disciplinary policy april 2019
TRANSCRIPT
DISCIPLINARY POLICY APRIL 2019
This policy supersedes all previous disciplinary policies
I DISCIPLINARY POLICY_HR04_APRIL19
Policy title Disciplinary Policy
Policy reference
HR04
Policy category Human Resources
Relevant to All Staff
Date published April 2019
Implementation date
April 2019
Date last reviewed
April 2019
Next review date
March 2022
Policy lead Malwina Paulus, Head of ER and HR Business Partner
Contact details Email: [email protected] Telephone: 0203 317 7183
Accountable director
Director of HR and OD
Approved by (Group):
Joint Policy Sub Group August 2018
Approved by (Committee):
Workforce Committee September 2018
Document history
Date Version Summary of amendments
Sept 06 1 Policy revised and updated
Sept 07 2 Policy reviewed
Mar 09 3 Policy reviewed
Sep 09 4 Policy reviewed
July 10 5 Policy reviewed
Oct 11 6 Policy reviewed – reaffirmed without change
Nov 12 7 Policy reviewed
April – July 13
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Limit FWW length and ensure misconduct examples reflect Francis Report recommendations and clarify arrangements for suspended staff and discretion of panel chairs.
January 14
9 Addition to managers checklist to consider whether a safeguarding alert should be raised
January
16 10
Policy Reviewed including introduction of commissioning manager and link to the new HR Investigation Policy and Procedures
April 2019
11 Clarification on suspension and the process of disciplinary sanctions; introduction of agreed outcome
Membership of the policy development/ review team
HR; Staffside Representatives; Trust Managers/Directors and Nursing Leads
II DISCIPLINARY POLICY_HR04_APRIL19
Consultation
Joint Policy Sub Group
Workforce Committee
DO NOT AMEND THIS DOCUMENT
Further copies of this document can be found on the Foundation Trust intranet.
III DISCIPLINARY POLICY_HR04_APRIL19
Contents Page
1 Introduction and Scope 1
2 Roles and Responsibilities 1
3 Informal Resolution 1
4 Investigation 2
5 Agreed Outcome 2
6 Suspension 3
7 Evidence from Serivce Users and Relatives 5
8 Disciplinary Hearings 5
9 Formal Disciplinary Sanctions 9
10 Professional Registration 10
11 Appeal 10
12 Right to be Accompanied 12
13 Complaints/Grievances 12
14 Right to work in the UK 13
15 Counter Fraud 13
16 Criminal Offences 14
17 Monitoring 15
18 Associated Documents 15
Appendix 1: Types of Offences that might be dealth with under the
Disciplinary Policy
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Appendix 2: Equality Impact Assessment 17
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1. Introduction and Scope
1.1 This procedure applies to all employees of Camden and Islington Foundation
Trust (the 'Trust') in conjunction with the HR Investigation Policy and
Procedures. This policy also supplements “Maintaining High Professional
Standards in the Modern NHS” for medical staff.
The general principles of this procedure are:
• to provide a framework within which managers can work with
employees to maintain satisfactory standards of conduct and to
encourage improvement where necessary
• to ensure disciplinary matter are dealt with fairly and that steps are
taken to establish the facts and to give employees the opportunity to
respond before taking any formal action
• to set out the standards of conduct which will be dealt with in this
Disciplinary Policy at Appendix 1.
1.2 The Trust believes that it is of mutual benefit to the Trust and its employees to
work in partnership with Staff side. This policy has been developed and agreed
by management and Staff side, in order to ensure staff are treated consistently
and fairly.
1.3 Capability and Conduct concerns which arise within the probation period will be
addressed in accordance with the Probation Policy.
1.4 Capability issues for staff beyond their probation should be addressed by
following the Trust’s Capability Policy and Procedure.
1.5 In line with the best practice under the WRES guidelines, all potential
disciplinary cases will be reviewed by the Trust WRES Lead. Additionally, a
designated Trust Execustive Directors will have an oversight of cases to
ensure fairness and review of the timeliness of cases.
2. Roles and Responsibilities
For further details please refer to the HR Investigations Policy and Procedures.
3. Informal Resolution
3.1 It is in everyone’s interests that minor conduct issues are resolved informally
through an informal conversation between the manager and an employee in
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the first instance. If this proves to be unsuccessful, this may result in a further
conversation and an improvement note being issued.
3.2 This constitutes informal action under the Disciplinary Policy. The improvement
note will remain live on an employee’s record for a period of 6 months and it
may be taken into consideration in the event of further misconduct during this
period. After this time it will be removed and the employee notified of the fact.
Examples of minor misconduct are provided in Appendix 1. This is not an
exhaustive list.
3.2 Employees are not accompanied at an informal discussion, as issues at the
informal stage should be resolved, where possible, directly by the employee
and line manager concerned. In exceptional circumstances, the manager may
allow a trade union representative or an approved workplace colleague to
accompany the employee.
3.3 Should the improvement note not bring the required improvement or
misconduct (re)occurs, the matter may be addressed under the formal process.
There may be circumstances where it may not be appropriate to implement the
informal stage first e.g. in instances of serious/gross misconduct. Please refer
to Appendix 1.
3.4 An improvement note is recorded internally only and will not be declared on
references.
4. Investigation
4.1. The purpose of an investigation is for the Trust to establish a fair and balanced
view of the facts relating to any disciplinary allegations against an employee,
before deciding whether to proceed with a disciplinary hearing. For full details,
please see the Trust's HR Investigations Policy and Procedure.
4.2. In some circumstances of straightforward cases (e.g. timekeeping, absence
without leave – AWOL) it may be recommended that a shortened investigation
is conducted by the line manager without following a full investigation. The ER
Team will ensure that the investigation is fair and balanced before proceeding
to a hearing.
5. Agreed outcome (taking personal responsibility) If the allegation(s) are not in dispute and the employee accepts the allegations
made against them then it may be possible for the level of sanction to be
agreed, in conjunction with the commissioning manager, without the need for a
formal hearing. This is not a compulsory step for either party.
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5.1. In some cases it may be possible to agree an outcome earlier in the process.
The commissioning manager should only consider this where the facts of the
cases are very straightforward and there is confidence that further
investigation or write up of the investigation will not alter the material facts of
the matter.
5.2. The employee will be advised in writing of the decision to proceed to a hearing
and provided with a copy of the investigation/management report where 5.1
has not been invoked. They will be advised of their right to request a sanction
(agreed outcome) prior to proceeding to a hearing.
5.3. The request for an agreed outcome can be made either by the employee or
their union representative on their behalf. The request should be made in
writing within 5 working days of the management report as noted in 5.2;
clearly outlining the sanction requested, any mitigating factors, the length of
time the sanction will remain valid for and the employee’s case for the specific
sanction.
5.4. The commissioning manager following discussion with with ER team can
either agree to the proposed sanction or if the commissioning manager does
not feel they have sufficient information to make a decision or disagree with
the suggested level of sanction/length of sanction, then the normal formal
disciplinary process should follow. The commissioning manager will confirm
their decision on the proposal in writing within 5 working days.
5.5. It is not appropriate to use agreed outcomes in cases where dismissal is a
potential outcome.
6. Suspension
6.1. In some circumstances, the Trust may need to take a decision to suspend an
employee from work or relocate their place of work. Suspension/redeployment
of this kind is not a disciplinary penalty and does not imply that any decision
has already been made about the allegations. It is an action intended to be
neutral, enabling an individual to be released from their place of work while
receiving full pay in the circumstances set out in 6.3. Subject to paragraph 6.8
below, full pay includes all enhancements that would have been earned if the
employee had been working normally.
6.2. Full pay may not apply when the employee has failed to maintain their
professional registration which prevents them from fulfilling their current role,
and in circumstances when an employee cannot evidence their right to work
in the UK. In these circumstances employees would receive no pay. The
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suspending manager must notifiy payroll. It should be ensured that staff on
enhancements redeployed to non enhanced role, continue to have their
enhancements paid.
6.3. Staff may be suspended in the following circumstances (which are not limited
to the list below):
• a need to protect service users, employees or the business interests of
the trust pending a full investigation of allegations of gross misconduct
• the presence of the employee is likely to hinder an investigation
• there is a genuine belief that the employee may interfere with evidence
or witnesses
• there is no workable alternative to suspension.
6.4. The Trust recognises that suspension may be stressful therefore staff will be
offered support from either their line, commissioning and/or commissioning
manager. This may take form of an Occupational Health and/or Employee
Assistance Programme referral.
6.5. The suspension will be for no longer than necessary to investigate any
allegations of misconduct or so long as is otherwise reasonable while any
disciplinary procedure is outstanding. The arrangements will be confirmed to
the employee in writing along with the reasons for suspension and their point
of contact who will not normally be a commissioning manager.
6.6. Senior Managers (band 8a and above) have the authority to suspend,
however they should seek advice from the Employee Relations Team and
Senior Management prior to this. In some circumstances it may not be
possible to obtain HR advice or have a senior manager on duty and therefore
they may take a decision on whether to suspend, for example, at night or over
weekends. In these circumstances, it may be acceptable to ask an employee
to leave work on special paid leave and arrange to meet to clarify how the
matter will be dealt with at the earliest possible opportunity.
6.7. The period of suspension should be kept under review every 3 to 4 weeks and
redeployment options will be considered where appropriate. Any suspension
should initially last no longer than 3 to 4 weeks. If it is necessary to extend the
suspension period the employee will be informed in writing and regular contact
will be maintained. In subsequent review there will be contact with the
employee either face to face or by telephone.
6.8. While suspended, the employee should not return to their workplace or visit
any of the Trust's sites or make contact with any service users or staff without
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the express permission of the suspending / investigating manager. This does
not apply to needing to obtain urgent medical attention for themselves or their
immediate family. In the event that they are not able to comply with this
requirement, they must inform the suspending/investigating manager at the
earliest opportunity. If the employee needs to attend a Trust site in order to
consult with their accredited Trade Union representative or to access any
relevant information, they should notify the suspending/investigating manager
in writing prior to their visit. Failure to notify the suspending/investigating
manager of this will be regarded as a serious breach of the suspension and
the Trust may take further formal action under the Disciplinary Policy, as
appropriate.
6.9. Staff who are suspended from duty are not permitted to undertake NHS
Professionals shifts at a Trust site. If they work bank or agency shifts
elsewhere or plan to, this must also be raised immediately with the
suspending/investigating manager to gain consent prior to any further shifts
being undertaken during the suspension period. During the hours where they
would normally be working for the Trust no bank or ageny shifts should be
undertaken.
6.10. It is a condition of paid suspension that staff make themselves available to
attend meetings and comply with reasonable management instructions.
7. Evidence from Service Users and their Relatives
7.1. It is the Trust’s policy not to call service users and their relatives to disciplinary
hearings as witnesses to give evidence. If information is needed from a
service user or their relative, the investigating manager will ensure that this is
obtained by meeting with the service user or their relative. The employee
under investigation has a right to submit any questions that they would like
asked of the service user and/or their relatives.
7.2. For further information, please refer to the HR Investigations Policy and
Procedure.
8. Disciplinary Hearing
8.1. Notification of a Hearing
8.1.1. Following an investigation, if the Trust considers there are grounds for
disciplinary action, the employee will be required to attend a disciplinary
hearing. The Trust will inform them in writing of the alleged misconduct
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and its possible consequences to enable them to prepare. The
employee will be given copies of relevant documents and witness
statements in advance of the hearing. The employee will have the right
to be accompanied as set out in paragraph 12.
8.1.2. The Trust will provide the employee with at least five working days’
notice of the date, time and place of the disciplinary hearing. It will be
held in an appropriate location.
8.2. Timescales
8.2.1. A disciplinary hearing will normally be convened within 4 weeks of the
conclusion of the investigation.
8.2.2. The Trust will confirm in writing the outcome of the disciplinary hearing
normally within 10 calendar days. However, the employee will be
notified of any reasonable delay.
8.3. Failure to Attend
8.3.1. The employee must make every effort to attend the disciplinary hearing,
whether as the employee under investigation or as a witness. Failure to
attend without good reason may be treated as misconduct in itself. If
the employee under investigation fails to attend without good reason, or
is persistently unable to do so and/or does not nominate a
representative to attend in their absence the Trust may have to take a
decision based on the available evidence and proceed in their absence.
8.3.2. Appropriate weight shall be given to the evidence of any witness that
fails to attend the hearing and their reasons for non-attendance will be
taken into account, if known.
8.3.3. If the employee under investigation is off work due to sickness absence,
Occupational Health may be asked to assess the employee’s fitness to
attend meetings and/or a disciplinary hearing and if any reasonable
adjustments are required.
8.4. Witness Timescales
8.4.1. The investigating manager is responsible for arranging the attendance
of their witnesses and ensuring they are given a copy of their witness
statement/s to refer to during the hearing. All staff are expected to
cooperate with these procedures.
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8.4.2. If the employee under investigation and their representative wish to call
witnesses at the disciplinary hearing, they will be responsible for
arranging their attendance. However, if suspended, the employee
should inform the chair as early as possible if there are any relevant
witnesses who should attend the hearing.
8.4.3. The chair of the panel may ask the employee to clarify the relevance of
the witnesses to the allegations. Where an employee requests the
attendance of witnesses during the hearing that have not been
previously notified in accordance with the above procedures the panel
will decide whether an adjournment is appropriate to enable them to
attend. The final decision will be made by the chair of the panel.
8.4.4. Staff attending as witnesses will be given reasonable paid time off to
attend. The investigating manager may agree to reimburse their
witnesses for appropriate travelling/other expenses.
8.4.5. Staff who are called as witnesses to a hearing will not have the right to
be accompanied, however may request this in extenuating
circumstances. The panel chair will make the decision to accept or
decline the request. Permission will not be unreasonably withheld.
8.4.6. Where possible witnesses for the respective parties will wait in separate
waiting rooms,and must not be present at the hearing or appeal except
for the purpose of giving evidence.
8.5. Role and Membership of the Disciplinary Hearing Panel
8.5.1. The hearing panel will consist of a chairperson, who will be assisted by
a member of HR staff. Where possible the chairperson should be from
the relevant professional field and of an appropriate seniority to chair
the hearing.
8.5.2. Advisors to the panel may be appointed, for example, if the Chair is from
a non-nursing background and the matters being examined may require
specialist nursing advice.
8.5.3. The Chair and their advisors will all equally be able to participate in
proceedings; however, the responsibility for making the final decision
will rest with the Chair. It is therefore important that consideration is
given in advance as to the suitability of the Chair and that the Chair
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carefully considers all the circumstances and advice before reaching a
decision.
8.5.4. The Chair has absolute discretion on the conduct of the hearing and
may at any stage decide to adjourn/amend proceedings to ensure
fairness and obtain clarity on any points.
8.6. Employee resigning prior to completion of Investigation or Hearing Potential
Disciplinary Hearing Outcomes
8.6.1. When an employee who is the subject of an investigation resigns prior
to a disciplinary hearing or prior to the completion of the investigation,
the Trust may take a decision based on the available evidence. In these
circumstances the Trust will usually complete the investigation and a
management meeting will be held to consider whether any further
action is required (e.g. notifying the appropriate professional body in
cases of professional misconduct or notification to Independent
Safeguarding Authority).
8.6.2. If a reference is subsequently requested by an employee who has
resigned under these circumstances, the reference must state that the
employee was the subject of a disciplinary investigation, and that the
employee chose to resign before the investigation was completed or
before the disciplinary hearing could take place. However, the nature of
the investigation may not be disclosed to protect confidentiality and
maintain the integrity of the overall investigation.
8.6.3. Where a disciplinary sanction has been issued and the employee has
subsequently resigned, any response to a request for a reference will
include details of the disciplinary sanction imposed. Again this must be
done with due regard to both confidentiality and maintaining the integrity
of the overall investigation.
8.7. Potential Hearing Outcomes
8.7.1. The Chair will ensure that reasonable steps have been taken to
establish the circumstances of the matter as fully as possible and that
the procedure followed is fair. The Chair will fully consider all the
information presented to them by both staff side and management side
and relevant advice from the panel advisor/s in deciding whether to
uphold the allegation/s.
8.7.2. There may be circumstances where following an investigation and/or
disciplinary hearing, the staff member may be issued only with an
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informal sanction such as an improvement note or training/development
recommendations.
9. Formal Disciplinary Sanctions
Formal disciplinary sanctions are usually applied following an appropriately convened
disciplinary hearing unless an outcome is agreed with an employee as per section 5 of
this policy.
9.1. First Written Warning
If the conduct is sufficiently serious or if there has been no improvement
following an informal action, it may be appropriate to issue a first written
warning, which will normally remain active for one year. There may be
circumstances where it is appropriate to issue this warning for a longer perior
(not exceeding 18 months).
9.2. Final Written Warning
If the conduct is sufficiently serious or if there has been no improvement
following the issuing of a first written warning (which is still active), it may be
appropriate to issue a final written warning. Final written warnings will normally
remain active for a period of one year. There may be circumstances where it is
appropriate to issue this warning for a longer period (not exceeding 18
months).
9.3. Dismissal
If the conduct is sufficiently serious or if there has been no improvement
following final written warning having been issued (which is still active), it may
be appropriate to dismiss the employee. In cases of gross misconduct, the
Trust reserves the right to summarily dismiss the employee. This means that
the employee is dismissed with immediate effect with no paid notice period.
9.4. Spent, inactive warnings shall be disregarded for disciplinary purposes and
removed from an employee’s formal record upon their expiry and the
employee notified that this has happened.
9.5. Staff under Agenda for Change terms and conditions who have issued with a
formal sanction may have their incremental progression delayed.
9.6. Additional Action
The Chair may decide on additional action which may include but is not limited
to the following:
• Redeployment of the employee to an alternative role/work base (no pay
protection will apply)
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• Appropriate training/re-training and development with a specific action plan
• Some other intervention, for example, to improve working practice or the
working environment
• Withholding of pay where there has been a period of unauthorised absence
• Compliance with the Trust's legal duty to refer employees to the Disclosure
and Barring Service ('DBS') where an allegation of misconduct is upheld
against a member of staff who has:
o Harmed or poses a risk of harm to a child or vulnerable adult;
o Satisfied the harm test; or
o Received a caution or conviction for a relevant offence.
10. Professional Registration
10.1. Where disciplinary action has been taken against a professionally registered
member of staff, consideration should be given to making a referral to the
relevant professional body. In such cases HR will notify the relevant
professional head who will then be responsible for authorising the referral to
the professional body.
10.2. If a decision is taken to make a referral, this will be confirmed to the member of
staff in writing in advance.
11. Appeal
If an employee wishes to appeal against a disciplinary decision, they must inform HR
in writing, within 10 working days of the date of the disciplinary outcome letter, stating
their full grounds of appeal. As guidance, they may appeal against the decision on the
grounds that:
They believe that the decision was wrong based on the evidence
provided
They believe that procedures followed were unfair
They feel that the outcome/sanction was too harsh and/or inconsistent
New evidence has come to light that was not available at the original
hearing
11.1. Appeal Hearings
11.1.1. The appeal hearing panel shall consist of an Appeal Chair, who will
usually be more senior than the chairperson of the disciplinary hearing,
against whose decision the employee is appealing. The Appeal Chair
must be at least at Band 8 level or equivalent. The Appeal Chair should
not have been involved in the preceding stages of the procedure. The
Appeal Chair will be assisted by the HR Business Partner or Deputy
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Director of HR and OD (or their nominated representative). The
appellant may bring a colleague or trade union representative with them
to the appeal hearing.
11.1.2. If appropriate, one member of the panel should have knowledge of the
field of work. The panel may request the services of a specialist advisor
to advise the appeal panel.
11.1.3. The Appeal Chair will ensure that reasonable steps have been taken to
establish the circumstances of the matter as fully as possible and that
the procedure followed is fair. The Appeal Chair will fully consider all
the information presented to them by both staff side and management
side and relevant advice from the panel members and advisor/s in
deciding whether to uphold the allegation/s and sanctions imposed at
the disciplinary hearing.
11.1.4. Each panel member will equally be able to participate in proceedings;
however, the responsibility for making the final decision will rest with the
Appeal Chair. It is therefore important that consideration is given in
advance as to the suitability of the Appeal Chair and that the Appeal
Chair carefully considers all the circumstances and advice before
reaching a decision.
11.2. Appeal Hearing Outcomes
The Appeal Chair may decide:
that the allegation/s cannot be upheld and the sanctions imposed at
the disciplinary hearing should be overturned
to uphold the allegation(s), in which case, the panel will consider the
disciplinary sanction(s) previously imposed with regard to all the
circumstances
uphold the previous sanction/s or reduce the level of sanction
to make additional recommendations such as redeployment,
training, etc.
The Trust will inform the employee in writing of the final decision, as soon as possible,
usually within a week from the appeal hearing. The Chair's appeal decision will be final
and there will be no further right of appeal.
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12. Right to be Accompanied
12.1. At all formal stages of this procedure and formal hearings, the employee has
the right to be accompanied by an accredited Trade Union Representative or
a workplace colleague, ('Companion'). It is the employee’s responsibility to
arrange and secure the attendance of their Companion at any hearing. The
employee may not be accompanied by any other person or a legal
representative.
12.2. The Companion does not have the right to answer questions on employee’s
behalf and address the hearing or prevent the Trust from explaining its case.
Any companion who has been requested to accompany the employee will be
given a reasonable amount of paid time off from duties, if they are a workplace
colleague.
12.3. If a hearing is arranged but the employee’s Companion/representative is not
available, the employee must provide the investigation manager full details of
alternative dates within 5 days of the original hearing date . If the employee
fails to do so, the Trust may schedule the hearing on another date at its
discretion. Alternatively, if the Companion is unavailable at the time a meeting
is scheduled and will not be available for more than 5 days afterwards, the
Trust may ask the employee to choose someone else.
13. Complaints/Grievances
13.1. During the application of this procedure, if a complaint (e.g. grievance) is
raised that relates to the employee’s conduct issues or their management, the
Trust will consider how best to proceed. The Trust recognises the merit of
resolving all issues as quickly as possible and will therefore normally attempt
to deal with both matters at the same time under this procedure and, if
necessary, consider appointing an alternative, neutral manager. The Trust
may also consider suspending the disciplinary procedure for a short time
whilst the complaint is appropriately dealt with in certain circumstances only.
If complaints made are unrelated to the disciplinary matter then these will be
addressed separately under the appropriate policy (e.g. Grievance or Bullying
and Discrimination).
13.2. In the event that the Disciplinary Panel is asked to consider the employee’s
complaint during the disciplinary hearing it shall be for the Panel Chair in
liaison with HR to determine the appropriate order of presentation taking into
account the individual detail of the case.
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14. Right to work in the UK
14.1. It is unlawful to employ someone who does not have the appropriate right to
work in the UK or who is working in breach of their conditions of stay.
14.2. As stated in the terms and conditions of employment, employees must hold a
valid right to work in the UK and must be able to evidence this. The Trust will
carry out appropriate employment checks at the start of the employee’s
employment and thereafter where appropriate, to ensure that they have and
continue to have the right to undertake paid employment as set out in the
Trust’s Recruitment and Selection Policy. it is a condition of employment that
employees are entitled to work in the United Kingdom ('UK') and will notify the
Trust immediately of any changes that may affect this right.
14.3. Where the Trust has a reasonable belief or reason that the employee may not
have the right to work in the UK, the employee will be suspended without pay
until confirmation of their right to work is received from them, the Home Office
and/or is determined at a formal hearing.
14.4. The Trust may invite the person to attend a formal hearing under this
Disciplinary Procedure and the person will be asked to provide proof of your
right to work in the UK.
14.5. The Trust reserves the right to immediately notify the Home Office and carry
out any checks relevant to ensure that it complies with its duties to prevent
illegal working in the UK. For example, this may involve submitting an
'Employer Checking Service' request to the Home Office to check the
individual’s right to work in the UK.
15. Counter Fraud
15.1. Managers and employees should ensure that they are familiar with the
requirements set out in the Trust’s Anti-Fraud, Bribery and Corruption Policy
and Response Plan, any concerns or allegations relating to fraud or bribery
should be reported to the Local Counter Fraud Specialist and HR
department. Where a manager or employee has reason to suspect that a
fraud or bribery may have taken place they must not take further action
unless advised otherwise, as any subsequent investigation undertaken by a
counter fraud officer may be compromised by inappropriate action at this
stage. On no account should the employee be spoken to or interviewed until
advised to do so by Local Counter Fraud.
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15.2. Interviews conducted by Counter Fraud may be under caution and in these
situations the individual is entitled to independent legal advice.
15.3. The LCFS and Director of Finance, will review the evidence
obtained/available during the investigation and the seriousness of the
offence(s) alongside NHS Protects Area Anti Fraud Specialist who will
technically assess the case file to decide whether it is suitable for
submission to the Crown Prosecution Service for a decision on whether a
prosecution should take place.
15.4. The Trusts LCFS, Karenjeet Basra can be contacted on 07468367201 or via
email on [email protected] should you have any queries or
concerns. All queries are treated in the strictest confidence.
15.5. Alternatively please report any suspicions via the NHS Fraud and Corruption
Reporting Line on 0800 028 4060 or via www.reportnhsfraud.nhs.uk
16. Criminal Offences
16.1. Where the misconduct is the subject of a police investigation or legal
process, the Trust has the discretion to proceed with its own investigation
and disciplinary action in accordance with this procedure, without the
outcome of any police investigation or prosecution. The Trust may decide to
conduct relevant internal proceedings, pending police/legal proceedings at
its discretion.
16.2. Where an employee is questioned under caution, and/or arrested; and/or
cautioned; and/or convicted of a criminal offence; and/or issued with a
reprimand letter for an offence committed outside of work, it is the
employee’s responsibility to inform their line manager of the circumstances.
Failure to report or disclose this information will result in disciplinary action
being taken up to and including dismissal. A risk assessment will be
completed to inform the impact on an individual’s employment.
16.3. Where an employee is charged with or convicted of a criminal offence not
related to work this is not in itself reason for disciplinary action. The facts of
the case will be established and consideration given to whether the matter is
serious enough to warrant starting the disciplinary procedure.
Consideration will be given to what effect the charge or conviction has on the
employee’s suitability to do their type of work and their relationship with their
employer, work colleagues and service users. Consideration will also be
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given as to whether an incident which is or has become public knowledge,
might, as a result, bring the trust into disrepute.
17. Monitoring
Elements to be monitored
Lead How trust will monitor compliance
Frequency Reporting arrangements Which committee or group will the monitoring report go to?
Acting on recommendations and Lead(s) Which committee or group will act on recommendations?
Change in practice and lessons to be shared How will changes be implemented and lessons learnt/ shared?
Investigation Outcomes
HR Audit Quarterly Workforce Committee/Equality and Diversity Committee
Required actions will be identified and completed in a specified timeframe
Required changes to practice will be identified and actioned within a specific time frame. A lead member of the team will be identified to take each change forward where appropriate. Lessons will be shared with all the relevant stakeholders
18. Associated Documents
Grievance Policy
HR Investigations Procedure
Anti-Fraud, Bribery and Corruption Policy
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Appendix 1 – Types of Offences that may be dealt with under the Disciplinary Policy 1) Timekeeping 2) Health and Safety 3) Abuse of Facilities 4) Contravention of codes of conduct/other rules, including the NHS Constitution
and Values and the Trust’s Values 5) Other misconduct 6) Gross Misconduct e.g. - theft; fraud; deliberate falsification of records; fighting; assault or abuse of
another person; failure to fully report serious injury/death of a patient and all related circumstances or to obstruct others in complying with their duty to fully report such matters; deliberate damage to/serious abuse of Trust property/facilities; serious incapability through alcohol or being under the influence of illegal drugs; sleeping whilst on duty; serious negligence which causes or has the potential to cause unacceptable loss, damage or injury; serious act of insubordination; extended unauthorised absence; unauthorised entry to computer records; unauthorised access and use of confidential/sensitive data; discrimination; harassment; victimisation, including against staff who raise genuine concerns e.g. about malpractice; bullying; threatening/intimidating/violent behaviour; inappropriate relationships with patients/service users
Note: This list contains only some examples and is by no means exhaustive.
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Appendix 2
Equality Impact Assessment Tool
Yes/No Comments
1. Does the policy/guidance affect one group less or more favourably than another on the basis of:
Race No
Ethnic origins (including gypsies and travellers) No
Nationality No
Gender No
Culture No
Religion or belief No
Sexual orientation including lesbian, gay and bisexual people
No
Age No
Disability - learning disabilities, physical disability, sensory impairment and mental health problems
No
2. Is there any evidence that some groups are affected differently?
No
3. If you have identified potential discrimination, are any exceptions valid, legal and/or justifiable?
N/A
4. Is the impact of the policy/guidance likely to be negative?
No
5. If so can the impact be avoided? N/A
6. What alternatives are there to achieving the policy/guidance without the impact?
N/A
7. Can we reduce the impact by taking different action?
N/A