (ISA) – from 2009 dentists, dental

hygienists, dental therapists and dental nurses will need to be registered

with the ISA in order to work in the dental team or any other profession. It

will be an offence to employ anyone who is not on the ISA register. You will

have to check the ISA register before the new employee starts work. The

BDA will publish detailed guidance nearer the time

� Independent Safeguarding Authority – from 2009 you will have to make sure

that other staff (including receptionists and practice managers) are not on

the ISA’s lists of people barred from working with or near children or

vulnerable adults.

For further information contact BDA Practice Support [email protected],

telephone 020 7563 4574 (England and Wales) or 01786 431 727 (Scotland

and Northern Ireland).

A grievance procedure provides guidance on how to deal with difficulties in the

workplace and ensure that everybody is treated in the same way. It contains the

course of action that needs to be taken should employees have a complaint

and provides points of contact and timescales in which to resolve the issue. It is

a formal way of resolving problems that employees face in the workplace and

enables problems to be dealt with quickly and efficiently.

An employer should never ignore a grievance even if it seems petty or without

foundation. To the individual employee the matter will almost certainly be

important and delay in dealing with it may lead to frustration and possibly

unrest.

References and checks

Grievanceprocedures


Employees should be encouraged to discuss issues informally with the practice

owner/manager. It is good practice to take notes, even at an informal stage.

Where this has been unsuccessful or it is inappropriate, employees should take

the formal grievance procedure route. The employee must be informed with

whom they should raise the complaint and the timescale for dealing with it. See

BDA Advice Sheet D17 Practice grievance procedures for more information.

In every organisation, employees should know exactly what is expected of

them. Disciplinary rules set reasonable standards of conduct which, if observed,

will ensure the wellbeing of all individuals in the workplace and the effective

operation of the organisation.

Employees should know what procedures will be followed and what action may

be taken if they break the rules. The main aim of a disciplinary procedure is to

provide a fair and consistent method of dealing with alleged failures to observe

the rules. They are necessary even in the most informal and friendly workplace,

whatever the size, and they help an organisation to operate effectively.

Employees with one year’s continuous service can claim unfair dismissal. For

unfair dismissal, the period of continuous service will usually include the

statutory minimum notice period. Those with less than a year’s service can sue

for breach of contract (wrongful dismissal) if the employer has not followed the

contractual disciplinary process. Detailed advice on handling disciplinary

problems is contained in the BDA advice sheet D11 Practice disciplinaryprocedures and dismissal.

Rules should be clear and concise, indicate to whom they apply and be

explained to every employee. You may wish to put together a practice manual

that sets out the practice’s rules and policies. Rules usually cover matters such

as:

� Timekeeping, providing a reason for absence

� Frequent short-term sickness and notification procedures

� Long-term sickness absence

� Accurate completion of time sheets

� Protecting practice and/or patients’ property

� Smoking

� Wearing protective clothing

� Practice dress code and general standards of appearance

� Examples of serious offences (for example theft, violence or breach of

confidentiality) which might lead to dismissal without a previous warning

being given

� The necessary immunisation for appropriate staff.

There should be a simple written procedure for dealing quickly and fairly with

incidents of alleged failure to observe the rules. A disciplinary procedure that

conforms to the ACAS Code of Practice will be in writing and known and

understood by all employees. It will provide that:

� Alleged offences are investigated quickly and fully as the circumstances

require

� An employee will be notified of the complaint in writing and will have the

right to explain their conduct

� Except in cases of gross misconduct, an employee will not be dismissed

until at least one written warning has been given which makes it clear that

dismissal may result if the terms of the warning are not complied with

Disciplinaryrules andprocedures

Rules

Procedures


� At all stages of the procedure a disciplinary interview will be held and the

individual is legally entitled to be accompanied to the disciplinary interview

by a trade union representative or colleague of their choice from within the

practice

� Employees dissatisfied with any formal disciplinary action affecting them

have the right of appeal (but see the section below on appeals in small

practices)

� A record should be kept of any disciplinary action, to ensure that the

procedure is applied fairly and consistently and to provide written evidence

of the facts if these are disputed later. Such a record should, of course, be

confidential.

An important part of a disciplinary procedure is the appeals process. In small

practices this can cause difficulties, as it is not appropriate for the person who

conducted the disciplinary investigation and initial hearing to hear any appeal

against the decision. In such cases single-handed practitioners who have a

practice manager should consider using the manager to conduct the

disciplinary interview and issue any warnings, reserving the owner of the

practice to hear the appeal. It is essential that the practitioner has not had any

involvement with the original disciplinary decisions. A practitioner who does not

have a practice manager may wish to consider asking an associate or senior

member of the DCP staff to fulfil a similar function. In some cases, the BDA

might be able to help.

Practitioners with a number of partners should use one partner to undertake the

disciplinary action reserving another (who should not have been consulted by

the first partner in the course of the enquiry/hearing) to hear the appeal. A

further option might be to ask an outside independent person to hear the

appeal, who might be a local dental colleague or the practice accountant or

solicitor. If this option is used, there would probably be a charge and there

would need to be a mechanism whereby the confidentiality of patient

information and practice business information is preserved.

Whichever approach is used, the appropriate person’s name should be inserted

into the appeal clause.

Statutory sick pay (SSP) is the minimum statutory amount payable to an

employee who has been absent from work through illness and is payable for a

maximum period of 28 weeks.

SSP is the minimum level of payment, but employers can continue paying the

usual salary or come to their own agreement regarding sick pay. The BDA’s

model Sickness/injury absence and pay policy (appendix 1 of the model

contract) links sick pay entitlement to years of service. Please note that it

represents BDA recommendations and is over and above the minimum legal

requirement.

In order to be considered for SSP, an employee must notify the employer of the

illness. The employer is entitled to ask for reasonable evidence of incapacity,

which may either be self-certification or a medical certificate. Employees can

self-certify for periods of illness lasting fewer than seven days and should

produce a doctor’s note for absences of seven days or longer.

Appeals

Statutory sick pay

Notification andentitlement


To receive SSP an employee must be:

� Sick for four or more days in a row (including weekends and bank holidays).

� Earn, before tax and National Insurance, an average of £90.00 a week (April

2008).

During the waiting day period (that is the first three days of sickness), it is up to

the employer whether anything is paid. If the waiting days are not to be paid,

employees should be advised that they may be eligible for benefit from the

Department for Work and Pensions and should contact their local Jobcentre

Plus office.

SSP is paid from the fourth qualifying day of sickness. Any two periods of

sickness separated by eight weeks or less are treated as one period of

incapacity for work (PIW). Where a PIW is linked to an earlier period, any

qualifying days from the first PIW can be included in calculations for triggering

SSP for the second PIW.

Calculating payments

The weekly rate for SSP is currently £75.40 (April 2008 – reviewed annually in

April). The daily rate for SSP is the weekly rate divided by the number of

qualifying days in a week.

SSP is subject to NI and tax contributions and is paid when usual salary

payments are made, for example weekly or monthly.

Termination of payments

Liability to pay SSP ends:

� When the employee’s contract of service ends

� If the employee has been due 28 weeks’ SSP in a PIW

� An employee’s linked PIW with an employer has run for three years

� The employee is taken into legal custody

� The employee dies.

Recovering SSP

The recovery of SSP is governed by the Percentage Threshold Scheme. In

order to establish whether you qualify in any tax month for reimbursement

under this scheme, you should:

1. Establish your total gross Class 1 National Insurance contribution liability for

the tax month in question, which runs from the sixth day of one month to the

fifth day of the next. This includes employee‘s, as well as employer‘s,

contribution liability. Class 1A National Insurance contributions are excluded

2. Multiply by a set percentage (currently 13 per cent) and round up to the

nearest penny

3. Establish the total SSP payments in that month.

If the amount at (3) is more than the amount at (2), you can recover the

difference.

Further advice on SSP is available in BDA Advice Note Statutory sick pay. Full

details of SSP are given in the government helpbook E14 – Employer Helpbook(2008). You can download this from the Inland Revenue’s website (www.hmrc.gov.uk).

When to pay SSP


It is now possible for all registered dental professionals – dental nurses, dental

hygienists, dental therapists, dental technicians, orthodontic therapists and

clinical dental technicians, as well as dentists – to set up and own a dental

practice. Therefore there is a possibility that your staff may leave your

employment to set up a competing practice. The law gives you a limited amount

of leeway to restrict former employees from setting up in practice (you cannot

stop them from going to work at another practice). Any restriction must be in

writing, must be signed by the employee and must be limited to a reasonable

radius around the practice and be for a limited duration. The DCPs will have to

employ a dentist to see patients first and perform an oral health assessment

and, since patients are usually primarily loyal to dentists, the chances of

damage to your practice are quite low. The following model clause may be

useful if you feel that it is necessary to include such a restriction given your

own practice circumstances:

For the purpose of protecting the goodwill of the practice, upon leaving theemployment of the practice the employee shall not, for a period of one yearfrom the date of so ceasing, either on their own or in partnership or througha corporate body, establish or purchase or own a general dental practice orpart thereof at premises situated within a radius of [INSERT NUMBER]miles from the practice premises at [INSERT PRACTICE ADDRESS].

For the purpose of protecting the goodwill of the practice, the followingrestrictions shall apply if during the material time the employee, either ontheir own or in partnership or through a corporate body, establishes orpurchases or owns a general dental practice or part thereof (“theemployee’s practice”). The material time is either during the employee’semployment or in the twelve months after that employment ends. Relevantpatients are patients of the employer’s practice with whom the employeehad any direct dealing in the last two years of their employment. Therestrictions in this clause are that the employee shall not for a period of oneyear from the date of ceasing to be an employee:

a) permit the employee’s practice to treat relevant patients or canvass,solicit or approach or cause any relevant patient to be canvassed orsolicited or approached for dental treatment

b) solicit or entice away or endeavour to solicit or entice away from theemployer any other employee of the practice.

These restrictions do not prevent the employee from taking up anyalternative employment in any trade or profession whatsoever, including foravoidance of doubt the dental or related professions.

Employees have a number of other rights in the areas of employment

protection and anti-discrimination. These rights are listed on page 37 and

explained in detail in Department for Business, Enterprise and Regulatory

Reform booklets and guides. The Government’s Business Link website

(www.businesslink.gov.uk) also offers practical advice for business. Further

information and advice can be obtained from the regional offices of the Advisory

Conciliation and Arbitration Service (ACAS), whose addresses and telephone

numbers are listed on page 38.

Restraint oftrade

Otheremployment

rights


The following statement fulfils the minimum legal requirements and includes extra clauses that may be helpful. Acommentary is given where appropriate.

These notes are not intended to give anything more than general guidance on drawing up a contract ofemployment. No example or notes can take account of all circumstances.

All advice sheets and advice notes referred to in this contract are available on request from the BDA Shop tel:020 7563 4555 or [email protected] and can be downloaded from the BDA website www.bda.org.

In accordance with the requirements of the Employment Rights Act 1996, (as amended by subsequent Statutes),this statement describes the main terms and conditions of your employment with:

(Name of employer) _________________________________________________________________________

1. Employee

Name _____________________________________________________________________________________

Address ___________________________________________________________________________________

2. Date of commencement of employment

Option 1

Your employment with _________________________________________ will commence on _______________.

No period of employment prior to your start date counts as part of your period of continuous employment

OR

Your previous employment with ___________________________________________will contribute towards your

service with_______________________________ [delete where applicable]

Option 2 – Fixed-term contracts

Your employment with __________________________________________ will commence on _______________

and finish on _______________ unless terminated in accordance with clause 27. The reason for this fixed term

of employment is [INSERT REASON].

[If the contract is to cover absence of another individual due to maternity or sickness include this clause : Youremployment will end when [INSERT NAME] returns to work or on ____________, whichever is the earlier.]

3. Probationary period

The first ______________ months of your employment will be probationary. During the probationary period, your

employment may be terminated by either party on one week’s written notice.

Sample contract of employment with explanatory notes

If applicable, specify the previous practice’s name and period of employment concerned. The date thatemployment begins is important because various employment rights depend upon continuity of service. The datemust, therefore, take account of any linking periods of employment with the previous incumbent(s) that counttowards a period of continuous employment with the present practitioner.

If the employment is temporary, the period for which employment is expected to continue should be included or, ifit is a fixed term, the date on which it is expected to end. Also note that an employee leaving at the end of a fixedterm is still in legal terms a dismissal. Therefore the rules on unfair dismissal still apply. You must always takeadvice when an employee’s fixed term contract is about to expire.

Normally a probationary period is for no more than three months but this period can be extended if there areconcerns about an employee’s conduct or performance. It is important to give the employee written notice if youare extending the probation period. That notice must be given before the original probation period ends andshould state how long it is being extended for and what the employee has to do to pass their probation.


4. Job title

You are employed as ________________________________________________________________________.

Your work will include ________________________________________________________________________.

You may be required to carry out any other duties considered to be within your skill and competence to assist the

smooth running of the practice and facilitate the treatment of patients, when it is considered necessary or

appropriate by management.

5. Place of work

Your normal place of work will be _______________________________________________________________.

You may be required to work at other practice locations according to the needs of the practice.

6. References

Engagement is subject to satisfactory references (where these are requested).

7. Registration with GDC (where appropriate)

Option 1- Dental Care Professionals

You must register as a _____________________ with the General Dental Council, maintain that registration and

effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may

be required to produce your cover certificate for inspection by the practice annually on request.

Care should be taken that the title adequately describes the scope of the employee’s job. It may be useful todescribe the main tasks of the job, for example: “you will be employed as a receptionist and your mainresponsibilities will include greeting patients, the collection of patients’ charges, making appointments, answeringthe telephone and the filing of records”.

A job description setting out the full range of duties should be issued with the contract as a separate and distinctdocument. It should also be made clear that employees may be required to undertake all reasonable duties notspecified in their job description. Advice on job descriptions is contained in advice sheet D12 Staff recruitmentand the BDA Practice Compendium.

If you require the employee to work regularly at a number of practice locations, it is only necessary to state thefact plus the employer’s address.

Ideally, you should have two references, one from the most recent employer. It is not advisable to accept writtenreferences handed to you from a prospective employee as they may not be authentic. It is important thatemployers advise those candidates that employment is subject to satisfactory references. Employees have nolegal right to a reference and some employers refuse to provide them.

This is an additional clause for registered Dental Care Professionals (DPCs) – for example, dental nurses,hygienists and therapists. Dental nurses, hygienists and therapists must be qualified and register with the GDCas DCPs. On balance, because of the possibility that a dental nurse might appear before the GDC for conductreasons, we recommend that they take out their own indemnity/insurance.

Add any qualification or top-up training that must be undertaken to satisfy GDC dental nurse registrationrequirements.


Option 2 – Trainee Dental Care Professionals

It is a condition of this employment that you attend the [INSERT NAME OF COURSE] (the “Course”) at the

[INSERT NAME OF COLLEGE] with a view to obtaining the [INSERT NAME OF QUALIFICATION]. You are

required to undertake the following in order to satisfy the General Dental Council’s requirements to achieve

registration. You must attend the Course regularly and make every effort successfully to complete the course and

obtain the qualification required by the GDC for registration.

Upon completion of your training programme, you must register as a _________________ with the General

Dental Council and maintain that registration and effect and maintain professional indemnity or insurance cover

for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by

the practice annually on request.

Option 3

The GDC’s registration requirements are not applicable to your post.

8. Course fees

The practice will pay [all necessary tuition fees OR £x towards your tuition fees] incurred in pursuance of clause

7 above.

The practice reserves the right to recover any and all monies it has paid in tuition fees if your employment is

terminated for any reason, excluding redundancy, in the twelve months following completion of any course you

attended in pursuance of clause 7.

The total money recoverable will reduce by one-twelfth for each complete calendar month you work at the

practice after completion of the course. For the avoidance of doubt, no deduction will be made if your

employment is terminated more than twelve months following the completion of the course attended.

The practice reserves the right to recover any and all monies it has paid in tuition fees if you fail to complete,

without good reason, any course on which you are enrolled in pursuance of clause 7.

9. Pay

Option 1 – Annual / Monthly pay

Your annual salary is £_________________.

Your pay will be paid monthly in arrears in [cash/by cheque/BACS transfer] on the ___________ day of each

month.

Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net

pay. If you have any specific queries about your pay these should be raised with [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER].

Trainee Dental Care Professionals must make every effort possible, and be able to demonstrate that they havemade the effort, to get a place on the next available course. If necessary, they should get onto a waiting list andrequest a letter from the college stating they are on a waiting list. If they are working in the surgery before theirformal training begins, they should have a proper induction covering health and safety and confidentiality. Theyshould also have the necessary immunisation. Dental nurses who find themselves in this situation should keep alog of the training they receive in the practice while waiting to start their course.

See the model staff training agreement in the BDA Practice Compendium for further information and a sampletraining agreement. You may wish to include your training agreement as an appendix to this contract ifapplicable.


Option 2 – Weekly pay

Your weekly wage is £___________ per week. Payments for individual days are one-fifth of the above rate and

pro rata for any part thereof. This also applies to any days agreed as holidays.

Your pay will be paid weekly in arrears in [cash/by cheque/BACS] on the ___________day of each week.



Option 3 – Hourly pay

Your hourly rate of pay is £___________ per hour.

Your pay will be paid weekly/monthly in arrears in [cash/by cheque/BACS transfer] on the ____________ day of

each [week/month].


pay. Any specific queries about your pay should be raised with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

10. Lay-off and Lay-off guaranteed pay

Employees may be laid off because of work shortage caused by:

i. the dentist being ill

ii. insufficient patients

iii. insufficient UDAs

iv. the practice premises being unavailable for unforeseen circumstances (such as flood or fire).

Employees temporarily laid off will be entitled to receive a guaranteed payment based on a normal working day,

but not exceeding £20.40 (April 2008 - reviewed annually in April) per day and not exceeding five days (orhowever many days the employee normally works in a week, if fewer) in any period of three months.

Employees must have completed one month’s continuous service in order to qualify for lay-off pay.

Speak to your accountant if you are unsure which pay method best suits your cashflow and financial needs.

The pay statement must give the scale or rates of remuneration or method of calculation; any link to outside rates

of pay; intervals at which it is paid; method of payment and whether there is any choice, for example

weekly/monthly, by cash/cheque/credit transfer. Employers are required to give employees an itemised pay

statement specifying the gross amount of wages or salary, full details of any deductions made and the net

amount of wages or salary payable. Pay rates must comply with National Minimum Wage Levels.

Lay-off guarantee payments are calculated by multiplying the number of normal working hours for the day by theaverage hourly rate for the employee affected. Your employee will receive their daily rate or the upper limit of£20.40, whichever is less. A guaranteed payment will not be paid if the lay-off is due to an internal dispute wherean employee has refused suitable alternative work.

The right to suspend without pay can only be exercised where the contract of employment expressly or impliedlygives the right or where there is a custom to that effect. Where the employment is not covered by a collectivecontractual agreement a clause similar to clause 10 should be included in all written statements.

When the lay-off guarantee pay runs out you should advise your employee to register as “temporarily stopped” atthe nearest Jobcentre Plus office until such time as normal working can resume.


11. Hours of work

Your basic hours of work (exclusive of lunch breaks) are ______________ hours per week.

Your normal hours of work are:

Monday from ____________________________ to __________________________

Tuesday from ____________________________ to __________________________

Wednesday from ____________________________ to __________________________

Thursday from ____________________________ to __________________________

Friday from ____________________________ to __________________________

Saturday from ____________________________ to __________________________

Sunday from ____________________________ to __________________________

You are allowed ________ for lunch, to be taken between _______ pm and _________ pm. This is unpaid.

Day-to-day arrangements will be agreed with [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] in accordance with operational requirements.

12. Time keeping

All employees are required to show a responsible attitude towards time keeping. Persistent lateness will render

the employee liable to disciplinary action, which could lead to dismissal.

13. Overtime

On occasion, it may be necessary for the practice to request that you work additional hours in the course of your

duties. Where the practice requires your services outside your set hours during usual practice hours on Monday

to Saturdays the practice will either

a) pay you at [EITHER: your normal pay rates OR: one-and-a-half times your normal pay rate]; or

b) give you the equivalent time off, by arrangement, at normal pay rates.

All work outside normal hours on Sunday or public holidays will be paid at double time rate (£ ___________ per

hour).

Employees should know what their basic hours are, the days they are expected to work and their starting andfinishing time; their lunchtime, tea breaks/rest periods and the degree of flexibility required.

Employees are entitled to a minimum of 20 unpaid minutes away from the workplace if they work more than sixhours in the day. Those aged 15 to 17 are entitled to a 30-minute unpaid break away from the workplace if theywork more than four-and-a-half hours in the day. These are minimum entitlements and most practices providemembers of staff with more than this amount. Clause 11 of the contract should be completed to reflect theserules.

Under the Working Time Regulations 1998, an employee cannot work more than 48 hours, including overtimehours, during a seven-day period unless an agreement has been reached in writing to work longer hours. Inwhich case, the agreement must be specific to the employee and signed by the employee. The employer mustmonitor the employee’s actual working hours. See Advice Note on Working Time Directive basic rights.


14. Holiday

Your holiday year dates from [EITHER: the commencement of employment OR: from 1 January to 31 Decembereach year OR: from 1 April to 31 March of the following year].

You will be entitled to [5.6] weeks’ paid holiday, including public holidays. If you work part-time, one week’s

holiday will be equivalent to the amount of time you normally work in a week.

Optional :[After _______ years’ service, you will be entitled to an additional week‘s paid holiday.]

A written request for holiday must be submitted to [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER]. This request must be submitted ___________ week(s) prior to the date you expect to start the holiday.

Not all applications will be approved and written notification of an approval or refusal will be provided _________

week(s) prior to the date you expect to take leave.

Holiday pay will be calculated from your basic pay. Holiday entitlements cannot be carried over to the following

year unless written permission has been obtained from [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

Where employment is terminated, or if you choose to leave the practice, a payment will be made on a pro-rata

basis in respect of any accrued holiday entitlement that has arisen but has not been taken on the date of

termination.

A deduction will be made from your final pay on a pro-rata basis for any holiday taken in excess of your

entitlement, at the date of termination.

Employers are not legally required to pay staff at higher pay rates when working additional hours and are onlyrequired to pay staff at their normal hourly rate. However, it is common to see employees offered a higher rate forovertime as an incentive.

Alternatively, you may want to offer equivalent time off instead of an additional payment.

Holiday entitlement

Note that, until April 2009, the statutory minimum is 4.8 weeks’ holiday including public holidays. We recommend5.6 weeks’ holiday as this is standard practice and the entitlement will go up to 5.6 weeks’ holiday in April 2009.

For staff who work five days a week, this is equal to 24 days’ holiday a year, or 4 weeks plus half the publicholidays. Note that this entitlement will rise in April 2009 to 5.6 weeks a year which, for someone working fivedays a week, is equal to four weeks plus all the public holidays (28 days).

The statutory minimum is expressed as 4.8 weeks rather than 24 days so that it applies easily to all staff,regardless of how many days a week they work. A member of staff, working, say, three days a week will beentitled 3 x 4.8 = 14.4 paid days’ holiday (including any public holidays). This figure cannot be rounded down, butcan be rounded up.

Employees who receive a flat-rate salary should be paid their normal weekly wage as holiday pay. If overtime isincluded in the normal weekly hours contained in the contract, this payment will be included when calculating aweek’s pay.

Where employees work flexible hours, entitlement is calculated by taking the average weekly remuneration overthe twelve weeks preceding the holiday date. Where there are some weeks when no work has been undertaken,the previous twelve weeks when work has been undertaken are used. Once average weekly earnings have beencalculated, the employee then receives four weeks’ paid leave at the average amount.

An employer can refuse a request for leave, but should provide a satisfactory reason and give the employeesufficient notice. The notice depends on how much notice an employee must give of a holiday request. Theemployer must respond to the request within half the time. For example, if you require your employee to providefour weeks’ notice of a request, you must provide your response no later than two weeks prior to your employeetaking leave.

BDA Advice Note on Holiday entitlements contains more information.


15. Sickness/injury absence and pay

The rules and procedures relating to unavoidable absence due to sickness or injury, including eligibility for

sickness pay, are set out in Appendix 1. You will be entitled to sickness pay, as shown in Appendix 1, providing

you follow the notification and certification procedure specified in the rules.

16. Notification of absence

If you are unable to attend work, for any reason whatever, you must contact [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] by telephone at the earliest possible time on the first day of absence and

not later than [INSERT TIME] to give the reason for absence and, if possible, to say when you hope to return to

work. You must speak to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] or [NAME]

personally. Contacting the practice by text message will not be acceptable and could lead to disciplinary action.

Unauthorised absence will not be paid and may result in disciplinary action being taken.

17. Time off for family or domestic emergencies

The practice will provide reasonable time off to deal with family or domestic emergencies. Requests should be

made promptly to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

Time off for family or domestic emergencies [EITHER: will OR: will not] be paid.

This heading should cover both the rules of notifying management if the employee is absent and details of anysick pay scheme in operation. For example: service requirements, entitlement, method of certification; waitingdays; amount of sick pay; deduction of state benefit.

Your employment contract should clearly outline that an employee will not be paid if absent without permissionand that frequent unexplained absences will lead to dismissal. One way of controlling absence is to insist on priornotification of dental and medical appointments.

You should conduct a “return to work” meeting with every employee when they return from any form of absence(excluding approved holidays) and ask them to fill in a sickness or absence self-certification form. The practicecan produce its own form for this purpose, asking for the employee’s dates of absence, reason for the absenceand signature. A model is contained in the BDA’s Statutory Sick Pay advice note and the BDA PracticeCompendium.

Employees have a legal entitlement to time off for domestic emergencies. There is no qualifying period andemployees will be allowed to take any reasonable amount of time off during working hours to take whateveraction is necessary where:

� They are required to provide assistance where a dependant falls ill, gives birth or is injured or assaulted� They have to make arrangements for the provision of care for a dependant who is injured or ill� There is a death of a dependant and arrangements have to be made � There is unexpected termination or disruption of arrangements for the care of a dependant � An incident involving a child of the employee occurs unexpectedly at school or college or similar.

A dependant is a spouse, a child, a parent, a person living in the same household as the employee but who isnot an employee, tenant, lodger or boarder. In some cases a dependant will be a person who reasonably relieson the employee for assistance when ill or to make arrangements for care in the event of illness or injury.

Employees must notify their employer as soon as reasonably practicable the reason for exercising their right totime off and how long the absence is likely to be.

Time off for other domestic emergencies such as dealing with a burglary, fire or flood is not a specific legalentitlement. Nevertheless, in these circumstances it would probably be unreasonable to refuse a request for timeoff. You must consider each case on its particular circumstances and seek advice from the BDA.

An employer who unreasonably refuses time off may have to defend a claim made to an employment tribunal.


18. Medical treatment

Appointments for visiting the doctor or hospital should as far as possible be made outside working hours. Where

an appointment can only be made within working hours, permission must be obtained from [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

19. Jury or witness service and public duties

If you are required to attend for jury or witness service you must provide written evidence from the court service

and keep the practice informed during the duration of your absence. You should claim the allowance set by the

court [optional: and the practice will make up the additional loss of pay resulting from such service].

If you hold a recognised public office, such as Justice of the Peace, member of a local authority or member of

the governing body of a maintained school or college, you will be entitled to reasonable time off to perform such

duties. Requests for time off must be arranged in advance with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER]. Time off for public duties will not be paid.

20. Maternity

An employee who is pregnant has the right to time off with pay for antenatal care. This includes appointments

with the GP or hospital and parentcraft classes. An employee who stops work to have a baby has the right to a

period of maternity leave. There are certain provisions concerning payment, time off and returning to work which

the practice will discuss with you. Further information can be obtained from [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER].

21. Adoption leave

An employee who adopts a child may be entitled to adoption leave and pay.

Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

22. Paternity leave

An employee who has a wife or partner who gives birth to or adopts a child, may be entitled to two weeks’ paid

paternity leave. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

Employers are required, under certain circumstances, to permit employees who hold certain public positionsreasonable time off to perform the duties associated with them. This provision covers such offices as Justice ofthe Peace, membership of a local authority or of a governing body of any maintained school or college. Theemployer is not obliged to pay the employee for the time off taken for public duties.

An employee who is pregnant and who, on the advice of a doctor, midwife or health visitor attends a clinic or anyother place of antenatal care, or who attends parentcraft classes, has the right not to be unreasonably refusedtime off work to do so, and to be paid for the permitted time off. The employer is entitled to see a certificate ofpregnancy and an appointment card.

All employees have the right to 26 weeks’ ‘ordinary maternity leave’ and 26 weeks’ ‘additional maternity leave’ - atotal of 52 weeks. There is also an entitlement to 39 weeks’ Statutory Maternity Pay.

See BDA Advice Sheet D9 Employees’ family arrangements and pay for more information on the rights andresponsibilities of employees and employees.

Further information about adoption leave and pay can be obtained from BDA Advice Sheet D9 Employees’ familyarrangements and pay.

Further information about adoption leave and pay can be obtained from BDA Advice Sheet D9 Employees’ familyarrangements and pay.


23. Parental and family leave

Employees with at least one year’s continuous service are entitled to unpaid parental leave if having or adopting

a baby. Further information is available from [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER].

Copies of the practice’s maternity and adoption policies are obtainable from [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER].

24. Pensions

[NOTE CHOOSE EITHER:

* Option 1:

All employees are covered by the State pension scheme. There is no “contracting-out” certificate in force and no

other pension scheme is in operation.

OR

* Option 2 (you must use this option if you employ five or more employees):

There is a practice stakeholder pension scheme in operation, which you may join if you wish. Further details may

be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

* Delete as appropriate.

25. Health and safety

The practice policy is to provide as safe and healthy working conditions as possible and to enlist the support of

employees in this.

While overall responsibility rests with your employer, all staff have a legal duty to take reasonable care to avoid

injury to themselves or others by their work activities, and not to interfere with or misuse any clothing or

equipment provided to protect health or safety. Any accident to a member of staff in the course of their activities

must be entered in the accident book held in the _______________ office. Copies of the practice’s health and

safety policy can be seen in the _______________ office.

Men and women with more than one year’s continuous employment having or adopting babies are entitled to upto 13 weeks’ unpaid parental leave, to be taken before the child’s fifth birthday. Employees will also be entitled toreasonable time off for family emergencies. Further information is available from BDA Practice Support.

An employer with five or more employees without a company pension scheme must provide access to astakeholder pension, but it is not compulsory for the employer to contribute to the scheme, nor is it compulsoryfor the employee to take it up.

Health and safety law (such as The Health and Safety at Work Act 1974) applies to all work activities. Its mainpurposes include:

� Securing the health, safety and welfare of people at work� Protecting people other than those at work against risks to their health and safety arising from work activities.

Health and safety rules place a positive emphasis on the need for joint involvement of employer and employeesin the development of health and safety policies and in efforts to reduce risks. It is a legal requirement fororganisations with more than five employees to have a written safety policy.

See the BDA’s Advice Sheet A3 Health and safety law for dental practice which incorporates a draft safety policy.The Advice Sheet is available on request from [email protected] and may be downloaded from the BDAwebsite: www.bda.org.


26. Trade union membership

It is recognised that eligible employees are free to join or not to join a trade union.

27. Notice

You are entitled to receive a minimum of one week’s notice of termination of employment after one month’s

employment, increasing to two weeks after two years’ continuous service. Thereafter, you will be entitled to

receive a further week’s notice for each additional year’s service up to a maximum of twelve weeks after twelve

or more years’ service.

After one month’s employment you are required to give the practice [INSERT NUMBER] week’s/weeks’ notice.

The practice reserves the right to waive notice periods and make a payment in lieu. If you terminate your

employment without giving your contractual period of notice, the practice reserves the right to make a deduction

from your final pay. That deduction will be the amount of extra money the practice has had to spend as a direct

result of you leaving early, subject to a maximum of the amount which you would have been paid in salary during

the contractual notice period.

28. Retirement

The practice’s normal retiring age is 65. You will be notified in writing of the practice’s intention to retire you not

more than one year and not less than six months before the date on which the practice intends to retire you. You

have the right to request not to retire. Further information on how to make a request should be obtained from

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

The minimum statutory notice periods for employees are as follows:

Length of service Notice entitlementFrom 1 month up to 2 years 1 weekAfter 2 years 2 weeksAfter 3 years 3 weeks4-12 years 4-12 weeks (respectively)Up to a maximum of twelve weeks after twelve or more years’ continuous service.

The minimum statutory notice that an employee must give an employer after one month’s service is one week.However, it is recommended that the notice period required from an employee and that given by an employershould be mutual.

An employee who is dismissed with short or no notice, having done nothing to deserve it, can claim wrongfuldismissal and sue for wages and proper notice in an employment tribunal.

After one year’s service employees can claim unfair dismissal in an employment tribunal. One year is defined forthese purposes in calendar terms (for example a person who commenced employment on September 10 2007completes one year’s service on September 9 2008). A dismissal may be unfair for substantive or proceduralreasons or both. The BDA Advice Sheet D11 Practice disciplinary procedures and dismissal is available fromBDA Shop on 020 7563 4555 or may be downloaded from www.bda.org.

Employees who have been dismissed and have completed at least one year’s continuous service before theeffective date of termination or who are pregnant may request a written statement of the reason for dismissal.Such a statement must be supplied within 14 days.

Deductions where employees leave without giving the contractual notice must be an accurate calculation of theactual loss suffered by the practice. The practice is under an obligation to minimise that loss. The calculationscan be difficult. Before you make a deduction in these circumstances, you should call BDA Practice Support foradvice or seek advice from a solicitor.

The Employment Equality (Age) Regulations came into force on 1 October 2006. The regulations make itunlawful to discriminate on the grounds of age. Employers must follow certain procedures when retiring anemployee in order to comply with the regulations.

See BDA Advice note on Employee retirement.


29. Grievance procedure

Should you have any query, grievance or complaint regarding your employment or the terms and conditions

relating to that employment, you should raise the matter initially with [INSERT NAME OF PRACTICE MANAGEROR PRACTICE OWNER].

The full procedure is set out in Appendix 2.

30. Disciplinary rules and procedures

The full disciplinary rules and are set out in Appendix 3.

31. Practice policies

The practice is committed to working towards equal opportunity for every employee. Our Equal Opportunities

Policy is attached at Appendix 4 and you are required to abide by it.

You must comply with the practice’s Confidentiality Policy set out in Appendix 5.

You must comply with all other practice policies. Copes of the policies are obtainable from [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

32. Immunisation

It is a condition of your employment that you are immunised against Hepatitis B and tuberculosis in accordance

with guidelines issued by the Department of Health. Charges, where incurred, will be met by the practice.

33. Deductions from pay

The practice reserves the right to make deductions from your pay in the following circumstances:

1. To recover an overpayment of wages.

2. If you have taken more holiday than your pro-rata holiday entitlement.

3. If you terminate your employment without giving your contractual period of notice.

4. If the practice reasonably believes you have stolen practice property and/or equipment.

5. If you fail to return practice property and/or equipment (including any keys and uniform) when your

employment terminates.

6. To recover any contributions the practice made towards the cost of training in accordance with clause 8

above.

34. Confidentiality

Employees must not disclose any confidential information about patients to third parties without the consent of

the patient. If you are in any way unsure whether information can or should be disclosed you must ask [INSERTNAME OF PRACTICE MANAGER OR PRACTICE OWNER].

The full rules on patient confidentiality are set out in the practice’s confidentiality policy (Appendix 5). Confidential

information must not be disclosed following termination of your employment.

Unlawful deductions of wages - you cannot make a deduction from an employee’s pay unless the employee hasagreed in writing in advance of the deduction being made. Therefore this clause is only valid if the employee hassigned the contract. An unlawful deduction could lead to a claim for constructive dismissal.

You must conduct a thorough investigation in order reasonably to believe that an employee has stolen practiceproperty and/or equipment before making any deduction under this heading.

Any deduction from any wages payable to the employee on a pay day must not exceed one-tenth of the grossamount of the wages payable to the employee on that day, unless the deduction is being made from the finalinstalment of pay.


If, after investigation, a member of staff is found to have breached patient confidentiality or the practice’s policy,

he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy (Appendix 3).

35. Changes in terms and conditions

The practice reserves the right to make reasonable changes to your terms and conditions. You will be informed

within one month of the change taking effect by personal written notification. In addition, any master document

relating to your terms and conditions will be updated.

Signed (employer) ___________________________________________________________________________

on behalf of ________________________________________________________________________________

Date ______________________________________________________________________________________

I confirm that I have received the original statement of terms and conditions of employment relating to my

employment of which this is a copy and I accept them and will be bound by them.

Signed (employee) ___________________________________________________________________________

From time to time in the interests of efficiency you may find it necessary to vary the terms and conditions ofemployment. There is nothing in law to prevent you from doing this, but you must first consult with the employee.Any changes to the main terms and conditions of employment (for example changes in working hours, newstarting/finishing times) should be agreed with the employee in advance and must be notified in writing not morethan one month after such changes takes effect. You must have a sound business reason for implementing anychanges the employee does not agree to. A unilateral change to the contract could lead to a claim forconstructive dismissal in an employment tribunal.

See BDA Advice Note on Change management.


Sickness/injury absence and pay policy (see clause 15)

If you are absent from work because of sickness or injury, the conditions of the

Statutory Sick Pay scheme will apply. In order to qualify for sick pay, you must

follow the notification and certification procedure set out below.

Notification of absence

If you are unable to attend work for any reason whatsoever, you must

personally telephone the [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] and inform them no later than _________ a.m. on the first

day of absence as to the reason for absence, and if possible, when you hope to

return to work. If you cannot give an estimated date of return to work, then you

must contact the practice on each and every day of absence no later than

_________ a.m. If on the date that you estimated you would return to work you

are still unable to attend, then you must contact the practice no later than

_________ a.m. on that day. It is not acceptable to notify the practice by text

message. If you are late in notifying sickness absence, you may lose part of

your sick pay.

While away from the practice due to illness you are required to remain in

contact with [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] and supply the appropriate evidence of incapacity.

Evidence of incapacity for work

If you are ill for seven days or fewer you should on your return to work report to

(insert name of employer/practice manager) and explain in full the reasons for

your absence. You will be required to complete a self-certification form.

If sickness absence continues for eight days or more you should obtain a

medical certificate from your doctor and forward the original copy without delay

to the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

Further certificates should be submitted without delay for as long as the illness

lasts. Where no contact is made and/or no evidence is produced for absence

with good reason, the practice may commence disciplinary procedures.

In the case of four periods of self-certificated absence in any calendar year the

practice reserves the right to request medical evidence for subsequent periods

of absence of fewer than seven days. See Frequent, persistent short-termabsence below.

Statutory sick pay (SSP) and practice sick pay

(The following practice sick pay policy follows BDA recommendations and is

over and above the minimum legal requirement of statutory sick pay)

Subject to the above procedure, you will receive practice sick pay (inclusive of

SSP) during each calendar year as follows:

Length of service Full pay Half pay

Less than 6 months SSP only SSP only

6 months - less than 2 years 2 weeks 2 weeks

2 years - less than 4 years 3 weeks 3 weeks

4 or more years 3 weeks 5 weeks

These entitlements are the total for each calendar year. Therefore payments of

practice sick pay for earlier periods of absence count towards calculating your

annual entitlement.

Appendix 1


Practice sick pay applies pro rata for part-time employees in accordance with

the length of the working week.

The full rules on eligibility for and payment of SSP are set out according to the

statutory requirements.

Unauthorised absence

Any unauthorised absence, or where it seems that the reason given for

absence is not genuine, will be treated as a disciplinary matter in accordance

with the practice disciplinary procedure. You will not be paid for days of

unauthorised absence.

Return-to-work meetings

On each occasion of illness the [INSERT NAME OF PRACTICE MANAGEROR PRACTICE OWNER] will hold a return-to-work meeting with you to discuss

the reason for your absence and whether any modifications are required in the

workplace to reduce the likelihood of repeat periods of illness.

Return-to-work meetings will be documented and kept on your employment

record.

Long-term absence

Long-term absence is defined as a continuous period of absence or a number

of periods of absence for the same or related medical condition punctuated by

periods of return to work.

An employee who is absent long-term is expected to comply with the above

rules for providing evidence of incapacity for work. All medical certificates must

be forwarded without delay to [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

While you are off work due to illness, [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] will keep you up-to-date on any news or

changes occurring at the practice.

Depending upon individual circumstances, but generally before you have

exhausted your entitlement to Statutory Sick Pay, you will be asked for written

permission for the practice to seek a medical report from your doctor on your

long-term prognosis. This report is used to assess the likelihood of a full

recovery, the likely date of return and the prospects of being able to do the

same work or any reasonable adjustments that may need to be made.

Where a medical report indicates that an employee will be unable to return,

does not provide any reasonable date for return, or any required

accommodations to enable return cannot be met, continued employment with

the practice could be at risk.

Where there is reasonable doubt from your doctor’s report about the nature of

the illness or injury, you may be asked to be examined by an independent

doctor appointed by the practice.

An employee who refuses to provide consent for the practice to gather medical

evidence or to undergo a medical examination will be advised in writing that a

decision regarding their future employment will be based on the limited

information available which may lead to dismissal on grounds of their capacity

to do their work.


In considering continued employment, the practice will assess whether:

i. Alternative, lighter or less stressful work is available

ii. Reorganisation of the team could produce a more suitable job

iii. A re-design of the job could facilitate a return to work.

Where no suitable alternative work is available, your employment may be

terminated with notice on grounds of inability to do your job due to sickness or

injury. However, you will have the right of appeal against any decision to

terminate your employment.

Frequent, persistent short-term absence

The practice will monitor the absence of all employees. Where there are four

periods of self-certificated absence in any calendar year, the practice will hold

an informal meeting with the employee to discuss the cause of the absences.

The practice reserves the right to request medical evidence for subsequent

periods of absence of less than seven days.

If, following discussions and/or the receipt of a medical report, there is an

underlying medical theme between periods of absence then the long-term

absence procedure (above) will apply.

If, following discussions and/or the receipt of a medical report, there is no

underlying medical theme between periods of absence, the practice will

nevertheless continue to monitor absence and request medical evidence for

subsequent periods of absence of less than seven days, if felt appropriate.

Where there is no improvement in your general health and level of attendance,

consideration will be given to your future employment. Your skills, performance,

the likelihood of a change in attendance, the availability of suitable alternative

work and the effect of past and future absences on the practice will all be taken

into account in deciding appropriate action.


Grievance procedure (see clause 29)

The object of this procedure is to provide an employee who considers that

he/she has a grievance with the opportunity to have it examined quickly and

effectively. Where a grievance is deemed to exist, our aim is to resolve it if

possible at the earliest practicable moment and at the first level of

management.

Procedure

This procedure has been drawn up to establish the appropriate steps to be

followed when pursuing and dealing with a grievance. The procedure contains

three stages. However, as it is the aim of this procedure to settle matters at the

earliest practicable moment, it is not anticipated that all grievances will go

through all procedural stages.

An employee may tell [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] about a problem and [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] will try to help the employee resolve the

problem informally.

If an employee gives [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] details of their grievance in writing, then the procedure

below applies.

Stage 1 - Submission of grievance

An employee who feels aggrieved on any matter affecting his/her employment

should write to [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] making it clear that the first stage of the grievance procedure is being

invoked and detailing the grievance.

Stage 2 – Investigation and written response

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will

investigate the issue, consulting where necessary the other members of

management. They will invite the aggrieved employee to an investigatory

meeting to discuss the grievance. This meeting will be within one week of

receiving the complaint, unless agreed otherwise. The aggrieved employee has

the right to be accompanied by a trade union representative or a fellow work

colleague of his/her choice.

After the investigatory meeting, the decision of [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] shall be given in writing to the employee

concerned no later than five working days from the complaint being heard. If

the employee is dissatisfied with the decision, they have the right to request an

appeal meeting within five working days.

Stage 3 - Appeal hearing

If possible, another person within the practice will hear the appeal hearing. The

aggrieved employee has the right to be accompanied by a trade union

representative or fellow work colleague of his/her choice.

After the appeal hearing, the decision of [INSERT NAME OF PRACTICEOWNER OR PRACTICE MANAGER] shall be given in writing to the employee

concerned no later than five working days from the complaint being heard. The

decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICEMANAGER] is final.

Appendix 2


Disciplinary procedure (see clause 30)

The practice does not impose unreasonable rules of conduct on its employees,

but certain standards of behaviour are necessary to maintain order and

discipline in the interests of employees and the practice. We prefer that

discipline is voluntary and self-imposed and, in the great majority of cases, this

is how it works. From time to time, however, it may be necessary to take action

towards individuals whose behaviour or performance is unacceptable.

Minor issues will usually be dealt with informally.

In the case of employees who have been continuously employed for lessthan one year, the following procedure will apply:

EITHER:

Option 1:

Employees will normally be entitled to at least one disciplinary meeting and one

opportunity to improve. However, if, after the first disciplinary meeting, they fail

to improve, they will be dismissed following a second disciplinary meeting. In

situations amounting to gross misconduct, whether there has been a first

disciplinary meeting or not, the employee will be summarily dismissed following

a disciplinary meeting.

The employer will set out in writing the reasons for their dismissal.

OR:

Option 2:

Employees will be notified in writing of any disciplinary decision, including

dismissal.

In the case of employees who have been continuously employed for oneyear or more, the following procedure will apply:

Minor issues will usually be dealt with informally. However, in cases where

informal discussion does not lead to improvement, or where the matter is more

serious, such as unjustified absences, poor time-keeping or sub-standard

performance, the following formal procedure will be used.

Where a matter appears to raise concerns over conduct or discipline [INSERTNAME OF PRACTICE MANAGER OR PRACTICE OWNER] will initially

investigate the issue by individually discussing it with those concerned. The

investigation is preliminary to the formal procedure and is to determine in the

Appendix 3

Option 1 creates legal obligations to deal with all dismissals in the first yearprocedurally. Option 2 enables you to summarily dismiss employees within thefirst year without the need to arrange formal disciplinary meetings, though youmay need to give notice and notice pay. Option 1 is recommended because,even for employees in their first year of employment, you are vulnerable tolegal claims, including discrimination. Following a procedure as in option 1helps you establish the objectivity and reasonableness of any dismissal. Also, ifa former employee subsequently claims that they were discriminated against,they would have to show why they did not raise the matter in the disciplinarymeetings before their dismissal. Even if you choose option 2, you are stillstrongly advised to arrange meetings with employees before making anydisciplinary decision. Call BDA Practice Support if you would like to discussthese options.


opinion of [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] whether it is necessary to commence the formal procedure. At every

stage of the formal procedure, a formal hearing, convened by the employer, will

be held before any warning or other disciplinary sanction is issued. The

employee with one or more year’s service will be entitled to:

� Receive a letter giving adequate notice of the hearing, including the date

and time and the allegations of misconduct. The letter will include copies of

relevant evidence such as witness statements

� Be accompanied at a disciplinary interview by a fellow employee of their

choice or a trade union representative

� Be given the chance to state their case

� Written notification of the disciplinary decision.

Stage 1 - oral warning

If it is decided that the evidence supports the allegation of misconduct, the

employee will be given a formal ORAL WARNING and will be advised in writing

of the reason for the warning and that it is the first stage of the disciplinary

procedure. A note of the oral warning will be recorded on the employee’s

personal record but will be nullified after six months subject to satisfactory

conduct and only if there are no further instances of disciplinary action for

whatever reason.

Stage 2 - first written warning

If conduct or work performance does not improve or there is a repetition of the

misconduct, a FIRST WRITTEN WARNING may be given by [INSERT NAMEOF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details

of the complaint and the likely consequences (that is, Stage 3) if the terms of

the warning are not complied with. The warning will also be noted on the

employee’s personal record, but again will be nullified after a maximum of one

year, subject to satisfactory conduct, only if there are no further instances for

whatever reasons.

Stage 3 - final written warning

Failure to improve in response to the procedure so far, a repeat of misconduct

for which a warning or warnings have previously been issued, or a first instance

of serious misconduct will result in a further disciplinary hearing and the issue

of a FINAL WRITTEN WARNING by [INSERT NAME OF SUPERVISINGDENTIST OR PRACTICE MANAGER]. This will give details of the complaint,

the length of any probationary period and notification that dismissal may result

if the terms of the warning are not complied with. This warning will be noted on

the employee’s personal record for one year.

Stage 4 - dismissal

Failure to meet the requirements set out in the final written warning will

normally lead to a further disciplinary hearing and DISMISSAL with appropriate

notice.

Gross misconduct

Offences under this heading are so serious that an employee who commits

them will normally be summarily dismissed, following a disciplinary hearing. In

such cases the practice reserves the right to dismiss without notice of

termination or payment in lieu of notice. Summary dismissal for gross

misconduct will only occur following an investigation and a formal hearing

convened by the employer. The employee is entitled to:



and time, and the allegations of misconduct. The letter will include copies of






Examples of gross misconduct are:

� Theft and unauthorised possession of practice property, deliberate

falsification of records or any other form of dishonesty

� Wilfully causing harm or injury to another member of staff or other person on

the premises

� Performing an action that is liable to cause injury to other people or damage

to practice property

� Breach of confidentiality

� Wilful refusal to obey a reasonable instruction

� Incapacity due to alcohol or drug abuse

� Breaches of health and safety regulations.

This list is intended only as a guide and is not an exhaustive one.

Suspension

In the event of serious misconduct, an employee may be suspended on full

basic pay while an investigation is carried out. Such suspension, which DOES

NOT imply guilt or blame, will be for as short a period as possible.

Appeals

An employee may appeal against a disciplinary decision to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER – ie not the same personnamed in stages 2 and 3] within one week of the decision being communicated

to the employee. Appeals should be in writing. At the appeal hearing the

employee will again be given the chance to state their case and will have the

right to be accompanied by a fellow employee of their choice or a trade union

representative. The decision of [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] will be final.


Equal opportunities policy (see clause 31)

This is the policy of ____________________________ Dental Practice in

respect of discrimination on grounds of sex, sexual orientation, race, age,

disability or religion. This practice is committed to working towards equality of

opportunity for every member of the team. This policy is one important way of

achieving this objective.

The Dental Practice is the business owned by _______________________ and

administered by _________________________________.

Please read it carefully. If there is anything you do not understand, please ask

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] for an

explanation.

The policy

The Dental Practice recognises that discrimination on the grounds of sex,

sexual orientation, race, age, disability or religion is harmful and in many cases

may be illegal. Through this policy, through training and by example, we wish to

demonstrate that we do not tolerate discrimination by anyone working at the

practice.

Definitions

Discrimination is any form of unfavourable treatment.

Policy is the same as a Code of Conduct and it is how we expect everyone in

the practice - partners, associates and employees - to behave. It applies to our

dealings with each other, with candidates for job vacancies, with suppliers and

with our patients.

Age discrimination is any form of treatment which is unfavourable and which is

related to a person’s age. Discrimination according to age is illegal under the

terms of The Employment Equality (Age) Regulations 2006.

Direct age discrimination is treating a person less favourably on the grounds of

their age.

Indirect age discrimination is applying a provision, criterion or practice equally

to all but which would put a person of that age group at a greater disadvantage

when compared with others.

Sex discrimination is any form of treatment which is unfavourable and which is

related to gender or marital status. Discrimination according to sex is illegal

under the terms of the Sex Discrimination Act 1975. The Act applies equally to

men and women.

Direct sex discrimination is when one person is treated less favourably on the

grounds of their sex than a person of the other sex is or would be treated in

similar circumstances. This can occur when a person is refused a position or

promotion because of their sex or because of a factor which is sex linked, such

as the ability to bear children. For example, it is illegal to refuse to employ a

woman because she is of child bearing age and ‘judged’ likely to have children.

A candidate should be treated on merit, irrespective of sex.

Appendix 4


Indirect sex discrimination is a requirement or condition, which cannot be

justified on job-related criteria on grounds other than sex, which is applied to

men and women equally but has the effect, in practice, of disadvantaging a

considerably higher proportion of one sex than the other. For example,

requiring employees to be of a minimum height, which cannot be justified in

terms of the task they have to perform.

Direct marriage discrimination can occur when a married person is treated less

favourably in employment, because they are married, than a single person of

the same sex is or would be treated in similar circumstances.

Indirect marriage discrimination occurs when a requirement or condition of

employment, which cannot be justified on job-related criteria on grounds other

than marital status, is applied equally to married or single persons (of either

sex), but has the effect in practice of disadvantaging a considerably higher

proportion of married than single people (of the same sex).

Race discrimination is any form of treatment which is unfavourable and which is

related to colour, race, nationality (including citizenship), ethnic or national

origin. Discrimination according to race is illegal under the terms of the Race

Relations Act 1976. As with sex discrimination, race discrimination can be direct

or indirect. An example of direct discrimination might be offensive remarks

about black people or about a religion or faith where the majority of believers

are black. Indirect discrimination might be where an employer requires higher

language standards from employees than are needed for the safe and effective

performance of the job.

Victimisation is when the employer treats an employee (of either sex) less

favourably than other employees are or would be treated, because the

employee has brought or threatens to bring proceedings, or give evidence or

information against an employer with reference to the Sex Discrimination Act,

Race Relations Act or Equal Pay Act. These provisions do not apply if the

original discrimination allegation was false or was not made in good faith.

Harassment is a form of discrimination where a person is made to feel

uncomfortable because of sex, race, age, disability or religion. It may involve

action, behaviour, comments or physical contact, which is found objectionable,

offensive or intimidating by the recipient. The recipient may feel threatened,

humiliated or patronised by the perpetrator. It is not always a conscious or

intentional act but it is the recipient’s feelings in response which are important.

Sexual harassment is a form of sex discrimination. The practice defines

harassment as unwanted conduct of a sexual nature or other conduct based on

sex, which affects the dignity of those who work in the practice. This can

include unwelcome physical, verbal or nonverbal conduct. Both men and

women may be subject to harassment.

Racial harassment is a form of race discrimination and might involve racist

jokes and banter or insults, taunts and jibes.

Religious discrimination is where a person is treated less favourably because of

their religious beliefs; for example, promoting a less able person to work rather

than a Jewish person using the reason that the Jewish person would not work

on Saturdays. The Fair Employment (NI) Act 1989 enables employees who feel

that they have been discriminated against on the grounds of religious belief or

political opinion to take action against an employer.


The right to equal pay provides equality in the terms of an employee’s contract

where s/he is employed to perform work which is rated equivalent to that

performed by a member of the opposite sex or work of equal value to that of a

member of the opposite sex.

Disability discrimination is where a person is treated less favourably because of

disability. Occasionally a disability can limit a person’s capability for some forms

of employment. Discrimination occurs when the treatment of the individual is

unfavourable taking into account the disability; for example, making it a

condition of employment that the employee can drive an unmodified car when

the job can be performed adequately without driving.

Not tolerate means that we will take disciplinary action in accordance with the

practice disciplinary procedure against any employee who breaches this policy.

If the allegation involves a self-employed contractor or a partner in the practice,

the matter will be dealt with by [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

What you should do if you feel that you are the subject of discrimination

or harassment?

Discrimination

Raise the issue with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] in the first instance. If the matter is not resolved

informally, then you should submit a written complaint to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER]

Harassment

1. Let the perpetrator know how you feel about their behaviour. You could do

this either by speaking to them or, if you do not wish a confrontation, by

putting your thoughts in writing.

2. Ask them to stop the behaviour.

3. Keep a good record of the incidents.

4. Report the incidents as soon as possible to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. If the incident involves that person,

then you should report the matter to [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER – that is, not the person complainedabout].

What we will do about discrimination or harassment

1. We will take any allegation seriously. We will listen to your complaint

sympathetically and record it thoroughly.

2. We will adopt this policy, modify it in the light of changes in the law and

monitor our performance against it.

3. If you make a complaint or allegation of harassment, the practice will initiate

the grievance procedure in your contract of employment. The incident will be

investigated thoroughly. You will be informed of the outcome and you will be

kept well informed at every stage. Your complaint may be treated as

confidential if you request it to be so, but, if you wish us to investigate or

take action, we will have to involve the alleged perpetrator in the

investigation of your complaint, who has a right to give their version of the

events. We will deal with your complaint as soon as possible and in any

event within 20 working days.


4. If you make an allegation of discrimination, the practice will initiate the

grievance procedure in your contract of employment. Your complaint will be

investigated thoroughly and you will be informed of the outcome within

twenty working days.

5. An employee breaching this policy will be liable to disciplinary action.

Persistent or blatant discrimination or harassment could lead to dismissal.

6. In the event of an allegation of discrimination by a prospective employee,

the incident will be investigated thoroughly and the complainant will be

informed of the outcome. The matter will be dealt with as soon as possible

and in any event within 20 working days.

7. If you feel that your complaint has not been resolved by the practice, you

should contact the local Citizens Advice Bureau for advice. Legal redress

may also be sought from an employment tribunal and the complaint should

be referred to a tribunal within three months (less one day) of the alleged

discriminatory act.


Practice confidentiality policy (see clauses 31 and 34)

At this practice, the need for the strict confidentiality of personal information

about patients is taken very seriously. This document sets out our policy for

maintaining confidentiality and all members of the practice team must comply

with these safeguards as part of their contract of employment/contract for

services with the practice.

The importance of confidentiality

The relationship between dentist and patient is based on the understanding that

any information revealed by the patient to the dentist will not be divulged

without the patient’s consent. Patients have the right to privacy and it is vital

that they give the dentist full information on their state of health to ensure that

treatment is carried out safely. The intensely personal nature of health

information means that many patients would be reluctant to provide the dentist

with information if they were not sure that it would not be passed on. If

confidentiality is breached, the dentist/dental hygienist/dental therapist/dental

nurse faces investigation by the General Dental Council and possible erasure

from the Dentists or DCP Register; and may also face legal action by the

patient for damages and, for dentists, prosecution for breach of the 1998 Data

Protection Act.

General Dental Council

All staff must follow the General Dental Council’s rules for maintaining patient

confidentiality contained in Standards for dental professionals and Principles ofpatient confidentiality.

If confidentiality is breached, each registered dental professional involved is

responsible to the Council for their individual conduct.

What is personal information?

In a dental context, personal information held by a dentist about a patient

includes:

� The patient’s name, current and previous addresses, bank account/credit

card details, telephone number/e-mail address and other means of personal

identification such as physical description

� Information that the individual is or has been a patient of the practice or

attended, cancelled or failed to attend an appointment on a certain day

� Information concerning the patient’s physical, mental or oral health or

condition

� Information about the treatment that is planned, is being or has been

provided

� Information about family members and personal circumstances supplied by

the patient to others

� The amount that was paid for treatment, the amount owing or the fact that

the patient is a debtor to the practice.

Principles of confidentiality

This practice has adopted the following three principles of confidentiality:

Personal information about a patient:

� Is confidential in respect of that patient and to those providing the patient

with health care

Appendix 5


� Should only be disclosed to those who would be unable to provide effective

care and treatment without that information (the need-to-know concept) and

� Such information should not be disclosed to third parties without the consent

of the patient except in certain specific circumstances described in this

policy.

Disclosures to third parties

There are certain restricted circumstances in which a dentist may decide to

disclose information to a third party or may be required to disclose by law.

Responsibility for disclosure rests with the patient’s dentist and under no

circumstances can any other member of staff make a decision to disclose. A

brief summary of the circumstances is given below.

When disclosure is in the public interest

There are certain circumstances where the wider public interest outweighs the

rights of the patient to confidentiality. This might include cases where disclosure

would prevent a serious future risk to the public or assist in the prevention or

prosecution of serious crime.

When disclosure can be made

There are circumstances when personal information can be disclosed:

� Where expressly the patient has given consent to the disclosure

� Where disclosure is necessary for the purpose of enabling someone else to

provide health care to the patient and the patient has consented to this

sharing of information

� Where disclosure is required by statute or is ordered by a court of law

� Where disclosure is necessary for a dentist to pursue a bona-fide legal

claim against a patient, when disclosure to a solicitor, court or debt

collecting agency may be necessary.

Disclosure of information necessary in order to provide care and for the

functioning of the NHS

Information may need to be disclosed to third party organisations to ensure the

provision of care and the proper functioning of the NHS. In practical terms this

type of disclosure means:

� Transmission of claims/information to payment authorities such as the

DPD/SDPD/CSA

� In more limited circumstances, disclosure of information to the PCT/HB

� Referral of the patient to another dentist or health care provider such as a

hospital.

Data protection code of practice

The practice’s data protection code of practice provides the required

procedures to ensure that we comply with the 1998 Data Protection Act. It is a

condition of engagement that everyone at the practice complies with the code

of practice.


Access to records

Patients have the right of access to their health records held on paper or on

computer. A request from a patient to see records or for a copy must be

referred to the patient’s dentist. The patient should be given the opportunity of

coming into the practice to discuss the records and will then be given a

photocopy. Care should be taken to ensure that the individual seeking access is

the patient in question and where necessary the practice will seek information

from the patient to confirm identity. The copy of the record must be supplied

within 40 days of payment of the fee and receipt of identifying information if this

is requested.

Access may be obtained by making a request in writing and the payment of a

fee for access of up to £10 (for records held on computer) or £50 (for those

held manually or for computer-held records with non-computer radiographs).

We will provide a copy of the record within 40 days of the request and fee

(where payable) and an explanation of your record should you require it.

The fact that patients have the right of access to their records makes it

essential that information is properly recorded. Records must be:

� Contemporaneous and dated

� Accurate and comprehensive

� Signed by the dentist

� Neat, legible and written in ink

� Strictly necessary for the purpose

� Not derogatory

� Such that disclosure to the patient would be unproblematic.

Practical rules

The principles of confidentiality give rise to a number of practice rules that

everyone in the practice must observe:

� Records must be kept secure and in a location where it is not possible for

other patients or individuals to read them

� Identifiable information about patients should not be discussed with anyone

outside of the practice including relatives or friends

� A school should not be given information about whether a child attended for

an appointment on a particular day. It should be suggested to the school

that the child is asked to obtain the dentist’s signature on his or her

appointment card to signify attendance

� Demonstrations of the practice’s administrative/computer systems should

not involve actual patient information

� When talking to a patient on the telephone or in person in a public area,

care should be taken that sensitive information is not overheard by other

patients

� Do not provide information about a patient’s appointment record to a

patient’s employer

� Messages about a patient’s care should not be left with third parties or left

on answering machines. A message to call the practice is all that can be left

� Recall cards and other personal information must be sent in an envelope

� Disclosure of appointment books, record cards or other information should

not be made to police officers or inland revenue officials unless upon the

instructions of the dentist

� Patients should not be able to see information contained in appointment

books, day sheets or computer screens

� Discussions about patients should not take place in the practice’s public

areas.


Disciplinary action

If, after investigation, a member of staff is found to have breached patientconfidentiality or this policy, he or she shall be liable to summary dismissal inaccordance with the practice’s disciplinary policy.

Employees are reminded that all personal data processed at the practice must

by law remain confidential after your employment has terminated. It is an

offence under section 55(1) of the Data Protection Act 1998, knowingly or

recklessly, without the consent of the data controller [insert name], to obtain or

disclose personal data. If the practice suspects that you have committed such

an offence, it will contact the Office of the Information Commissioner and you

may be prosecuted by the Commissioner or by or with the consent of the

Director of Public Prosecutions.

Queries

Queries about confidentiality should be addressed to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

More information is contained in BDA Advice Sheet B1 Ethics in dentistry and

B2 Data protection which are available for reference in __________________.


Employees have a range of statutory rights which give minimum employment

entitlements once any qualifying criteria have been satisfied.

All employees have the following statutory rights regardless of length of

service:

� To receive a written statement of terms within two months of starting work

� To be remunerated at a rate not less than the national minimum wage

� To receive an itemised pay statement

� To work not more than an average of 48 hours a week (including overtime)

� To receive a 20-minute rest break away from the workstation every six hours

(employees under 18 years old are entitled to a 30-minute break every 4½

hours)

� To receive statutory sick pay

� To receive a minimum of 4.8 weeks’ paid annual holiday (this can include

bank holidays and is scheduled to rise to 5.6 weeks by Easter 2009). Part-

time workers’ entitlement is calculated on a pro-rata basis.

� To take Ordinary Maternity Leave for 26 weeks and Additional Maternity

Leave for a further 26 weeks.

� To take reasonable paid time off for antenatal appointments (including

relaxation and parentcraft classes during pregnancy)

� To have access to stakeholder pension arrangements and the ability to

make monthly contributions by deduction from salary (only if practice has

five or more employees)

� To take reasonable time off for trade union duties and activities and certain

public duties

� To be accompanied by a fellow employee or trade union official at

disciplinary and grievance meetings.

After one month’s continuous service:

� To receive a guaranteed payment when there is a temporary shortage of

work

� To receive one week’s notice of termination of employment, increasing by

one week for every year worked (up to a maximum of twelve weeks)

If employee has been employed for 26 weeks into the 15th week beforethe expected week of childbirth:

� To receive statutory maternity pay for 39 weeks

After six months’ continuous service:

� Parents with a child under six or a disabled child under 18, or carers of an

adult, can make a request for flexible working, and to have their employers

consider such request seriously and only reject them for good business

reasons.

After one year’s continuous service:

� To take unpaid parental leave for 13 weeks (up to a maximum of four weeks

per year) if employee has a child (natural or adopted) under five years old

(to be taken before the child’s fifth birthday) or under 18 years old if the child

is disabled.

� Not to be unfairly dismissed.

Employmentrights

checklist


ACAS ADDRESSES

National Helpline: 08457 474747

Orderline: 08702 429090

Website: www.acas.org.uk

London region

Euston Tower

286 Euston Road

London NW1 3JJ

Tel: 020 7396 0022

West Midlands

Apex House

3 Embassy Drive

Calthorpe Road

Edgbaston B15 1TR

Tel: 0121 345 1410

East Midlands

Lancaster House

10 Sherwood Rise

Nottingham NG7 6JE

Tel: 0115 985 8253

East of England

Acas House

Kempson Way

Suffolk Business Park

Bury St Edmonds

Suffolk IP32 7AR

Tel: 01284 774500

North East

Cross House

Westgate Road

Newcastle upon Tyne NE1 4XX

Tel: 0191 269 6000

North West

Commercial Union House

2-10 Albert Square

Manchester M60 8AD

Tel: 0161 833 8500

Pavilion 1

The Matchworks

Speke Road

Speke

Liverpool L19 2PH

Tel: 0151 728 5600


South East

Suites 3-5

Business Centre

1-7 Commercial Road

Paddock Wood

Kent TN12 6EN

Tel: 01892 837273

Cygnus House

Ground Floor

Waterfront Business Park

Fleet

Hants GU51 3QT

Tel: 01252 816650

South West

The Waterfront

Welsh Back

Bristol BS1 4SB

Tel: 0117 906 5200

Yorkshire and Humberside

The Cube

123 Albion Street

Leeds LS2 8ER

Tel: 0113 205 3800

Scotland

151 West George Street

Glasgow G2 7JJ

Tel: 0141 248 1400

Wales

3 Purbeck House

Lambourne Crescent

Llanishen

Cardiff CF14 5GJ

Tel: 02920 762636


Other BDA Advice Sheets in this series

D2 Rewarding staffD3 The employment of dental hygienistsD5 Employing a therapist in general dental practiceD9 Employees’ family arrangements and payD10 RedundancyD11 Practice disciplinary procedures and dismissalD12 Staff recruitmentD13 DiscriminationD14 Dealing with bullying, harassment and violence in the workplaceD17 Practice grievance procedures

Other BDA Advice Notes in this series

Working Time Directive basic rightsChange managementEmployee retirementContract variation

Advice Sheets and Advice Notes are available from the BDA website

www.bda.org or from BDA Shop 020 7563 4555.

Members in England and Wales

Telephone BDA Practice Support on 020 7563 4574, Fax 020 7563 4557 or

email: [email protected]

Members in Scotland and Northern Ireland

Telephone Alan Pitcaithley on 01786 431 727 or email: [email protected],

Fax: 01786 431 810

Practice Compendium v5

Aimed at practice owners, practice managers and decision makers/budget

holders. Clinical Directors and Dental leads in PCT/Health Boards will also be

interested in this product.

The BDA Practice Compendium guides dentists through the legislative and

regulatory requirements essential to general dental practice. It is a quick

reference guide and should be used in conjunction with BDA Advice Sheets

which provide more detailed information about law, practice administration and

management issues.

The BDA Practice Compendium offers convenient and instant access to model

contracts, policies, protocols, forms and letters. It includes information on all

aspects of general practice management including contractual and employment

arrangements for the dental team, health and safety and other practice

management legislation, communications with patients and staff, business

management, private practice and the new NHS.

The BDA Practice Compendium conveniently summarises the main legal and

regulatory requirements and gives the management basics of good practice,

but it is not a substitute for the Advice Sheets.

Further helpand advice


The Practice Compendium is divided into six main sections, each with

subsections:

contractual arrangements

The dental team employing staff

personal and staff development

health and safety

infection control

prescribing, dispensing and dental sales

Managing your practice data protection

disability

safeguarding children

broadcasting licenses

communicating with patients

Communications communicating with staff

communicating with specialists

business planning

practice ownership

Business management staff and patient participation

marketing the practice

practice finances

changing your practice

Private practice customer service

financial aspects

The NHS NHS in England and Wales

NHS in Scotland and Northern Ireland

Each section has its own content list, introduction, checklist and list of models.

The models speed up and simplify the process of organising your own practice

administration and allow you to enter your practice details and information (and

adapt as necessary) before printing.

British Dental Association

64 Wimpole Street,London W1G 8YS Tel: 020 7563 4563 Fax: 020 7487 5232

E-mail: [email protected] www.bda.org © BDA September 2008

Advicesheet

D1aContracts of employmentwritten statement for employees

Advicesheet

Contracts of employmentwritten statement for employees D1a

Contract of employment 3

Appendix 1 Sickness/injury absence and pay policy 10

Appendix 2 Grievance procedure 13

Appendix 3 Disciplinary procedure 14

Appendix 4 Equal opportunity policy 17

Appendix 5 Practice confidentiality policy 20

contents page



Sample contract of employmentThis example must be read in conjunction with BDA Advice Sheet D1- Contracts of employment

In accordance with the requirements of the Employment Rights Act 1996, (as amended by subsequent Statutes),

this statement describes the main terms and conditions of your employment with:

(Name of employer) _________________________________________________________________________

1. Employee

Name _____________________________________________________________________________________

Address ___________________________________________________________________________________

2. Date of commencement of employment

Option 1

Your employment with _________________________________________ will commence on _______________.

No period of employment prior to your start date counts as part of your period of continuous employment

OR

Your previous employment with ___________________________________________will contribute towards your

service with_______________________________ [delete where applicable]

Option 2 – Fixed-term contracts

Your employment with __________________________________________ will commence on _______________

and finish on _______________ unless terminated in accordance with clause 27. The reason for this fixed term

of employment is [INSERT REASON].

[If the contract is to cover absence of another individual due to maternity or sickness include this clause : Youremployment will end when [INSERT NAME] returns to work or on ____________, whichever is the earlier.]* Delete as appropriate

3. Probationary period

The first ______________ months of your employment will be probationary. During the probationary period, your

employment may be terminated by either party on one week’s written notice.

4. Job title

You are employed as ________________________________________________________________________.

Your work will include ________________________________________________________________________.

You may be required to carry out any other duties considered to be within your skill and competence to assist the

smooth running of the practice and facilitate the treatment of patients, when it is considered necessary or

appropriate by management.

5. Place of work

Your normal place of work will be _______________________________________________________________.

You may be required to work at other practice locations according to the needs of the practice.


6. References

Engagement is subject to satisfactory references (where these are requested).

7. Registration with GDC (where appropriate)

Option 1- Dental Care Professionals

You must register as a _____________________ with the General Dental Council, maintain that registration and

effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may

be required to produce your cover certificate for inspection by the practice annually on request.

Option 2 – Trainee Dental Care Professionals

It is a condition of this employment that you attend the [INSERT NAME OF COURSE] (the “Course”) at the

[INSERT NAME OF COLLEGE] with a view to obtaining the [INSERT NAME OF QUALIFICATION]. You are

required to undertake the following in order to satisfy the General Dental Council’s requirements to achieve

registration. You must attend the Course regularly and make every effort successfully to complete the course and

obtain the qualification required by the GDC for registration.

Upon completion of your training programme, you must register as a _________________ with the General

Dental Council and maintain that registration and effect and maintain professional indemnity or insurance cover

for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by

the practice annually on request.

Option 3

The GDC’s registration requirements are not applicable to your post.

* Delete as appropriate

8. Course fees (Where appropriate)

The practice will pay [all necessary tuition fees OR £x towards your tuition fees] incurred in pursuance of clause

7 above.

The practice reserves the right to recover any and all monies it has paid in tuition fees if your employment is

terminated for any reason, excluding redundancy, in the twelve months following completion of any course you

attended in pursuance of clause 7.

The total money recoverable will reduce by one-twelfth for each complete calendar month you work at the

practice after completion of the course. For the avoidance of doubt, no deduction will be made if your

employment is terminated more than twelve months following the completion of the course attended.

The practice reserves the right to recover any and all monies it has paid in tuition fees if you fail to complete,

without good reason, any course on which you are enrolled in pursuance of clause 7.

9. Pay

Option 1 – Annual / Monthly pay

Your annual salary is £_________________.

Your pay will be paid monthly in arrears in [cash/by cheque/BACS transfer] on the ___________ day of each

month.




Option 2 – Weekly pay

Your weekly wage is £___________ per week. Payments for individual days are one-fifth of the above rate and

pro rata for any part thereof. This also applies to any days agreed as holidays.

Your pay will be paid weekly in arrears in [cash/by cheque/BACS] on the ___________day of each week.



Option 3 – Hourly pay

Your hourly rate of pay is £___________ per hour.

Your pay will be paid weekly/monthly in arrears in [cash/by cheque/BACS transfer] on the ____________ day of

each [week/month].


pay. Any specific queries about your pay should be raised with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER]. * Delete as appropriate

10. Lay-off and Lay-off guaranteed pay

Employees may be laid off because of work shortage caused by:

i. the dentist being ill

ii. insufficient patients

iii. insufficient UDAs

iv. the practice premises being unavailable for unforeseen circumstances (such as flood or fire).

Employees temporarily laid off will be entitled to receive a guaranteed payment based on a normal working day,

but not exceeding £20.40 (April 2008 - reviewed annually in April) per day and not exceeding five days in any

period of three months. Employees must have completed one month’s continuous service in order to qualify for

lay-off pay.

11. Hours of work

Your basic hours of work (exclusive of lunch breaks) are ______________ hours per week.

Your normal hours of work are:

Monday from ____________________________ to __________________________

Tuesday from ____________________________ to __________________________

Wednesday from ____________________________ to __________________________

Thursday from ____________________________ to __________________________

Friday from ____________________________ to __________________________

Saturday from ____________________________ to __________________________

Sunday from ____________________________ to __________________________

You are allowed ________ for lunch, to be taken between _______ pm and _________ pm. This is unpaid.

Day-to-day arrangements will be agreed with [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] in accordance with operational requirements.


12. Time keeping

All employees are required to show a responsible attitude towards time keeping. Persistent lateness will render

the employee liable to disciplinary action, which could lead to dismissal.

13. Overtime

On occasion, it may be necessary for the practice to request that you work additional hours in the course of your

duties. Where the practice requires your services outside your set hours during usual practice hours on Monday

to Saturdays the practice will either

a) pay you at [EITHER: your normal pay rates OR: one-and-a-half times your normal pay rate]; or

b) give you the equivalent time off, by arrangement at normal pay rates.

All work outside normal hours on Sunday or public holidays will be paid at double time rate (£ ___________ per

hour).

14. Holiday

Your holiday year dates from [EITHER: the commencement of employment OR: from 1 January to 31 Decembereach year OR: from 1 April to 31 March of the following year].

You will be entitled to [5.6] weeks’ paid holiday, including public holidays. If you work part-time, one week’s

holiday will be equivalent to the amount of time you normally work in a week.

Optional :[After _______ years’ service, you will be entitled to an additional week‘s paid holiday.]

A written request for holiday must be submitted to [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER]. This request must be submitted ___________ week(s) prior to the date you expect to start the holiday.

Not all applications will be approved and written notification of an approval or refusal will be provided _________

week(s) prior to the date you expect to take leave.

Holiday pay will be calculated from your basic pay. Holiday entitlements cannot be carried over to the following

year unless written permission has been obtained from [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

Where employment is terminated, or if you choose to leave the practice, a payment will be made on a pro-rata

basis in respect of any accrued holiday entitlement that has arisen but has not been taken on the date of

termination.

A deduction will be made from your final pay on a pro-rata basis for any holiday taken in excess of your

entitlement, at the date of termination.

15. Sickness/injury absence and pay

The rules and procedures relating to unavoidable absence due to sickness or injury, including eligibility for

sickness pay, are set out in Appendix 1. You will be entitled to sickness pay, as shown in Appendix 1, providing

you follow the notification and certification procedure specified in the rules.

16. Notification of absence

If you are unable to attend work, for any reason whatever, you must contact [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] by telephone at the earliest possible time on the first day of absence and

not later than [INSERT TIME] to give the reason for absence and, if possible, to say when you hope to return to

work. You must speak to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] or [NAME]

personally. Contacting the practice by text message will not be acceptable and could lead to disciplinary action.

Unauthorised absence will not be paid and may result in disciplinary action being taken.


17. Time off for family or domestic emergencies

The practice will provide reasonable time off to deal with family or domestic emergencies. Requests should be

made promptly to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

Time off for family or domestic emergencies [EITHER: will OR: will not] be paid.

18. Medical treatment

Appointments for visiting the doctor or hospital should as far as possible be made outside working hours. Where

an appointment can only be made within working hours, permission must be obtained from [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

19. Jury or witness service and public duties

If you are required to attend for jury or witness service you must provide written evidence from the court service

and keep the practice informed during the duration of your absence. You should claim the allowance set by the

court [optional: and the practice will make up the additional loss of pay resulting from such service].

If you hold a recognised public office, such as Justice of the Peace, member of a local authority or member of

the governing body of a maintained school or college, you will be entitled to reasonable time off to perform such

duties. Requests for time off must be arranged in advance with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER]. Time off for public duties will not be paid.

20. Maternity

An employee who is pregnant has the right to time off with pay for antenatal care. This includes appointments

with the GP or hospital and parentcraft classes. An employee who stops work to have a baby has the right to a

period of maternity leave. There are certain provisions concerning payment, time off and returning to work which

the practice will discuss with you. Further information can be obtained from [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER].

21. Adoption leave

An employee who adopts a child may be entitled to adoption leave and pay.

Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

22. Paternity leave

An employee who has a wife or partner who gives birth to or adopts a child, may be entitled to two weeks’ paid

paternity leave. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

23. Parental and family leave

Employees with at least one year’s continuous service are entitled to unpaid parental leave if having or adopting

a baby. Further information is available from [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER].

Copies of the practice’s maternity and adoption policies are obtainable from [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER].

24. Pensions

[NOTE CHOOSE EITHER:

* Option 1:

All employees are covered by the State pension scheme. There is no “contracting-out” certificate in force and no

other pension scheme is in operation.


OR

* Option 2 (you must use this option if you employ five or more employees):

There is a practice stakeholder pension scheme in operation, which you may join if you wish. Further details may

be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

* Delete as appropriate.

25. Health and safety

The practice policy is to provide as safe and healthy working conditions as possible and to enlist the support of

employees in this.

While overall responsibility rests with your employer, all staff have a legal duty to take reasonable care to avoid

injury to themselves or others by their work activities, and not to interfere with or misuse any clothing or

equipment provided to protect health or safety. Any accident to a member of staff in the course of their activities

must be entered in the accident book held in the _______________ office. Copies of the practice’s health and

safety policy can be seen in the _______________ office.

26. Trade union membership

It is recognised that eligible employees are free to join or not to join a trade union.

27. Notice

You are entitled to receive a minimum of one week’s notice of termination of employment after one month’s

employment, increasing to two weeks after two years’ continuous service. Thereafter, you will be entitled to

receive a further week’s notice for each additional year’s service up to a maximum of twelve weeks after twelve

or more years’ service.

After one month’s employment you are required to give the practice [INSERT NUMBER] week’s/weeks’ notice.

The practice reserves the right to waive notice periods and make a payment in lieu. If you terminate your

employment without giving your contractual period of notice, the practice reserves the right to make a deduction

from your final pay. That deduction will be the amount of extra money the practice has had to spend as a direct

result of you leaving early, subject to a maximum of the amount which you would have been paid in salary during

the contractual notice period.

28. Retirement

The practice’s normal retiring age is 65. You will be notified in writing of the practice’s intention to retire you not

more than one year and not less than six months before the date on which the practice intends to retire you. You

have the right to request not to retire. Further information on how to make a request should be obtained from

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

29. Grievance procedure

Should you have any query, grievance or complaint regarding your employment or the terms and conditions

relating to that employment, you should raise the matter initially with [INSERT NAME OF PRACTICE MANAGEROR PRACTICE OWNER].

The full procedure is set out in Appendix 2.

30. Disciplinary rules and procedures

The full disciplinary rules and are set out in Appendix 3.


31. Practice policies

The practice is committed to working towards equal opportunity for every employee. Our Equal Opportunities

Policy is attached at Appendix 4 and you are required to abide by it.

You must comply with the practice’s Confidentiality Policy set out in Appendix 5.

You must comply with all other practice policies. Copes of the policies are obtainable from [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

32. Immunisation

It is a condition of your employment that you are immunised against Hepatitis B and tuberculosis in accordance

with guidelines issued by the Department of Health. Charges, where incurred, will be met by the practice.

33. Deductions from pay

The practice reserves the right to make deductions from your pay in the following circumstances:

1. To recover an overpayment of wages.

2. If you have taken more holiday than your pro-rata holiday entitlement.

3. If you terminate your employment without giving your contractual period of notice.

4. If the practice reasonably believes you have stolen practice property and/or equipment.

5. If you fail to return practice property and/or equipment (including any keys and uniform) when your

employment terminates.

6. To recover any contributions the practice made towards the cost of training in accordance with clause 8

above.

34. Confidentiality

Employees must not disclose any confidential information about patients to third parties without the consent of

the patient. If you are in any way unsure whether information can or should be disclosed you must ask [INSERTNAME OF PRACTICE MANAGER OR PRACTICE OWNER].

The full rules on patient confidentiality are set out in the practice’s confidentiality policy (Appendix 5). Confidential

information must not be disclosed following termination of your employment.

If, after investigation, a member of staff is found to have breached patient confidentiality or the practice’s policy,

he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy (Appendix 3).

35. Changes in terms and conditions

The practice reserves the right to make reasonable changes to your terms and conditions. You will be informed

within one month of the change taking effect by personal written notification. In addition, any master document

relating to your terms and conditions will be updated.

Signed (employer) ___________________________________________________________________________

on behalf of ________________________________________________________________________________

Date ______________________________________________________________________________________

I confirm that I have received the original statement of terms and conditions of employment relating to my

employment of which this is a copy and I accept them and will be bound by them.

Signed (employee) ___________________________________________________________________________

Date ______________________________________________________________________________________


Sickness/injury absence and pay policy (see clause 15)

If you are absent from work because of sickness or injury, the conditions of the

Statutory Sick Pay scheme will apply. In order to qualify for sick pay, you must

follow the notification and certification procedure set out below.

Notification of absence

If you are unable to attend work for any reason whatsoever, you must

personally telephone the [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] and inform them no later than _________ a.m. on the first

day of absence as to the reason for absence, and if possible, when you hope to

return to work. If you cannot give an estimated date of return to work, then you

must contact the practice on each and every day of absence no later than

_________ a.m. If on the date that you estimated you would return to work you

are still unable to attend, then you must contact the practice no later than

_________ a.m. on that day. It is not acceptable to notify the practice by text

message. If you are late in notifying sickness absence, you may lose part of

your sick pay.

While away from the practice due to illness you are required to remain in

contact with [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] and supply the appropriate evidence of incapacity.

Evidence of incapacity for work

If you are ill for seven days or fewer you should on your return to work report to

(insert name of employer/practice manager) and explain in full the reasons for

your absence. You will be required to complete a self-certification form.

If sickness absence continues for eight days or more you should obtain a

medical certificate from your doctor and forward the original copy without delay

to the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

Further certificates should be submitted without delay for as long as the illness

lasts. Where no contact is made and/or no evidence is produced for absence

with good reason, the practice may commence disciplinary procedures.

In the case of four periods of self-certificated absence in any calendar year the

practice reserves the right to request medical evidence for subsequent periods

of absence of fewer than seven days. See Frequent, persistent short-termabsence below.

Statutory sick pay (SSP) and practice sick pay

(The following practice sick pay policy follows BDA recommendations and

is over and above the minimum legal requirement of statutory sick pay)

Subject to the above procedure, you will receive practice sick pay (inclusive of

SSP) during each calendar year as follows:

Length of service Full pay Half pay

Less than 6 months SSP only SSP only

6 months - less than 2 years 2 weeks 2 weeks

2 years - less than 4 years 3 weeks 3 weeks

4 or more years 3 weeks 5 weeks

These entitlements are the total for each calendar year. Therefore payments of

practice sick pay for earlier periods of absence count towards calculating your

annual entitlement.

Appendix 1


Practice sick pay applies pro rata for part-time employees in accordance with

the length of the working week.


The full rules on eligibility for and payment of SSP are set out according to the

statutory requirements.

Unauthorised absence

Any unauthorised absence, or where it seems that the reason given for

absence is not genuine, will be treated as a disciplinary matter in accordance

with the practice disciplinary procedure. You will not be paid for days of

unauthorised absence.

Return-to-work meetings

On each occasion of illness the [INSERT NAME OF PRACTICE MANAGEROR PRACTICE OWNER] will hold a return-to-work meeting with you to discuss

the reason for your absence and whether any modifications are required in the

workplace to reduce the likelihood of repeat periods of illness.

Return-to-work meetings will be documented and kept on your employment

record.

Long-term absence

Long-term absence is defined as a continuous period of absence or a number

of periods of absence for the same or related medical condition punctuated by

periods of return to work.

An employee who is absent long-term is expected to comply with the above

rules for providing evidence of incapacity for work. All medical certificates must

be forwarded without delay to [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

While you are off work due to illness, [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] will keep you up-to-date on any news or

changes occurring at the practice.

Depending upon individual circumstances, but generally before you have

exhausted your entitlement to Statutory Sick Pay, you will be asked for written

permission for the practice to seek a medical report from your doctor on your

long-term prognosis. This report is used to assess the likelihood of a full

recovery, the likely date of return and the prospects of being able to do the

same work or any reasonable adjustments that may need to be made.

Where a medical report indicates that an employee will be unable to return,

does not provide any reasonable date for return, or any required

accommodations to enable return cannot be met, continued employment with

the practice could be at risk.

Where there is reasonable doubt from your doctor’s report about the nature of

the illness or injury, you may be asked to be examined by an independent

doctor appointed by the practice.

An employee who refuses to provide consent for the practice to gather medical

evidence or to undergo a medical examination will be advised in writing that a

decision regarding their future employment will be based on the limited

information available which may lead to dismissal on grounds of their capacity

to do their work.


In considering continued employment, the practice will assess whether:

i. Alternative, lighter or less stressful work is available

ii. Reorganisation of the team could produce a more suitable job

iii. A re-design of the job could facilitate a return to work.

Where no suitable alternative work is available, your employment may be

terminated with notice on grounds of inability to do your job due to sickness or

injury. However, you will have the right of appeal against any decision to

terminate your employment.

Frequent, persistent short-term absence

The practice will monitor the absence of all employees. Where there are four

periods of self-certificated absence in any calendar year, the practice will hold

an informal meeting with the employee to discuss the cause of the absences.

The practice reserves the right to request medical evidence for subsequent

periods of absence of less than seven days.

If, following discussions and/or the receipt of a medical report, there is an

underlying medical theme between periods of absence then the long-term

absence procedure (above) will apply.

If, following discussions and/or the receipt of a medical report, there is no

underlying medical theme between periods of absence, the practice will

nevertheless continue to monitor absence and request medical evidence for

subsequent periods of absence of less than seven days, if felt appropriate.

Where there is no improvement in your general health and level of attendance,

consideration will be given to your future employment. Your skills, performance,

the likelihood of a change in attendance, the availability of suitable alternative

work and the effect of past and future absences on the practice will all be taken

into account in deciding appropriate action.


Grievance procedure (see clause 29)

The object of this procedure is to provide an employee who considers that

he/she has a grievance with the opportunity to have it examined quickly and

effectively. Where a grievance is deemed to exist, our aim is to resolve it if

possible at the earliest practicable moment and at the first level of

management.

Procedure

This procedure has been drawn up to establish the appropriate steps to be

followed when pursuing and dealing with a grievance. The procedure contains

three stages. However, as it is the aim of this procedure to settle matters at the

earliest practicable moment, it is not anticipated that all grievances will go

through all procedural stages.

An employee may tell [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] about a problem and [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] will try to help the employee resolve the

problem informally.

If an employee gives [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] details of their grievance in writing, then the procedure

below applies.

Stage 1 - Submission of grievance

An employee who feels aggrieved on any matter affecting his/her employment

should write to [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] making it clear that the first stage of the grievance procedure is being

invoked and detailing the grievance.

Stage 2 – Investigation and written response

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will

investigate the issue, consulting where necessary the other members of

management. They will invite the aggrieved employee to an investigatory

meeting to discuss the grievance. This meeting will be within one week of

receiving the complaint, unless agreed otherwise. The aggrieved employee has

the right to be accompanied by a trade union representative or a fellow work

colleague of his/her choice.

After the investigatory meeting, the decision of [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER] shall be given in writing to the employee

concerned no later than five working days from the complaint being heard. If

the employee is dissatisfied with the decision, they have the right to request an

appeal meeting within five working days.

Stage 3 - Appeal hearing

If possible, another person within the practice will hear the appeal hearing. The

aggrieved employee has the right to be accompanied by a trade union

representative or fellow work colleague of his/her choice.

After the appeal hearing, the decision of [INSERT NAME OF PRACTICEOWNER OR PRACTICE MANAGER] shall be given in writing to the employee

concerned no later than five working days from the complaint being heard. The

decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICEMANAGER] is final.

Appendix 2


Disciplinary procedure (see clause 30)

The practice does not impose unreasonable rules of conduct on its employees,

but certain standards of behaviour are necessary to maintain order and

discipline in the interests of employees and the practice. We prefer that

discipline is voluntary and self-imposed and, in the great majority of cases, this

is how it works. From time to time, however, it may be necessary to take action

towards individuals whose behaviour or performance is unacceptable.

Minor issues will usually be dealt with informally.

In the case of employees who have been continuously employed for lessthan one year, the following procedure will apply:

EITHER:

Option 1:

Employees will normally be entitled to at least one disciplinary meeting and one

opportunity to improve. However, if, after the first disciplinary meeting, they fail

to improve, they will be dismissed following a second disciplinary meeting. In

situations amounting to gross misconduct, whether there has been a first

disciplinary meeting or not, the employee will be summarily dismissed following

a disciplinary meeting.

The employer will set out in writing the reasons for their dismissal.

OR:

Option 2:

Employees will be notified in writing of any disciplinary decision, including

dismissal.


In the case of employees who have been continuously employed for oneyear or more, the following procedure will apply:

Minor issues will usually be dealt with informally. However, in cases where

informal discussion does not lead to improvement, or where the matter is more

serious, such as unjustified absences, poor time-keeping or sub-standard

performance, the following formal procedure will be used.

Where a matter appears to raise concerns over conduct or discipline [INSERTNAME OF PRACTICE MANAGER OR PRACTICE OWNER] will initially

investigate the issue by individually discussing it with those concerned. The

investigation is preliminary to the formal procedure and is to determine in the

opinion of [INSERT NAME OF PRACTICE MANAGER OR PRACTICEOWNER] whether it is necessary to commence the formal procedure. At every

stage of the formal procedure, a formal hearing, convened by the employer, will

be held before any warning or other disciplinary sanction is issued. The

employee with one or more year’s service will be entitled to:


and time and the allegations of misconduct. The letter will include copies of






Appendix 3


Stage 1 - oral warning

If it is decided that the evidence supports the allegation of misconduct, the

employee will be given a formal ORAL WARNING and will be advised in writing

of the reason for the warning and that it is the first stage of the disciplinary

procedure. A note of the oral warning will be recorded on the employee’s

personal record but will be nullified after six months subject to satisfactory

conduct and only if there are no further instances of disciplinary action for

whatever reason.

Stage 2 - first written warning

If conduct or work performance does not improve or there is a repetition of the

misconduct, a FIRST WRITTEN WARNING may be given by [INSERT NAMEOF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details

of the complaint and the likely consequences (that is, Stage 3) if the terms of

the warning are not complied with. The warning will also be noted on the

employee’s personal record, but again will be nullified after a maximum of one

year, subject to satisfactory conduct, only if there are no further instances for

whatever reasons.

Stage 3 - final written warning

Failure to improve in response to the procedure so far, a repeat of misconduct

for which a warning or warnings have previously been issued, or a first instance

of serious misconduct will result in a further disciplinary hearing and the issue

of a FINAL WRITTEN WARNING by [INSERT NAME OF SUPERVISINGDENTIST OR PRACTICE MANAGER]. This will give details of the complaint,

the length of any probationary period and notification that dismissal may result

if the terms of the warning are not complied with. This warning will be noted on

the employee’s personal record for one year.

Stage 4 - dismissal

Failure to meet the requirements set out in the final written warning will

normally lead to a further disciplinary hearing and DISMISSAL with appropriate

notice.

Gross misconduct

Offences under this heading are so serious that an employee who commits

them will normally be summarily dismissed, following a disciplinary hearing. In

such cases the practice reserves the right to dismiss without notice of

termination or payment in lieu of notice. Summary dismissal for gross

misconduct will only occur following an investigation and a formal hearing

convened by the employer. The employee is entitled to:


and time, and the allegations of misconduct. The letter will include copies of







Examples of gross misconduct are:

� Theft and unauthorised possession of practice property, deliberate

falsification of records or any other form of dishonesty

� Wilfully causing harm or injury to another member of staff or other person on

the premises

� Performing an action that is liable to cause injury to other people or damage

to practice property

� Breach of confidentiality

� Wilful refusal to obey a reasonable instruction

� Incapacity due to alcohol or drug abuse

� Breaches of health and safety regulations.

This list is intended only as a guide and is not an exhaustive one.

Suspension

In the event of serious misconduct, an employee may be suspended on full

basic pay while an investigation is carried out. Such suspension, which DOES

NOT imply guilt or blame, will be for as short a period as possible.

Appeals

An employee may appeal against a disciplinary decision to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER – ie not the same personnamed in stages 2 and 3] within one week of the decision being communicated

to the employee. Appeals should be in writing. At the appeal hearing the

employee will again be given the chance to state their case and will have the

right to be accompanied by a fellow employee of their choice or a trade union

representative. The decision of [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] will be final.


Equal opportunities policy (see clause 31)

This is the policy of ____________________________ Dental Practice in

respect of discrimination on grounds of sex, sexual orientation, race, age,

disability or religion. This practice is committed to working towards equality of

opportunity for every member of the team. This policy is one important way of

achieving this objective.

The Dental Practice is the business owned by _______________________ and

administered by _________________________________.

Please read it carefully. If there is anything you do not understand, please ask

[INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] for an

explanation.

The policy

The Dental Practice recognises that discrimination on the grounds of sex,

sexual orientation, race, age, disability or religion is harmful and in many cases

may be illegal. Through this policy, through training and by example, we wish to

demonstrate that we do not tolerate discrimination by anyone working at the

practice.

Definitions

Discrimination is any form of unfavourable treatment.

Policy is the same as a Code of Conduct and it is how we expect everyone in

the practice - partners, associates and employees - to behave. It applies to our

dealings with each other, with candidates for job vacancies, with suppliers and

with our patients.

Age discrimination is any form of treatment which is unfavourable and which is

related to a person’s age. Discrimination according to age is illegal under the

terms of The Employment Equality (Age) Regulations 2006.

Direct age discrimination is treating a person less favourably on the grounds of

their age.

Indirect age discrimination is applying a provision, criterion or practice equally

to all but which would put a person of that age group at a greater disadvantage

when compared with others.

Sex discrimination is any form of treatment which is unfavourable and which is

related to gender or marital status. Discrimination according to sex is illegal

under the terms of the Sex Discrimination Act 1975. The Act applies equally to

men and women.

Direct sex discrimination is when one person is treated less favourably on the

grounds of their sex than a person of the other sex is or would be treated in

similar circumstances. This can occur when a person is refused a position or

promotion because of their sex or because of a factor which is sex linked, such

as the ability to bear children. For example, it is illegal to refuse to employ a

woman because she is of child bearing age and ‘judged’ likely to have children.

A candidate should be treated on merit, irrespective of sex.

Indirect sex discrimination is a requirement or condition, which cannot be

justified on job-related criteria on grounds other than sex, which is applied to

men and women equally but has the effect, in practice, of disadvantaging a

considerably higher proportion of one sex than the other. For example,

requiring employees to be of a minimum height, which cannot be justified in

terms of the task they have to perform.

Appendix 4


Direct marriage discrimination can occur when a married person is treated less

favourably in employment, because they are married, than a single person of

the same sex is or would be treated in similar circumstances.

Indirect marriage discrimination occurs when a requirement or condition of

employment, which cannot be justified on job-related criteria on grounds other

than marital status, is applied equally to married or single persons (of either

sex), but has the effect in practice of disadvantaging a considerably higher

proportion of married than single people (of the same sex).

Race discrimination is any form of treatment which is unfavourable and which is

related to colour, race, nationality (including citizenship), ethnic or national

origin. Discrimination according to race is illegal under the terms of the Race

Relations Act 1976. As with sex discrimination, race discrimination can be direct

or indirect. An example of direct discrimination might be offensive remarks

about black people or about a religion or faith where the majority of believers

are black. Indirect discrimination might be where an employer requires higher

language standards from employees than are needed for the safe and effective

performance of the job.

Victimisation is when the employer treats an employee (of either sex) less

favourably than other employees are or would be treated, because the

employee has brought or threatens to bring proceedings, or give evidence or

information against an employer with reference to the Sex Discrimination Act,

Race Relations Act or Equal Pay Act. These provisions do not apply if the

original discrimination allegation was false or was not made in good faith.

Harassment is a form of discrimination where a person is made to feel

uncomfortable because of sex, race, age, disability or religion. It may involve

action, behaviour, comments or physical contact, which is found objectionable,

offensive or intimidating by the recipient. The recipient may feel threatened,

humiliated or patronised by the perpetrator. It is not always a conscious or

intentional act but it is the recipient’s feelings in response which are important.

Sexual harassment is a form of sex discrimination. The practice defines

harassment as unwanted conduct of a sexual nature or other conduct based on

sex, which affects the dignity of those who work in the practice. This can

include unwelcome physical, verbal or nonverbal conduct. Both men and

women may be subject to harassment.

Racial harassment is a form of race discrimination and might involve racist

jokes and banter or insults, taunts and jibes.

Religious discrimination is where a person is treated less favourably because of

their religious beliefs; for example, promoting a less able person to work rather

than a Jewish person using the reason that the Jewish person would not work

on Saturdays. The Fair Employment (NI) Act 1989 enables employees who feel

that they have been discriminated against on the grounds of religious belief or

political opinion to take action against an employer.

The right to equal pay provides equality in the terms of an employee’s contract

where s/he is employed to perform work which is rated equivalent to that

performed by a member of the opposite sex or work of equal value to that of a

member of the opposite sex.

Disability discrimination is where a person is treated less favourably because of

disability. Occasionally a disability can limit a person’s capability for some forms

of employment. Discrimination occurs when the treatment of the individual is

unfavourable taking into account the disability; for example, making it a

condition of employment that the employee can drive an unmodified car when

the job can be performed adequately without driving.


Not tolerate means that we will take disciplinary action in accordance with the

practice disciplinary procedure against any employee who breaches this policy.

If the allegation involves a self-employed contractor or a partner in the practice,

the matter will be dealt with by [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER].

What you should do if you feel that you are the subject of discrimination

or harassment?

Discrimination

Raise the issue with [INSERT NAME OF PRACTICE MANAGER ORPRACTICE OWNER] in the first instance. If the matter is not resolved

informally, then you should submit a written complaint to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER]

Harassment

1. Let the perpetrator know how you feel about their behaviour. You could do

this either by speaking to them or, if you do not wish a confrontation, by

putting your thoughts in writing.

2. Ask them to stop the behaviour.

3. Keep a good record of the incidents.

4. Report the incidents as soon as possible to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. If the incident involves that person,

then you should report the matter to [INSERT NAME OF PRACTICEMANAGER OR PRACTICE OWNER – that is, not the person complainedabout].

What we will do about discrimination or harassment

1. We will take any allegation seriously. We will listen to your complaint

sympathetically and record it thoroughly.

2. We will adopt this policy, modify it in the light of changes in the law and

monitor our performance against it.

3. If you make a complaint or allegation of harassment, the practice will initiate

the grievance procedure in your contract of employment. The incident will be

investigated thoroughly. You will be informed of the outcome and you will be

kept well informed at every stage. Your complaint may be treated as

confidential if you request it to be so, but, if you wish us to investigate or

take action, we will have to involve the alleged perpetrator in the

investigation of your complaint, who has a right to give their version of the

events. We will deal with your complaint as soon as possible and in any

event within 20 working days.

4. If you make an allegation of discrimination, the practice will initiate the

grievance procedure in your contract of employment. Your complaint will be

investigated thoroughly and you will be informed of the outcome within

twenty working days.

5. An employee breaching this policy will be liable to disciplinary action.

Persistent or blatant discrimination or harassment could lead to dismissal.

6. In the event of an allegation of discrimination by a prospective employee,

the incident will be investigated thoroughly and the complainant will be

informed of the outcome. The matter will be dealt with as soon as possible

and in any event within 20 working days.

7. If you feel that your complaint has not been resolved by the practice, you

should contact the local Citizens Advice Bureau for advice. Legal redress

may also be sought from an employment tribunal and the complaint should

be referred to a tribunal within three months (less one day) of the alleged

discriminatory act.


Practice confidentiality policy (see clauses 31 and 34)

At this practice, the need for the strict confidentiality of personal information

about patients is taken very seriously. This document sets out our policy for

maintaining confidentiality and all members of the practice team must comply

with these safeguards as part of their contract of employment/contract for

services with the practice.

The importance of confidentiality

The relationship between dentist and patient is based on the understanding that

any information revealed by the patient to the dentist will not be divulged

without the patient’s consent. Patients have the right to privacy and it is vital

that they give the dentist full information on their state of health to ensure that

treatment is carried out safely. The intensely personal nature of health

information means that many patients would be reluctant to provide the dentist

with information if they were not sure that it would not be passed on. If

confidentiality is breached, the dentist/dental hygienist/dental therapist/dental

nurse faces investigation by the General Dental Council and possible erasure

from the Dentists or DCP Register; and may also face legal action by the

patient for damages and, for dentists, prosecution for breach of the 1998 Data

Protection Act.

General Dental Council

All staff must follow the General Dental Council’s rules for maintaining patient

confidentiality contained in Standards for dental professionals and Principles ofpatient confidentiality.

If confidentiality is breached, each registered dental professional involved is

responsible to the Council for their individual conduct.

What is personal information?

In a dental context, personal information held by a dentist about a patient

includes:

� The patient’s name, current and previous addresses, bank account/credit

card details, telephone number/e-mail address and other means of personal

identification such as physical description

� Information that the individual is or has been a patient of the practice or

attended, cancelled or failed to attend an appointment on a certain day

� Information concerning the patient’s physical, mental or oral health or

condition

� Information about the treatment that is planned, is being or has been

provided

� Information about family members and personal circumstances supplied by

the patient to others

� The amount that was paid for treatment, the amount owing or the fact that

the patient is a debtor to the practice.

Principles of confidentiality

This practice has adopted the following three principles of confidentiality:

Personal information about a patient:

� Is confidential in respect of that patient and to those providing the patient

with health care

Appendix 5


� Should only be disclosed to those who would be unable to provide effective

care and treatment without that information (the need-to-know concept) and

� Such information should not be disclosed to third parties without the consent

of the patient except in certain specific circumstances described in this

policy.

Disclosures to third parties

There are certain restricted circumstances in which a dentist may decide to

disclose information to a third party or may be required to disclose by law.

Responsibility for disclosure rests with the patient’s dentist and under no

circumstances can any other member of staff make a decision to disclose. A

brief summary of the circumstances is given below.

When disclosure is in the public interest

There are certain circumstances where the wider public interest outweighs the

rights of the patient to confidentiality. This might include cases where disclosure

would prevent a serious future risk to the public or assist in the prevention or

prosecution of serious crime.

When disclosure can be made

There are circumstances when personal information can be disclosed:

� Where expressly the patient has given consent to the disclosure

� Where disclosure is necessary for the purpose of enabling someone else to

provide health care to the patient and the patient has consented to this

sharing of information

� Where disclosure is required by statute or is ordered by a court of law

� Where disclosure is necessary for a dentist to pursue a bona-fide legal

claim against a patient, when disclosure to a solicitor, court or debt

collecting agency may be necessary.

Disclosure of information necessary in order to provide care and for the

functioning of the NHS

Information may need to be disclosed to third party organisations to ensure the

provision of care and the proper functioning of the NHS. In practical terms this

type of disclosure means:

� Transmission of claims/information to payment authorities such as the

DPD/SDPD/CSA

� In more limited circumstances, disclosure of information to the PCT/HB

� Referral of the patient to another dentist or health care provider such as a

hospital.

Data protection code of practice

The practice’s data protection code of practice provides the required

procedures to ensure that we comply with the 1998 Data Protection Act. It is a

condition of engagement that everyone at the practice complies with the code

of practice.

Access to records

Patients have the right of access to their health records held on paper or on

computer. A request from a patient to see records or for a copy must be

referred to the patient’s dentist. The patient should be given the opportunity of

coming into the practice to discuss the records and will then be given a


photocopy. Care should be taken to ensure that the individual seeking access is

the patient in question and where necessary the practice will seek information

from the patient to confirm identity. The copy of the record must be supplied

within 40 days of payment of the fee and receipt of identifying information if this

is requested.

Access may be obtained by making a request in writing and the payment of a

fee for access of up to £10 (for records held on computer) or £50 (for those

held manually or for computer-held records with non-computer radiographs).

We will provide a copy of the record within 40 days of the request and fee

(where payable) and an explanation of your record should you require it.

The fact that patients have the right of access to their records makes it

essential that information is properly recorded. Records must be:

� Contemporaneous and dated

� Accurate and comprehensive

� Signed by the dentist

� Neat, legible and written in ink

� Strictly necessary for the purpose

� Not derogatory

� Such that disclosure to the patient would be unproblematic.

Practical rules

The principles of confidentiality give rise to a number of practice rules that

everyone in the practice must observe:

� Records must be kept secure and in a location where it is not possible for

other patients or individuals to read them

� Identifiable information about patients should not be discussed with anyone

outside of the practice including relatives or friends

� A school should not be given information about whether a child attended for

an appointment on a particular day. It should be suggested to the school

that the child is asked to obtain the dentist’s signature on his or her

appointment card to signify attendance

� Demonstrations of the practice’s administrative/computer systems should

not involve actual patient information

� When talking to a patient on the telephone or in person in a public area,

care should be taken that sensitive information is not overheard by other

patients

� Do not provide information about a patient’s appointment record to a

patient’s employer

� Messages about a patient’s care should not be left with third parties or left

on answering machines. A message to call the practice is all that can be left

� Recall cards and other personal information must be sent in an envelope

� Disclosure of appointment books, record cards or other information should

not be made to police officers or inland revenue officials unless upon the

instructions of the dentist

� Patients should not be able to see information contained in appointment

books, day sheets or computer screens

� Discussions about patients should not take place in the practice’s public

areas.

Disciplinary action

If, after investigation, a member of staff is found to have breached patientconfidentiality or this policy, he or she shall be liable to summary dismissal inaccordance with the practice’s disciplinary policy.


Employees are reminded that all personal data processed at the practice must

by law remain confidential after your employment has terminated. It is an

offence under section 55(1) of the Data Protection Act 1998, knowingly or

recklessly, without the consent of the data controller [insert name], to obtain or

disclose personal data. If the practice suspects that you have committed such

an offence, it will contact the Office of the Information Commissioner and you

may be prosecuted by the Commissioner or by or with the consent of the

Director of Public Prosecutions.

Queries

Queries about confidentiality should be addressed to [INSERT NAME OFPRACTICE MANAGER OR PRACTICE OWNER].

More information is contained in BDA Advice Sheet B1 Ethics in dentistry and

B2 Data protection which are available for reference in __________________.

British Dental Association

64 Wimpole Street,London W1G 8YS Tel: 020 7563 4563 Fax: 020 7487 5232

E-mail: [email protected] www.bda.org © BDA September 2008

contract of employment d1- sep2008

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