policies, procedures & guidelines - lewisham ccg...unreasonably delayed (see 3.3 above) by the...

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Policies,

Procedures & Guidelines

The Hearing & Appeals Procedure

Issue Number: 1

Ratified by: SMT & JSPC

Issue Date: July 2009

Originated by: Damian McGuinness HR Manager

Agreed by: Deputy Director of HR & OD

Review Date: July 2012

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Version Control

Reference HR / HEAR / 08

Date Approved 17 July 2009

Approving Body SMT

Implementation Date 17 July 2009

Version 1.1

Supersedes The Hearing & Appeals Procedure v 1

Consultation Staff side, Senior Management Team

Supporting Procedure All PCT policies and procedures with particular reference to Disciplinary Policy, Sickness Absence Policy, Supporting Performance at Work Policy, Contract of Employment.

Review Date July 2012

Lead Executive HR Director

Author/Lead Manager HR Manager

Further Guidance ACAS, CIPD, DOH, NHS Employers Implementation

Target audience

All PCT Staff

Implementation plan in place?

Yes

Tools for dissemination

E-mail & Intranet

Date of dissemination

January 2009

Monitoring

Monitoring method

Audit

Frequency

Annual

Responsibility

HR Department

Reporting

HR Department

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Equalities Impact Assessment Screening Grid Note: See equalities impact assessment guidance notes on PCT website at www.lewishampct.nhs.uk/eia before completion.

Equality Group Assessment of Impact Race

No impact

Disability

No impact

Gender

No impact

Age

No impact

Sexual Orientation

No impact

Religion or belief

No impact

Deprivation

No impact

Dignity and Human Rights

No impact

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Contents

Part A – Hearing Procedure 1. Procedure Statement ........................................................................5 2. Scope................................................................................................6 3. The Hearing ......................................................................................6 4. Participants at the Hearing ................................................................7 5. Process of the Hearing .....................................................................7 Part B – Disciplinary Sanctions 1. Disciplinary Sanctions (For hearings on grounds of alleged

Misconduct only) ...............................................................................9 2. Commencement of Stages within the Procedure.............................11 3. Hearings held on grounds of capability or attendance .....................11 4. Payment of Salary Following Dismissal ...........................................12 5. Summary Dismissal .........................................................................12 Part C – Appeals Procedure 1. General Principles ………………………….…………………………. 13 2. Lodging an Appeal ……………………………….………………….. 14 3. Procedure at the Appeal Hearing ……………….…………………. 15 Part D – Code of Practice 1. Code of Practice ……………………………………………….……… 17 2. Amendment/Additions to Code of Practice ………………………… 22 3. Revision of Hearing and Appeals Procedure ……………………. 22 Appendices Appendix 1 Oral Warning Form Appendix 2 Posts Authorised To Take Disciplinary Action Appendix 3 Hearing Flowchart Appendix 4 Appeal Hearing Flowchart

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Part A - The Hearing Procedure 1 Procedure Statement

The Hearing and Appeals Procedure aims to bring a common approach to hearing all formal cases of a disciplinary, attendance or capability related nature, to ensure there is less likelihood of procedural breaches during formal action and greater fairness towards the employee.

This procedure should be used for Formal Hearings resulting from processes followed in the Disciplinary, Sickness Absence and Supporting Performance in Employment Procedures (see flowchart). It is essential that managers have followed the processes contained within these policies prior to bringing the issue to a Formal Hearing.

Appeal

Formal disciplinary warnings should only be issued following Disciplinary hearings. For hearings on the grounds of attendance or capability, recommendations for the improvement of the individual’s attendance/work performance or dismissal are the only sanctions available. This is because regular reviews are part of the Sickness Absence and Supporting Performance in Employment procedures, so in cases of capability or attendance the purpose of the hearing would be to ascertain whether dismissal is fair and reasonable. Disciplinary warnings would only be issued in Hearings where the case presented had followed the Disciplinary procedure.

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2 Scope All staff covered by the Lewisham PCT Disciplinary, Sickness Absence and Supporting Performance in Employment Procedures are covered by this procedure.

The Hearing and Appeals procedure DOES NOT apply to Individual or Collective Grievances which follow a separate hearing process contained within the Grievance and Disputes Procedure.

3 The Hearing 3.1 If, following an investigation into misconduct under the Disciplinary Policy or

having exhausted the review processes contained within the Sickness Absence or Supporting Performance in Employment policies a decision is taken to proceed with formal action, then a formal hearing should be arranged.

3.2 The hearing officer (manager chairing the hearing) or the Human Resources representative will provide the notice of the hearing date in writing giving at least 5 clear working week days notice (or as soon as possible if this is not practicable) confirming:

� The date, time and venue of the hearing

� The purpose of the hearing, i.e. whether it is on the grounds of breach of disciplinary, capability, attendance and the allegations/case against the member of staff concerned

� Details of all those who will attend the hearing

� Right to representation and the right to bring witnesses

� In the case of disciplinary hearings, the fact that should the allegation be substantiated a formal sanction may be given. Reference should be made to the possibility of dismissal if appropriate, e.g. if the allegation could be concluded to constitute gross misconduct.

It should also include:

� Copies of available statements, which should be signed and dated.

� Copy of management case, written by the investigating officer

3.3 Ordinarily, witnesses should be prepared to attend the hearing. However, in highly sensitive cases details of witnesses may not be submitted so that they are protected. This should be discussed with Human Resources. Any statements provided by witnesses shall include only facts i.e. observed events that they themselves have witnessed, not surmises or reported comments.

3.4 If the employee’s representative is unable to attend the hearing, the employer is obliged to postpone the hearing. The new date will be a date proposed by the employee which has to be reasonable, and falls within a period of 10 working days beginning with the first working day after the day originally proposed by the employer. Where practicable the date of the hearing will be mutually agreed with all parties.

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4 Participants at the Hearing 4.1 The hearing will be chaired by a hearing officer. Post holders with the authority

to take disciplinary action are listed in Appendix 2 of the procedure. 4.2 Except in cases of minor misconduct where an oral warning is likely to be

issued, there will always be a presenting officer (i.e. the manager who carried out the investigation) at a hearing presenting the management case. The Human Resources representative who assisted the investigating officer will also be in attendance in the capacity of assisting them present the management case. Please refer to Disciplinary Policy for further reference with respect to responsibilities of parties involved.

4.3 A Human Resources representative will also be in attendance at the hearing in

an advisory capacity. The function of this Human Resources representative is to ensure that there is a full and thorough hearing, that the agreed procedure has been applied properly and fairly.

4.4 A note taker will be present throughout the hearing to record an accurate

record of proceedings. 4.5 Witnesses may be called by the presenting officer or member of staff to provide

evidence as appropriate. The relevance of the witnesses must be stated by both parties and it will be the hearing officer’s decision to determine the relevance. As part of the management case or employee’s case all witnesses should not unreasonably be removed. All witnesses should provide a statement prior to the hearing. Clients, patients or external people would not normally be called as witnesses. However, evidence in the form of statements and investigatory meeting notes will form part of the management case (where relevant).

4.6 The employee has the right to be accompanied at the hearing by a

representative, who may, if required, state the employee’s case, examine evidence and give advice to the employee. However, the hearing may not be unreasonably delayed (see 3.3 above) by the non-availability of the representative. The date of the hearing will mutually be agreed, whenever practicable.

5 Process of the Hearing 5.1 The role of the hearing officer is to elicit as much information as possible about

the situation, in order to make a decision. A Human Resources representative will be present and in some cases where there are professional issues, and the chair is not of that profession, it may be appropriate to also have a 'professional adviser' present. They would cover appropriate areas of questioning and provide expert advice to the hearing officer. The responsibility for making the decision rests with the hearing officer

5.2 It will be at hearing officer’s discretion to accept any additional evidence being

submitted on the day of the hearing, (this will be dependent on if this is a late submission & the relevance of such submission). Should the hearing officer accept any additional evidence he/she will adjourn the hearing for a reasonable time to allow all parties to consider this information. In exceptional circumstances the hearing officer may decide after consultation with both

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parties that the hearing should be rearranged for a later date in light of this information. This will allow all parties to adequately respond to this further information.

5.3 The hearing officer should open the hearing by explaining why it has been

called, i.e. on the grounds of alleged misconduct, attendance or capability, and then conduct it as follows:

Flow chart available in Appendix 3

� The presenting officer will be invited to outline their findings. � The presenting officer should call any witnesses to the events in question

and ask them to go through their statement and put questions to them. � The employee (or their representative) will be given the opportunity to put

questions to the witnesses. � The hearing officer/HR representative will put questions to witnesses. � The employee or their representative will be given the opportunity to put

questions to the investigating officer � The hearing officer/HR representative will put questions to the

investigating officer � Invite the employee (or their representative) to state their case. � Invite the employee (or their representative) to call any witnesses of their

own, and put questions to them. � Invite the presenting officer to put questions to the employee and any

witnesses called on their behalf. � The hearing officer/HR representative should put questions to the

employee and any witnesses. � The presenting officer should be given the opportunity to sum up their

case. � The employee (or their representative) should be given the final

opportunity to sum up their case and raise points in mitigation of their case � Either party can request an adjournment at any stage in the proceedings. � When all the evidence has been presented the hearing should be

adjourned for the hearing officer to reach a decision. The Human Resources representative should remain with the hearing officer. In light of the hearing, it is the hearing officer’s decision as to whether additional information is required or whether a decision may be reached following an adjournment.

5.4 The employee, their representative and the investigating/presenting officer

should be recalled and informed of the hearing officer’s decision. If a formal sanction or recommendations are the result, the employee should be informed of the relevant points which should be confirmed in writing within 5 clear working weekdays after the hearing. In exceptional circumstances due to time constraints, it may not be possible to reconvene after adjournment. In such cases the decision will be made in writing.

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5.5 It is important that any key witnesses involved in the process of the investigation or the hearing are informed of the outcome, unless it is deemed inappropriate to do so (i.e. in highly sensitive cases).

Part B – Disciplinary Sanctions 1. Disciplinary Sanctions (For hearings on grounds of alleged Misconduct

only) No Action Where the allegations against an employee cannot be substantiated and the hearing officer does not reasonably believe that there is a case to answer, the decision may be that no action should be taken against the employee. Oral Warning - Stage 1 This is usually issued where minor forms of misconduct may, by repetition or degree, become serious. For example when appropriate advisory discussions have taken place and an employee’s conduct does not meet the required standards. The issue of an oral formal warning will be noted on the individual’s personal file by completing, signing and issuing to the individual the oral warning form at Appendix 1. This should be issued to the employee within a reasonable period (normally 5 working days). The employee should sign and return one copy to the hearing officer. The immediate manager should review the matter within a set time period to ensure that improvements are being achieved and sustained. If this is the case, the warning will be removed from the employee’s personal file after a period of 6 months and destroyed. An employee must be informed of the right of a single appeal and the means of pursuing an appeal, which must be lodged in writing within 14 calendar days of receipt of the warning.

First Written Warning – Stage 2 Where an oral warning has been given and there is not the desired improvement in conduct, or in cases of further misconduct warranting formal action following investigation, a first written warning may be issued to the employee. The decision will be confirmed in writing within 5 working days of the hearing. Such written confirmation will state clearly: � The nature of the offence � Any previous oral warning(s) still current � The duration of the warning � That failure to achieve the required standard conduct may lead to further

disciplinary action being taken and, where appropriate, refer to the extent

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to which mitigating circumstances put forward by the employee have been taken into consideration.

� The employee must be advised of their right of a single appeal and their means of pursuing an appeal, which must be lodged in writing within 14 calendar days of receipt of the warning letter.

� The employee should acknowledge receipt of the warning and a copy should be returned to their manager to be kept in the individual’s personal file.

� The warning letter should be removed and destroyed from the employee’s personal file after 12 months if no further action has been taken during this period.

Final Written Warning – Stage 3 Where a first written warning has been issued or where an instance of misconduct is sufficiently serious and at the hearing a final warning is considered appropriate. The final written warning will refer to previous warnings (oral and written) where relevant and clearly state that any further misconduct will lead to dismissal. The decision will be confirmed in writing within 5 working days of the hearing. Such written confirmation will state clearly: � The nature of the offence, any previous warning(s) still current � The duration of the warning � That failure to achieve the required standard of conduct will lead to further

disciplinary action being taken and, where appropriate, refer to the extent to which mitigating circumstances put forward by the employee have been taken into consideration.

� The employee must be advised of their right of a single appeal and their means of pursuing an appeal, which must be lodged in writing within 14 calendar days of receipt of the warning letter.

� The employee should acknowledge receipt of the warning and a copy should be returned to their manager to be kept in the individual’s personal file.

� The warning will remain on the employee personal file for a period of 12 months unless a longer period has been agreed at the time of the hearing. After which time the warning will be destroyed.

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Dismissal – Stage 4 Staff may only be dismissed with the authority of the appropriate officer noted in Appendix 2. The power of dismissal should not normally be delegated, but where in exceptional circumstances such action is taken, it should not be delegated below the next in line officer. If the decision to dismiss is taken, the employee will be informed that they have been dismissed with the notice entitlement appropriate to them or payment in lieu of notice. In cases of gross misconduct where the offence is so serious as to merit summary dismissal the dismissal will be without payment of notice period. (Refer to Part B of this policy for examples of gross misconduct). The manager will confirm the dismissal in writing to the employee. A copy of the letter will be filed in the employee’s personal file. The employee will be informed of the right to appeal and the means of exercising this right, which must be within 14 days of receipt of the dismissal letter. The dismissal letter should be sent by first class post or, where practicable, handed to the employee within 5 working days of the hearing.

2 Commencement of Stages within the Procedure 2.1 The stages referred to above do not imply that all breaches of conduct or poor

attendance should warrant the same level of warning. If a more severe penalty is felt to be reasonable in the circumstances, then that should be the action taken.

2.2 Account may be taken of previous warnings in relation to offences, which fall

into the same general category. However, issues of capability and conduct should be treated separately and it would be feasible for an employee to receive separate warnings in such circumstances. Similarly in certain circumstances an employee may be issued with separate warnings at a disciplinary hearing relating to separate disciplinary breaches.

Part D of this procedure contains the Disciplinary Code of Practice and contains information on misconduct, which may be considered Gross Misconduct.

3 Hearings held on grounds of capability or attenda nce 3.1 Given that all the review stages of the Sickness Absence or Supporting

Performance in Employment procedures will have been followed prior to the hearing being convened, and that the manager should be fully confident that there is nothing further that can be done to help the employee improve their performance or attendance (including potential for redeployment) dismissal on the grounds of incapability or attendance is a likely outcome.

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3.2 Where dismissal is an outcome the employee will be informed that they have been dismissed with the notice entitlement appropriate to them or payment in lieu of notice. The manager will confirm the dismissal in writing to the employee. A copy of the letter will be filed in the employee’s personal file.

The employee will be informed of the right to appeal and the means of

exercising this right, which must be within 14 days of receipt of the dismissal letter.

The dismissal letter should be sent by first class post or, where practicable,

handed to the employee within 5 working days of the hearing.

3.3 Should the hearing officer believe that the manager has yet to explore all possibilities in improving the performance of the individual, they may recommend certain courses of action, in line with the processes contained within Sickness Absence Policy and Supporting Performance in Employment Procedure.

4 Payment of Salary Following Dismissal

Except in cases of summary dismissal, the employee is entitled to the appropriate period of notice or payment in lieu of notice, depending on what is practicable in the circumstances. In the event of this expiring before an appeal hearing, reimbursement shall only occur if the employee is reinstated or re-engaged following the hearing. Reimbursement shall be based on the normal rate of pay the employee would have received if he/she had been working.

5 Summary Dismissal

This is dismissal of an employee without notice or payment in lieu of notice. It will be appropriate only in cases of gross misconduct where it is inappropriate because of the severity of the offence to give a warning prior to dismissal. It should be noted that a full investigation into the facts and a subsequent Formal Hearing in accordance with the procedure must be held as soon as reasonably practicable. There is no provision for 'dismissal on the spot'.

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Part C – Appeals Procedure 1. General Principles 1.1 Employees have the right to appeal against a decision taken under the Hearing

and Appeals Procedure to a higher level of management, not previously involved in the incident or issue of sanction.

1.2 The purpose of the appeal is to review the decision and ensure that it was

taken fairly. It is not to rehear all the evidence presented at the hearing unless the appellant demonstrates in the appeal letter that they consider this necessary.

1.3 Whenever possible, the appeal should be heard within five weeks from the

receipt of the employee’s stated intention to pursue an appeal. 1.4 The appellant will need to demonstrate how the original decision was unfair.

These reasons must fall within one or more of the following categories:

a) The allegations were not adequately investigated or sufficiently substantiated.

b) The relevant policy was not correctly applied.

c) The sanction issued was unfair and unreasonable in all the circumstances.

d) New evidence has come to light.

1.5 Appeals against decisions short of dismissal will be heard by a level of

management above that involved in taking the original decision. (There is one level of appeal against all warnings), which is to:

a) Nominated band 8 & above, usually Director of the service involved or their nominee.

b) The Chief Executive or their nominee, when a written warning has been

given by a Director of the service. c) An appeal panel consisting of three members or associate members of

the Trust Board, when the written warning has been given by the Chief Executive.

1.6 Appeals against dismissal will be heard by the Chief Executive or a Director as

nominated by the Chief Executive. The Director of Human Resources or their nominee will accompany the Chair in an advisory capacity.

1.7 Except with the prior agreement of the appellant, a minimum of 5 clear working

weekday’s notice of the date of the hearing shall be given 1.8 Failure of the appellant to attend an appeal hearing, without adequate reason,

will result in the appeal being taken to be withdrawn

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1.9 The Appeals panel has the power:

a) To uphold the appeal in its entirety; b) To substitute a different sanction to that imposed by the original Hearing Officer to achieve an appropriate outcome. c) Uphold or reject part of the appeal; d) Depending on the circumstances, consider moving the employee to another job or location as contractually empowered to do.

1.10 All relevant parties have access to the notes of the original disciplinary hearing. 2. Lodging an Appeal 2.1 Appeals must be lodged in writing to the Head of HR within 14 days of

receiving the letter confirming the outcome of the hearing. It is the responsibility of the appellant to ensure that the appeal has been lodged and received within the time period specified.

2.2 Late receipt of the employee’s notification of appeal may result in the loss of

the right of appeal. 2.3 The appellant must provide a detailed written statement of the grounds on

which they are appealing, stating whether their appeal is against the procedure followed or the level of the disciplinary penalty. (Please refer to section 1.4 – Part B)

2.4 The manager responsible for the decision will provide a statement of case

addressing the specific points of concern raised in the appellant's written grounds and the rationale for their decision. The statement will also provide sufficient background information for example a copy of the original management statement of case and notes of the hearing to enable the manager hearing the appeal to understand the reason for the action and appreciate the circumstances of the case. In circumstances where a full re-hearing takes place then any original witnesses will be required to be called by the manager presenting the appeal statement of case.

2.5 These statements, together with copies of any relevant correspondence, will be

sent to all parties to the appeal at least 5 clear working weekdays before the hearing.

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3. Procedure at The Appeal Hearing 3.1 Appeal hearings will concentrate on the specific areas of dispute as outlined in

the appellant’s grounds for appeal. 3.2 A note taker will be present throughout the hearing to take an accurate record

of the proceedings. 3.3 The Chair will be accompanied by a Human Resources representative whose

role will be to advise on procedural matters. In cases of professional competence, it may be necessary to seek advice from the relevant professional head or appoint a specialist adviser to provide advice relating to the specific discipline. The specialist adviser will normally be appointed from within the PCT. The role of specialist adviser will not be performed by anyone previously involved in the incident or disciplinary action.

3.4 The appellant has the right to be accompanied by a Trade Union/Professional

Association Representative; or friend. No other external representation is permitted. The PCT will not reimburse any costs incurred by the appellant's representative. It will remain the responsibility of the appellant to arrange representation for the dates given. HR will assist in with the scheduling the hearing.

3.5 In cases where an individual has appealed against dismissal, the appeal

hearing will be convened to determine whether or not the decision to dismiss was fair and appropriate taking into account all the evidence supplied by the individual and the original hearing officer. The appeal panel have the authority to substitute a different sanction to that imposed by the original Hearing Officer to achieve an appropriate outcome

3.6 The Chair has the right to rule on the admissibility of any questions asked or

evidence presented at the hearing. They also have the discretion to seek clarification or amplification of evidence and to adjourn the hearing for any reason, such as to allow further evidence to be produced or to clarify procedural matters, at any stage in the proceedings.

3.7 The procedure at the appeal hearing will be as follows:

Flow chart available in Appendix 4

� Introductions by Chair � Appellant/Representative states the grounds for appeal. Appellant will

present evidence to support their case that the procedure was carried out unfairly and/or the disciplinary penalty was too severe, or the recommendations inappropriate or will give details of any new evidence to be considered.

� The original hearing officer will have the opportunity to ask questions of the appellant/representative.

� If the appellant calls any witnesses then the Chair and the original hearing officer will have the opportunity to ask questions of the witnesses.

� The Chair will have the opportunity to ask questions of the appellant/representative.

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Management Case

� The original hearing officer will present their case in support of the action taken, in response to the appellant's grounds for appeal.

� If the original hearing officer calls any witnesses then the Chair and the

appellant will have the opportunity to ask questions of the witnesses. � The appellant or representative will have an opportunity to ask questions of

the original hearing officer. � The Chair will have an opportunity to ask questions of the original hearing

officer.

Summing up

� The Chair will invite the original hearing officer and the appellant/representative to sum up their evidence in turn. The appellant will have the right to sum up last. In summing up neither party may introduce any new matter.

Adjournment for Chair to consider case After the summing up, both sides will withdraw to allow the Chair and Human Resources Representative to deliberate in private. Where relevant, the specialist adviser will remain with the Chair and Human Resources Representative to provide procedural and technical advice. The Chair will consider the stated grounds for appeal and decide whether the manager’s decision at the time of the hearing, and the level of any sanction in response to that decision, was and still is reasonable in all the circumstances. If necessary, the Chair may recall both parties to clarify points of uncertainty. Reconvene for decision The decision will normally be given to all parties verbally on the day of the hearing, provided time constraints allow. The outcome of the appeal will be communicated in writing to the appellant within 14 calendar days of the hearing taking place.

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Part D Code of Practice 1. Standards of Performance and Conduct 1.1 Introduction

This document aims to give an indication of the standards of performance and conduct expected of all staff employed by the PCT. The PCT recognises that these guidelines cannot cover every situation that arises and that the guidelines or rules may vary according to particular circumstances such as the type of work, working conditions and size of Department/Clinic/Health Centre etc.

1.2 Department Rules As indicated above, in addition to this Code many Departments/Clinics/Health Centres etc will have specific rules, which relate to the activities of that Department/Clinic/Health Centres (safe use of equipment etc). These rules will be communicated to all staff by means of induction and supervision etc., and failure to observe these rules may also result in disciplinary action being taken.

2. General Standards of Performance and Behaviour 2.1 Members of staff are required to attend for duty for the hours laid down in their

Contract of Employment or as agreed with management. Failure to attend punctually or regularly could lead to disciplinary action, including dismissal if the offences continue after previous warnings. The distance of an employee’s house from the place of work or frequent transport difficulties (except in rare external circumstance) cannot be accepted as a reason for irregularity of attendance.

2.2 Failure to attend for work during contracted hours and inform their manager

without adequate explanation may result in pay being stopped. In cases of sickness or sudden emergency, the responsibility lies with the member of staff concerned to inform his/her manager within the specified time limit. Each department will have its own deadline for being informed and managers will ensure that this is communicated to their staff. The minimum standard for the PCT is within 30 minutes of start time.

2.3 Staff must also provide the correct certificates for sickness absence in

accordance with the PCT’s Sickness Absence Policy. Failure to either inform the Manager of sickness in good time or provide correct certification will be investigated and may lead to disciplinary action. Failure to provide correct and timely certification could also result in the loss of all sick pay.

2.4 Every employee is expected to combine prompt efficient service with concern

and respect for others, especially patients, clients and visitors. Also employees should be advised of standards that are required of them in the performance of their duties by their managers. If the performance or conduct of an employee fails to meet these standards, they should normally be advised by management of their shortcomings, given advice on how to improve and be given the

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opportunity to correct deficiencies within a reasonable timescale. Continuing failure to correct shortcomings will lead to disciplinary action in accordance with the Disciplinary Procedure.

2.5 If staff have concerns about standards of patient care, these should be raised

with their manager (through the complaints procedure). 2.6 Staff should carry out reasonable instructions of supervisors/managers quickly

and efficiently. 2.7 Staff employed by the PCT are not precluded by their Contracts of Employment

from accepting other employment outside of their working hours. However, staff must seek prior approval from their manager before accepting such employment and ensure that the employment does not in any way hinder or conflict with the interest of their employment with the PCT or in any way contravene the working time regulations. New staff already working elsewhere must inform their immediate manager on commencement with Lewisham PCTof any secondary employment.

2.8 Staff in supervisory/management positions should not abuse their power over

someone in a subordinate role, e.g. by borrowing money; as this may subsequently compromise their management role.

2.9 Any employee who is involved in any way as part of his/her duties with the

preparation of specifications for the placing of contracts and/or any arrangements for the placing of contracts shall inform his/her superior as soon as it comes to his/her notice that a personal or financial interest exists in any contract of contracting company which the PCT has entered into or proposes to enter into whether or not he/she is individually party to the contract. In the case of husband and wife or a couple living together, partners within a civil partnership, the interest of the one are deemed to be the interest of the other.

2.10 To be familiar with and follow all PCT Clinical and Employment Policies and to

appreciate that a manager has the right to ensure all staff within their area of follows and abide by these. Any failure to do so will be dealt with appropriately.

2.11 To be aware of the diversity of cultures among staff, clients and visitors and

appreciate how these can be utilised to deliver a quality service to our patients. To be conscious of one’s own personal attitudes and behaviour towards others and reflect as to how appropriate these are in such a diverse setting. To consider the impact this might have on colleagues, patients, visitors and service delivery

2.12 Line managers must be aware of the impact and effect their management style

can have on those they manage. They will treat their staff with dignity and consideration and, in return, will have the right to be treated likewise by those they manage. All staff must understand that managers are authorised by the PCT Board to carry out their duties under the terms of their job descriptions and by the appropriate use of a range of clinical and employment policies. Any member of staff who attempts to unreasonably impede this legitimate process could leave themselves open to disciplinary action. The same is applicable to managers, any manager who is deemed to have treated staff unfairly and

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breaches PCT policy will could also leave themselves open to disciplinary action.

2.13 There may be occasions when a member of staff believes they may have been

unfairly treated. They must make every effort to resolve this with their line manager calmly and reasonably. The formal part of the Grievance Procedure should only be used when the informal stage has been unsuccessful. All grievances will be dealt with as quickly as possible and both manager and staff member will be expected to maintain a normal business relationship pending the outcome of the grievance.

2.14 Issues concerning poor performance or unacceptable behaviour are dealt with

under the Trust’s Capability or Disciplinary Policies. Providing managers are using these policies appropriately in all the circumstances, staff cannot use the Grievance Procedure as a means of circumventing or delaying this legitimate process.

2.15 Staff will be expected to co-operate with both clinical and managerial

supervision, which is designed to offer support in an open and sensitive manner to give both parties the ability to address legitimate problems and areas of concern as well as help them develop their careers

2.16 It is not possible to give an exhaustive list of the main categories of

misconduct, as this will depend on the circumstances of each case. It should be noted that this list is not exhaustive but outlines potentially misconduct issues.

Minor Misconduct

Examples could include

� Growing concerns about poor timekeeping or personal conduct, where no improvement would be considered more serious. Serious Misconduct Examples of serious misconduct may include:

� Infrequent, unauthorised absence from duty for which no acceptable reason is given or a failure to follow the requirements of the Sickness and Absence Policy, including a failure to return from authorised leave without an acceptable reason.

� A single act of harassment or bullying in breach of PCT Policies not amounting to gross misconduct;

� Persistent, unsatisfactory timekeeping, where a previous warning has been given;

� Serious breaches the PCT’s policies on telephone, e-mail use or inappropriate use of the internet not amounting to gross misconduct;

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� Deliberate non co-operation or refusal to carry out a reasonable management instruction not amounting to gross misconduct;

� A serious neglect of duty, which did not affect the well-being of a patient, member of the public or member of staff not amounting to gross misconduct;

� Serious misconduct at work or outside work, which could bring the name of the PCT into disrepute not amounting to gross misconduct;

� A serious breach of the PCT’s health and safety policies not amounting to gross misconduct

� Providing an official line-manager reference on behalf of the PCT for a member or ex-member of staff when not authorised to do so.

Gross Misconduct The PCT may dismiss an employee, where an act(s) or omission(s) is considered so serious, because of its nature or consequences, that it goes to the very root of the contract and makes its continuance untenable. Examples of gross misconduct, which are illustrative only and are not exhaustive, include:

� Deliberate, intentional or on-going harassment and bullying in breach of PCT Policy; This includes any unwanted act or behaviour which is unwelcome, unreasonable and/or offensive in relation to gender, race, religion, disability, sexual orientation etc directed towards a patients, member of the public or fellow employee that takes place on PCT premises or whilst on duty. See the PCT’s policy on Harassment for further information

� Wilful disobedience or neglect of duty in a manner which is significantly prejudicial to the service and the welfare of staff and patients, for example, sleeping on duty.

� Theft; this refers to any instance of theft of property from the PCT or from patients, visitors, or from other members of staff on PCT premises. PCT property must not be removed from PCT premises for personal use, nor used for private purposes within the premises without prior written approval of the appropriate Manager. Property issued for personal use in PCT accommodation must not be removed from there.

� Dishonesty, for example, theft or fraud, including falsification of time sheets; including any deliberate attempt to defraud the PCT or a member of the public in the course of official duties. It includes the misrepresentation of entitlement to expenses or allowances, and any falsification of records, or misrepresentation on completion of a time sheet, including the unauthorised time sheet for another member of staff.

� Wilful damage or an act deliberately prejudicial to the well-being of a patient, member of the public or member of staff;

� Being unfit for duty due to the alleged misuse of alcohol or drugs, which can impair a member of staff’s ability to work effectively.

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� Wilful damage to PCT property or equipment; this includes intentional damage to property of the PCT's or the property of clients, patients, visitors or staff;

� Corruption including the receipt of money, goods, favours or excessive hospitality in respect of services rendered.

� Threats or acts of violence including physical assault of a fellow employee, member of the public or a patient. This includes fighting on duty, any assault, or menacing behaviour directed at a patient, member of the public or fellow employee that takes place on PCT premises or whilst on duty;

� Any act of serious misconduct committed outside work, which is considered by the PCT to render an employee unsuitable for their type of work. For example, an act of violence, fraud or theft especially where it brings the name of the PCT into disrepute.

� Breach of confidentiality particularly as regards patients (subject to the Public Interest Disclosure Act 1998);

� Serious infringement of health and safety rules and regulations, which placed others in danger or caused actual harm.

� Serious unauthorised use of the PCT’s telephone, e-mail system or inappropriate use of the Internet (for instance, access to or distribution of pornographic material).

� Action taken in contravention of the PCT's Equality & Diversity policy, e.g. discrimination, victimisation, racial or sexual harassment.

� Loss of legal authority to continue to employ; this includes the loss of legal authority to carry out the duties for which employed, e.g. professional staff who let their registration lapse without good reason, loss of a driving licence where driving is necessary for performance of duties.

� Failure to carry out instructions; this includes wilful failure to carry out reasonable instructions or rules.

� Unauthorised absence; This occurs where an employee absents him/herself from the workplace for no apparent reason and fails to communicate his/her absence and the reason for it within a reasonable period of time;

� Failure to declare criminal convictions/bindovers/cautions; this includes "spent" or current convictions, bindovers orders or caution. Current staff should inform their manager immediately of receiving any of the above

� Failure to declare any criminal investigation to their line manager. Current staff should inform their manager immediately of receiving any of the above.

� Disclosure of information; this includes breaches of confidentiality regarding personal information on patients/clients or staff.

� Borrowing money or property from patients; this refers to either asking to borrow or accepting money or property from patients or client.

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� Bringing the reputation of the PCT into disrepute; this refers to any action of an

employee whether during working hours or outside of working hours which could result in the PCT’s reputation being damaged sufficiently to affect the service it provides In some circumstances in the offences listed above, there may be mitigating circumstances, which would need to be taken into account. This will always form part of the PCT’s investigations. The list of offences is not exhaustive and the inclusion of an offence in this list does not imply that offences of that type will automatically warrant summary dismissal.

3. Amendment/Additions to Code of Practice The PCT reserves the right to amend or add to this code or to any rules as appropriate. Any changes will be communicated to the staff concerned

4. Revision of Hearing and Appeals Procedure

This procedure may be revised from time to time in the light of changing circumstances

Any amendments to the Procedure will be made by the PCT only after full consultation with staff representatives. The policy will be reviewed on a regular basis in line with employment law.

Nothing in this procedure will override statute.

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Appendix 1 3.1.1.1.1 ORAL WARNING FORM

Name

Job Title

Department

Reason for Oral Warning ( give details)

Details of Oral Warning

Standard of Conduct required

This warning will remain on file for 6 months until _____________________ (date) A repetition of this offence or similar related offence(s) is liable to lead to further disciplinary action. Oral Warning given by _______________________________on _______________ (date)

Signature Signature

(Hearing Officer) (Employee)

Date Date

PLEASE NOTE: There is a right of appeal against the decision t o issue their oral warning. Should you wish to exercise this right you must wri te to the HR Manager, Human Resources Department, Lewisham PCT, Cantilever House, Eltham Rd, Lee, London, SE12 8RN, within 14 days of receipt of this oral warning form. This f orm will be removed from your personal file if no further action has been taken against you during this 6 month period.

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Appendix 2 POSTS AUTHORISED TO TAKE DISCIPLINARY ACTION SCHEME OF DELEGATION 1. The following outlines the minimum level of manager authorised to take

disciplinary action. Authority to take disciplinary action must not be delegated below the levels indicated.

2. Appeals are to the next management level above that with authority to take

disciplinary action. In most cases therefore appeals against written warnings will be heard by a member of the Senior Management Team. Only members of the Senior Management Team have the authority to dismiss and appeals against dismissals will be heard by an appropriate member / associate member of the PCT Board.

3. This list will be amended from time to time as appropriate. POSTS WITH THE AUTHORITY TO DISMISS • Chief Executive • All Directors reporting directly to Chief Executive • Associate and Deputy Directors • Heads of Service • Medical Staffing - Consultants • PCT Medical Advisor • Managers on Senior Managers Pay Grades (AfC Band 8b and above) POSTS WITH THE AUTHORITY TO TAKE ACTION SHORT OF DI SMISSAL • Managers / Supervisors on Pay Grades AfC Band 6 and above • Medical Staffing - Associate Specialists

This list is not exhaustive and staff in equivalent posts are able to take action short of dismissal.

APPENDIX 3 - PROCESS OF THE HEARING– GUIDANCE FOR CHAIR

APPENDIX 4 - PROCESS OF THE APPEAL HEARING– GUIDANCE FOR CHAIR

policies, procedures & guidelines - lewisham ccg...unreasonably delayed (see 3.3 above) by the...

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