disciplinary procedure - dpt

Disciplinary Procedure

Policy: HR06

Policy Descriptor The policy sets outs principles for the fair and transparent handling disciplinary situations within Devon Partnership NHS Trust.

If you require this document in a different format or language please speak to a member of Trust staff.

If you would like to provide feedback about our services Contact PALS – 01392 675686 or email [email protected]

If you require further help in the interpretation of this policy please contact the HR Helpdesk on 01392 663915.

If this document has been printed please note it may not be the most up-to-date version. For the

current guidance please refer to the Trust Website.

Document Control

Policy Ref No & Title: HR06 Disciplinary Procedure

Version: v8.1

Replaces / dated: Previous policy dated 10 July 2015

Author(s): Workforce Business Partner

Ratifying committee: Local Partnership Forum

Director / Sponsor: Deputy Director of Workforce

Primary Readers: Managers and Team Leaders

Additional Readers All staff

Date ratified: 21st October 2020

Date issued: November 2020

Date for review: June 2022

Date archived:

Other Relevant Standards met: CQC Standard - Outcome 12 (Reg 21) - Requirements Relating to Workers - section 12c

2

Contents

1. Introduction and Aims ........................................................................................................................... 3

2. Principles ................................................................................................................................................ 3

3. Informal Procedures – Written Record of Meeting ............................................................................. 5

4. Formal Disciplinary Procedures ........................................................................................................... 6

5. Investigation ........................................................................................................................................... 6

6. Voluntary acceptance of first written warning without a hearing ..................................................... 8

7. Suspension/Redeployment ................................................................................................................... 9

8. Notification of hearing ......................................................................................................................... 11

9. Procedure at the hearing..................................................................................................................... 12

10. Use of Witnesses and Witness Statements ...................................................................................... 13

11. Disciplinary Sanctions ........................................................................................................................ 13

12. Appeals procedure .............................................................................................................................. 14

13. Trade Union Officials ........................................................................................................................... 16

14. Referral to external bodies.................................................................................................................. 16

15. Reasons for a ‘Some other Substantial Reason’ (SOSR) Dismissal .............................................. 16

16. Record Keeping ................................................................................................................................... 16

17. Designated Authority ........................................................................................................................... 18

18. References to Related Policies .......................................................................................................... 19

19. Acknowledgements ............................................................................................................................. 19

Appendix 1 - Examples of Misconduct ........................................................................................................ 20

Appendix 3 - Rights Of Staff Involved In Disciplinary Situations ............................................................. 25

Appendix 4 - Suspension Meeting Note Proforma ..................................................................................... 26

Appendix 5 - Adult Protection Process Flowchart ..................................................................................... 34

Guidance Document 1 - Investigatory Meeting Guidance ......................................................................... 35

Guidance Document 2 - Employee Whom Allegations Are Against Letter ............................................. 36

Guidance Document 3 - Invite To Witness to Investigatory Meeting Letter ............................................ 38

Guidance Document 4 - Employee Interview Questions ........................................................................... 40

Guidance Document 5 - Witness Interview Questions .............................................................................. 41

Guidance Document 6 - Investigatory meeting notes covering letter template...................................... 42

Guidance Document 7 - Investigation Report ............................................................................................ 43

Standard Letter A - Standard Suspension Letter Template ...................................................................... 45

Standard Letter B - Invitation for Employee to Disciplinary Hearing ....................................................... 47

Standard letter C - Informal Procedure – Written Record of Meeting ...................................................... 49

Standard Letter D - First Written Warning Template .................................................................................. 50

Standard Letter E - Outcome of Appeal Against First/Final Warning ...................................................... 52

Standard Letter F - Final Written Warning .................................................................................................. 53

Standard Letter G - Dismissal ...................................................................................................................... 55

Standard Letter H - Outcome of Appeal Against Dismissal ...................................................................... 57

Standard Letter I - Disciplinary Appeal ....................................................................................................... 58

3

1. Introduction and Aims 1.1. Devon Partnership NHS Trust (the Trust) aims to ensure that there will be a fair and

systematic approach to the implementation of standards of conduct affecting all employees within our organisation.

1.2. Disciplinary rules are necessary for the efficient, effective and safe performance of work as

well as for the maintenance of satisfactory working relationships between colleagues. All staff are expected to carry out their work in a safe and effective way. It is the Trust’s responsibility to ensure that staff are trained and equipped to do this.

1.3. The Trust expects all staff within the organisation to treat colleagues with dignity and

respect and to abide by the Trust’s Standard of Business Conduct policy (HR12) and Acceptable Behaviour policy (HR20).

1.4. All employees of the Trust are covered by this procedure. In addition the principles will

apply to secondees and contractors where practicable. 1.5. This updated policy incorporates the Trust’s own actions relating to the management and

oversight of local investigation and disciplinary procedures following the Learning lessons to improve our people practices letter dated 23 May 2019 from Baroness Dido Harding Chair, NHS Improvement which was distributed to NHS trusts and NHS foundation trusts chairs and chief executives.

1.6. Incidences of poor performance or unacceptable sickness levels, where the employee falls

below the required standard, will be dealt with under the relevant policy and in some circumstances this Policy will be applicable in conjunction with other policies. The HR Helpdesk can provide further guidance.

2. Principles 2.1. It is the responsibility of the Trust to ensure that all employees are aware of the Disciplinary

Procedure and of the standard of conduct that is expected of them, through Trust’s Standard of Business Conduct policy (HR12) and Acceptable Behaviour policy (HR20)

2.2. The Trust encourages the use of informal methods of dealing with minor lapses in conduct

through the development and application of good employment practices. If a matter is of a minor conduct nature then it should be considered at the appropriate level and this may be informal with support and training provided in the first instance with further review. Consideration to be given to whether an initial concern about conduct may in be related to capability and potentially considered under the appropriate process.

2.3. If a decision is made to invoke the disciplinary procedure then it is manager’s responsibility

to ensure the procedure will be operated promptly in as short a time-scale as is reasonable and should not unreasonably delay meetings, decisions or confirmation of those decisions. Managers can receive support and guidance from the HR Helpdesk and cases of a potential discipline should be logged via the helpdesk in the first instance. The HR Manager will assess cases and allocate HR support accordingly where required including Business partners where appropriate.

2.4. Disciplinary issues will be dealt with in an open, transparent and fair manner and will be

applied in a consistent and non-discriminatory way. 2.5. Confidentiality will be maintained at all stages of the process, including within the terms of

reference, investigation report, this includes anonymising third party patient information in bundles of documents to prevent disclosure of the identity of the persons concerned.

https://www.dpt.nhs.uk/resources/policies-and-procedures/hr/standards-of-business-conduct

https://www.dpt.nhs.uk/resources/policies-and-procedures/hr/acceptable-behaviour



https://www.dpt.nhs.uk/resources/policies-and-procedures/hr/acceptable-behaviour

4

2.6. Necessary investigations will be carried out to establish the facts of the case. 2.7. Staff support should be offered to all employees who are involved in disciplinary issues,

including those who may have experienced or witnessed an incident. This can be accessed through CiC who provide free, confidential information on a range of areas such as family life, debt and financial management, legal and tax advice and counselling support 24 hours a day, 7 days a week, 365 days a year – 0800 085 1376. More information available at www.well-online.co.uk

2.8. All formal hearings will have a representative from the Workforce department on the panel to

provide HR and policy related guidance and support, whose role will include advising managers in the application of this procedure. In some instances an additional Workforce representative will also support the investigating manager however the norm will be for a single HR representative to attend a formal hearing. The HR Manager will assess the complexity and allocate HR resource as appropriate.

2.9. The disciplinary process may be suspended or postponed if the investigating officer discovers

a situation that would have a material effect on the outcome of the case. 2.10. It is the responsibility of the investigating officer and the Chair of formal hearings to ensure

that contemporaneous notes are taken and typed up within timescales. This may be undertaken by either digital voice recorders, with a copy of the tape/transcript being made available upon request or by an administration person being made available to take summary notes. Digital back up of proceedings to be taken in all formal cases however it will not be expected that notes are typed up unless on progression to an appeal hearing. Any notes taken are to be a summary of the recording and not a word for word transcript. The recording can be made available to parties should they require. The recording may have to be redacted should patient identifiable information be contained or matter that may breach confidentiality of safety of any persons. Any digital tape recordings made will be stored centrally on a secure drive with the HR Helpdesk with copies being made available upon request. Records should be treated as confidential and kept in accordance with the Data Protection law.

2.11. All written communication regarding disciplinary action will be sent to the employee’s home

address by recorded delivery. Consideration should be given to the timing of letters sent to employees to ensure that letters do not arrive on days where there is no management/union support available to employees e.g. sending letters on a Friday, before bank holidays etc. Consideration should be given to personal circumstances of the employee and what support they have. Referral to Occupational Health may be appropriate and is mandated where an employee is suspended. Details of the employee assistance programme should be provided at the earliest opportunity.

2.12. In progressing cases through the formal stages of the procedure a principle of next in line will

be adopted, for example, if an investigation has been completed by a Clinical Team Leader, the next line manager would Chair the hearing panel, except in cases of potential gross misconduct, whereby an manager with authority to dismiss must chair the hearing (see Designated Authority paragraph below). The arrangements for any such hearing will be made within the Directorate concerned except for Trust levels cases, i.e. disciplinary appeals against dismissal.

2.13. The HR Manager will advise Managing Partners on receipt of any cases lodged requesting

progression to the next level or appeal to allow immediate monitoring or case progression. 2.14. In order to maintain standards of investigations and hearings and to increase the pool of

experienced staff it is standard practice within the Trust to permit staff who will act as panel members, chairs, investigating officers and HR staff to shadow hearings and investigations

http://www.well-online.co.uk/

5

to gain experience. Attendance will be notified in advance to the employee subject to the disciplinary process. Should the employee raise an objection it will be considered by the HR Manager. If there is a conflict of interest that will impact on the fairness of the process the HR Manager can suspend the shadowing. Those personnel shadowing as part of their training and development will not take part in the decision making process but will be permitted to be in the room and sit with the panel where appropriate or sit within the meeting room for hearings and investigations. Notes should not be taken by the staff member shadowing the process and any breach of confidentiality by those shadowing could lead to action under this Disciplinary policy.

2.15. Individuals against whom disciplinary procedures have been invoked have the right:

To be informed, at the earliest opportunity and in advance of any hearing, the details of the allegations being made against them including sight of any documentary evidence, the right to put their case in response before any decisions are made and to know of any witnesses being called.

To be heard in good faith.

To challenge the allegations by bringing their own witnesses, which must be notified in advance of the hearing, and evidence before a decision is reached.

Right of appeal against any decision as designated within this Policy.

To be represented by a Trade Union representative or accompanied by a work colleague at any stage in the procedure. (Any other third party, for example friends or family members, who seek to attend a meeting without prior agreed authorisation will be asked to leave).

Not to be dismissed for a first breach of discipline except in the case of gross misconduct.

To be made aware of serious allegations, that may result in gross misconduct and potential dismissal at the earliest opportunity.

Any third party, for example friends or family members, who seek to attend a meeting without prior agreed written authorisation will be asked to leave.

3. Informal Procedures – Written Record of Meeting 3.1. Managers are encouraged to deal with all minor incidences of misconduct informally in the

first instance by means of discussion with the employee; in some cases additional training, coaching and advice is all that is needed. This is seen as being a normal part of a manager’s role where they feel that employees need guidance on matters of conduct. Concerns over conduct should be raised and dealt with promptly at the time or as soon as possible. The employee should be made aware that any discussion is informal and does not form part of the formal disciplinary procedure.

3.2. The discussion should take place in private and be a two way process. The purpose of the

discussion is to allow the manager to raise concerns by talking about any shortcomings and to explore any underlying reasons for the employee’s conduct (e.g. lack of training/ understanding, personal circumstances). The manager should explain to the employee what needs to be done and the standards that are expected of them, encourage sustained improvement and that further incidences of misconduct may lead to formal action. The manager should arrange further discussions to review the employee’s conduct over a specified period.

6

3.3. Listen to whatever the employee has to say about the issue. It may become evident there is no problem, if so, make this clear to the employee.

3.4. If during the discussion it becomes obvious that the matter may be more serious, the meeting

should be adjourned. The employee should be told that the matter will be continued under the formal disciplinary procedure.

3.5. Brief notes of all discussions must be taken and should be agreed. In some cases, it may be

useful to confirm what has been decided in writing, making it clear that this is an informal warning. It must be made clear to the employee that no formal action is being taken and that these notes will not be held on their personal file. The manager may wish to keep these notes for the purposes of any review. However, the notes should not be kept for longer than 6 months from the last time the issue was discussed. Managers must retain the notes in a secure environment.

3.6. A template letter following an informal warning can be found in Standard Letter C. The letter

should be disregarded after six months has elapsed. 3.7. Consider whether mediation may be helpful at any stage. 4. Formal Disciplinary Procedures 4.1. If the informal process has not resolved the issue or where there is more serious alleged

misconduct it is important to carry out necessary investigations of potential disciplinary matters without unreasonable delay to establish the facts of the case.

4.2. Depending on the nature of the allegations it may be necessary to involve other agencies or

statutory bodies in the investigation. For example, where allegations relating to child or adult protection are raised it will be appropriate to involve the relevant professionals from the local authority. In particular, an allegation of abuse made against a person who works with children must be reported immediately to the Trust’s Executive Lead, as this must be reported within 24 hours to the Local Authority Designated Officer (LADO).

4.3. Reporting incidents to external bodies e.g. police, NMC, HCPC, GPHC etc. will need to be

considered before investigation. Advice should be sought from the Safeguarding Lead, the HR Helpdesk or HR Officer if one has been appointed. This should not be taken lightly and full examination of the available facts should be considered before doing so. The suspension risk assessment (Appendix 4) can used as a tool to aid decision making.

5. Investigation 5.1. In most cases this will require holding an investigatory meeting with the employee before

proceeding to any disciplinary hearing (often called a fact finding meeting). In others, the investigatory stage will be the collation of evidence by the employer for use at any disciplinary hearing. The purpose of carrying out an investigation is confined to establishing the facts of the case and whether, on the face of it, a case exists. It also provides the employee an opportunity to respond to the allegations made against them. It is important that disciplinary action is not considered at an investigatory meeting.

5.2. The Manager should inform the HR Helpdesk of the need for an investigation. They will

discuss and agree an appropriate investigating officer (and discuss Terms of Reference with the relevant manager or Directorate Manager) which will often be the employee’s current direct line manager and may be the manager who was previously involved at the informal stage. Independent investigation managers will only be allocated when the employee’s current line manager is involved in the case, for example they witnessed an incident, or would need to be interviewed as part of the investigation or where there are other exceptional

7

circumstances e.g. where it can be evidenced that the manager is compromised or there is a need for the expertise of a particular profession i.e. Mental Health Practitioner, Social

Worker etc. The investigating officer should be released, where reasonably possible, from their normal duties for up to 28 days to complete this investigation in a timely manner.

The HR manager will provide advice or appoint a HR Officer where appropriate. 5.3. Directorate Managers should promote the release of investigating officers from their normal

duties and arrange for cover to be obtained. 5.4. Terms of reference must be identified for any investigation and the expected timescales for

completion within the requirement of this policy, which must be devised by the Investigation Commissioning Officer (which will in most circumstances be a Directorate Manager) and circulated to those identified to undertake the investigation. If there is a delay in the timescale for any reason, the employee should be informed, given the reasons for the delay and advised of the revised timescale. A HR Officer will provide support to the Investigation Commissioning Officer however the Terms of Reference remain the responsibility of the Investigation Commissioning Officer. Terms of reference for the investigation to include an agreed plan of communication with the employee and should the employee be suspended that the suspension risk assessment is regularly reviewed during the period of suspension.

5.5. A referral to Occupational Health must made for all suspended employees and the referral

will normally be undertaken by the immediate line manager. 5.6. The Investigation Commissioning Officer must ensure that their appointed Investigating

Officer has the competence and experience to undertake the investigation. The Investigation Commissioning Officer should discuss any concerns regarding appointing a suitable Investigation Officer with the HR Manager or Strategic Workforce Business Partner at the outset of the appointment.

5.7. For a minor incident or an escalation of previous disciplinary action this may only involve

talking to the employee to establish the facts. 5.8. A member of the Workforce Department will be available to provide advice and guidance

during the process if required, but will not normally attend informal and investigatory meetings. The HR Manager will allocate HR resource as appropriate in the circumstances.

5.9. Prior to the formal investigation starting, the employee must be informed verbally, followed

up in writing, by the manager initiating the investigation. They should be informed that an investigation is taking place and, as it is part of a formal procedure, they will be informed of their right to representation during any investigative interview. The manager must normally outline the allegations relating to the employee’s conduct. The employee should be advised that they are not to discuss the case with anyone, other than their Trade Union/Professional Organisation representative, the investigating officer(s), line manager or HR officer.

5.10. In some circumstances, due to the nature of the concerns it may not always be possible to

give full details of the allegations. This is only in exceptional circumstances, for example where disclosure of the details may prejudice a Police or Counter Fraud investigation or in cases where there are Safeguarding issues. The investigation should be completed as quickly as is reasonable.

5.11. The investigating officer will interview all relevant witnesses involved in the case in order to

establish the facts surrounding the allegation. All witnesses have the right to be accompanied by a Trade Union representative or work colleague and will be informed of this right when asked to attend interviews. They must be informed of the reason that they are being questioned, that the matter is confidential and should not be discussed with anyone else (as per 6.6 above) and be made aware that their witness statement may be used/they may be

8

required to give evidence at any subsequent hearing. Regular adjournments to be offered. A written statement should be taken and agreed by the investigating officer and then agreed, signed and dated by the witness. Notes can be undertaken either by a note taker or by digital voice recorder. Written or typed notes will be a summary and not word for word transcript. .

5.12. Where an investigation is carried out and any of the parties involved are Students, the HR

Manager will need to be contacted to ensure that appropriate support is available and liaise with the Practice Education Lead.

5.13. All employees have a responsibility to co-operate with the investigation process to ensure

that the facts are gathered in as short a time as possible. 5.14. Once the investigation has been completed the investigating officer will not come to a

conclusion with regard to any potential disciplinary sanction that may be appropriate, but take a view on whether there are sufficient grounds for the disciplinary case to continue to hearing. In all cases the investigating officer must review this decision with the Commissioning Manager/Officer.

5.15. The investigating officer has the right, as a result of the investigation, to pursue any other

issues e.g. grievances, bullying, unacceptable behaviour and also unrelated disciplinary offences which may lead to further disciplinary action.

6. Voluntary acceptance of first written warning without a hearing 6.1. Where an investigating officer has provided the commissioning officer with a report

recommending a formal hearing be convened to determine a matter of misconduct; the commissioning officer can with advice from HR offer the employee the opportunity to accept a first written warning and not proceed to a formal disciplinary hearing.

This only applies in circumstances of misconduct and not potential gross misconduct where dismissal is a potential sanction

The employee would accept the allegations and not dispute the evidence

there would be no aggravating circumstances, for example no patient/public involvement

it would be an appropriate and proportionate means of dealing with the matter

the offer would be made by the commissioning officer in writing after receiving and considering the investigation report and before a formal disciplinary panel is formed

If the offer is declined then the matter would go to a formal disciplinary panel

The first written warning would remain on file for a 12 month period

An HR officer would draft the letter awarding the first written warning detailing the reasons and voluntary acceptance with the employee countersigning in agreement

Use of this process where matters are agreed can save the employee the prospect and emotional impact of attending a hearing where they do not dispute the alleged misconduct. The organisation benefits from not using vital resources to form a panel in circumstances and the employee is in full agreement with voluntary acceptance of the award of a first written warning

9

The employee will be able to consult with staff side and professional representatives in the normal way to consider their options and whether to accept the offer of a first written warning or to attend a formal hearing

If a formal hearing is convened the panel can reach any sanction short of dismissal including a final written warning.

7. Suspension/Redeployment 7.1. The Trust reserves the right, at its discretion, to suspend an employee while the

circumstances of any complaint or allegation are investigated. Such suspension will be on full pay. Suspension from work will not be automatic but will depend on the circumstances.

7.2. Suspension does not constitute a disciplinary sanction but is instigated in order to allow the

organisation to investigate the alleged misconduct properly. 7.3. In cases where a period of suspension with pay is considered necessary, this period will be

as brief as possible, will be kept under review and it will be made clear that the suspension is not considered a disciplinary action

7.4. Once suspension is confirmed a referral to Occupational Health must be made within 5

working days. This will normally be completed by the immediate line manager. Details of the employee assistance scheme should also be provided to the employee within the letter of suspension.

7.5. A suspension risk assessment must be completed before action is taken (Appendix 4) and if

suspension is carried out the risk assessment must be regularly reviewed together with Occupational Health advice.

7.6. At times it may be necessary to send an individual home for a “cooling off” period this will not

necessarily be a formal suspension. If later it is deemed appropriate that it should be a formal suspension this will be confirmed in writing. This period would not normally exceed 24 hours.

7.7. In certain cases, for example when gross misconduct has been alleged or where there is

deemed to have been a fundamental breach/breakdown in employer/employee trust and confidence, patient safety may be at risk or there is a potential for the contamination of

evidence, it may be appropriate to suspend an employee for a period of time whilst the allegations are being investigated; any suspension period should be kept to a minimum whilst the allegations are being investigated.

7.8. All other alternatives must be exhausted before suspension is implemented. Alternatives to

suspension may be temporary adjustment of role or redeployment of the employee to another role. Adjustments may include:

limiting patient access

increasing levels of supervision

move to an untrained role

redeployment to a different role/location 7.9. At all times the action must be reasonable in the circumstances and reasons outlined in the

Suspension Risk Assessment (Appendix 4). This decision should be confirmed in writing and sent the following working day.

10

7.10. When a manager is considering suspension of an employee they must discuss it with a

relevant manager (see Section on “Designated Authority”) who has the authority to suspend workers and a suspension risk assessment must be completed (Appendix 4).

7.11. Where the employee is known to be a member of a trade union, an attempt to contact a trade

union steward should be made inviting them to attend an urgent meeting with a member of staff (it is not expected that details of the allegations would be given at this time). If this is not possible the suspension meeting will not be postponed to allow for this.

7.12. Directorate Managers to regularly review the suspension of an individual to ensure it is not

unnecessarily protracted. 7.13. In cases of emergency the most senior manager on site has the right to send an employee

home. 7.14. The suspending manager must:

Ensure the individual is advised of their right to representation. Whenever reasonably practicable time should be given to involve the employee’s representative.

Advise the employee clearly of the reasons for the action.

State the likely duration of the suspension during the initial suspension meeting, even if this is until the investigation has been completed.

Remind the employee that suspension is not a disciplinary action.

Advise the employee that they must not enter Trust property (other than as a patient or to attend meetings associated with the allegations against the employee) or access Trust information systems whilst suspended unless authorised and accompanied by a manager.

Advise the employee they are not to discuss the case with anyone, other than their Trade Union/Professional Organisation representative, investigating officer(s), line manager or HR officer;

Employees who are suspended cannot attend for work, including on the DPT bank or for any other agency or employer or in any other business during the hours that they would normally be contracted to work for the Trust, whilst the suspension is in force. They should be available at all times to assist with any investigation. If an employee who is suspended wishes to book annual leave they should contact their line manager with the leave request.

Inform the employee of the actions that may follow.

Confirm in writing by recorded delivery to the employee’s home address in a timely way normally within 24 hours, enclosing the Disciplinary Procedure.

Referral to Occupational Health by line manager or other suitable manager to be made within 5 working days of suspension being instigated.

Constantly review the need for suspension, in light of the ongoing findings of the investigation. If there is a delay with the investigation for any reason, the employee

11

should be informed by their line manager, given the reasons for the delay and advised of the revised timescale.

arrange for the relevant manager to make contact with the suspended employee, at least monthly, in order to offer support;

Provide a named HR contact for the period of suspension.

Remind the employee of access to the Employee Assistance Programme.

Ensure that keys, ID cards, Trust mobile devices such as phones, laptops, tablets, Smart/RiO card etc. are collected from the employee. Managers need to ensure that access to these devices and software, ie RIO/NHS Mail etc is suspended by contacting the Applications Support Team 01392 675679 or via email on [email protected] and the employee’s NHS mail account is suspended by contacting the IT Helpdesk on 01392 406177.

7.15. Employees should be available to attend any meetings related to the disciplinary process.

However, annual leave may be taken, if it has been authorised in advance or agreed with the individual’s line manager, during the suspension period. Outside of this employees will be reasonably expected to be available to attend related meetings.

7.16. If an employee is signed off work on sick leave whilst suspended, a fit note must be provided in the normal way as detailed in the Maximising Attendance Policy HR 25 the employee will then be placed on sick leave until sickness absence ceases. On returning from sick leave the employee will revert to suspension until the matter has been concluded.

7.17. For further information see Legal background on suspension appended. 8. Notification of Hearing 8.1. If a decision has been made to progress to a formal hearing the employee must be informed

of that decision in a timely way, normally within 24 hours in writing. The employee should be provided with a copy of the procedure and their attention should be drawn to the rights of staff, in particular the right to be represented at a formal hearing.

8.2. A minimum of 14 calendar days’ notice of the hearing will be given and all parties should be

provided with copies of all documents including statements of case, witness statements and any other documents in support of the management’s case. If the trade union representative or work colleague cannot attend on a proposed date, the worker can suggest an alternative time and date, so long as it is reasonable and it is not normally more than five working days after the original date. Ideally, liaison should take place with the employee’s representative to facilitate timely scheduling of the hearing.

8.3. If the employee is unable to attend a proposed hearing on two occasions, the hearing will be

rescheduled for a final time; the employee will have the opportunity to provide a written statement, but the case will be heard in the employee’s absence if s/he is unable to attend and a decision made based on the information available.

8.4. The management statement of case should be given to the employee at least 14 calendar

days before the date of the hearing to enable them to formulate a response; the employee should also be informed of the names of witnesses management are intending to call. The employee’s statement of case should be submitted at least 7 calendar days before the date of the hearing to allow time to circulate to the hearing panel and management side. Failure by management or the employee to achieve this will be further considered by the disciplinary panel.

mailto:[email protected]

https://www.dpt.nhs.uk/resources/policies-and-procedures/hr/maximising-attendance

12

8.5. Seven calendar days before the hearing takes place, the employee should tell the employer

who they have chosen to accompany them to the hearing and the names of witnesses they intend to call, in accordance with the timescales above.

8.6. If the employee is concerned about the time scale offered, then they should raise this with

HR representative, setting out the reasons in order that consideration can be given to providing an extension if appropriate.

8.7. If the employee is concerned about the suitability of the manager designated to hear the case

then they should contact the Workforce representative; there will be no obligation to alter the arrangements, however, where this appears to be material to the case steps will be taken to find a suitable alternative and the employee will be informed.

9. Procedure at the hearing 9.1. The panel will comprise: of a senior manager (disciplining officer), for potential gross

misconduct cases, this will be an officer with the authority to dismiss, see Section on ‘Designated Authority’, whose role is to chair the meeting and to determine whether disciplinary action should be taken.

9.2. If necessary, a professional lead, whose role will be only to provide professional guidance

and support to the disciplining officer, if the case warrants this. 9.3. A member of the HR team to support the panel and advise on procedure. See Section on

‘Designated Authority’. 9.4. It is the responsibility of the investigating officer and the Chair of formal hearings to ensure

that contemporaneous notes are taken and typed up within timescales. This may be undertaken by either digital voice recorders, with a copy of the tape/transcript being made available upon request or by an administration person being made available to take summary notes. Digital back up of proceedings to be taken in all formal cases however it will not be expected that notes are typed up unless on progression to an appeal hearing. Any notes taken are to be a summary of the recording and not a word for word transcript. The recording can be made available to parties should they require. The recording may have to be redacted should patient identifiable information be contained or matter that may breach confidentiality of safety of any persons. Any digital tape recordings made will be stored centrally on a secure drive with the HR Helpdesk with copies being made available upon request. Records should be treated as confidential and kept in accordance with the Data Protection law.

9.5. The disciplining officer hearing the case will chair the hearing, introduce the parties,

explaining why they are there and the purpose of the hearing which is to consider whether disciplinary action should be taken in accordance with the Trust’s Disciplinary Procedure and run through the order of proceedings.

9.6. The investigating officer will open by presenting the case stating precisely what the

allegation(s) is/are, referring to the supporting information with witnesses being called as appropriate. Witnesses may be required to refer to their statements. Each witness can also be questioned by the employee and/or their representative and by the disciplining officer and advisors regarding their statement.

9.7. The employee will then have an opportunity to state their case and answer any allegations

that have been made; this may be done through their representatives and to call any witnesses to support their statements. As before, the investigating officer and the disciplining officer and advisors will have the opportunity to question the witnesses about their statements.

13

9.8. Once all of the evidence has been heard both sides will have the opportunity to sum up their

case. At this point no new evidence should be submitted. The investigating officer will sum up first. The meeting will be adjourned for the disciplining officer to make a decision on the evidence presented.

9.9. Where a decision cannot be made due to the fact that evidence has come to light that requires

further investigation, the hearing may be adjourned by the disciplining officer. The hearing should be reconvened as soon as possible.

9.10. The disciplinary hearing panel will adjourn the meeting to consider the evidence heard. They

may decide to make their decision that day or may wish to confirm their decision in writing. Brief reasons for the decision will be given and the employee’s right to appeal against the decision explained. The chair of the panel will ensure, the decision is confirmed in writing to the employee, their representative and management no later than 7 calendar days from the date of the hearing.

10. Use of Witnesses and Witness Statements 10.1. The purpose of calling witnesses is to allow the disciplining officer to gather as much evidence

as possible in order to make a fair judgement on the allegations. It is important that all parties carry out questioning of witnesses in a sensitive manner. Aggressive questioning or badgering of witnesses will not be tolerated. The disciplining officer will ensure that the proceedings are carried out in an orderly manner.

10.2. Employees are responsible for advising their witnesses of the date, time and venue for the

hearing and should ensure they are prepared before the hearing. 10.3. Witnesses will be expected to provide a signed written statement or signed agreed notes,

taken by the investigating officer during an interview with the witness, in advance of the hearing.

10.4. Written witness statements will be made available to all parties in advance of the hearing. 10.5. Witnesses being called by the employee or their representative should be notified to the

Workforce representative at the time of submitting the papers for the employee’s hearing so that appropriate time off may be given. Failure to adhere to this timescale could result in the Trust refusing to allow witnesses to be called.

10.6. Witnesses will be given time off to attend the relevant part of the hearing. They will not be

required to attend the whole of the hearing. 10.7. All witnesses have the right to be accompanied by a Trade Union representative or work

colleague. 11. Disciplinary Sanctions 11.1. Disciplinary sanctions should be taken only when the disciplining officer feels that disciplinary

rules and expected standards of conduct have been breached. Even if the case against the employee is proven the disciplining officer may wish to consider alternative action such as re-training, coaching or counselling.

11.2. In deciding whether a disciplinary sanction is appropriate and what form it should take, the

disciplining officer should bear in mind the need to act reasonably in the circumstances. Relevant factors should be taken into account such as whether the Trust’s rules indicate the likely penalty, penalties imposed in similar cases, the extent of breach of standards, any

14

precedents and the employee’s discipline and general work record and length of service; account should also be taken of any special circumstances, which would warrant adjustment of the penalty.

11.3. Appendix 1 lists some examples of misconduct, although this list is illustrative rather than

exhaustive.

First Written Warning – This is the first level of sanction and would be appropriate for a case of minor misconduct, where the disciplining officer felt that informal action would not be sufficient or a case of serious misconduct where circumstances may mitigate against the need for a final warning. It would also be used where there had been a repetition of minor misconduct or failure to improve following an informal warning being discussed and documented. The first written warning can be issued for a period of 12 to 18 months and the letter should confirm the retention period and the likely consequences for further misconduct

Final Written Warning – If the employee has a current warning about conduct and there are any further breaches of conduct, or a one off significant serious breach of conduct, may warrant a final written warning and may ultimately lead to dismissal. This may also be the case where ‘first offence’ misconduct is sufficiently serious, but would not justify dismissal. Final written warnings are normally issued for a period of 18 - 24 months and the letter should confirm the retention period and the likely consequences of further misconduct.

o Occasionally, there may be times where an employee’s conduct is satisfactory

throughout the period that a warning is in force, only to lapse soon after its expiry. Where a pattern emerges and/or there is evidence of abuse, the employee’s disciplinary record should be borne in mind in deciding how long any warning should last.

Dismissal - Dismissal of an employee is the most serious and punitive of all the disciplinary sanctions. It should be used where the disciplining officer feels that there is no other option available to them.

o If the employee has received a final written warning, and there are any further

breaches of conduct, or a one off significant breach of conduct, then this may warrant dismissal.

o Where the culmination of previous misconduct results in dismissal then the

termination will take immediate effect but notice may be paid. This will be subject to the normal tax and National Insurance deductions.

o Summary dismissal for gross misconduct will take immediate effect and no payment

in lieu of notice will be made. Money owed for annual leave or travel and subsistence will be paid less any money owed by the employee to the Authority.

Disciplinary Transfer – In cases where there has been an irretrievable breakdown in the working relationship of two parties or where there is a justifiable need to move an employee out of their existing base then a disciplinary transfer may be applied. This would normally be at the employees existing grade and hours.

12. Appeals procedure 12.1. It is essential to the rules of natural justice that an individual has the right of appeal against

any disciplinary decision taken against them. The individual should be informed of this right both at the hearing and in the letter confirming the outcome. The letter should state the

15

timescale in which the appeal should be lodged as well as the name of the person to whom the individual can appeal.

12.2. An individual who wishes to appeal should do so in writing, specifying full disclosure for the

basis for their appeal i.e. procedural, new evidence, fact or level/consistency of sanction, to the Deputy Director of Human Resources, within 14 calendar days of receipt of the letter confirming the decision. Once the appeal has been lodged it should be acknowledged in writing and the appellant informed that it will be heard within 21 calendar days from the date of the letter where possible. A minimum of 14 calendar days’ notice of the appeal hearing will be given.

12.3. The appeal panel, wherever possible will chaired by someone in a more senior position than

the person who took the disciplinary decision and someone who was not involved in the original hearing/decision.

12.4. The role of the appeal panel is to consider the appropriateness of the decision made, based

upon the information that was available to the original disciplinary panel. In doing so the panel will need to determine whether in the circumstances the disciplinary sanction applied was appropriate given the evidence presented, organisational precedent and in consideration of any mitigation that was presented.

12.5. The panel will need to consider whether it is appropriate to consider any new evidence, as

the appeal process is not a re-hearing but a validation process of the original decision. In exceptional circumstances, e.g. where new evidence needs to be considered or there appear to be procedure defects, it may be appropriate for the appeal panel to consider the evidence or to remit it back to the original panel for a re-hearing to take place. This will depend on the reason as to why this new evidence was not made available to the original panel and the appeal panels’ ability to appropriately review and consider it.

12.6. The appellant will be required to provide full disclosure by submitting their Statement of Case,

14 calendar days before the hearing of the appeal. Failure to do so may result in the appeal hearing being delayed. Management’s response should be submitted 7 calendar days in advance of the hearing.

12.7. The original papers together with the appellant’s Statement of Case and the management

response will be circulated to all parties in advance of the appeal hearing. 12.8. The appeal hearing will be conducted in a similar manner to a disciplinary hearing, paying

particular attention to any new evidence. Any documentary evidence must be submitted in advance. There would not normally be any new evidence submitted at this time. However, if there is any new evidence, this must be distributed well in advance of the hearing and, if appropriate, the hearing may have to be adjourned to allow for this new evidence to be considered, remitted back to the original hearing and arrangements made for a re-hearing.

12.9. The appellant will present their grounds for appeal first and then the original disciplining

officer will respond to the appeal and may wish to call the original presenting officer as a witness; they would normally present the management case. The appellant (or their representative) and the panel will have the opportunity to put questions to the appellant, original disciplining officer, technical/business advisor and any witnesses called. The appellant will then have an opportunity to state their case and call any witnesses. The original disciplining officer and the panel may then wish to ask the appellant questions.

12.10. Witnesses being called by the employee or their representative should be notified to the

Workforce representative at the time of submitting the papers for the employee’s appeal so that appropriate time off may be given. Failure to adhere to this timescale could result in the Trust refusing to allow witnesses to be called.

16

12.11. The Appeal panel will adjourn the meeting to consider the evidence heard. They may decide

to make their decision that day or may wish to confirm their decision in writing. The panel should ensure that the appellant is informed of the outcome as soon as possible. The panel can confirm the original decision, substitute it with a lesser sanction, overturn it completely or increase the previous sanction applied. In cases where the sanction is increased to dismissal on appeal, where it was not previously, the employee has a further right to appeal the decision. In all other cases the panel’s decision is final. In the case of an appeal against dismissal an appropriate Senior Manager will chair the panel.

12.12. The decision must be confirmed to the appellant in writing within 7 calendar days. 13. Trade Union Officials 13.1. When a disciplinary investigation is being considered for an employee who is also a

representative of a recognised Trade Union the manager must inform the Workforce representative immediately. A member of the Workforce department will then contact the union’s Full Time Officer to inform them of the nature of the case.

14. Referral to external bodies 14.1. Where an employee is subject to disciplinary action following abuse or inappropriate

behaviour of a service user or where they have formed inappropriate relations with a service user then the procedure for referral to the Disclosure and Barring Service (DBS) should be followed. Managers should also refer to Policy on Safeguarding Vulnerable Adults (Policy No C19) (See Appendix E).

14.2. It may be necessary to report the outcome of a disciplinary hearing to external bodies e.g.

police, NMC, HCPC, GPHC etc. especially in cases of dismissal, if a referral has not already been made prior to investigation.

15. Reasons for a ‘Some other Substantial Reason’ (SOSR) Dismissal 15.1. Where it is considered that dismissal on the grounds of SOSR may be necessary, caution

must be exercised in these types of situations as they may overlap with other disciplinary actions, such as conduct and capability.

15.2. SOSR dismissals include, but are not limited to, such issues as the following:

Unreasonably refusing to accept a reorganisation that results in changes to terms and conditions

Dismissals on account of third parties

Employees remanded in custody/Imprisonment

Irresolvable personality differences/clashes between employees

Any other substantial reason that is incompatible with the continuation of employment 16. Record Keeping 16.1. A full set of papers including details of the allegations against the employee, notes of the

hearing; copies of all documentation and the letter confirming the outcome, including the reason for action(s) taken, whether an appeal was lodged, the outcome of the appeal, any grievances raised during the disciplinary procedures and subsequent developments will be

17

kept in a separate confidential file within the Workforce Department or agreed external storage agency. This file will be kept for the period of time that any warning is current on the employee’s file or for 10 years in the case of dismissal or in line with the Trust’s Record Management Policy and Strategy (GV06) https://www.dpt.nhs.uk/resources/policies-and-procedures/governance/records-management-policy-strategy. The above records may be kept securely electronically by a system approved by the HR Manager. .

16.2. It is the manager’s responsibility to ensure the employee is written to once the warning has expired confirming the matter is considered to be spent and file closed.

https://www.dpt.nhs.uk/resources/policies-and-procedures/governance/records-management-policy-strategy

https://www.dpt.nhs.uk/resources/policies-and-procedures/governance/records-management-policy-strategy

17. Designated Authority

17.1. NB – The manager suspending, chairing or hearing an appeal must always be if a higher band than the employee facing disciplinary action.

Alleged Level of Misconduct Possible Action Authorised Officer Officer for Appeal

Minor

Informal action – Written Record of meeting letter (6 months) Or First written warning (12-18 months)

Line Manager (if not involved in the investigation)

Next level to line Manager

Failure to improve or repetition of minor misconduct Or Serious Misconduct

Final Written Warning (18-24 months) Next level to line manager.

Manager more Senior to person issuing written warning

Failure to improve or repetition of serious misconduct Or Gross Misconduct

Final written warning (18-24 months)

Senior Manager (AFC band 8a or above.)

Managing Partner and above

Or Dismissal

Directorate Manager, Managing Partner or Head or Profession (band 8c) and above

Executive Director

NB. For dismissal panel must be chaired by a Non-Executive Director

Allegation of potential gross misconduct

Suspension Manager (AFC 7 or above) No right to appeal

17.2. Officers with the Authority to Suspend/Discipline Executive Directors

17.3. The Chief Executive or Chairman has the authority to suspend Directors;

17.4. The Chief Executive and the Chairman (or another Non-Executive Director) will be the authorised officers to hear any case against a Director. In the case of disciplinary action being taken against the Chief Executive this would be heard by The Chairman and two other Non-Executives.

18. References to Related Policies Employment Act 2002 (Dispute Resolution) Regulations, 2004 Employment Act 2008 (sections 1-7) Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations, 2008 Employment Rights Act 1996 as amended Employment Relations Act 1999 Equality Act 2010 HR01 Grievance Disputes HR07 Redeployment Redundancy Policy HR18 Capability HR 20 Acceptable Behaviour HR25 Absence Management HR33 Fixed Term Contracts C19 Safeguarding Adults C25 Safeguarding Children 19. Acknowledgements ACAS, “Code of Practice on Discipline and Grievances Procedures” Code of Practice, November, 2016 Learning lessons to improve our people practices letter dated 23 May 2019 Croneri HR policy resources croneri.co.uk

Advisory, Conciliation and Arbitration Service (Acas) http://www.acas.org.uk Advisory, Conciliation and Arbitration Service (Acas) provides free and impartial information and advice to employers and employees on all aspects of workplace relations and employment law. It supports good relationships between employers and employees but when things go wrong it helps by providing conciliation to resolve workplace problems. Acas Advisory Handbook: Discipline and Grievances at Work (2009) Acas/CP01 Code of Practice on Disciplinary and Grievance Procedures (2015) Acas/S04 Discipline at Work Acas/RW01 Rights at Work Leaflets: Discipline, Grievances and Dismissal

http://www.devonpartnership.nhs.uk/Publications-Library.24.0.html?&no_cache=1&task=show&uid=937&target=1&category=7&cHash=322da8b48201277fe4d7b4965a7644e5

http://www.devonpartnership.nhs.uk/Publications-Library.24.0.html?&no_cache=1&task=show&uid=1039&target=1&category=7&cHash=17c0c12690b0b7d3f92b6899de21ef42

http://www.devonpartnership.nhs.uk/Publications-Library.24.0.html?&no_cache=1&task=show&uid=918&target=1&category=7&cHash=987107aec422ecffcbb39a52b6947a9c

http://www.devonpartnership.nhs.uk/Publications-Library.24.0.html?&no_cache=1&task=show&uid=134&target=1&category=7&cHash=17ec46c118f16635c9262f11ca5287ce

http://www.devonpartnership.nhs.uk/Publications-Library.24.0.html?&no_cache=1&task=show&uid=142&target=1&category=7&cHash=61230984447b28290cc636ca3aa6b378

20

Appendix 1 - Examples of Misconduct These examples are for guidance only and are not intended to be exhaustive. Any misconduct can potentially be gross misconduct and therefore subject to summary dismissal, dependant on the circumstances surrounding the case. Managers are encouraged to discuss cases with their HR representative before instigating any proceedings.

Persistent lateness

Poor record keeping

Attitude to other members of staff or public that adversely impacts on effective working arrangements

Unreasonable refusal to comply with a line manager’s request

Non-compliance with Trust policies and procedures

A negligent action resulting in significant financial loss to the NHS

Unauthorised absence

Theft or unauthorised use or possession of Trust property, property of a third party whilst on Trust business or property of another employee.

Being charged with a criminal offence, or any other legally related incident, which renders the employee unsuitable to carry out their duties; or where the penalty imposed by a court of law makes it impossible or impractical to continue employment.

Any attempts to commit fraud against the Trust, including dishonesty in respect of completing timesheets or expenses forms, or in the use of recording systems or in the completion of self certification forms for sickness absence.

Deliberate falsification of documents or information intended to mislead the Trust, whether or not with the intent to defraud.

Assaulting another person (employee, service user, carer or member of the public) whilst at work.

Physical violence, bullying, Insulting, indecent or offensive behaviour towards a fellow employee, service user or carer (including bullying or harassment).

Deliberately accessing internet sites that contain pornographic, offensive or obscene material or links to them.Deliberate damage to property

Deliberate misuse, neglect of or interference with Trust property (including vehicles, computer equipment and data) whether or not resulting in damage or injury. This includes transmitting and receipt of inappropriate information and material across IT systems such as e-mail and the Internet.

Bringing the Trust into serious disrepute.

21

Incapability whilst at work through the abuse of drugs or alcohol or failing to comply with the Trust’s Alcohol & Substance Abuse Policy.

Serious negligence that may cause unacceptable loss, damage or injury.

Serious infringement of Health & Safety rules relevant to the employee’s duties and responsibilities including conduct likely to result, or actually resulting, in damage to property or injury to persons, or neglect of personal safety, or refusal to wear protective equipment or clothing provided by the Trust.

Serious breach of confidence or unauthorised disclosure of information or data that the Trust considers confidential.

Unfair or unlawful discrimination against existing or prospective employees, service users and carers which constitutes a breach of current legislation or the Trust’s Equal Opportunities Policy.

Forming inappropriate relationships with service users (see Professional Guidance on Relationships and Professional Guidance in close Interpersonal Relationship between people using Inpatient Services)

Inappropriate or unacceptable use of Trust equipment, for example excess internet usage during paid working time; failure to maintain password security or accessing other user accounts

Any other misconduct, in breach of Trust Policy or Code of Conduct, judged to be of a similar gravity to the examples quoted.

22

Appendix 2 - Procedural Flowchart

Gather all the relevant facts promptly, before memories fade

Take statements

Collect documents

In gross misconduct cases consider suspension with pay while an investigation is conducted (speak with the HR Helpdesk or appointed HR officer before placing an employee on suspension) if suspended a referral to Occupational Health must be made. In cases of potential gross misconduct the advice of a Buisness partner must be gained

Be clear about the complaint:

Is action needed at this stage?

Refer to Trust’s Disciplinary Procedure and discuss with HR Helpdesk or appointed HR officer

Decide and agree on appropriate action required.

If formal action is required, arrange a disciplinary hearing:

Ensure that the individual is aware of the nature of the complaint and has at least 14 calendar days notice of the disciplinary hearing;

The management’s statement of case should be sent to employee at least 14 calendar days before the Hearing;

The employee’s statement of case should be submitted 7 calendar days before the date of the hearing;

The employee should confirm attendance and notify names of witnesses 7 calendar days before the hearing;

Arrange time, date and venue for the hearing and appropriate hearing panel. Confirm with the individual that they have the right to be accompanied.

23

Disciplinary Hearing: Notes should be taken throughout the hearing to provide an accurate record of

events. Agenda:

Start by introducing those present

Purpose of the meeting

Nature of the complaint

Process of meeting i.e. Manager to present

Any supporting evidence through statements/witnesses

Questions by Individual/Union Representative/Disciplinary Officer/Panel

Individual/Representative to respond to allegation through statements /witnesses

Questions by Manager/Disciplinary Officer/Panel

Allow the individual/Representative to summarize/state his/her case

Adjourn for decision If decision is not reached at the time of the hearing, advise those present and that

it will be in writing within a maximum of 7 calendar days

Adjournment:

Call an adjournment before reaching a decision:

Come to a clear view about the facts

If they are disputed, decide on the balance of probability what version of the facts is true

Call for further information if necessary

Decide penalty and consider:

The gravity of the offence and whether the procedure gives guidance

The penalty applied in similar cases in the past

The individual’s disciplinary record and general service

Any mitigating circumstances

Whether the proposed penalty is reasonable in all the circumstances

24

Reconvene and:

Clearly inform the individual of the decision and the penalty, if any or let the individual know that they will be advised within 7 calendar days in order that careful consideration is given to the case

Explain the right of appeal and how it operates

In the case of a warning explain what improvement is expected, how long the warning will last and what the consequences of failure to improve may be

Record the action taken: Confirm the disciplinary action to the individual in writing within 7 calendar of the

hearing ensuring a copy is sent to the employee's representative.

Place a copy of the letter on the employees file

Consider notification to the relevant professional body, ie NMC, HCPC, etc and referral to DBS (Disclosure and barring Service) for inclusion on the register;

On-going monitoring: Disciplinary action should be followed up, with the object of encouraging

improvement

Monitor progress regularly (in a timely manner) and discuss it with the individual

Introduce standards of conduct expected and ensure the individual is monitored at agreed regular intervals

Measure through the use of supervision and appraisal.

25

Appendix 3 - Rights Of Staff Involved In Disciplinary Situations

Each member of staff has the right: -

a. To be represented by an accredited representative of a Trade Union/Professional Organisation or work colleague at any formal stages of the disciplinary procedures. A legal representative will not be permitted in a professional capacity. Sufficient time shall be allowed for the representative to advise the employee and to support them prepare the case. Management will give the maximum assistance in securing this representation promptly so that the matter may be resolved without unnecessary delay and will make the necessary arrangements for the release from normal duties for accredited staff representatives to enable them to participate in the procedures.

b. To look at records of any disciplinary action which are retained on their personal file

c. To be informed of the Manager who will keep in regular contact and an HR contact.

d. To be informed in writing by whose authority they may be dismissed, and not to be dismissed by his/her immediate Manager.

e. To be advised of the details of the alleged misconduct.

f. To be advised of the seriousness of the misconduct alleged, i.e. whether dismissal is a possibility.

g. To be reminded in writing of his/her right of appeal to an Executive Director or the Trust Board in matters involving serious or gross misconduct.

26

Appendix 4 - Suspension Meeting Note Proforma

Is suspension necessary?

In cases that appear to involve gross misconduct, where it may allow a more objective investigation or where it may be prejudicial to the Trust’s interests for the employee to remain at work, a brief period of suspension should be considered while the case is being investigated. Suspension from work does not carry any implication of guilt, is not formal disciplinary action and should be with full normal pay. Options short of suspension must be considered and be set out in suspension risk assessment. If suspension is necessary it must be reviewed and only be for as long as necessary in the circumstances.

Where should the employee be informed?

Ideally in the employee’s workplace or another DPT/partnership location, although in very exceptional circumstances this may be done at the employee’s home with their agreement. This should be a confidential discussion so the manager may need to ask other employees to leave the room.

What should the manager tell the employee when placing them on suspension?

Explain the various points on the suspension checklist.

The manager should confirm suspension in writing by giving a letter at the meeting. However, this is not always possible and in such cases, the manager should inform the employee that a letter of confirmation will follow in a timely way, normally within 24 hours after the meeting.

The manager should then inform the employee they must leave the Trust premises immediately and ensure that these instructions are complied with.

Following the meeting ensure that file notes are made.

Referral to Occupational health must be made within 5 day following suspension

27

SUSPENSION CHECKLIST To be completed in ALL cases

Employee Name: _____________________________________

Suspension Risk Assessment Tool completed and confirmed need for suspension: Yes / No

Date: _________________________

Suspending Manager: _______________________ HR Officer or Management Support: _______________________

Reason for suspension:

Confirmed to employee:

Immediate effect

Not an assumption of guilt

On full pay, no detriment financially

Must hand back ID/mobile devices,ie telephone/iPads, Laptops/bleep/keys/Rio & ESR Cards etc

Access to Smart/Rio/ NHS mail suspended.

Must not enter premises unless as a patient or patient's carer and must notify and seek manager’s permission if they need to come on to site (unless it is an emergency)

Must not contact Trust employees not involved in this issue other than representative or line manager, HR, investigation officer

You should offer support via Occupational Health and CiC and ensure referral made within 5 days of suspension

You should confirm line management support on a regular basis

Issue copy of Disciplinary Policy HR06

Items handed in by employee:

Items removed from workplace by employee:

Signed: (Manager) _________________________ Date: ___________________Risk Assessment Tool – Suspension of Employees

28

This assessment tool is to be used prior to any decision being taken about whether to suspend/redeploy or limit the duties of any employee. The line manager should complete the risk assessment seeking advice from the appropriate HR Lead and retain a copy on the investigation/personal file. The decision to suspend or not lies with the Manager with designated authority and the Line Manager.

Date:

Manager:

HR Lead:

Name of Employee:

Department/Directorate:

Issue/Incident:

Reported by:

Evidence obtained prior to risk assessment:

Risk Analysis

Risks Yes/ No

Explanation Risk Likelihood (1= Rare, 5=Almost Certain)

Risk Consequence

(1=Insignificant, 5= Catastrophic)

Risk of harm to patients

Risk of harm to employees

Risk of harm to self

29

Risk of harm to Trust

Risk of continued fraud

Risk to service provision

Minimal/limited risk of any problem

No risk of problems

*please see below to aid you in the completion of this section of the Risk Assessment.

Risk Options

Risk Options Yes/No Reason for Risk Option

No requirement to take action identified

Manage the risk and allow the employee to remain within their role under close supervision

Reduce the risk and limit duties and role under supervision within the same workplace

Transfer the risk and redeploy the employee temporarily to alternative employment within the Trust

30

Avoid the risk and suspend the employee

Outcome

Outcome of Assessment and Decision: Date: Signed:

31

Risk Likelihood Definitions: Risk Consequence Definitions:

DESCRIPTION ACTUAL OR POTENTIAL

IMPACT

NUMBER OF PERSONS AFFECTED

ACTUAL OR POTENTIAL IMPACT ON THE ORGANISATION

CATASTROPHIC SELF EXPLANATORY

Death Many (>50) e.g. cervical screening concerns, vaccination error etc.

International adverse publicity, loss of confidence in the organisation

Extended service closure

Litigation >£1million

MAJOR

UNABLE TO CONTINUE EMPLOYMEable

Major permanent harm

16-50 National adverse publicity/major loss of confidence in the service

Temporary service closure

Litigation >£500,000

RISK LIKELIHOOD SCORE

LIKELIHOOD DESCRIPTION

5 ALMOST CERTAIN

Will undoubtedly occur on a regular basis (daily)

4 LIKELY Will probably occur (weekly) 3 POSSIBLE May occur (monthly) 2 UNLIKELY Do not expect it to happen but it is possible

(once per year) 1 RARE Cannot believe that this will ever happen (<

once per year)

32

illness/severe substance and/or material

MODERATE RESULTING IN IN-PATIENT TREATMENT, EG Major fracture (legs, arms, skull, spine etc.) severe reaction to substances or materials/major burns or scalds/severe infection

Semi-permanent harm (up to 1 year)

3-15 Local adverse publicity/moderate loss of confidence

Litigation £50k-£500k

MINOR THAT DOES NOT REQUIRE IN-PATIENT TREATMENT,

Non-permanent harm (up to 1 month)

1-2 Litigation <£50k

33

EG minor fracture (toes, fingers etc.)/minor reaction to substances or materials/minor burns or scalds/minor infection

INSIGNIFICANT PENETRATING INJURIES, EG sharps and major cuts

No obvious harm

N/A Minimal impact, no service disruption

34

Appendix 5 - Adult Protection Process Flowchart

Allegation of abuse received involving staff member

Suspend staff member and refer case to Disclosure and Barring service(DBS) (see DBS referrals Website https://www.gov.uk/government/organisations/disclosure-and-barring-service; DBS referrals flowchart https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/230256/dbs-referral-chart.pdf)

Inform Chief Executives office. Consider making a referral to relevant professional body e.g. NMC, HCPC etc.

Hold strategy meeting and carry out internal investigation. (If a police investigation is to be held this may delay internal investigation)

Complete investigation and decide whether disciplinary action is appropriate.

Inform strategy meeting of decision.

If employee is dismissed then refer to Disclosure and Barring Service (DBS) for inclusion on register.

Consider if referral to professional body is required

https://web.nhs.net/OWA/redir.aspx?C=ZSlJA2sIt0ilVS2Ixy7Ze9rMGjT-E9JIoNij9jFBtIcGvA5vS8jn5ucYDzfgzcwnDD2rjacyUj0.&URL=https%3a%2f%2fwww.gov.uk%2fgovernment%2forganisations%2fdisclosure-and-barring-service

https://web.nhs.net/OWA/redir.aspx?C=ZSlJA2sIt0ilVS2Ixy7Ze9rMGjT-E9JIoNij9jFBtIcGvA5vS8jn5ucYDzfgzcwnDD2rjacyUj0.&URL=https%3a%2f%2fwww.gov.uk%2fgovernment%2fuploads%2fsystem%2fuploads%2fattachment_data%2ffile%2f230256%2fdbs-referral-chart.pdf

https://web.nhs.net/OWA/redir.aspx?C=ZSlJA2sIt0ilVS2Ixy7Ze9rMGjT-E9JIoNij9jFBtIcGvA5vS8jn5ucYDzfgzcwnDD2rjacyUj0.&URL=https%3a%2f%2fwww.gov.uk%2fgovernment%2fuploads%2fsystem%2fuploads%2fattachment_data%2ffile%2f230256%2fdbs-referral-chart.pdf

35

Guidance Document 1 - Investigatory Meeting Guidance

Pre-investigation meeting

Letter inviting individual to the meeting (see standard letter) o Right to representation o Sufficient notice o Clarify purpose of meeting o Enquire about any reasonable adjustment required

Suitable venue o private & confidential o comfortable o quiet – no interruptions o neutral location o water o accessible for those with disabilities

Fact finding Questions o What specific questions or areas do you need to cover in the meeting? o Ensure questions are appropriate and not leading o Use standard templates o Non-judgemental – fact finding only

Note taker / digital recorder (agree who is responsible for recording the meeting) Fact finding – are there any facts or information that you can establish ahead of the

meeting

At the meeting

Introductions Clarify purpose of the meeting / use template introduction Right to be supported by trade union representative / work based colleague

o to make you aware of allegations/concerns that… o to provide an initial opportunity to respond / attending as a witness

to establish what the next steps will be, if any, Clarify that individual understands this and is willing to proceed

Notes will be taken as a record of this meeting and a copy will be provided for individual to review and sign as an accurate record of the meeting

Individual may request an adjournment at any time

Post-investigation meeting

Ensure notes are written up, circulated, signed and returned as soon as possible (see template)

Consider if further investigation is necessary o Any documentary evidence o Any witnesses to be interviewed o Do you need to conduct a further interview with the individual for further

clarification? Is there are case to answer?

o Seek advice from Workforce Business Partner o Discuss with disciplining officer

36

Guidance Document 2 - Employee Whom Allegations Are Against Letter

EXAMPLE LETTER 1 – EMPLOYEE WHOM ALLEGATIONS ARE AGAINST

Dear XX,

Re: Invite to Investigatory Meeting

I am writing to invite you to an investigatory meeting to discuss allegations/concerns that xx.

The purpose of this meeting is as follows:

To provide you with details of the allegations/concerns To provide you with an initial opportunity to respond to the allegations To establish what the next steps may be in my investigation

The meeting will be held at xx on xx at xx.

You are entitled to be represented by an accredited trade union/professional organisation or accompanied by a work colleague. I will be accompanied by xx.

If you require any support during this time then please contact the Employee Assistance Programme (EAP) with CIC as detailed below. The service is confidential and priority will be given to those who have been involved in an incident at work.

the telephone number is a freephone number - 0800 085 1376

their email address is [email protected] ,

text relay 18001 0800 085 1376

for their website is www.well-online.co.uk

Private & Confidential

Wonford House Hospital

Dryden Road Exeter

EX2 5AF

Telephone:

Facsimile:

Please ask for:

Direct Dial Tel:

Date:

Our Ref:

Your Ref:

01392 403433

01392 208708

https://web.nhs.net/owa/redir.aspx?C=3bc9687360694bff83abeee62e7e5b0b&URL=mailto%3aassist%40cic-eap.co.uk

https://web.nhs.net/owa/redir.aspx?C=3bc9687360694bff83abeee62e7e5b0b&URL=http%3a%2f%2fwww.well-online.co.uk

37

Please can you confirm your attendance at this meeting by XX. If this date or venue is inconvenient to you in any respect please notify me as soon as possible and I will try to arrange a suitable alternative.

Please do not discuss this with anyone other than your line manager; HR contact or representative. Please do not post any information about this on social media, such as FaceBook.

This venue is fully accessible with disabled facilities. Please advise whether you have any other needs and/ or whether you require any reasonable adjustments.

If you have any questions please do not hesitate to contact me on XX.

Yours sincerely,

Name

Job Title

Cc Line Manager

38

Guidance Document 3 - Invite To Witness to Investigatory Meeting Letter

EXAMPLE LETTER 2 – INVITE TO WITNESS TO INVESTIGATORY MEETING

Dear XX,

Re: Invite to Investigatory Meeting

I am writing to invite you to an investigatory meeting on XX at XX. The purpose of this interview is in relation to allegations/concerns that XX. I have asked you to attend this meeting as there are some questions that I would like to ask you in order to assist with my investigation.

You are entitled to be represented by your accredited trade union/professional organisation or accompanied by a work colleague if you wish.

It is possible that this investigation may result in further action in accordance with Trust procedure and as a result your statement may be presented and you may be called as a witness at any subsequent hearing. Your statement may also be released in response to a Data Protection Act or Freedom of Information Act request.

If you require any support during this time then please contact the Employee Assistance Programme (EAP) with CIC as detailed below.. The service is confidential and priority will be given to those who have been involved in an incident at work.



text relay 18001 0800 085 1376


Private & Confidential


Dryden Road Exeter

EX2 5AF

Telephone:

Facsimile:

Please ask for:

Direct Dial Tel:

Date:

Our Ref:

Your Ref:

01392 403433

01392 208708



39


Please do not discuss this with anyone other than your line manager; HR contact or representative. Please do not post any information about this on social media, such as FaceBook.

Please can you confirm your attendance at this meeting by XX. If this date or venue is inconvenient to you in any respect please notify me as soon as possible and I will try to arrange a suitable alternative.

If you have any questions please do not hesitate to contact me on XX.

Yours sincerely,

Name

Job Title

Cc Line Manager

40

Guidance Document 4 - Employee Interview Questions

FORMAT FOR EMPLOYEE WHOM ALLEGATIONS ARE AGAINST

Investigation Interview

Name of Individual

Date

Name of those present:

Introduction:

The purpose of this interview is to make you aware of allegations/concerns that XX and to provide you with an opportunity to respond to these allegations.

This investigation is being conducted under the Trust’s XX Procedure.

I will be preparing a summary transcript of this interview which you will have the opportunity to check and amend to ensure that it is an accurate record of the meeting. I will then ask you to sign and agree a final copy.

There are a number of possible outcomes as a result of this meeting, which may include:

- no further action / no case to answer - further investigation - formal action in accordance with Trust procedure

I will, of course notify you of the proposed course of action as soon as I am able to.

Interview Questions:

1. Do you understand the process and do you have any questions at this stage? 2. Are you willing to proceed? 3. Please can you confirm your job title and how long you have been working for the

Trust? 4. Insert questions specific to the case

I, the undersigned, confirm that the above record is an accurate reflection of the interview held on XX.

Signed: __________________________________________________

Print Name: __________________________________________________

Date: __________________________________________________

41

Guidance Document 5 - Witness Interview Questions

FORMAT FOR WITNESS

Investigation Interview

Name of Individual

Date

Names of those present:

Introduction:

The purpose of this interview is in relation to allegations/concerns that XX. I have asked you to attend this meeting as there are some questions that I would like to ask you in order to assist with my investigation.

This investigation is being conducted under the Trust’s XX Procedure.

I will be preparing a summary transcript of this interview which you will have the opportunity to check and amend to ensure that it is an accurate record of the meeting. I will then ask you to sign and agree a final copy.

It is possible that this investigation may result in further action in accordance with Trust procedure and as a result your statement may be presented and you may be called as a witness at any subsequent hearing. Your statement may also be released in response to a Data Protection Act or Freedom of Information Act request.

You should also be aware that your statement may be released under the Data Protection or Freedom of Information Act, should there be a formal request for this.

Interview Questions:

1. Do you understand the process and do you have any questions at this stage? Are you willing to proceed?

2. Please can you confirm your job title and how long you have been working for the Trust?

3. Questions specific to the case

I, the undersigned, confirm that the above record is an accurate reflection of the interview held on XX.

Signed: __________________________________________________

Print Name: __________________________________________________

Date: __________________________________________________

42

Guidance Document 6 - Investigatory meeting notes covering letter template

Private and Confidential

Trust Headquarters

Wonford House

Dryden Road, Exeter Devon, EX2 5AF

Telephone: Tel Number

Fax: Fax Number Direct line: Extn Number

email address

Your Ref: Type in Ref Our Ref: Type in Ref

Department: Type in Dept

Ask for: Name

Date

Dear NAME,

Thank you for attending the investigatory meeting on date.

It was explained to you that this was a formal meeting and that summary notes would be taken.

I therefore enclose two copies of the notes from the meeting for you to check and make factual amendments in ink should you feel they are inaccurate.

There is one copy for your retention and the other should be signed, dated and returned to me within seven working days of the date of receipt. If I do not receive a signed copy within this timeframe I will assume you are in agreement with the record taken.

Please contact me if you have any queries.

Yours sincerely,

Name

Job title

43

Enc.

Guidance Document 7 - Investigation Report

STRICTLY CONFIDENTIAL INVESTIGATION REPORT

Name of Individual

Job Title Procedure (e.g. Conduct/Grievance)

Investigating Officer: XX Supported by: XX Date of report: XX

1. Background

of individual (e.g. previous performance, absence if applicable) of department/ ward of incident

2. Details of Alleged Incident / grievance / complaint

details of incident - when it happened - who was involved - how it was reported -

3. Terms of Reference

the aims of the report methods used in the report (e.g. interviews with employees) what questions will be answered in the report

4. List of Witnesses

Name Initials Job Title Department / Ward Statement Appendix No:

44

5. Chronology of Events

Table or list of sequence of events 6. Findings

answers to terms of reference key aspects of investigation

7. Supporting Information

any other information that supports the investigation/ findings 8. Conclusion

summary and outcome of the investigation

9. Recommendation

Is there sufficient evidence to proceed to a formal hearing? Yes / No

Are there training needs? Yes/No

10. Further considerations

any mitigating circumstances any other considerations needing to be taken into account

11. List of Appendices

45

Standard Letter A - Standard Suspension Letter Template

Recorded Delivery

Strictly Private & Confidential

Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF

Telephone: 01392 403433 Direct line: 01392 208708

Date:

Our Ref: Ask for:

Dear Suspension I refer to our meeting today [insert date] convened at my request and held in the presence of myself and [insert name] The purpose of this meeting was to inform you that I am in receipt of allegations that you have been . From the information available to me at this time, I consider there are reasonable grounds to believe that, should these allegations be substantiated, they may constitute Gross Misconduct in accordance with the Trust’s Disciplinary Rules and Procedures. In order that a preliminary investigation can be undertaken, you are required to commence a period of suspension from today, [insert date] . Following completion of the preliminary investigation, I shall be contacting you again to advise of any action that might be taken, which may include an extension of the special leave period if necessary, to allow further investigations. We are hoping to complete the investigation within the next weeks but we will keep in contact with you regarding this. You are reminded of your rights of representation as set out in Appendix C of the disciplinary procedures, copies of which are provided for yourself and your trade union representative. Finally, I must emphasise that a period of suspension should not be considered to imply guilt and would assure you that in every respect this issue shall be handled in an equitable manner. I would like to confirm that suspension is paid at your full pay rate. As discussed you may not enter Trust property or access Trust information systems, this includes that you cannot work for any other agency or employer or in any other business

46

during the hours that you would normally be contracted to work for the Devon Partnership Trust, unless authorised and/or accompanied by a manager or unless you have a medical appointment. You should be available at all times to assist with any investigation. If you wish to book annual leave whilst suspended you should contact their line manager with the leave request. It is standard practice within our Trust to refer staff subject to suspension to occupational health. I will now make a referral. In addition, I advised you that you should not to discuss the case with anyone, other than your Trade Union/Professional Organisation, investigating officer(s), HR representative or line manager;

If you require any support during this time then please contact the Employee Assistance Programme (EAP) with CIC as detailed below. The service is confidential and priority will be given to those who have been involved in an incident at work.



text relay 18001 0800 085 1376


If you have any queries please contact [insert name] on who will be your contact during this period of suspension. Please do not discuss this with anyone other than your line manager; HR contact or representative. Please do not post any information about this on social media, such as FaceBook. Should you have any concerns or enquiries regarding this letter, please do not hesitate to contact me. Yours sincerely c.c. to: Line manager HR Representative Trade union representative/work colleague (if known)



47

Standard Letter B - Invitation for Employee to Disciplinary Hearing

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear

Disciplinary Hearing - [insert date]

Further to [insert name] , letter of the [insert date], informing you that following and the subsequent investigation undertaken by [insert name] , the Trust has decided that this matter should be considered by a panel at a Disciplinary Hearing in accordance with the Devon Partnership NHS Trust’s Disciplinary Procedure.

I write to confirm the Disciplinary Hearing has been arranged for [insert date], at in the . Please report to Reception in time for the commencement of the Hearing and you will be taken to an office you and your representative may use during the hearing.

The disciplinary hearing panel will be chaired by [insert name] , accompanied by [insert name] and [insert name] , HR representative. The management case will be presented by [insert name] .. Notes of the hearing will be taken by a Digital Recording Machine.

The purpose of the Hearing is to consider allegations that:-

To assist you in your preparation for the Hearing, I am enclosing two set of papers which will be referred to during the hearing; one set is for yourself and the second set is for your representative.

I feel, given the serious nature of the allegations made against you, it is possible that the findings of the disciplinary hearing might result in you receiving a sanction up to a first written warning/final written warning/your dismissal from your employment on the grounds of gross misconduct*, if as a result of the outcome of the Hearing, the allegations are upheld. In

48

addition, if you are issued with first written/final written warning you are likely to be affected by the pay progression policy. Your conduct/behaviour will be discussed during your next appraisal / PDR and this may result in your annual increment being withheld.

You are entitled, if you wish to be accompanied by an accredited representative of a Trade Union/Staff Association/Professional Organisation or a work colleague.

Please send me any written response to the allegations no later than seven days before the hearing [insert date], so that I can include them in the papers which will be sent to panel members and the management side.

I should also be grateful if you could also please confirm that you will be attending the hearing seven days before the hearing by contacting [insert name] , my PA on by [insert date] , to confirm your attendance, to advise if you intend to call any witnesses and the names of those witnesses. Should you wish to call any witnesses to support your grievance then please ensure that you advise them of the date, time and venue for the hearing and ensure that you prepare them before the hearing. Please note that if you fail to attend without contacting me, and without any reasonable excuse, the hearing will proceed in your absence.


In the meantime, if you have any queries, please do not hesitate to contact me.

Yours sincerely

Cc [insert name] Panel, including [insert name] HR Representative

[insert name] Manager presenting case + [insert name] Line Manager Additional copy for Trade Union Representative

* Delete as appropriate

49

Standard letter C - Informal Procedure – Written Record of Meeting


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear Informal Warning I write to confirm our discussions of [Date] in relation to my concerns over [describe incident] . At the meeting you confirmed to me your version of events [insert brief outline]. After listening to you I confirmed my views on the incident/issue and made clear to you my future expectations, which are: .

.

.

We agreed the following actions – - - - In the event that there are any repetitions of this or any similar incident you should be clear that formal disciplinary action in line with the Trust’s Disciplinary & Appeals Policy may be invoked and the detail of this incident may be taken into account. If there are no further repetitions the letter will be disregarded after six months has elapsed. Please let me know of you are unclear about any aspect of this letter.

Yours sincerely,

Cc Personal file

50

Standard Letter D - First Written Warning Template

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear

Disciplinary Hearing - First Written Warning

I refer to the disciplinary hearing of [insert date] conducted in accordance with the Trust’s Disciplinary Rules and Procedures and convened by myself as Disciplining Officer to consider allegations that .

Also in attendance at the hearing were [insert name] your accredited trade union representative/work colleague, [insert name] , who presented Management’s evidence and was assisted by [insert name] HR representative .

Specifically, I required you to respond to the issues and allegations set out in the investigatory report that I had previously been provided to you.

I listened very carefully to all the verbal evidence presented and referred to all the documentary evidence provided.

I am satisfied that this enquiry has been both thorough and full.

The central issues for me therefore to consider is whether you have on this and other occasions you have ……

Having considered all the evidence in respect of these allegations, I decided that there were reasonable grounds to believe your actions constituted Minor Misconduct as designated under the Trust Disciplinary Rules and Procedures.

It is clear to me that you have not met with the expectations of the Trust on the occasion(s) in question.

51

Given the foregoing, the issue for me to consider therefore is whether I can reasonably believe that the allegations are true. On the balance of probabilities, given the evidence presented during the hearing I have come to the view that these allegations are true. I take the view that you have fundamentally breached the expectations placed on you to fulfil these responsibilities. I do not consider that your actions are acceptable and I therefore consider that your actions amount to minor misconduct and in the circumstances, therefore, I am writing to inform you of a first written warning. I must formally warn you that I expect to see a distinct and sustained improvement in your conduct as follows:-

a) The nature of the unsatisfactory conduct was:

b) The conduct improvement expected is:

I would advise you that a copy of this letter will be placed on your personal file and retained there for [insert time – 12-18 months], expiring on [insert date], after which time it will be disregarded. If, during this period, you are subject to any further disciplinary action then consideration will be given to taking further disciplinary action against you and this may include a more serious warning or the termination of your employment with the Trust.

As you have been issued with first written/final written warning you are likely to be affected by the pay progression policy. Your conduct/behaviour will be discussed during your next appraisal/PDR and this may result in your annual increment being withheld.

In accordance with the Trust’s Disciplinary Rules and Procedures, I would advise you have the right to appeal against my decision to issue you with a written warning until [insert date] to the Trust Board. Any such appeal should be lodged in writing outlining the basis of your appeal to [insert name] , Deputy Director of Human Resources, at Trust Headquarters (address as above) within 14 calendar days of receiving this disciplinary decision.

A copy of this letter has been [sent to/attached for] your representative.

Yours sincerely

Cc to: Line manager (as appropriate) HR Representative TU representative/work colleague *Delete as appropriate

52

Standard Letter E - Outcome of Appeal Against First/Final Warning

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear

Notice of Appeal Against First written/Final Written Warning

I refer to your appeal against the decision of disciplinary hearing that you have been given a first written warning/final written warning* in accordance with the Trust’s Disciplinary Rules and Procedures and convened by myself as Chair of the Appeal Panel.

The appeal hearing was held on [insert date] and conducted by me assisted by [insert name] . Also in attendance at the hearing were [insert name] your accredited trade union representative/work colleague, [insert name] , who presented Management’s evidence and was assisted by [insert name] HR Representative.

I am now writing to inform you of the decision taken by me in conducting the appeal hearing, namely that the decision to issue you with first written warning/final written warning* stands/has been revoked* (specify if no disciplinary action is being taken or what the new disciplinary action is).

You have now exercised your right of appeal under the Trust’s Disciplinary Rules and Procedures and this decision is final.

Yours sincerely,

c.c. to: Line manager HR Representative

Trade Union representative/work colleague

*Delete as appropriate

53

Standard Letter F - Final Written Warning

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear Disciplinary Hearing - Final Written Warning I refer to the disciplinary hearing on [insert date], convened by myself as Disciplining Officer. I was accompanied by disciplinary panel members [insert name] . You were present at the hearing and you were accompanied by [insert name] . The management case was presented by [insert name] . The hearing was held in accordance with the Devon Partnership Trust disciplinary procedure. I explained the procedure to you and had previously provided you with a copy of the disciplinary procedure. The hearing was convened to consider and enable you to respond to the issues set out in the investigatory reports that I had previously been provided to you and to consider the allegations: -

1.

I explained during the hearing that the Devon Partnership Trust takes these matters very seriously..

I listened very carefully to all the verbal evidence presented and referred to all the documentary evidence provided. I am satisfied that this enquiry has been both thorough and full. The central issues for me therefore to consider is whether you have on this and other occasions you have not met with the Trusts expectations in respect of . I have noted that you have given a full and frank admission to the actions alleged*.

54

Having considered all the evidence in respect of these allegations and your full and frank admission, I have decided that your actions warrant disciplinary action in accordance with the Trust’s Disciplinary Rules and Procedures. It is clear to me that you have not met with the expectations of the Trust on the occasion(s) in question. This is particularly pertinent when you consider .

Given the foregoing, the issue for me to consider therefore is whether I can reasonably believe that the allegations are true. On the balance of probabilities, given the evidence presented during the hearing I have come to the view that these allegations are true. I take the view that you have fundamentally breached the expectations placed on you to fulfil these responsibilities. I do not consider that your actions are acceptable and I therefore consider that your actions amount to serious misconduct and in the circumstances, therefore, I am writing to issue you a final written warning. I must finally warn you that I expect to see a distinct and sustained improvement in your conduct and behaviour. I would advise you that a copy of this letter will be placed on your personal file and retained there for [insert time – 18-24 months], expiring on [insert date], after which time it will be disregarded. If, during this period, you are subject to any further disciplinary action then consideration will be given to taking further disciplinary action against you and this will / is likely to include the termination of your employment with the Trust.

As you have been issued with first written/final written warning you are likely to be affected by the pay progression policy. Your conduct/behaviour will be discussed during your next appraisal/PDR and this may result in your annual increment being withheld.

In accordance with the Trust’s Disciplinary Rules and Procedures, I would advise you have the right to appeal against my decision to issue you with a final written warning until [insert date] to the Trust Board. Any such appeal should be lodged in writing outlining the basis of your appeal to [insert name] ,Deputy Director of Human Resources at Trust Headquarters (address as above) within 14 calendar days of receiving this disciplinary decision.

A copy of this letter has been [sent to/attached for] your representative. Yours sincerely Cc to: Line manager (as appropriate) HR Representative TU representative/work colleague *Delete as appropriate

55

Standard Letter G - Dismissal

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear

Disciplinary Hearing

I refer to the disciplinary hearing on [insert date], conducted by myself as Disciplining Officer. I was accompanied by disciplinary panel members [insert name] .

You were present at the hearing and you were accompanied by [insert name] . The management case was presented by [insert name] , supported by [insert name] HR representative.

The hearing was held in accordance with the Devon Partnership NHS Trust disciplinary procedure. I explained the procedure to you and had previously provided you with a copy of the disciplinary procedure. The hearing was convened to consider and enable you to respond to the issues set out in the investigatory reports that I had previously been provided to you and to consider the allegations: -

1.

I explained during the hearing that the Devon Partnership Trust takes these matters very seriously.

I listened very carefully to all the verbal evidence presented and referred to all the documentary evidence provided. I am satisfied that this enquiry has been both thorough and full.

56

The central issues for me therefore to consider is whether you have on this and other occasions met with the Trusts expectations in respect of . I have noted that you have given a full and frank admission to the actions alleged*. Having considered all the evidence in respect of these allegations and your full and frank admission*, I have decided that your actions warrant disciplinary action in accordance with the Trust’s Disciplinary Rules and Procedures. It is clear to me that you have not met with the expectations of the Trust on the occasion(s) in question. This is particularly pertinent when you consider . Given the foregoing, the issue for me to consider therefore is whether I can reasonably believe that the allegations are true. On the balance of probabilities, given the evidence presented during the hearing I have come to the view that these allegations are true. I take the view that you have fundamentally breached the expectations placed on you to fulfil these responsibilities.

On the basis of the foregoing, I do not consider that your actions are acceptable and I, therefore, writing to confirm my decision that I consider your actions amount to gross misconduct and in the circumstances, you be dismissed from your employment with the Trust with immediate effect. Your effective date of termination for statutory purposes is therefore [insert date] . The reason(s) for your dismissal is/are:

I shall make arrangements for any outstanding payment of salary to be forwarded to you as soon as possible.

I would also inform you that this matter will now be referred to the Disclosure and Barring Service (DBS) for inclusion on the register and (if relevant insert) relevant professional body who may decide to undertake their own investigation into this matter.

In accordance with the Trust’s Disciplinary Rules and Procedures, I would advise you have the right to appeal against my decision dismiss you to the Trust Board. Any such appeal should be lodged in writing outlining the basis of your appeal to [insert name] , Deputy Director of Human Resources, at Trust Headquarters (address as above) within 14 calendar days of receiving this disciplinary decision.

A copy of this letter has been [sent to/attached for] your representative. Yours sincerely Cc to: Line manager (as appropriate) HR Representative TU representative/work colleague *Delete as appropriate

57

Standard Letter H - Outcome of Appeal Against Dismissal

Recorded Delivery


Trust Headquarters


Dryden Road Exeter

Devon, EX2 5AF


Date:

Our Ref: Ask for:

Dear

Outcome of Appeal Against Dismissal

I refer to the disciplinary appeal hearing on [insert date], conducted by myself as Disciplining Officer. I was accompanied by disciplinary appeal panel members [insert name] . You were present at the hearing and you were accompanied by [insert name] . The management case was presented by [insert name] , supported by [insert name] HR representative. The hearing was held in accordance with the Devon Partnership Trust disciplinary procedure. I explained the procedure to you and had previously provided you with a copy of the disciplinary procedure. The hearing was convened to consider your appeal against your written warning/final written warning/dismissal* (Insert detail of appeal) I am now writing to inform you of the decision taken by me in conducting the appeal hearing, namely that the decision you should receive a written warning/final written warning/be dismissed/ * should stand/has been revoked* (specify if no disciplinary action is being taken or what the new disciplinary action is. If sanction is increased to dismissal when it was previously a lower sanction a further opportunity for appeal should be offered). You have now exercised your right of appeal under the Trust’s Disciplinary Rules and Procedures and this decision is final. Yours sincerely, c.c. to: Line manager

HR Representative; Trade Union representative/work colleague *Delete as appropriate

58

Standard Letter I - Disciplinary Appeal

Private and Confidential

HR Office

Workforce Directorate Estuary House

Brunel Industrial Estate Collett Way,

Newton Abbot Devon TQ12 4PH

Telephone: 01392 388217

Your Ref: Our Ref: JP/DH/

Date:

Dear Disciplinary Appeal

I write to acknowledge receipt of your letter, dated , lodging an appeal against the decision to issue you with a first/final written warning/against your dismissal as a result of the disciplinary hearing held on , , which has been passed to me for action.

Arrangements will be made to hear your appeal and you will be advised of the date for this hearing shortly. Please note that your full statement of case will need to be received fourteen days before the Appeal Hearing is held.

In the meantime, I note in your above letter, you have stated that your grounds for appeal are XXXXXX and/or are not that specific and, therefore, I should be grateful if you could provide me with the exact grounds of your appeal by return.

I would advise you in line with the Trust’s Disciplinary Policy, HR06 that the role of the appeal panel is to consider the appropriateness of the decision made, based upon the information that was available to the original disciplinary panel. In doing so, the panel will need to determine whether, in the circumstances, the disciplinary sanction applied was appropriate given the evidence presented, organisational precedent and in consideration of any mitigation that was presented. The panel will need to consider whether it is appropriate to consider any new evidence, as the appeal process is not a re-trial but a validation process of the original decision.

In exceptional circumstances, e.g. where new evidence needs to be considered, it may be appropriate for the appeal panel to consider the evidence or to remit it back to the original panel for a re-hearing to take place. This will depend on the reason as to why this new evidence was not made available to the original panel and the appeal panel.

As soon as a date for your appeal has been arranged, I will write to you again confirming the arrangements.

Yours sincerely,

c.c. Line manager HR Representative

Trade Union representative/work colleague

disciplinary procedure - dpt

Documents