ROYAL BROMPTON AND HAREFIELD NHS FOUNDATION TRUST … · 2019. 12. 3. · Royal Brompton & Harefield NHS Foundation Trust Disciplinary Policy and Procedure Human Resources Directorate

Royal Brompton & Harefield NHS Foundation Trust Disciplinary Policy and Procedure Human Resources Directorate

ROYAL BROMPTON AND HAREFIELD NHS FOUNDATION TRUST

DISCIPLINARY POLICY AND PROCEDURE

HUMAN RESOURCES DIRECTORATE

Author: Human Resources Directorate

Approved by: Joint Staff-side Committee

Signed by: Chairman -

Ratified by: Management Committee

Signed by: Chief Executive -

Date ratified:

Implemented by: All Policy Authors General Managers Heads of Department/Modern Matrons

Issue date: May 2016

Version: 4

Review date: May2019

Review interval: 3 years

Target audience: Trust Wide – All Trust employees


Date of Issue: August 2015 Version: 4 Page 2 of 48 Review date: August 2018

CONTENTS

1. SUMMARY OF THE DOCUMENT ............................................................................................. 4

2. TIME TABLE ........................................................................................................................... 4

3. INTRODUCTION ..................................................................................................................... 4

4. PRINCIPLES AND PURPOSE .................................................................................................. 5

5. DUTIES .................................................................................................................................. 6

DUTIES WITHIN THE ORGANISATION ...................................................................................... 6 CONSULTATION AND COMMUNICATION WITH STAKEHOLDERS ............................................ 7 DUTY TO COOPERATE ............................................................................................................ 7

6. DEFINITIONS .......................................................................................................................... 7

7. THE DIFFERENCE BETWEEN CONDUCT AND CAPABILITY .................................................... 8

CAPABILITY (“CANNOT DO IT”): ............................................................................................... 8 CONDUCT (“WILL NOT DO IT”): ................................................................................................ 8

8. INFORMAL ACTION – COUNSELLING ..................................................................................... 8

DAY-TO-DAY MANAGEMENT .................................................................................................... 8 COUNSELLING: IMPROVEMENT NOTE .................................................................................... 9

9. FORMAL PROCESSES ......................................................................................................... 10

THE RIGHT TO BE ACCOMPANIED ........................................................................................ 10

9.1 LESS COMPLEX CASES ....................................................................................................... 11

9.2 MORE COMPLEX/SERIOUS MISCONDUCT ............................................................................ 11

9.2.1 ROLES ................................................................................................................................. 11

ROLE OF THE HUMAN RESOURCES DEPARTMENT .............................................................. 11 ROLE OF THE EMPLOYEE‟S REPRESENTATIVE .................................................................... 12 ROLE OF THE MANAGER AND EMPLOYEES.......................................................................... 12

9.2.2 EXCLUSION ......................................................................................................................... 13

9.2.3 REDEPLOYMENT ................................................................................................................. 15

9.2.4 PROCEDURE FOR FORMAL INVESTIGATION ....................................................................... 15

GRIEVANCES ......................................................................................................................... 17 OCCUPATIONAL HEALTH ....................................................................................................... 17 EMPLOYEE ABSENCE DURING DISCIPLINARY PROCESS .................................................... 17 ANNUAL LEAVE ...................................................................................................................... 17 SICKNESS ABSENCE ............................................................................................................. 17

9.2.5 CONFIRMATION OF FORMAL DISCIPLINARY PROCEEDINGS ............................................... 18

9.2.6 CONDUCT OF FORMAL DISCIPLINARY PROCEEDINGS ........................................................ 19

FAILURE TO ATTEND AT DISCIPLINARY HEARING ................................................................ 21

10. POSSIBLE HEARING OUTCOMES ......................................................................................... 21

11. LEVELS OF DISCIPLINARY ACTION ..................................................................................... 22

VERBAL WARNING ................................................................................................................. 22 FIRST WRITTEN WARNING .................................................................................................... 23 FINAL WRITTEN WARNING .................................................................................................... 23 DISMISSAL (WITH NOTICE) .................................................................................................... 24 SUMMARY DISMISSAL ........................................................................................................... 24

12. ILLEGAL AND PROFESSIONAL CONDUCT ISSUES ............................................................... 25



CRIMINAL OFFENCES ............................................................................................................ 25 FRAUD AND CORRUPTION .................................................................................................... 25 NOTIFICATION TO PROFESSONAL BODIES .......................................................................... 26

13. KEEPING RECORDS ............................................................................................................. 26

WRITTEN RECORDING OF MEETINGS ................................................................................... 26 RECORDING OF DISCIPLINARY ACTION ............................................................................... 26

14. RIGHT OF APPEAL ............................................................................................................... 27

15. CONDUCT OF APPEAL HEARING PROCEEDINGS ................................................................ 28

16. REMOVAL OF EVIDENCE OF A DISCIPLINARY NATURE ....................................................... 30

APPENDICES ................................................................................................................................ 31

APPENDIX 1: FLOWCHART TO HELP DISTINGUISH BETWEEN CONDUCT AND CAPABILITY 32 APPENDIX 2: SENIOR MANAGERS WITH AUTHORITY TO DISMISS ....................................... 33 APPENDIX 3: GUIDANCE TO MISCONDUCT OFFENCES ........................................................ 34 APPENDIX 4: GUIDELINES TO MONITORING BEHAVIOUR AT WORK .................................... 37 APPENDIX 5: IMPROVEMENT NOTE TEMPLATE LETTER ...................................................... 38 APPENDIX 6: INVITATION TO INVESTIGATION MEETING TEMPLATE LETTER ...................... 40 APPENDIX 7: WITNESSES ...................................................................................................... 42 APPENDIX 8: GUIDELINES ON WRITING A MANAGEMENT CASE .......................................... 43 APPENDIX 9: EXCLUSION MEETINGS GUIDANCE ................................................................. 45 APPENDIX 10: INVITATION TO DISCIPLINARY HEARING TEMPLATE LETTER ....................... 47



1. SUMMARY OF THE DOCUMENT

This policy outlines the Disciplinary Policy and Procedure for Royal Brompton & Harefield NHS Foundation Trust. The Policy is designed to help and encourage all employees to achieve and maintain standards of conduct and job performance. This procedure applies to all staff at the Royal Brompton and Harefield NHS Foundation Trust. It may be appropriate to read this policy in conjunction with other Trust policies as relevant, for example Policy and Procedure for the Management of Internal Complaints, Grievances and Disputes, Harassment and Bullying Policy, or Management of Sickness Absence Policy.

2. TIME TABLE

The authorised policy will be posted on the Trust Intranet and distributed to areas where necessary as per distribution list in paper format. This policy should be reviewed within 3 years of its date of formal adoption or earlier to respond to a specific purpose, such as new guidance or changes in legislation.

3. INTRODUCTION

The procedure is designed to help and encourage all employees to achieve and maintain standards of conduct and job performance. This procedure applies to all staff employed by the Royal Brompton and Harefield NHS Foundation Trust (“the Trust”). The aim is to ensure a fair, systematic, effective and uniform approach is applied when dealing with alleged breaches of standards and should not be seen as simply a punitive procedure. This procedure will be applied fairly and consistently to all staff employed by the Trust regardless of personal characteristics such as gender, sexual orientation, age, marital status, disability, ethnic origin, colour, religion, belief, dependent responsibility or any other unjustifiable conditions.

For directly employed Medical and Dental staff, the Trust will apply, as appropriate, the procedures included in the Trust‟s Conduct, Capability and Ill Health Policies and Procedures for Medical and Dental Practitioners. Further advice in relation to the discipline of Doctors and Dentists should be sought from Human Resources. Secondees to the Trust will be subject to the Trust‟s policies and procedures, but any serious breach of these or gross misconduct will be referred to their statutory employer and may result in termination of the secondment. This policy has been drawn up in line with the ACAS Code of Practice: Discipline and Grievance at Work and is compliant with current statutory legislation. The procedure is without prejudice to the statutory responsibility of the Nursing & Midwifery Order 2001 and Health Professions Order 2001.



4. PRINCIPLES AND PURPOSE

The primary objective of the Disciplinary Policy and Procedure, alongside other policies if required, is to assist any employee whose conduct or performance is in question by helping them to reach an acceptable standard. It does not replace existing or standard NHS Codes or that of any other professional body. The relevant professional Code of Conduct and the Local or General Code of Conduct will be adhered to at all stages. The Trust has a set of Core Behaviours and these can be found on the intranet. No disciplinary action will be taken against an employee until the matter has been fully investigated. During the investigation the employee will be given the opportunity to present their account of events. A statement from the employee may suffice in these circumstances. Management guidance may often be a more satisfactory method of addressing problems than a disciplinary hearing. Managers have a responsibility to take appropriate action at the earliest stage to counsel and guide staff with a view to assisting the employee whose conduct is in question where necessary through training and guidance (see section 8). The policy will, in most cases, only be applied when informal discussions, counselling and guidance between the employee and their immediate manager have failed to result in the desired improvement. However, the process described in the policy may be initiated at a higher stage depending on the circumstances. Human Resources will be able to advise on such cases before action is taken. A manager may invoke any stage of the procedure if the employee‟s alleged misconduct warrants such action. It is recognised that it is the interests of both the affected employee and the Trust to ensure the procedures set out in this document are carried out efficiently and without any necessary delay. Both parties will co-operate at all times to ensure that this occurs. No employee will be dismissed for a first breach of discipline, except in the case of gross misconduct when the penalty may be summary dismissal without notice or payment in lieu of notice. Mitigating circumstances will be taken into account when considering any action under this procedure. All employees will have the right of appeal against formal disciplinary action and the right to be represented by a trade union representative or a colleague/friend who must be employed by the Trust and who is not involved in the case. A Human Resources representative will be involved at all formal stages of the procedure to provide guidance to managers and Heads of Department. Human Resources will advise at informal stages, but will generally attend informal meetings. The formal stages of this policy may also be applicable in cases of harassment and bullying where, following an investigation, the complaint is well founded and equally if it is found that the complaint was brought maliciously, or the allegation was vexatious. No action will be taken against accredited trade union representatives until such time as the matter has been discussed with the relevant full time officer. In exceptional circumstances



outside working hours, a trade union representative may be suspended only. The trade union representative has the right to have his/her District Officer present at any disciplinary meeting/hearing. In instances of alleged professional misconduct or incompetence the appropriate Trust Leads will need to be made aware of the allegations. Additional guidance can be sought from the relevant professional body or an internal expert in such matters. Where witnesses are required to attend disciplinary hearings or to provide statements, time off with pay will be granted for this purpose. In some instances, it may be helpful to consider mediation to resolve disciplinary issues, such as where disciplinary and grievance matters cross over i.e. where there has been a breakdown of relationship issues. Mediators may be employees trained and accredited by an external mediation service who act as internal mediators in addition to their substantial role at the trust, or they can be from an external mediation provider.

5. DUTIES

This policy will apply to all Trust employees and is produced by Trust staff for use within the Trust and wherever the Trust carries a duty of care to patients and responsibility for the staff it employs.

DUTIES WITHIN THE ORGANISATION

Author of the policy The authors are required to ensure that the requirements of this policy are fulfilled in relation to the drafting of the document and that the dissemination, implementation and review are considered as part of its approval and ratification. The authors will ensure that the disciplinary policy is compliant with the latest legislation and will carry out regular review in line with the schedule on the front cover, or as necessary.

All Trust Directors, Senior Managers and Chairs of Committees Wherever documentation is received for approval, compliance with this policy in relation to its format and content will be assessed and assurance must be provided by the proposer that arrangements for dissemination, implementation and review are in place. Management Committee As the ratifying body, is responsible for receiving and providing assurance that this policy is and remains effective. Joint Staffside Committee (JSC) As the approving body the JSC has received and approved this policy.

Senior Managers, Line Managers, Supervisors and Team Leaders

Will be responsible for ensuring that;

Policies and procedures are followed and understood as appropriate to each staff member‟s role and function.

They have a local induction in place that includes policies and procedures.

Their staff know how and where to access current policies and procedures and are advised of new polices.



Where paper copies are held, these must reflect the latest versions.

They are conversant with the policy

Appropriate action is taken at the earliest staff to counsel and guide staff.

They carry out disciplinary investigations as is reasonable into all circumstances of the case before taking any disciplinary action.

Employees Will be responsible for ensuring that;

They have read and understood the policy

They comply with the Core Behaviours expected by the Trust.

They are aware that non-compliance of the disciplinary policy could result in disciplinary action being taken against them.

Co-operation is given in any investigations being carried out into their own or others alleged misconduct

They attend and take part in any disciplinary hearing set up and put forward their understanding of events

They treat information discussed during the disciplinary process as being confidential and not reveal confidential information to third parties

CONSULTATION AND COMMUNICATION WITH STAKEHOLDERS The development of this Trust document has been undertaken in consultation with a variety of staff including Staff Side Representatives and members of the Human Resources Directorate.

DUTY TO COOPERATE It is recognised that in the interests of both the affected employee and the Trust to ensure the procedures set out in this document are carried out efficiently and without undue delay. All parties will co-operate at all times to ensure that this occurs.

If an employee does not co-operate in assisting the Trust to establish the facts around what occurred, they should be aware that a decision regarding the outcome of a disciplinary investigation/hearing may have to be made on the basis of the information available.

The employee should also be aware that refusal to attend for a disciplinary investigation meeting may be regarded as failure to carry out a reasonable management instruction, which in itself may escalate disciplinary action. The duty to protect patients is of paramount importance.

6. DEFINITIONS

a) „Line Manager‟ is the person to whom the employee is directly responsible for the purpose of his/her duties.

b) „Senior Manager‟ is the person to whom the line manager is directly accountable. c) „Professional Advisor‟ is someone that the disciplinary panel can rely on to give

advice based upon their professional qualification and expertise e.g. Nurse Specialist. d) „Staffside Representative‟ is a person elected or appointed in accordance with the

rules of a Union to represent its members and who is accredited and recognised as such by the Trust.



e) „Exclusion on full pay‟ means the pay an employee would have received in accordance with his/her duty roster, had he/she been at work during the periods of suspension.

g) In an investigation situation “represented” is defined as answering for, or making

specific responses to, actual questions addressed to the employee. h) “Accompanied” is defined as being present in a supportive role but not taking part in

the questioning or ascertaining of facts. i) Submissions is an argument/case put forward for consideration j) Misconduct is where an employee has knowingly failed to meet required standards

for reasons over which he/she has control k) Gross misconduct is misconduct of such a serious nature that it fundamentally

breaches the contractual relationship between the employee and the organisation. In the event that an employee commits an act of gross misconduct, the employer may be entitled to dismiss the employee without notice.

l) An appellant is a member of staff that is appealing against the outcome of the

disciplinary hearing. 7. THE DIFFERENCE BETWEEN CONDUCT AND CAPABILITY

CAPABILITY (“CANNOT DO IT”): There may be cases where an employee is unable to carry out his/her duties to an acceptable standard, or to meet the competencies required of him/her in the job. This may be because he/she is a new starter or may have moved into a new role. There may also have been a genuine lack of capability or competence, which has been present for some time, or perhaps he/she is unable to fulfil the requirements of the role due to a failing in physical or mental capability. In these circumstances it may therefore be necessary to follow the Trust‟s Procedure for Dealing with Staff Capability Issues (excluding medical staff). CONDUCT (“WILL NOT DO IT”): If an employee fails to perform to the required standard as a result of his/her negligence, attitude or wilful behaviour or is in breach of any Trust policy or procedure, this could be regarded as misconduct. Such behaviour is within the employee‟s control and therefore the Disciplinary Policy and Procedure should be followed. A flowchart to help distinguish between conduct and capability is attached as Appendix 1.

8. INFORMAL ACTION – COUNSELLING DAY-TO-DAY MANAGEMENT It is part of the role of managers to manage the work of their staff on a day-to-day basis and to draw employees‟ attention to any shortcomings and give counsel1 or correction. However, in some circumstances it may become necessary to take further corrective action.

1 For the purposes of this document, the term „counsel‟ is used in the general sense and not intended in a clinical context or one that

which would usually require a professional qualification.



COUNSELLING: IMPROVEMENT NOTE It is in everyone‟s interests to avoid the need to invoke formal disciplinary proceedings where possible. To this end, counselling may be appropriate to discuss performance and conduct standards and the discussion may result in an improvement note being issued. Counselling should be carried out between the employee and their manager as part of good management practice. Such a meeting should be conducted in an atmosphere that encourages open discussion and enables the employee and manager to make the most of the opportunity for improvement provided them. Where a manager identifies poor performance or minor misconduct, this should be discussed with the employee at the first possible opportunity, so that the employee has the opportunity to respond and can take steps to improve and sustain the standards required. At the meeting, the manager should cover the following areas:

counsel the employee to identify the unsatisfactory conduct/ performance

discuss potential contributing factors and offer any support that might be appropriate to overcome these

establish any other relevant circumstances

identify the improvement required, where possible specifying realistic, measurable objectives and the period over which these should be achieved and sustained

confirm when the performance/conduct standards will be reviewed and the fact that formal action could be taken if the required improvement is not satisfactorily achieved and sustained

If the manager considers it reasonable, in the circumstances, to issue an Improvement Note, they may do so without a formal disciplinary investigation or hearing for the purpose of ensuring clarity on the performance/conduct issue and improving future performance and behaviour and in order to assist the employee to meet the standards required. The employee must be informed that the discussion constitutes counselling and therefore is informal action and that continued failure to meet the appropriate standards may result in disciplinary action. After the meeting, the manager should write to the employee to confirm the discussion, if appropriate, in the form of an Improvement Note including the following:

Action the employee needs to take

Any support, training or guidance which may be necessary

The standards expected

Time over which sustained improvement will be observed

That failure to achieve the required standard may result in the need to proceed to formal disciplinary procedures

The letter confirming the outcome of the meeting leading to the improvement note will be kept on the employee‟s personal file for up to six months. The record will be removed after this time subject to satisfactory sustained conduct or performance. It is important that, during the monitoring period, the manager continues to provide day-to-day management, as outlined above, and ensures that the employee is appropriately supported to help them achieve and maintain the required standard. Informal measures are not part of the formal disciplinary process, and therefore there is no right to appeal against informal outcomes or a right to representation at these meetings and Human Resources staff are not usually present at meetings. Use of the informal stage is to



encourage improvement in conduct. Disciplinary action starts only once the formal approach has been adopted. Informal action in the form of counselling should, in most cases, be conducted before entering the formal disciplinary process and may be used for on-going concerns or one off isolated incidents. Examples of when an improvement note may be appropriate to use are:

Poor timekeeping

Unauthorised extended breaks

Non adherence to the Dress Code Policy

Inappropriate use of IT systems Guidelines to monitoring performance can be found in Appendix 4. Any new, unrelated shortcomings arising during a counselling or review period may be identified and acknowledged as a separate issue but may be reviewed concurrently.

9. FORMAL PROCESSES

Whilst the aim of these procedures is to elicit an improvement in conduct or performance standards, there may be circumstances where, despite counselling (as described in section 8), an employee has failed to meet or sustain these standards. In addition, some performance and conduct issues may be considered serious enough that informal action is inappropriate and formal action is warranted instead. Examples of types of offences that may be dealt with under these procedures appear in Appendix 3. Before a formal sanction can be applied, the allegations of poor performance or misconduct should be investigated to establish the circumstances as set out below. Formal sanctions will not be applied by the investigating manager. Formal sanction will only be taken following referral of the matter to a disciplinary panel. Spent, inactive warnings shall be disregarded for disciplinary purposes and removed from an employee‟s formal record upon their expiry as described in section 13. Further guidance on appeal hearings are in section 14. THE RIGHT TO BE ACCOMPANIED Employees are entitled to be accompanied, should they wish, at any formal disciplinary meeting by either a trade union representative or a colleague/ friend (not acting in a legal capacity) who must be employed by the Trust who is not likely to be interviewed as a witness. If an employee‟s chosen representative is not available at the proposed time of the interview, the employee may request a reasonable alternative time for the interview within five working days and the Trust should postpone the hearing as requested. A postponement is permissible on only one occasion.

Where a local trade union/staff side representative is the subject of possible disciplinary action, the facts of the case will need to be discussed with a full time officer or other senior official of the staff organisation before any formal disciplinary hearing takes place. The local representative should be given every opportunity to be represented by their full time officer.



Exclusion in the first instance may, however, be appropriate where the circumstances justify immediate action. Please refer to the Trust‟s Recognition Agreement. In instances where a complaint of harassment and bullying is founded, and a decision to take disciplinary action has been made, the complainant, who is likely to be called as a witness, has the right to be accompanied at the hearing.

9.1 LESS COMPLEX CASES

In cases of minor misconduct which are impacting negatively on either the department or others and where informal discussions have not produced an improvement in the employee‟s conduct/performance, or if an incident has occurred which the manager believes may warrant formal action but due to the nature of the incident does not require a lengthy investigation, the following three-step standard procedure should be followed. Step one: The manager must write to the employee setting out the alleged conduct/performance issue that may give rise to taking disciplinary action against the employee. The letter must give adequate information to the employee about why the manager is dissatisfied with the employee‟s conduct. The letter should also invite the employee to attend a meeting giving five working days notice, and giving the right to be accompanied. HR Business Partners and Divisional HR Lead will be able to advise further regarding the content of the letter. Step two: The meeting with the employee must take place prior to any action being taken (except where exclusion has occurred which would require an investigation as laid out in section 9.2). The meeting will be chaired by an appropriate manager (normally the line manager), and a representative from HR. The employee must take all reasonable steps to attend the meeting. The manager must confirm the decision to the employee in writing within five working days of the meeting, including their right of appeal. The line manager will inform the individual either at the end of that meeting or in writing, no later than five working days following the meeting, of the outcome and any sanction that may have been awarded. Step three: If the employee wishes to appeal, they should write to the appropriate manager within ten working days of receipt of the letter. They will be invited to attend an appeal hearing as soon as possible and within 5 weeks of the appeal being submitted. Following the hearing they will be informed of the final decision/ the outcome of the appeal will be communicated in writing within five working days.

9.2 MORE COMPLEX/SERIOUS MISCONDUCT

9.2.1 ROLES ROLE OF THE HUMAN RESOURCES DEPARTMENT Managers are responsible for ensuring that disciplinary decisions are of a consistent and uniform standard within the Trust. The Human Resources managers will advise managers on all disciplinary matters and will help maintain this consistency. Managers will discuss individual cases with the appropriate Human Resources representative who will be present at the investigation interview and any subsequent formal interviews.



Any manager authorised to dismiss who is considering whether an employee‟s conduct warrants dismissal shall first obtain the advice of the Human Resources representative. Staff representatives, equally, have recourse to the Human Resources Department for clarification, information and interpretation of this policy. The Human Resources department will keep records of any disciplinary offences reported to it detailing the nature of the issue, the action taken and the reasons for it, whether an appeal was lodged, its outcome and any subsequent developments. ROLE OF THE EMPLOYEE’S REPRESENTATIVE The representative‟s role is to support the employee during the whole of the formal disciplinary procedure, either as a trade union representative, friend or as a „colleague‟ under the policy. He/she will provide advice and representation as appropriate. He/she will have access to the site and staff to ascertain the facts of a case from the employee‟s point of view, with or on behalf of the employee as appropriate. He/she will have access to an appropriate full time officer for guidance and may hand the case over the full time officer if necessary. The representative will not be acting in a legal capacity. Representation at Hearing The employee has the right to determine, within limits, the role that he/she wishes the representative to play at a hearing, which could include:

address the hearing on behalf of the employee, i.e. put his/her case forward

confer with the employee during the hearing

sum up the employee‟s case

respond on the employee‟s behalf to any views expressed at the hearing

Please note that the role of the representative is not to answer questions on behalf of the employee; the panel/investigating manager is entitled to expect the employee to answer any questions asked. In some cases, the employee may wish to bring the representative along simply for moral support rather than representation. This may occur at any stage of the formal process only. ROLE OF THE MANAGER AND EMPLOYEES Managers are responsible for ensuring that the Trust‟s rules and standards of performance/ conduct are conveyed and fully explained to their staff. Employees are responsible for reading and understanding the policies and procedures which form part of their employment relationship with Royal Brompton and Harefield NHS Foundation Trust. Managers are responsible for ensuring all employees know who their manager is and that managers know the staff for whom they are accountable and the extent to which they are authorised to take disciplinary action. Any manager involved in making decisions on disciplinary action will be fully supported by HR.



Managers are responsible for nominating an appropriate person authorised to take disciplinary decisions in their absence.

9.2.2 EXCLUSION Exclusion is not a disciplinary sanction and does not represent disciplinary action. It may be used in cases of alleged gross misconduct, or where the continued presence of the individual could prejudice the conduct of the investigation, or where there may be a risk to patients or staff. Authority to Exclude Exclusions, by their nature, need to be dealt with urgently. The matter should be discussed with a Human Resources representative when the matter first arises and before exclusion. Normally, the decision to exclude will be taken by the manager authorised to dismiss. Where the relevant manager is not available, the decision to exclude will be taken by the most senior manager on duty. A senior member of Human Resources should confirm the exclusion before it occurs and the Human Resources Director, or in his/her absence a designated deputy, should be notified of all potential exclusions. Out of Hours If exclusion needs to occur out of hours or at the weekend, then the most senior manager on-call should be notified immediately. All out of hours/weekend exclusions must be confirmed, before they occur, by the executive director on call. The executive director is responsible for notifying the Human Resources Director or the appropriate HR Divisional Lead that an exclusion has occurred. Considerations Prior to exclusion the following alternatives should be considered:

Restrictions on Practice

Alternative Duties

Redeployment In some circumstances it may not be possible to obtain relevant advice and therefore take a decision on whether to exclude, for example, at night or over weekends. In these circumstances, it may be acceptable to ask an employee to leave work on authorised paid leave and arrange to meet to clarify how the matter will be dealt with at the earliest possible opportunity. In cases where there is a possible child protection issue, this matter will be referred to the designated manager. Restrictions An excluded employee is normally prohibited from entering the Trust‟s premises unless specific permission is received from the appropriate director/excluding manager. Exclusion should be for the minimum time necessary to enable management to undertake any necessary investigations; the decision to exclude should be reviewed throughout the course of the investigation. Pay Exclusion has no implication of guilt and therefore will usually be on full pay (based on the average pay over the previous 3 calendar months) and without prejudice pending formal investigation of the allegations.



Availability It is a condition of paid exclusion that the excluded individual is available to participate in the furtherance of the investigation. Failure to comply with this condition may lead to unpaid exclusion being considered. Where it is felt that an individual is wilfully detaching from proceedings, unpaid exclusion will be considered. Duration If the investigation exceeds 28 calendar days, or if the individual excluded or their representative believes the exclusion to be unfair, the excluding manager will undertake a further review with Human Resources to consider whether it should continue.

Representation/Support An employee may be accompanied by a trade union representative or a colleague/ friend who must be employed by the Trust at the exclusion meeting. However, if the representative/colleague is unavailable, the exclusion will proceed and it is acceptable for management to make arrangements for the employee's representative to be informed of what has taken place. Communication The manager will confirm the exclusion in writing to the member of staff, with a copy to the appropriate representative, where details have been provided, within 3 working days. There is no right of appeal against exclusion on full pay. There should be regular communication between the manager and employee regarding the progress of the investigation. For managerial guidance on conducting exclusion meetings, refer to



Appendix 9.

9.2.3 REDEPLOYMENT

Where exclusion is not necessary but it is deemed inappropriate for the employee to remain in their current position and/or performing their current duties, the employee may be redeployed. Redeployment could involve all or any of the following:

Moving location

Restricted or alternative duties

Increased supervision or supervised access to patients

Restricted contact with patients or colleagues. In these instances, redeployment is a temporary measure to enable management to undertake any necessary investigations. Redeployment is without prejudice and is on full pay. As with exclusion, wherever possible, a Human Resources representative should be present at a redeployment meeting. The employee has the right to be represented at the meeting. The reasons for redeployment will be confirmed in writing and there should be regular communication between the manager and employee regarding the progress of the investigation.

9.2.4 PROCEDURE FOR FORMAL INVESTIGATION When a more serious allegation or concern regarding an employees‟ conduct or performance comes to light, an investigating manager will be nominated to carry out a thorough, fair investigation to appropriately establish the facts of the matter. In nominating an investigating manager, consideration should be given as to their suitability and neutrality.

Notification The employee should be notified as soon as possible that an investigation is to take place and made aware of the nature of the allegation/issue. Investigating Manager Responsibilities The investigating manager will be responsible for determining if they believe there is a prime facie case to answer as a result of the investigation. If it is decided that the matter should be referred to a disciplinary hearing, the investigating manager will compile a written statement of their case, which will be distributed to all hearing attendees at least 5 working days in advance of the hearing, which will take place as soon as possible and at the latest within a month of the investigation being concluded. The investigating manager will take reasonable steps to ensure that any relevant management witnesses attend the hearing. Equally, if need be, through investigation, the investigating manager may decide that formal disciplinary measures are not necessary.

To summarise, the role of the investigating manager is identified below:

Obtain evidence of the circumstances of the allegation and the facts

Identify the breach of standards

Reach conclusions on what occurred to make informed recommendations

Determine whether a disciplinary hearing is appropriate

Compile the management case for the investigation conducted



Length of Investigation The process of investigation will be concluded as soon as possible and within 2 months, except in more complex cases where delays will be notified. The investigating manager should ensure that reasonable steps are taken to keep the period of investigation as short as possible, without compromising the fairness and thoroughness of the investigation. The investigating manager should take reasonable steps to minimise delays and should gather information from witnesses as quickly as possible before memories fade. Exclusion In some cases, there may be a need to consider whether exclusion is appropriate whilst an investigation is conducted. If this is the case, exclusion will be on full pay and the employee should be provided with written confirmation. Any decision to exclude needs to be authorised by the Human Resources Director. Section 9.2.2 provides further guidance on exclusion. Witnesses As part of the investigation, it may be necessary to gather witness statements and/or meet with witnesses and gather any other relevant information to assist in fully establishing the circumstances. Investigations should be undertaken in a timely, sensitive and confidential manner and witnesses should be reminded of this. The investigating manager will be responsible for ensuring all the appropriate information is gathered and that this is gathered in a way that preserves the integrity of the information and that does not subject witnesses to undue pressure. For this reason, the employee concerned and their representative will not be permitted to approach witnesses/potential witnesses unless the investigating manager has been informed and has agreed in advance. A note of meetings carried out as part of the investigation will be taken and distributed to the relevant parties if they are to be used at a later stage of this procedure, as set out in section 13. The witness should be made aware that they will need to be available, if required, to corroborate in person any written statement at a future formal hearing. Witnesses should be made aware that they are involved in a confidential process and should respect that confidentiality, thus should not discuss the case with anyone. Statements The employee or any witnesses may also be asked to, or may want to, submit a written statement or dictate a statement prior to any investigatory meeting. Any statements collected through the course of the investigation that will be used as part of the management statement of case, should be signed and dated by the witness who has provided the information. If the statement was not written by the witness it should include a confirmation that the individual signing it confirms it to be a true and accurate record. Statements submitted by email may require further proof if unsigned that it was submitted by the named person. Appendix 7 provides further information on statement writing. Meetings As part of the investigation, the employee concerned will be invited to respond to the allegation/s and may be required to attend an investigatory meeting. The employee will be given five days notice of the investigation meeting and be advised in writing of the arrangements, the nature of the meeting, of their right to be accompanied, of the nature of the alleged poor performance/misconduct, the possible outcome of the meeting and details of those who will be present. An example letter appears at Appendix 6. Before making any statement, it is recommended that staff seek advice from their Trade Union/other representative. The investigating manager will be responsible for arranging any investigatory meeting/s at an appropriate time and location. The investigating manager will



chair the investigation meeting and will be assisted by an HR representative, to provide HR advice and assist the investigating manager in clarifying the circumstances of the matter under examination. GRIEVANCES In the course of a disciplinary process an employee might raise a grievance that is related to the case being made against them. If this situation arises advice should be sought from Human Resources in the first instance, so that an appropriate decision can be taken in each individual case. This situation will not necessarily result in the process as detailed being put on hold however consideration may be given to suspending the disciplinary procedure for a short period whilst the grievance is dealt with if the grievance is found to have a material impact on the matter being investigated. If there is no material impact found, the disciplinary process will proceed unabated. OCCUPATIONAL HEALTH Access to Occupational Health, should a member of staff require this, will be made available at any stage of this process to any member of staff involved, whether directly or indirectly, with issues dealt with under this policy. This may either be through a management or self referral. EMPLOYEE ABSENCE DURING DISCIPLINARY PROCESS ANNUAL LEAVE Staff who wish to take annual leave during a period of exclusion must request leave in accordance with the Trust‟s arrangements for the booking of annual leave. The line manager who receives the request for leave must notify the Investigating Manager and Human Resources of the request prior to agreeing the leave to ensure that the investigation is not unnecessarily delayed. SICKNESS ABSENCE If an employee goes off sick when first being informed of the disciplinary charge or at any point during the investigation, the Trust will continue with the investigation as far as possible in the absence of the employee. The investigating manager will interview any other witnesses to the matters in question and will collect and investigate any documents that may be relevant to the case. The investigation will be completed in all respects save for enquiries that need to be made with the employee himself/herself. The Trust will ascertain how long the employee is likely to be absent by following its normal sickness absence procedure. If the sickness absence is up to seven days, it will not be necessary for the employee to produce a medical certificate and the process will not be unduly delayed. If the absence is for more than seven days, the employee will be required to produce a medical certificate in accordance with normal sickness absence procedures. The medical certificate will give an initial indication of the length of sickness absence. If it becomes apparent that the sickness absence will exceed four weeks, the Trust will take steps to ascertain the employee's fitness to take part in the disciplinary process with the advice of Occupational Health. Employees with some conditions or minor injuries may be well enough to attend an investigatory interview or disciplinary hearing even if they are not well enough to perform the duties of their job. A medical opinion will be sought from the employee's GP, the treating specialist or the Trust's occupational health adviser. If the employee is not well enough to take part in the



process, the absence should be managed in accordance with normal sickness absence procedures. The employee will be informed that the disciplinary process will be resumed upon his/her return to work and/or the sickness absence procedures will be managed through to their conclusion. If medical opinion is that the employee is well enough to take part in the disciplinary process, this will then continue subject to any conditions set out by the medical professional. The Trust will make reasonable adjustments that are required for disabled employees. The employee must take all reasonable steps to attend an investigatory meeting and/or disciplinary hearing. If the employee becomes sick following the investigation and when a date has been notified for the disciplinary hearing, the Trust will issue a second invitation to a disciplinary hearing (unless it is clear from the facts available that there is no reasonable prospect of the employee being well enough to attend the hearing within a reasonable period). A decision may be taken as a last resort in the employee's absence if he/she fails to attend the rearranged hearing without good reason. Staff who become sick during a period of exclusion must advise the investigating manager of this. They must comply with the Trust‟s Management of Sickness Absence policy and procedures. For the duration of their sickness they will receive normal sick pay, not exclusion pay. If they perceive that they are too unwell to be interviewed, the Trust reserves the right where appropriate to correspond with them by letter. This will however only be initiated following consultation with the Occupational Health Department and will be an opportunity for them to inform the Investigating Manager of their perception of events. If two separate dates have been set for the disciplinary hearing and the employee remains off sick, the absence will continue to be managed in accordance with normal sickness absence procedures unless or until the employee is well enough to attend, at which time a further date will be set.

9.2.5 CONFIRMATION OF FORMAL DISCIPLINARY PROCEEDINGS Following an investigation, where the investigating manager is satisfied that a disciplinary hearing is required; consideration should be taken to determine what level of management should hear the case. The investigating manager should then recommend that the matter progresses to a formal hearing and this recommendation should be made to the senior manager responsible for hearing the case. Arrangements should be made to convene a hearing as soon as possible. The written management case, with full supporting documentation must be issued either with or following confirmation of disciplinary proceedings. Normally this will be within a minimum of 5 working days written notice of formal proceedings. For guidance on writing the management case, please refer to Appendix 8. Although this notification can be changed by mutual agreement, sufficient notice must be given to enable the employee to prepare their response to the management statement of case. The senior manager hearing the case should be at least one grade higher whenever possible than the employee and must advise the employee in writing of:

Their right to representation by a trade union representative or a colleague/ friend who must be employed by the Trust and who is not involved in the case and that they must make the necessary arrangements for their representative's attendance. Legal representation is not allowed at any stages of the procedure, including the appeal stage.



The exact nature of the allegations against them must be clearly stated

The status of the disciplinary hearing i.e. that this may result in formal disciplinary action and if appropriate, dismissal

The designation of members of management who will be attending

The time, site and venue for the meeting

The requirement for the employee to arrange for their witness to attend the hearing and to ensure that permission has been obtained for the release of witnesses. The employee must inform the panel of any witnesses they intend to call at least 2 working days prior to the hearing

The requirement to supply management with any documentation which the employee intends to refer to, at least 2 working days prior to the hearing. It will be the decision of the disciplining manager whether to accept documentation submitted late

A copy of the policy(s) of which the matter is being dealt under For a template letter, please refer to Appendix 10.

Time Scales

Notice given to employee to attend disciplinary hearing

No later than 5 working days before date of hearing

Management Case to be forwarded to employee No later than 5 working days before date of hearing

Employee/Staff Side Case/response to be received No later than 2 working days before date of hearing

9.2.6 CONDUCT OF FORMAL DISCIPLINARY PROCEEDINGS The following procedure shall be observed at all stages of formal disciplinary proceedings:

Introduction

Introduce all those present at the hearing and clarify roles Hearing Manager - chairs the hearing Human Resources support to the Hearing Manager - in attendance to ensure the

hearing is conducted in accordance with the Trust's procedure and that there has been a fair and reasonable hearing of both sides’ cases. They will advise the hearing manager and will be able to ask any questions in order to clarify information concerning the procedure. If dealing with a professional issue the hearing manager may also ask a specialist/external advisor to attend if necessary.

Investigating Manager – presents the case to the hearing manager. Where circumstances dictate, the disciplinary case should be presented to a manager at the appropriate level from another department, who will act as the hearing manager.

Human Resources support to Investigating Manager Employee Employee’s nominated support person/union representative Advisor - There may be an advisor co-opted onto the panel for disciplinary hearings Note taker – A note taker may be present to record the meeting.

The Hearing Manager is to ensure that an opportunity for representation has been given If the employee attends without representation, s/he will confirm whether this is by

choice. In the event of non-availability of representation, consideration may be given to rearranging the hearing, but only if this is practical and will not cause unreasonable delay.



Ensure that all parties have the required paperwork: Management case Appendices containing statements received, notes of meetings held etc Copy of relevant policy

Check whether either side intends to call witnesses that the panel have not been advised of in advance.

Check that no further paperwork is to be produced, that has not already been produced in accordance with timescales. If it is to be produced, obtain reasons why it was not produced in line with timescales. If necessary, panel withdraw to consider whether to accept.

Hearing Procedure

1. The investigating manager will state their case in the presence of the employee and his/her representative and may call witnesses*.

2. The employee or his/her representative will have the opportunity to ask questions of the

investigating manager and witnesses. 3. The members of the disciplinary panel will have the opportunity to ask questions of the

investigating manager and witnesses, and any relevant questions of the employee. 4. The investigating manager will have the opportunity to re-examine witnesses to re-

examine their witnesses on any matter referred to during their examination by the employee or the disciplinary panel. Each witness should withdraw from the hearing on completion of questioning.

5. The employee or his/her representative will put their case in the presence of the investigating manager, offer up any mitigating circumstances and may call witnesses.

6. The investigating manager will have the opportunity to ask questions of the employee,

their representative or witnesses. 7. Members of the disciplinary panel will have the opportunity to ask questions of the

employee, their representative or witnesses and any relevant questions of the investigating manager‟s or their witnesses.

8. The employee or their representative will have the opportunity to re-examine their

witnesses on any matter referred to in their examination by members of the disciplinary panel or the investigating manager.

9. Where at any point the hearing manager believes further investigation of the facts is

required/or needs to take advice, the hearing will be adjourned. Representation can also be made for an adjournment from the staff side, which will not unreasonably be refused.

10. The investigating manager and then the employee or their representative will have the

opportunity to sum up their case if they so wish. The employee shall have the right to speak last. In summing up, neither party may introduce any new facts or evidence.

11. Nothing in the foregoing procedure will prevent the members of the panel from inviting

either party to clarify or amplify any statement they may have made. 12. The panel may, at members‟ discretion, adjourn the hearing in order that further evidence

may be produced by either party for any reason/s.



13. The presenting manager, the employee and his/her representative, and witnesses will withdraw from the hearing.

14. The panel will deliberate in private only recalling both parties to clear points of

uncertainty on evidence already given. If recall is necessary, both parties will return, notwithstanding only one is concerned with the point giving rise to doubt.

15. The hearing manager will ensure that reasonable steps have been taken to establish the

circumstances of the matter as fully as possible and that the procedure followed is fair. The hearing manager will fully consider all the information presented to them by both staff side and management side and relevant advice from the panel advisor/s in deciding whether to uphold the allegation/s.

16. The hearing manager will consider the facts, including mitigating circumstances, and

make a decision based on the balance of probability. Any decision to discipline an employee must be reasonable taking account of all the circumstances (see section 10 for further details).

17. The hearing will reconvene to inform the employee of the outcome, or inform them how

they will be notified. Either way conclusion to the proceedings will be confirmed in writing within 5 working days of the hearing. In the case of disciplinary action, the individual will be informed of the duration of the warning. In the case of dismissal, the employee will be told whether it is with notice or summary.

18. The right of appeal will be explained and confirmed in writing (see section 14).

*Non Attendance Employee - Where an employee fails to attend a disciplinary hearing, the matter may be considered in their absence. If it is decided to give the employee another opportunity to attend, a letter will be sent reconvening the hearing and stating this may proceed in their absence on the next occasion. Witnesses - It is expected that all witnesses who provide written statements will attend the disciplinary hearing if required by either party. Where it is not possible for witnesses to attend, or they are unwilling to do so, it is the hearing manger's responsibility to decide what weight can be placed on the statements, taking account of the lack of opportunity to cross-examine. The non-attendance of witnesses will not halt proceedings where the panel feels that their evidence or submission is documented. FAILURE TO ATTEND AT DISCIPLINARY HEARING If for any reason the employee is unable to attend the disciplinary hearing, the hearing may either be held in their absence or arranged for a second occasion. If the employee is unable to attend the second date the hearing is likely to go ahead in their absence with the outcome communicated to them in writing.

10. POSSIBLE HEARING OUTCOMES

If the hearing manager decides not to uphold the allegations, the disciplinary sanctions detailed in section 11 of this procedure will not be imposed. If the hearing manager decides to uphold the allegation/s, in deciding the sanction to be imposed, they should take into account:-



the employee‟s disciplinary and general employment record

the employee‟s length of service

actions taken in any previous, similar cases

the explanations given by the employee The hearing manager will then decide what action would be reasonable to take, considering all the circumstances. This may include taking no formal action or formal action such as that described under section 11 of this procedure. In addition to imposing one of the formal disciplinary sanctions listed in section 11 of this procedure, the hearing manager may decide to call for any (or none) of the following: Where appropriate, redeployment of the employee concerned to an alternative

role/work base, however, any move would be made in agreement with the employee.

Appropriate training and development.

Some other intervention, for example, to improve working practice or the working environment or to reintroduce and support a previously excluded member of staff back to work.

Withholding of pay for a period of unauthorised absence.

Where appropriate, consideration to be given to a more suitable line of support under the Trust‟s Procedure for Dealing with Staff Capability Issues.

11. LEVELS OF DISCIPLINARY ACTION Stage One VERBAL WARNING

In matters of minor misconduct or performance, a verbal warning may be appropriate. A letter confirming the outcome of the hearing leading to the verbal warning will be kept on the employee‟s personal file for up to 12 months. The record will be removed after this time subject to satisfactory sustained conduct or performance. The warning will be confirmed in writing, within 5 working days of the hearing. The letter will include:

Action required to meet standards/improve performance with timescales

Agreed support that will be given

Clear explanation of the findings

Details of how to appeal

Potential consequences of further misconduct or poor performance

Level of warning

Length of warning The letter will be hand delivered or sent by guaranteed delivery wherever possible and by first class post to ensure receipt. In instances where follow-up action is required by the manager, for example, further training or guidance, this will be confirmed in writing to the employee.



Employees will have the right of appeal against this formal disciplinary sanction. Appeals must be made in writing to the Human Resources Director and received within 10 working days of receipt of writing confirmation of the disciplinary sanction received. See section 14 for details on right to appeal. Stage Two FIRST WRITTEN WARNING

A first written warning may be given when previous disciplinary action has not resulted in any improvement in conduct and/or performance, or where counselling has failed. It may also be issued where the nature of the offence is such that it is deemed appropriate to exclude stage one of the disciplinary procedure. Where a written warning is being given after the disciplinary hearing, the hearing manager will explain to the member of staff (and their representative) what is expected of them and indicate the disciplinary action, which may follow if the required improvement is not made and sustained. The warning will be confirmed in writing, within 5 working days of the hearing. The letter will include:

Action required to meet standards/improve performance with timescales

Agreed support that will be given

Clear explanation of the findings

Details of how to appeal

Potential consequences of further misconduct or poor performance

Level of warning

Length of warning A record of this warning will remain on the employee‟s personal file for 12 months at which time it will be removed. The letter will be hand delivered or sent by recorded delivery wherever possible and by first class post to ensure receipt. A copy will be sent to the employee‟s representative where details have been provided. Employees will have the right of appeal against this formal disciplinary sanction. Appeals must be made in writing to the Human Resources Director and received within 10 working days of receipt of writing confirmation of the disciplinary sanction received. See section 14 for details on right to appeal. Stage Three FINAL WRITTEN WARNING

A final written warning may be given where there has been further misconduct and/or poor performance. It may also be issued where the nature of the offence is such that it is deemed appropriate to exclude all previous stages of the disciplinary procedure. The letter should be sent within 5 working days of the hearing and should include the details indicated in First Written Warning (if applicable) on page 23. The employee must be informed that further similar misconduct may lead to the termination of their contract of employment.



A record of this warning will remain on the employee‟s file for 24 months. The level of management above the employee‟s immediate supervisor or manager will normally have the authority to issue a final written warning. Employees will have the right of appeal against this formal disciplinary sanction. Appeals must be made in writing to the Human Resources Director and received within 10 working days of receipt of writing confirmation of the disciplinary sanction received. See section 14 for details on right to appeal. Stage Four DISMISSAL (WITH NOTICE)

If further misconduct or poor performance occurs, dismissal may be appropriate, following investigation and hearing as in the previous sections. Dismissal may be considered where the nature of the offence is such that it is deemed appropriate to exclude all previous stages of the disciplinary procedure. Authority to dismiss rests with those specified in Appendix 2. The employee must be given written reasons for the termination of employment. The letter must include also:

Date that employment is deemed to have ceased and a clear indication of notice periods, as defined in the employee‟s contract and under the Employment Rights Act 1996

Details of payment of outstanding monies

An instruction to return any property of the Trust, e.g. uniform, keys, mobile phone, etc

How to appeal against the decision and time limits for lodging the appeal This written confirmation should be sent to the employee by recorded delivery and first class post or delivered into the employee‟s hand explaining how final payment and P45 will be delivered. A copy of the letter will be sent to the employee‟s representative where details have been provided. Employees will have the right of appeal against this formal disciplinary sanction. Appeals must be made in writing to Human Resources Director and received within 10 working days of receipt of writing confirmation of the disciplinary sanction received. See section 14 for details on right to appeal. SUMMARY DISMISSAL Summary dismissal is dismissal with no notice period being paid or pay in lieu of notice. Whilst summary dismissal may be appropriate in cases of gross misconduct, it is not automatic and other levels of action may be considered more appropriate. This type of dismissal will only be used in exceptional circumstances and where investigations and a hearing have established gross misconduct. And the conduct is such that it amounts to a repudiatory breach of contract. Examples of gross misconduct can be found in Appendix 3. It is not an exhaustive list.



The hearing manager concerned should seek advice from their Human Resources support and take account of all the circumstances of the employee‟s case before deciding that summary dismissal is the appropriate action. Authority to dismiss rests with those specified in Appendix 2. The employee must be given written reasons for the termination of employment. The letter must include also:

Date that employment will cease including notice periods, as defined in the employee‟s contract under the Employment Rights Act 1996, will apply e.g. final pay and any outstanding annual leave and enhanced pay due will be paid.

Details of payment of outstanding monies

An instruction to return any property of the Trust, e.g. uniform, keys, mobile phone, etc

Employees will have the right of appeal against this formal disciplinary sanction. Appeals must be made in writing to the Human Resources Director and received within 10 working days of receipt of writing confirmation of the disciplinary sanction received. See section 14 for details on right to appeal. This written confirmation should be sent to the employee by recorded delivery and first class post or delivered into the employee‟s hand explaining how final payment and P45 will be delivered. A copy of the letter may be sent to the employee‟s representative where details have been provided.

12. ILLEGAL AND PROFESSIONAL CONDUCT ISSUES

CRIMINAL OFFENCES Criminal offences outside employment will not be treated as automatic reasons for disciplinary action. The main consideration will be the extent to which the offence alleged or committed is connected with, or is likely to affect adversely, the employee‟s performance of his/her duties or to compromise the Trust. An employee will inform management as soon as possible of any criminal proceedings being taken against him/her, which may be relevant to the performance of his/her job. If the individual is in any doubt, they should discuss the matter with their manager. Where the employee is remanded in custody, he/she should arrange for the Trust to be informed at the earliest opportunity. When the conduct of an employee is the subject of police enquiries or criminal charges and the alleged offence may affect the employee‟s work or the Trust‟s duty of care, then the disciplinary procedure may be initiated at once and the internal investigation carried out, not as the consequence of criminal proceedings. FRAUD AND CORRUPTION Any circumstances where fraud is suspected must be reported to the Local Counter Fraud Specialist (LCFS) and the Trust‟s Fraud Policy and Procedure must be referred to. Reporting may be directly by the individual who has identified the case or in consultation with a line manager or senior HR representative.



There may be circumstances where exclusion would not normally be considered but it is in the best interests of the LCFS that exclusion does occur. There may also be occasions where it would be normal to exclude a member of staff but this could prove detrimental to any LCFS investigation. In cases where fraud is suspected, any decision to exclude or not must be made in conjunction with the LCFS, senior HR representative and the appropriate senior manager. As the securing of evidence and the investigation of suspected fraud is the responsibility of the LCFS, managers need to be aware that there needs to be close co-operation between themselves, Human Resources and the LCFS to allow the correct investigation to be carried out and correct Trust disciplinary procedures to be followed. In order that the fraud is properly investigated it is important that no member of staff investigates any suspected fraud until the LCFS has been informed and has agreed the action to be taken. Civil, criminal and disciplinary matters may be pursued simultaneously. The management of such investigations and procedures will be achieved through co-operation and liaison between Human Resources and the LCFS. NOTIFICATION TO PROFESSONAL BODIES The Trust may report to the appropriate statutory/professional body any serious act of misconduct following advice from the appropriate Trust lead, in consultation with the relevant executive director, in conjunction with advice from the Human Resources Director. This will include referrals to the DBS. It will be a matter for the professional body as to whether they will wish to consider further action.

13. KEEPING RECORDS

WRITTEN RECORDING OF MEETINGS Records should be kept of all meetings held with employees about their conduct, whether they are informal or formal, as well as meeting outcomes and any warnings given. These records may be necessary should further misconduct occur or where the employee fails to change his/her behaviour. Written records taken by Human Resources are taken as a summary of the discussion held at formal meeting and will assist in the further stages of the disciplinary procedure at a later date, and in some cases may be used at an employment tribunal.

RECORDING OF DISCIPLINARY ACTION A copy of all verbal and written warnings must be kept on the employee‟s personal file together with a written record of the disciplinary hearing. The following are the maximum periods for which warnings may remain current:

Verbal warning 12 months

First written warning 12 months

Final written warning 24 months

At the end of this period the warning will become spent.



Records will normally be kept on the employee‟s personal file and stored securely, which he/she can have access to in accordance with the 1998 Data Protection Act. Formal warnings and all relevant documentation will be removed from personal files on expiry of the warning, provided there has been no further warnings issues in the interim. Formal warnings once removed from a file will be disregarded for future disciplinary action. If, however, the Trust is obliged to give that information in a reference, particularly for staff working with children or vulnerable adults, then the employee will be informed accordingly at the time of the warning and the warning left on the personal file. A reference to previous warnings in any subsequent hearing is also applicable if it clarifies the communication or conduct of policies/procedures e.g. if an employee has received a verbal warning for failure to correctly advise the Trust of sickness absence, further absences that are not correctly notified may be treated as unauthorised absence and not attributed to a misunderstanding of procedures even if the verbal warning has expired.

14. RIGHT OF APPEAL An employee will have the right of appeal against any formal disciplinary sanction at all stages of the Disciplinary Policy and Procedure. In cases of gross misconduct, the Officer who will hear the appeal as set out in Appendix 2. To exercise the right of appeal, the employee must write to the appropriate manager, or in the case of dismissal, to the Human Resources Director. When lodging an appeal, the employee should clearly state:

a) the grounds of their appeal b) whether they are appealing against the finding that they have committed the alleged

act(s) of misconduct, or against the level of the sanction imposed.

The appeal must be received in writing within 10 working days from receipt of written confirmation of disciplinary action. The secretary to the appeal will normally be a member of the Human Resources department. He/she will be responsible for convening the appeal. Every reasonable effort will be made to hear appeals as promptly as possible. Written statements of case and supporting documentation including the appeals procedure must be circulated to all parties at least 5 working days prior to the hearing. It will be the decision of the panel whether or not to accept papers presented in support of an appeal if they are submitted later than 2 working days before an appeal. This will be decided following consultation with both sides. It should be noted that an appeal does not constitute a re-hearing of the case but to review the application of the procedure and to establish whether a fair and reasonable decision was made with due regard to the information presented at the first hearing. The process to conduct the appeal hearing is contained in section 15. Upon completion of the appeal, and after adjournment, the Chair of the hearing will convey the decision to the employee. This decision is final. The decision will be confirmed within 5



working days of the hearing. In exceptional circumstances, the Chair of the panel may extend this deadline and will provide written explanation for the delay to the employee.

Staff should be aware that the sanction and decision of the original disciplinary hearing may be upheld, lowered, increased or removed as a result of any appeal lodged.

15. CONDUCT OF APPEAL HEARING PROCEEDINGS

The appeal case will be heard usually by the next level of management. Present at the appeal hearing will be the following:

Appeal Hearing Manager - chairs the hearing Human Resources support to the Appeal Hearing Manager - in attendance to ensure

the hearing is conducted in accordance with the Trust's procedure and that there has been a fair and reasonable hearing of both sides’ cases. They will advise the appeal hearing manager on HR matters and will be able to ask any questions in order to clarify information concerning the procedure. If dealing with a professional issue the appeal hearing manager may also ask a specialist/external advisor to attend if necessary.

Presenting Manager – presents the case to the appeal hearing manager (Chair) at the Disciplinary Hearing.

Human Resources support to Presenting Manager Employee Employee’s nominated support person/union representative Advisor – if required by the appeal hearing Chair Note taker – A note taker may be present to record the meeting. The Chair, together with Human Resources, will form the appeal panel who will be responsible for arranging the appeal hearing. The following procedure shall be observed in the appeal hearing:

Introduction

Introduce all those present at the hearing and clarify roles

Ensure that an opportunity for representation has been given (if appropriate)

Ensure that all parties have the required paperwork:

Management case Basis of appeal Outcome letter and minutes from previous hearing Copy of relevant policy

Ensure that the appellant or his/her representative has had sufficient time to prepare for the appeal hearing

Check whether either side intends to call witnesses that the panel have not been advised of in advance

Check that no further paperwork is to be produced, that has not already been produced in accordance with timescales. If it is to be produced, obtain reasons why it was not produced in line with timescales. If necessary panel withdraw to consider whether to accept

Hearing Procedure

1. The appellant or his/her representative will put their case in the presence of the presenting

manager and may call witnesses. The appeal panel will decide whether to accept new



evidence, based on whether such evidence could have reasonably been expected to be produced at previous stages within the procedure.

2. The presenting manager will have the opportunity to ask questions of the appellant, their

representative or witnesses.

3. Members of the appeals panel will have the opportunity to ask questions of the appellant, their representative or witnesses and any relevant questions of the presenting manager.

4. The appellant or their representative will have the opportunity to re-examine their witnesses

on any matter referred to in their examination by members of the appeal panel or the presenting manager.

5. The presenting manager will state the management‟s case in the presence of the appellant and his/her representative and may call witnesses*.

6. The appellant or their representative will have the opportunity to ask questions of the

presenting manager and witnesses.

7. The members of the Appeals panel will have the opportunity to ask questions of the presenting and witnesses, and any relevant questions of the appellant.

8. The appellant or their representative will have the opportunity to re-examine their witnesses

on any matter referred to in their examination by members of the appeal panel or the Trust‟s representative.

9. The appellant and then the presenting manager or their representative will have the opportunity to sum up their case if they so wish. The appellant shall have the right to speak last. In summing up, neither party may introduce any new facts or evidence.

10. Nothing in the foregoing procedure will prevent the members of the panel from inviting either

party to clarify or amplify any statement they may have made.

11. The panel may, at members‟ discretion, adjourn the appeal in order that further evidence may be produced by either party for any reason/s.

12. The presenting manager, the appellant and his/her representative, and witnesses will

withdraw from the hearing.

13. The panel will deliberate in private only recalling both parties to clear points of uncertainty on evidence already given. If recall is necessary, both parties will return, notwithstanding only one is concerned with the point giving rise to doubt. The panel will consider:

Whether the misconduct /allegation was adequately investigated.

Whether the Trust‟s procedures were fairly and correctly implemented.

Whether the action taken was reasonable, at this stage taking into consideration the case presented.

*The non-attendance of witnesses will not halt proceedings where the panel feels that their evidence or submission is documented (see section 9.2.6, page 19 for further information).

14. The appeal panel will make one of three decisions:

To uphold the decision made by the disciplining manager.



To substitute a different outcome, less or more punitive than the original decision. Where disciplinary action is fully revoked, reference to the disciplinary action should be expunged from the employee's record, and the individual notified accordingly and confirm the decision.

16. REMOVAL OF EVIDENCE OF A DISCIPLINARY NATURE Any information relating to a disciplinary matter that may be received by a manager should not be placed on an employee‟s personal record without having been disclosed to the employee. Any warnings and associated documents shall be removed from the record after the stated period unless a further warning has been given which makes reference to the first.



APPENDICES


APPENDIX 1: FLOWCHART TO HELP DISTINGUISH BETWEEN CONDUCT AND CAPABILITY

Performance issue

identified

Provide appropriate

training

Appropriate training

already givenTraining required

Conduct

(will not do it)

Capability

(cannot do it)

Review priorities /

equipment / resources

Skills Resources

Counselling

Conduct/attitude/

behaviour

Disciplinary Policy and

Appeals Procedure

Failing in mental/

physical ability to

do the job and off

sick due to ill health

Procedure for Dealing

with Staff Capability

Issues

Management of

Sickness Absence

Policy

Conduct issue

Failing in mental/

physical ability to

do the job but still

at work

Lack of ability to do

the job

Capability issue

(if performance

does not improve)

(if performance

does not improve)


APPENDIX 2: SENIOR MANAGERS WITH AUTHORITY TO DISMISS

The following officers will have the authority to dismiss under this procedure:

1. Chief Executive 2. Directors and Non-Executive Directors 3. General Managers or appropriate equivalent of General Managers.

4. Nominated deputies of 2 and 3 above



APPENDIX 3: GUIDANCE TO MISCONDUCT OFFENCES The examples provided are not exhaustive or exclusive and other offences or acts of misconduct can be classified as falling into one group or the other if they are comparable to those specifically listed. An offence of a similar kind or gravity to those listed will carry the same penalty. Misconduct Misconduct is where an employee has knowingly failed to meet required standards for reasons over which he/she has control. Examples of misconduct could include:

Frequent timekeeping/lateness/punctuality issues

Frequent episodes of unauthorised absence

Health and safety – personal appearance or any special requirements regarding, for example protective clothing and hygiene. Any such requirement must be solely on the basis of health and safety, and should not discriminate between sexes or on the basis of race, disability, sexual orientation or religion or belief

Misuse of facilities i.e. private telephone calls, personal use of computers, email and the internet, either during or outside working hours, materials and stationery whilst on Trust premises

Gross Misconduct Gross misconduct is misconduct of such a serious nature that it fundamentally breaches the contractual relationship between the employee and the organisation. In the even that an employee commits an act of gross misconduct, the employer may be entitled to dismiss the employee without notice or pay in lieu of notice. The following is a list of offences which, if substantiated, are serious enough to be considered gross misconduct, and which may result in dismissal or summary dismissal.

Theft: any instance of theft or unauthorised removal of Trust or NHS property or theft from a member of the general public or staff on NHS premises

Fraud or dishonesty: any deliberate attempt to defraud the Trust, its staff, patients or visitors, e.g. signing in for another employee or allowing such an arrangement to occur, defrauding the Trust of resources by wilfully falsifying records or booking of work or defrauding patients or staff (further guidance is contained in the Trust‟s Fraud Policy and Procedure). This also includes falsification of a qualification which is stated as a requirement of the Trust or which might result in additional remuneration.

Sleeping on duty

Falsification of qualifications that are a requirement for employment or which result in financial gain

False and misleading statements e.g. on application forms, on medical questionnaire or at medical examination, at an accident investigation or at a disciplinary investigation

Assault: the use of physical violence and/or menacing behaviour as well as serious verbal abuse to patients, employees or visitors



Negligence: wilful or deliberate action or failure to act, which would cause damage to property or equipment or endanger the health and safety of patients, staff or visitors

Wilful or Malicious damage: to Trust premises, property or equipment or anyone else‟s property on Trust premises

Inappropriate behaviour with reference to the appropriate code of conduct

Unauthorised absence from work – where staff do not return to work or do not contact the Trust.

Unauthorised acceptance of payment from patients, visitors, contractors or other parties having dealings with the Trust which might be interpreted as seeking to exert influence to obtain preferential consideration

Being under the influence of drugs or alcohol whilst at work or on-call. Investigations into allegations made under this banner will take into consideration the provisions of the appropriate policy documents (please also refer to the Trust‟s Substance Misuse policy)

The illegal possession of drugs and/or the administration of such drugs to oneself or others on Trust premises or allowing such a practice to take place

A criminal offence either at work or outside of work where the latter is liable to bring the Trust into disrepute or which necessitates the removal of the employee from the post to which they had been appointed

Non-declaration of a criminal offence (see the Trust‟s CRB/ISA policy and procedures)

Any act of sufficiently serious nature to endanger the well being of a patient, relative, visitor or member of staff

Acts of racial or sexual harassment or other wilful discrimination/harassment of a sufficiently serious nature

An act sufficiently serious to cause substantial damage to the Trust‟s reputation

Non-compliance with safety, health or fire rules where such non-compliance could pose a serious risk to themselves or others, and where the rules have been known to staff

Gross insubordination or continued failure to follow a reasonable management request, i.e. wilful failure to carry out reasonable instructions or wilful disobedience of the written or oral instructions of a manager or supervisor without good reason

Disclosure of information: breaches of confidential information to unauthorised persons both within and outside the Trust, particularly in relation to patient or personal employee information

Wilful and serious dishonesty leading to a breach of confidence and trust



Health and safety: serious breaches of health and safety regulations endangering other people and including the misuse of safety equipment

Behaviour at work: serious complaints in respect of abusive, bullying, harassment or threatening behaviour at work

Discrimination: serious complaints of discrimination against other employees, patients or members of the general public.

Serious misuse of Trust property for example, misuse of email or internet facilities to access pornographic and other inappropriate websites, or using the telephone to contact chat lines or 09 prefix numbers

Managers will also take account of mitigating factors and will exercise discretion in each individual case based on the merits of that case.



APPENDIX 4: GUIDELINES TO MONITORING BEHAVIOUR AT WORK

1. Discuss the issues promptly with the employee as soon as the pattern has been identified (this could be a performance, behavioural or attendance problem or a combination of there)

2. Agree clear targets for improvement.

3. Agree a realistic date to review progress (this will vary according to the nature of the

issue but will rarely be more than 8 weeks later in the first instance).

4. At the review meeting, give comprehensive feedback. If further monitoring is necessary, tell the employee and agree targets and timescales.

5. If failure to meet the targets within the timescale agreed is likely to trigger the formal

disciplinary procedure, tell this to the employee so that they are clear about the potential consequences.

6. If references are made to the formal disciplinary procedure, remember that the

emphasis is corrective rather than punitive.

7. It is essential that managers keep notes of any issue that is being monitored. It is useful if notes include dates and brief details of discussion with the employee. Brief details of any evidence /examples discussed with the employee are also useful.



APPENDIX 5: IMPROVEMENT NOTE TEMPLATE LETTER Manager’s Address

& Telephone Number (Date) Private and Confidential Employee Name Employee Address Dear (Employee name)

Re: Improvement Note

I am writing to confirm our discussion that took place on (date).

At the informal meeting, I highlighted to you that I had concerns about your (describe the unsatisfactory conduct/performance, making it clear what it is that is unsatisfactory). We discussed your perspective on this and you stated that (summarise the member of staff’s viewpoint – for example whether they agreed and any response you had to this). We also discussed whether there were any possible contributing factors and you informed me that you did not think there were/describe what they thought these could be and the agreed support that would be put in place as a result.

(Summarise any other relevant discussion/s that took place and any other relevant circumstances) In view of our discussion, I have therefore decided that I need to issue you with an improvement note in accordance with the Trust‟s Disciplinary Policy and Procedure. This is an informal measure designed to help improve performance. It will remain on your file for a period of six months i.e. until (date)

I explained that I need to you to achieve the following improvement/s: (give details with clear, realistic, measurable objectives). I explained that I would expect these improvements to be achieved by date and that I would monitor your progress over a period of (state period – usually between 6 weeks and 3 months depending on circumstances) and that I would expect you to sustain the required improvements. To help you in achieving and sustaining these improvements we also agreed the following supportive measures (provide details of any that were agreed – eg more frequent supervision, training, etc)

I will also be available to support you and give you feedback during this time and you should highlight to me any difficulties you may be experiencing or any additional support that you may need.

We will need to meet to review the outcome of the monitoring period on (date). You should note that if I do not consider that you have satisfactorily made and sustained the required improvement, I may need to take formal disciplinary action against you in accordance with the Trust‟s Disciplinary Policy and Procedure, a copy of which I attach for your information.

If you have any queries, please feel free to contact me on the above number.

Yours sincerely,



Manager’s Name Job Title Enc. Disciplinary Policy and Procedure



APPENDIX 6: INVITATION TO INVESTIGATION MEETING TEMPLATE LETTER NB: This is for use of the employee against who the allegations have been made, not witnesses. Date Addressee only Private and Confidential

Employee Name Employee Address

Dear (Employee Name)

I am writing further to our conversation/meeting/my letter of (date), when I/you informed you/stated that __________ [e.g. (serious) concerns had been brought to my attention regarding the incidents of (insert date) OR I am writing regarding (serious) concerns which have been brought to my attention by ______, regarding ____. I attach a copy of the information to which I will be referring to during our meeting.

I have therefore arranged for an investigatory meeting to be held on (date) at (time) in (venue). The meeting is being called under the Trust‟s Disciplinary Policy and Procedure, a copy of which I enclose/you have received (delete as appropriate). I will be chairing the meeting which will also be attended by (name and title of HR representative), who, as well as taking notes of the meeting, will participate where appropriate. You are entitled to be accompanied at this meeting by a trade union or staff side representative or a colleague employed by the Trust but who is not likely to be interviewed as a witness.

If you also wish to submit a written statement regarding the above allegation, please submit it to me by ___________ (If they have not already done so).

Please note that following this meeting I will need to conclude my investigation and decide whether there is a prime facie case to answer and whether action should be taken in accordance with the Trust‟s Disciplinary Policy and Procedure.

To ensure confidentiality of this process for all, I must emphasise that you must not discuss the issue or the content of the statements with anyone in the Trust, other than myself, HR, your trade union representative or nominated work colleague. Failure to comply with this constitutes misconduct and will be subject to disciplinary action.

Should you be unable to make this date and time, please contact me on ext. (insert extension) so that we can make alternative arrangements.

Yours sincerely (Name of Manger) (Insert Title of Manager)

Cc: HR Representative (insert name as above) Enc. (Enclose Disciplinary Policy and Procedure)



(Enclose relevant statements/document, individually identifying those that are enclosed)



APPENDIX 7: WITNESSES What happens if I am a witness?

You will be asked to provide a written statement by the person investigating the incident.

You will need to sign and date your statement and ensure that all pages are

numbered.

You may be interviewed depending on the level of detail provided in your statement and may be asked to attend a disciplinary hearing.

If you are required to attend a disciplinary hearing you will be notified in advance and

will not be required to attend the hearing in full. Can I refuse to be a witness?

If you are in receipt of information required by management and you are requested to provide a statement, then contractually and professionally you have a duty to do so. If you are asked by a colleague to be a witness you need to make that personal decision.

Key things to remember are:

Write your statement as soon as possible after the event, while memories are still fresh.

Provide as much detail as you can, as this may save time later and may prevent you

from being interviewed or called as a witness.

State the facts as you know them. Be specific – write the language you heard and not your interpretation of it, write the actions or behaviour as you saw it, provide names if known, provide details of how the situation made you feel, especially if you are witness to unacceptable behaviour. Write what you mean and mean what you write.

Re-read your statement before you sign and date it. Make sure it says what you want

it to say.

If you have trouble expressing yourself, ask someone else to write your statement for you as you describe it – IF YOU DO THIS, YOU MUST READ IT THROROUGHLY BEFORE YOU SIGN IT. Remember this is a statement that will reflect your account of the event.



APPENDIX 8: GUIDELINES ON WRITING A MANAGEMENT CASE The guidelines below are intended to provide a framework for writing an investigatory report, and this can be adapted by the user. The aim of the report is to demonstrate that a full and impartial investigation has been conducted and to make all evidence available to the employee and the manager who has to decide what, if any, disciplinary action is to taken. The report will also be used at any subsequent appeal hearing and employment tribunal. 1. Introduction This should summarise why the investigation was carried out i.e. to investigate allegations of: a) an incident or, b) an allegation, associated with conduct or performance and give details of when the incident/allegation took place. The details should be the same as the reason given for any exclusion and already put to the employee. No new allegations should be introduced into the final report that have not been raised with the employee during the course of the investigation. 2. Employee details Name: Post held: Ward/department: Length of service within the post/Trust: 3. Background information Only information relevant to the case should be included and this will differ from case to case. It may include:

type of ward, department, team, professional group.

responsibilities of the post holder (related to the duties in the job description).

procedures, policies, professional codes of conduct (these can be appended to the investigatory report).

diagrams/floor plans to show where alleged incidents took place.

rotas/timesheets to demonstrate who was on duty.

if possible, patients‟ notes should not be included. In view of the issues this raises around confidentiality it is more appropriate to make the notes available for reference on the day of the hearing. If it is essential to include notes, blank out the names, addresses and other information that can identify the patient.

4. Background to the allegation This should be included only if relevant to the allegations e.g. any notable events that took place on the day in question or prior to the incident. 5. Summary of the investigation This is a chronological account of how the investigation was conducted and will include such matters as:

how the matter was brought to the attention of the manager



why the decision was made to investigate and, if appropriate, exclude the employee from duty (a copy of the exclusion letter should be included as an appendix)

an account of how the employee responded to the allegation(s)

names and designations of people spoken to as part of the investigation and the dates the interviews took place. A brief summary of what the witnesses said will be helpful and reference to appendices should be made.

the typed, signed version of the notes and the statements received from the employee and witnesses should be included as appendices (hand written notes should be retained for reference).

6. Statement of findings: The information gathered during the investigation should have allowed the investigating manager to establish the facts and should state where witnesses‟ versions of events and statements support the facts or any points that are in dispute. The employee‟s response and any evidence that supports or contradicts his/her version of events should be stated. If appropriate, the investigating manager should state how he/she would expect the employee to act in the given situation and the degree to which the employee‟s actions fell short of the expected behaviour/performance, with reference to any professional/department/Trust standards. 7. Conclusion This is a very brief statement outlining the conclusions the investigating manager has drawn from the investigation and indicating whether or not he/she believes that there is a case to answer under the Trust‟s (formal) disciplinary procedure. The conclusion will be one of three outcomes:

there appears to be insufficient evidence that there is a case to answer

there is sufficient evidence that there appears to be a prima facie case to answer, which needs to be considered at a disciplinary hearing

there is evidence of misconduct; however, a reprimand is sufficient on this occasion. The investigating manager should not indicate the level of warning he/she believes is appropriate under the procedure.



APPENDIX 9: EXCLUSION MEETINGS GUIDANCE Exclusion should normally be the responsibility of the most senior manager of the member of staff available at the time. A member of Human Resources or the on-call manager (if applicable) should also be present at an exclusion meeting. The employee should be given the opportunity to be represented at the meeting but proceedings will not be delayed significantly to allow a particular representative to attend. A reasonable amount of time for the employee to arrange representation would be half an hour. If the chosen representative is unable to attend, the meeting will have to proceed regardless. Important note: if any fraudulent activity is suspected, please refer to section 0.

At the meeting The manager should inform the employee of the following: • the nature of the allegations made against him/her and whether they might be

considered as gross misconduct • that the exclusion does not constitute disciplinary action and it allows for an

investigation to be carried out • that he/she is being excluded on full pay • that the employee is not allowed onto Trust property (special arrangements may

be agreed for staff who live in) or to contact Trust staff (other than the designated work colleague who may represent him/her) without the prior agreement of the manager or his/her designated representative, in liaison with a senior HR representative. Any attendance will involve consultation with the employee‟s representative. Consultations of this kind must not take place in an area linked with the employee or the incident/occurrence under investigation

• that the employee‟s terms and conditions of employment remain in force • that he/she must be available to be contacted within agreed working hours and

to attend any appointments, investigatory meetings or potential disciplinary hearings

• that occupational health/counselling services may be arranged via HR during the

exclusion and any pending investigation • that the exclusion will be confirmed in writing Notes should be taken at exclusion meetings, as they will be used at all stages of the disciplinary process, in appeals and employment tribunals.

Following the meeting Following the meeting, the employee may need to be escorted from the place of work to ensure that there is no contact with other staff. This should be done in as sensitive a manner as possible. It may be necessary for security passes and identity badges to



be surrendered or restricted upon exclusion and I.T. access will be withdrawn pending the outcome of investigations. The exclusion will be confirmed in writing normally within 3 working days and such written confirmation will state that the nature of the exclusion is precautionary, not disciplinary, pending the outcome of the disciplinary proceedings. The employee and his/her representative should be informed at regular intervals by the investigating manager or HR about the progress of the investigation.



APPENDIX 10: INVITATION TO DISCIPLINARY HEARING TEMPLATE LETTER

BY HAND/ FIRST CLASS MAIL AND RECORDED DELIVERY

Date

Addressee only

PRIVATE & CONFIDENTIAL (Employee Name) (Employee Address)

Dear (Employee Name)

Following the establishment at investigation of a prime facie case to answer, a meeting has now been arranged for (date) at (time) in (venue), which you are required to attend. The meeting is being called under the Trust‟s Disciplinary Policy and Procedure and its purpose is to consider (allegation/issue).

The meeting will be attended by (insert name of investigating manager) who will present the findings of the investigatory report (copy enclosed), with support from (insert name of HR representative). (Insert name of HR representative supporting the Chair) will also be present to provide HR advice and guidance to me.

You are entitled to be accompanied at this meeting by a trade union or staff side representative or a colleague and who is employed by the Trust (who is not likely to be interviewed as a witness), not acting in a legal capacity.

The following witnesses may be called to the hearing by the investigating manager:

Any written statements and other documents to which you, or your representative, intend to refer, should be circulated to (insert name of HR representative assisting the chairperson as detailed above) at least two working days prior to this date to ensure they are circulated to the panel members and investigating manager within a reasonable time of the hearing. May I also remind you that, if you have not already done so, you need to notify me, as Chair of the panel, at least five days prior to the date of the hearing, of any witnesses you intend to call on the day

I would be grateful if you could confirm your attendance at the hearing by contacting me on (insert contact details).

I have enclosed a copy of the Trust‟s Disciplinary Policy and Procedure for information.

Yours sincerely

(Manager’s Name) + contact details (Manager’s Job Title)

Cc (name), Investigating Manager (name), HR representative assisting investigating manager (name), HR representative assisting hearing manager

(name), Employee representative (if applicable) Enc: Management Case



This policy has been drawn up with reference to the following documents which are available on the intranet: Core Behaviours for our Staff NHS Code of Conduct for Managers

Documents

ROYAL BROMPTON AND HAREFIELD NHS FOUNDATION TRUST … · 2019. 12. 3. · Royal Brompton & Harefield NHS Foundation Trust Disciplinary Policy and Procedure Human Resources Directorate