Disciplinary Policy by yaoyufang

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									           Disciplinary Policy and Procedure
Original Version Written:              July 2009

Policy It Supersedes (if applicable)   Not applicable

Date Reviewed :                        Not applicable

Date Approved by HR Governance         October 2009
Committee:
Implementation Date:                   1st April 2010

Document Version Number:               1.0

Policy Owner’s Job Title:              Human Resources Manager

Policy Owner’s Contact Number:         020 8812 7651

Equality Impact Assessment             October 2009
Performed:

Next Review Date:                      April 2012




This policy can only be considered valid when viewed via the NHS
Wandsworth website. If this document is printed onto hard copy or
saved to another location you must check that the version number
on your copy matches that of the one online.




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1. Purpose

The purpose of this policy and procedure is:

To guide and encourage all employees to achieve and maintain a satisfactory
standard of conduct by:

      1.1. Setting out Wandsworth Primary Care Trust‟s (PCT) specific and clear
          standards relating to the acceptable conduct of staff;

      1.2. Setting out the implications of failing to meet the PCT‟s standards of
          conduct, with an initial focus on encouraging improvement but
          including dismissal where appropriate;

      1.3. Setting out a fair, transparent, consistent and efficient procedure for
          dealing with individuals whose conduct falls below an acceptable level.

2. Objectives

The objectives of this policy and procedure are to:

      2.1    effectively contribute to the provision of high quality healthcare,
             customer care and working relationships through encouraging high
             standards of conduct;

      2.2    encourage improvement where standards of conduct fall below an
             acceptable level;

      2.3     safeguard the reputation and assets of the PCT;

      2.4    ensure that the PCT complies with relevant legislatory and
             regulatory requirements.

3. Scope

      3.1 This policy applies to all employees of Wandsworth Primary Care
          Trust, including both Wandsworth Community Services and NHS
          Wandsworth, including those employees hosted by the PCT and
          working for the Support Services Partnership. In the case of doctors
          and dentists employed by the PCT, this policy and procedure must be
          used in conjunction with „Maintaining High Professional Standards in
          the NHS – Disciplinary Procedure for Doctors and Dentists employed
          by Wandsworth PCT.‟ This document implements a number of specific
          requirements in the nationally agreed framework document

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    „Maintaining High Professional Standards in the Modern NHS‟.
    References to the PCT within this document are taken to include all
    employees who are hosted by the PCT.

3.2 This policy and procedure are restricted in scope to formal disciplinary
    action. Managers must set clear standards of behaviour and deal with
    any minor conduct issues informally as part of management
    supervision, as outlined in the Supervision Policy and Procedure.

3.3 Matters of capability (that is an individual‟s ability or qualification to do
    their job) are not within the scope of this procedure but are dealt with
    in the Capability Procedure, with the exception of incapability at work
    brought on by the misuse of alcohol, drugs or other substances with
    mind altering or psycho-active properties which are not prescribed to
    the individual for medicinal purposes. The Alcohol and Substance
    Misuse Policy and Procedures set out the support the PCT will offer to
    employees in such circumstances and the situations which will be
    dealt with in accordance with the disciplinary procedure.

3.4 It is unavoidable that, in some cases, it is not immediately obvious
    whether the matter is one of conduct and therefore the employee
    culpable; or capability and therefore the employee unable. In such
    cases, the PCT will consider the facts, assess the risks, and decide on
    the most appropriate procedure to use.

3.5 Having embarked on a course of action under either the disciplinary,
    capability, sickness absence or any other HR procedures, should
    evidence come to light that the concern has been incorrectly
    categorised, the PCT may transfer the process to the more appropriate
    procedure at whatever stage it is reasonable to do so in the
    circumstances. The PCT will determine what is appropriate –
    employees do not have the right to elect under which policy and
    procedure the issue should be dealt with.

3.6 Matters of genuine sickness absence are not within the scope of this
    procedure but are dealt with in the Sickness Absence Policy; however,
    any fraud in relation to sickness absence is considered misconduct
    and is therefore a disciplinary offence which will be dealt with under
    this procedure, with the involvement of the Local Counter Fraud
    Service (LCFS) where necessary (see paragraph 4.4 below). Other
    misconduct relating to sickness absence which will be dealt with under
    the disciplinary procedure includes failing to follow the sickness
    absence reporting procedure or failing to co-operate with reasonable
    management action taken under the Sickness Absence Policy.

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4. Complementary Policies and Procedures

     4.1   Capability Procedure

           The Capability Policy and Procedure, in conjunction with the
           Supervision Policy, should be used to deal with issues of capability;
           that is, an individual‟s ability or qualification to do their job.

     4.2    Alcohol and Substance Misuse Policy

           The Alcohol and Substance Misuse Policy and Procedures set out
           the support the PCT will offer to employees in such circumstances
           and the situations which will be dealt with in accordance with the
           disciplinary procedure.

     4.3   Sickness Absence Policy

           This set out the process for managing both short-term and long-
           term sickness absence. Unless there are allegations of fraud
           relating to sickness absence, or other instance of misconduct, for
           example failing to follow the PCT sickness absence reporting
           procedure, or failing to co-operate with reasonable management
           action taken under the Sickness Absence Policy, such issues do
           not fall within the scope of the disciplinary policy procedure.

     4.4   Fraud Policy and Response Plan

           This provides a framework for a response together with advice and
           information on various aspects, and implications, of an investigation
           into fraud and other illegal acts involving dishonesty. In cases
           where the allegations are related to fraud, the matter must be
           reported to the Local Counter Fraud Service (LCFS) before any
           investigation takes place.

     4.5   Being Open Policy and Procedure

           Appendix A of the Being Open Policy and Procedure states the
           PCT‟s commitment to a fair and open culture. This states that
           disciplinary action will not be taken against a member of staff for
           reporting an incident, except in the rare circumstances where there
           is evidence of the following in relation to that employee:

                 gross professional or gross personal misconduct
                 repeated breaches of acceptable behaviour or protocol

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                  an incident that results in a police investigation.

      4.6   Supervision Policy and Procedure

            The Supervision policy promotes a standard and fair approach to
            ensure that all staff has equal opportunities and access to
            supervision that is appropriate for their needs. The policy provides a
            consistent framework for individualised personal and professional
            development and encourages managers and staff to develop a
            positive relationship.

5. Disciplinary Policy Statement

      5.1   The PCT is committed to ensuring that healthcare is delivered to
            the highest possible standards to the population it serves. The
            conduct of staff plays a key part in the quality of service provided
            and helps to ensure that:

            5.1.1. Patient, staff and public safety and well-being is protected;

            5.1.2. The PCTs assets are protected;

            5.1.3. The good reputation of the PCT is maintained;

            5.1.4. The PCT meets its statutory and regulatory responsibilities.

     5.2     The PCT has therefore set out specific and clear standards of
            conduct, or rules, which it expects all employees to comply with. In
            conjunction with this policy and procedure, these standard/rules
            have been developed in consultation with employees and their
            representatives. These are set out in appendix A.

      5.3   Managers are responsible for ensuring that standards of conduct
            and rules are known and understood by their staff.

      5.4   Managers must ensure that they act consistently, dealing with any
            minor breaches of discipline informally as they arise in accordance
            with the Supervision Policy and Procedure. An informal discussion
            is appropriate where an employee‟s conduct falls short of the
            standards required for the first time, but in the circumstances does
            not warrant a formal investigation. As a consequence of such
            informal action, a counselling note/note of the meeting and agreed
            actions should be recorded on the individual‟s personal file.


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5.5   The formal disciplinary procedure sets out the consequences of
      failing to meet the PCT‟s standards of conduct/rules.

5.6   The PCT is committed to a fair and open culture. Formal
      disciplinary action will not be taken against a member of staff for
      reporting an incident, except in the rare circumstances where there
      is evidence in relation to that employee of :

                    Gross professional or gross personal misconduct
                    Repeated breaches of acceptable behaviour or
                     protocol
                    An incident that results in a police investigation

5.7   The PCT will act fairly, reasonably and proportionately when dealing
      with cases of misconduct, bearing in mind the following:

      5.7.1 Managers must consider carefully whether or not formal
            action should be taken, making appropriate use of the
            National Patient Safety Agency‟s Incident Decision Tree
            flowchart, attached as Appendix C, and taking account of the
            PCT‟s Commitment to a Fair and Open Culture.

      5.7.2 In most cases, minor misconduct will be dealt with informally
            as part of the management supervision process.

      5.7.3 Where informal action does not bring about an improvement
            or the misconduct is considered too serious to be classed as
            minor, formal action will be taken.

      5.7.4 If an employee‟s misconduct is sufficiently serious, it may be
            appropriate, following a proper process, to move directly to a
            final written warning. This might occur where the employee‟s
            actions have had, or are liable to have, a serious or harmful
            impact on the PCT.

      5.7.5 Some acts of gross misconduct, are so serious in themselves
            or have such serious consequences, or potential
            consequences, that they may justify dismissal without notice
            as a first offence.

      5.7.6    The PCT will refer individuals to relevant professional,
              regulatory and supervisory authorities, for example the


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              Nursing and Midwifery Council, or Independent Safeguarding
              Authority, in circumstances where it is required to do so, or
              considers it appropriate to do so at any stage of the process.

      5.7.7    All warnings are issued for a pre-defined period of time, as
              outlined in the procedure below.

      5.7.8 Where the formal disciplinary procedure has been instigated,
            the PCT will take all fair and reasonable steps to deal with
            the issue promptly, and within the timescales set out in the
            procedure below. Fair and reasonable steps that may be
            taken include:

                 substituting the investigating or hearing officer;
                 commissioning an appropriate external investigator or
                  hearing officer;
                 refusing to delay an investigation meeting or hearing
                  beyond the statutory requirement to accommodate a
                  chosen companion where, in the opinion of the PCT, the
                  insistence on this companion is unreasonable in the
                  circumstances;
                 Holding a Disciplinary Hearing in the absence of the
                  employee in circumstances where the employee is
                  unable to or unwilling to attend, where it is reasonable
                  to do so. Where there is a failure to attend a Hearing,
                  the PCT will take the following into account:

                     o The seriousness of the disciplinary issue under
                       consideration;
                     o The employee‟s disciplinary record including
                       current warnings;
                     o The employee‟s general work record;
                     o Medical opinion on fitness to attend the Hearing;
                     o Treatment of similar cases in the past.

In such cases the employee may be informed that there is no alternative
but to make a decision in their absence on the evidence available.

It is for the PCT to determine if and when such steps may be taken; an
employee does not have the right to insist on any of the above actions.




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5.8    Timescales at each stage of the procedure have been set in order
       to ensure that any disciplinary issue is resolved as efficiently as
       possible. Timescales may be varied by mutual consent or under
       exceptional circumstances prevailing at the time, for example, in
       order to accommodate the requirements of a complex investigation
       or the availability of key witnesses. If it is necessary to extend the
       timescales for investigation, the responsible manager must advise
       the employee of this, and the revised timescale, before the expiry of
       the relevant timescale. This must always be done in writing, and a
       record kept.

5.9    Dealing with disciplinary matters is the responsibility of the line
       manager, or more senior manager within the reporting line, unless
       it has been determined that the matter will be handled by a third
       party, for example where the allegations are related to fraud. The
       role of HR is to provide expert advice and support, but unless
       specifically agreed, HR will not undertake the disciplinary
       procedure on behalf of a manager.

5.10   In the case of senior managers the procedure will be adapted
       where necessary, according to the circumstances of the individual
       case, in order to take account of the lack of more senior officers
       who may undertake the roles outlined in the procedure below.

5.11   HR will monitor all formal disciplinary cases, including from a case
       management perspective to ensure that appropriate action is
       taken to comply with the timescales set out in this procedure, and
       where this is not possible, to ensure that all relevant parties are
       fully informed.

5.12   Investigatory meetings and hearings under this procedure should
       be held at a reasonable time and place. Normally, they should be
       arranged during the employee‟s normal working time and they
       should be released from normal duties in order to attend. Where it
       is not possible to arrange a meeting during the employee‟s normal
       working time (for example Night Workers) particular attention must
       be paid to the reasonableness of the time and place. Employees,
       companions and witnesses must make every effort to attend the
       scheduled meeting or hearing.

5.13 NHS employees have a duty to draw to the attention of their
     managers any matters they consider to be damaging to the
     interests of a patient or client. The majority of NHS employees are
     subject to professional or ethical rules, guidelines and codes of

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             conduct, for example the NMC Code of Professional Conduct, a
             Midwives‟ Code of Practice, and the GMC Good Medical Practice.
             Employees must therefore co-operate with any investigation being
             held under the disciplinary procedure, including providing witness
             statement or attending investigatory meetings and hearings.

      5.14   In cases where the allegations are related to fraud, the matter
             should usually be reported to the Local Counter Fraud Service
             (LCFS) before any investigation takes place. The LCFS will
             provide advice in matters of investigation, interviewing and referral
             to the Counter Fraud and Security management Service (CFSMS)
             and the police.

      5.15   The action that the PCT will take will depend on the nature of the
             misconduct. Initial enquiries will be made to decide whether an
             investigation is appropriate and if so, what form it would take. In
             some cases the manager may have sufficient knowledge of, and
             information about the misconduct, already so that no further
             investigation is necessary. Employees will always be invited to a
             Hearing and allowed to put their case.

     5.16    Patients, visitors, clients and service-users will not usually be
             called to disciplinary hearings to act as witnesses, but statements
             may be taken from such parties where it is appropriate to do so.

     5.17    Whilst it is understood that employees who are subject to the
             disciplinary procedure may be upset or angry, and there may be
             some “letting off steam”, abusive language or conduct will not be
             tolerated.

     5.18    All records must be retained in accordance with the Data
             Protection Act 1995. Further advice on this is available from HR.

6.    Mediation

     6.1     Mediation may be appropriate in some circumstances, for
             example where disciplinary and grievances issues have become
             blurred, and it is appropriate to tackle the underlying relationship
             issues by means of mediation. It may also be appropriate
             following the completion of disciplinary proceedings where
             relationships have deteriorated as a consequence.

     6.2     Mediation involves an impartial third party (the mediator) helping
             the individuals in dispute to attempt to reach an agreement. The

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             mediator does not judge who is right or wrong, or tell the
             individuals concerned what to do, but provides a safe and
             confidential opportunity for participants to find their own answer
             through joint problem-solving.

     6.3     Mediation is not suitable when:

                       A decision about right or wrong is needed, for example
                        where there is possible criminal activity;
                       The parties do not have the power to settle the issue

      6.4    Further details are available from HR.


7.    Workplace Representation


      7.1 The PCT fully supports the right of an employee to be accompanied
          by a single trade union or other workplace companion to any
          investigatory meeting or hearing (including appeals) held under the
          formal stage of this procedure (hereafter referred to as “the
          companion”). In order to ensure the protection of personal data,
          employees must provide their written consent for any personal data
          relating to them to be provided to, or discussed with, their chosen
          companion, or any other third party, at their request. Form A, at
          appendix E, should be used for this purpose.

      7.2 Save where permitted by this paragraph:

            7.2.1        An employee may not be accompanied to any informal
                        discussions or counselling sessions.

            7.2.2       No external companion is permitted to accompany any
                        employee to a formal or informal meeting.

            7.2.3       An exception to paragraphs 7.2.1 or 7.2.2 above is where
                        the PCT deems that this is reasonable adjustment in order
                        to met the particular needs of a disabled employee, such as
                        a Support Worker, or where the employee would be
                        unreasonably disadvantaged without such a companion, for
                        example where the employee requires the use of a
                        translator. (A translator can be arranged by the PCT if
                        required). In such circumstances, the employee should
                        write to the Associate Director HR & OD requesting such

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        representation and the reasons for this. The Associate
        Director HR & OD will determine if the request should be
        granted, and whether this should be in addition to, or in
        place of, a single trade union or other workplace
        companion.

7.2.4   No legally qualified companion, or legal representation, is
        permitted under any circumstances.

7.2.5    It is the responsibility of the employee to contact a
        companion and ensure that they are willing and available to
        undertake this task. When selecting a representative, the
        employee should be mindful of the contents of this
        paragraph.

7.2.6   In line with the Trust‟s Facilities and Time Off for Staff
        Organisation Representatives policy, permission for trade
        union representatives to leave work in order to participate
        in interviews with and on behalf of staff on disciplinary
        matters will not be unreasonably withheld, but can only be
        granted with full regard to the needs of the service in
        question. The same permission extends to a companion
        employed by the PCT who is not a trade union
        representative for matters that fall within the scope of this
        policy, and to witnesses reasonably called by the
        employee.

7.2.7   The employee‟s request to be accompanied must be
        reasonable. What is reasonable will depend on the
        circumstances of each individual case. It would not
        normally be reasonable to insist on being accompanied
        by a companion whose presence would prejudice the
        hearing nor would it be reasonable to ask to be
        accompanied by a companion whose availability delays a
        meeting or hearing from taking place where someone
        suitable and willing is available.

7.2.8   If it is not reasonably practicable for the companion to
        attend a meeting organised under the formal procedure, it
        should be re-scheduled once. The employee must propose
        an alternative date within 5 days and if acceptable the
        manager must then invite all parties to attend at this new
        time. The PCT will determine the reasonableness of the
        request and may refuse to re-schedule meetings in order to

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                    accommodate the availability of a representative in
                    situations where it feels it is not reasonable to do so, for
                    example where the meeting has already been re-scheduled
                    on at least one occasion. It is expedient to liaise with the
                    companion‟s line manager when making arrangements for
                    any meeting in order to secure their availability. In a
                    situation where a witness(s) is required to attend the
                    disciplinary hearing, it would also be expedient to liaise with
                    their line manager for the same purpose. When doing so,
                    no personal details relating to the employee being
                    disciplined should be disclosed.

8.    The role of the Companion at Formal Meetings and Hearings (including appeals)

      8.1 The companion may:

                   Address the meeting/hearing;
                   Put/sum up the employee‟s case;
                   Respond on the employee‟s behalf to any view expressed
                    at the meeting/hearing;
                   Confer with the employee during the meeting/hearing.

      8.2 The companion may not:

                   Answer questions on behalf of the employee.

9.    Reasonable Adjustments

      The PCT will consider and make any reasonable adjustments necessary in order to
      ensure that any employee, particularly a disabled employee, participating in the
      grievance procedure, or the companion or any such employee, is treated fairly. Specific
      reasonable adjustments may be requested by relevant employees.

10.   Employee Support

      Being subject to a disciplinary investigation or hearing can be a stressful experience. In
      addition to seeking the support of a companion, employees may seek counselling
      support through Occupational Health Services via either a management or self-referral.
      Further details are available in the Stress Management Policy.




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11.   The Formal Disciplinary Procedure

      11.1   Where informal action does not bring about an improvement or the
             misconduct is considered too serious to be classed as minor,
             formal action will be taken.

      11.2    The Line Manager, or more senior Manager, who has determined
             formal action is required (hereafter referred to as the
             Commissioning manager), must advise the employee of this within
             a reasonable time period, together with the name of the
             Investigating Manager.

12.    Suspension

      12.1   It may be appropriate to suspend an employee from work where
             a serious allegation has been made, or if, during the course of
             the investigation, there is a view that a serious breach of
             discipline may have occurred. Circumstances where suspension
             is appropriate include:

                Where relationships have broken down;

                On the evidence available, in the opinion of the investigating
                 manager, the allegations are serious enough that if proven
                 destroy the bond of trust and confidence between the PCT
                 and the employee;

                Where there is a potential risk that the employee could
                 interfere with the PCT‟s investigation;

                Where criminal charges have been brought against the
                 employee and there is evidence that the alleged criminal
                 activity is connected with or may affect the employee‟s
                 performance;

                Where there are risks to employees or patients safety or
                 property, or to the PCT‟s property or responsibilities to third
                 parties.




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12.2    Alternatives to suspension, for example a temporary transfer to
       another department and/or post should be considered. Advice
       should always be taken from HR before taking this course of
       action.

12.3    A decision to suspend an employee from work may be taken by
       either the Commissioning manager, or the Investigating manager.
       The suspension itself must be carried out by the line manager and
       should be done at a meeting with the employee unless
       exceptional circumstances do not permit this. In such cases, a
       letter should be sent to the employee informing them that they are
       suspended with immediate effect, and providing details of the
       suspension. An employee may be suspended at any point during
       the procedure in accordance with the grounds stated in 13.1
       above.

12.4   Periods of suspension should not normally exceed twenty working
       days. Where it becomes apparent that the period of suspension
       needs to be extended beyond twenty working days, to allow for a
       fuller investigation to be undertaken or following a suspension and
       prior to a disciplinary hearing, the employee should be written to,
       to confirm that the suspension period has been extended.
       Following this initial extension the manager who carried out the
       suspension, where it is necessary to do so, will write to the
       employee on a monthly basis for the duration of the suspension,
       confirming the reason for the continued suspension.


12.5   During the period of suspension the employee will continue to be
       paid their average earnings in line with their terms and conditions
       of employment. This will include any enhancement allowances
       the employee is entitled to, but not work which cannot be
       guaranteed i.e. overtime, bank work, unless prior arrangements
       have been made to undertake bank work or overtime before the
       suspension.
12.6   The manager who carried out the suspension must confirm the
       details of the suspension in writing to the employee, as soon as is
       reasonably practicable following the suspension meeting. The
       letter will state the reason for the suspension, the terms of the
       suspension, the requirements on the employee and will also
       confirm that an investigation will follow/continue.
12.7   The manager who carries out the suspension, should refer the
       issue to the relevant professional lead to consider whether a


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             referral to the relevant professional, regulatory or supervisory
             body, for example the NMC or Independent Safeguarding
             Authority, is appropriate. Where it is decided this is appropriate,
             the relevant professional lead must ensure this is done.


      12.8   Suspension is not an assumption of guilt, or a disciplinary
             sanction.    Employee‟s who dispute the grounds of their
             suspension can formally object by appealing to the Associate
             Director HR & OD.


      12.9   During a period of suspension employees must not enter the PCT
             premises without authorisation of the Associate Director HR & OD,
             or access their work emails.



14.   Investigation

      14.1    An appropriate level of investigation to establish the facts of the
             case must be carried out before any formal disciplinary action is
             taken. This must take place as promptly as possible, before
             memories fade.

      14.2   The investigation should be carried out by a management
             representative appointed by the Commissioning Manager.

      14.3   In many cases, the investigation will include holding an
             investigatory meeting with the employee, but in some cases, the
             investigatory stage will consist of the collation of evidence. It
             might be the case that an investigation has already taken place
             under a different PCT policy, for example Dignity at Work, or in
             response to a complaint by a patient, client or service-user.      In
             such cases all or some of that investigation may be utilised for the
             purposes of the disciplinary investigation.

      14.4    On completion of the investigation, a decision should be made by
             the Investigating Manger as to whether there is a disciplinary case
             to be answered and their findings reported to the commissioning
             manager, together with their recommendation.

      14.5    Investigatory interviews and/or reviews of documentary evidence
             are solely for the purpose of fact-finding and no decision on



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             disciplinary action will be taken until after the disciplinary hearing
             has been heard.
      14.6   Following     receipt    of    the   investigation     findings   and
             recommendation, where there is no case to be answered, the
             Commissioning Manager must advise the employee of this in
             writing without unreasonable delay, and if they have been
             suspended, suitable arrangements should be made for their return
             to work.

      14.7   Where there is a disciplinary case to answer, the Commissioning
             Manager must notify the employee of this and that a disciplinary
             hearing will take place, in writing, without unreasonable delay.
             The disciplinary hearing should be held without unreasonable
             delay, whilst giving the employee at least 10 working days notice
             where practicable, in order for them to prepare their case.

      14.8   The notification should contain sufficient information about the
             alleged misconduct and its consequences to enable the employee
             to prepare to answer the case at a disciplinary hearing, together
             with details of the date, time and venue for the disciplinary hearing
             and the employee must be advised of their right to be
             accompanied at the meeting.

      14.9   The investigation report should be sent to the employee with the
             notification.

15.   Formal Disciplinary Hearing

      15.1   The disciplinary hearing will be chaired by an appropriate person
             not previously involved in the investigation, supported by an HR
             representative. The management levels of disciplinary authority
             are set out in Appendix D. In certain circumstances the PCT may
             deem it appropriate to delegate authority so that managers of a
             lower grade than the levels listed in appendix D can take
             disciplinary action on behalf of senior managers.

      15.2   All parties should make every effort to attend the meeting. Please
             see paragraph 7 above regarding action that will be taken in the
             case of the representative not being available for the hearing.

      15.3   If the employee is repeatedly unable or unwilling to attend a
             meeting the PCT will consider all the facts and make a reasonable
             decision on how to proceed. Consideration may include:


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             The seriousness of the disciplinary issue under
              consideration;
             The employee‟s disciplinary record, including current
              warnings, general work record, work experience, position
              and length of service;
             Medical opinion on whether the employee is fit to attend the
              meeting;
             How similar cases in the past have been dealt with.

       The PCT may conclude that the hearing should proceed in their
       absence, and a decision made on the evidence available. In such
       cases, the employee will be informed that the matter will proceed
       on this basis.

15.4   If a witness who has provided a witness statement is unable to
       attend the Hearing, or it is not practical for them to attend, the
       hearing may be adjourned to allow questions to be put to them if
       required.

15.5   The employee and their representative, if applicable, will be
       provided with copies of any written evidence, which may include
       any witness statements, together with the management statement
       of case outlining the details of the allegations and the names of
       any witnesses management wish to call to the hearing a minimum
       of five working days before the hearing.

15.6   The employee‟s response to the management case should be
       provided to HR at least two full working days before the hearing,
       together with the names of any relevant witnesses the employee
       wishes to call to the hearing. It is the responsibility of the
       employee, or his/her representative to ensure the availability of
       their witnesses and advise them of when and where the Hearing
       will take place.

15.7   The format of the disciplinary hearing will be as follows:

       15.7.1 The Chair will open the hearing by making any
              appropriate introductions and outlining the format for the
              meeting. The Panel may ask questions at any time, and
              any party may request an adjournment at any time which
              will be granted at the discretion of the Chair. Witnesses


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         will only be present when called, and only to provide their
         evidence after which they are required to leave.

15.7.2 If it becomes clear during the Hearing that the employee
       has provided an adequate explanation, or there is no real
       evidence to support the allegation, the proceedings
       should be brought to a close and the employee informed
       of the outcome. This should be followed up in writing
       within five working days or where this is not possible, as
       soon as practicable.

15.7.3 If any new facts emerge during the Hearing, it may be
       necessary to adjourn the meeting to investigate them and
       reconvene the meeting when this has been done.
       Employees will b given reasonable opportunity to consider
       new information before the disciplinary hearing
       recommences.

15.7.4    If the employee raises a grievance during a Hearing, it
         may sometimes be appropriate to consider adjourning the
         meeting and suspending the disciplinary procedure in
         order for the grievance to be heard. Circumstances when
         this might be appropriate include:

             The grievance relates to a conflict of interest that the
              Disciplinary Panel is alleged to have;
             Bias is alleged in the conduct of the disciplinary
              meeting;
             Management have been selective in the evidence
              they have supplied to the Panel;
             There is possible discrimination.

         It is for the PCT to determine what action is appropriate in
         such circumstances. It would not be appropriate to
         suspend the meeting where the employee make an
         invalid point, for example a claim that they have the right
         to be legally represented.

15.7.5 The management side will explain the allegation against
       the employee and present the evidence that has been
       gathered, including calling witnesses as appropriate.




                                                                         18
             15.7.6 The employee will be offered the opportunity to ask both
                    the manager presenting the case and the witness‟s
                    questions following the presentation of their evidence.
                    The Chair has the right to refuse questions if in his/her
                    opinion they are not materially relevant to the case.

             15.7.7 The management side may then ask further questions of
                    the witnesses if appropriate, including seeking
                    clarification to earlier questions.

             15.7.8 The employee will be offered the opportunity to set out
                    their case, and any mitigation, and answer any
                    allegations that have been made, including calling
                    witnesses, as appropriate.

             15.7.9 The manager presenting the case will be offered the
                    opportunity to ask both the employee and the witnesses
                    questions following the presentation of their evidence.
                    The Chair has the right to refuse questions if in his/her
                    opinion they are not materially relevant to the case.

             15.7.10 The employee may then ask further questions of the
                     witnesses if appropriate, including seeking clarification to
                     earlier questions.

             15.7.11 The manager, followed by the employee, will then be
                     given the opportunity to summarise their case.

             15.7.12 The meeting should then be adjourned.

16.   Reaching a Decision

      16.1   Following the adjournment, the disciplinary panel must reach a
             decision as to whether or not the allegation/s has been proven on
             the balance of probabilities. A fact will be established if it is more
             likely than not to have happened. If the only evidence is the
             uncorroborated, opposing statement of two parties, a decision
             must be made on the balance of probability of the validity of one
             version over another. In such circumstances, the Panel should
             take particular care to explain the reasons for drawing their
             conclusions, and to demonstrate how they related to the evidence
             presented at the Hearing.




                                                                                      19
      16.2   The Panel may recall either side to clarify a point during
             deliberations, but must also invite the other side to be present.

      16.3   Once the Panel has made a decision regarding whether or not the
             allegation has been proven, together with an appropriate sanction,
             if appropriate, (see paragraph 17 below) the Panel should recall
             both parties and advise them of the decision. In circumstances
             where it is not possible to re-convene immediately, both parties
             should be advised of the decision in writing within five working
             days, or where this is not possible, as soon as practicable. Where
             a decision is given verbally at a hearing, this must be confirmed in
             writing within five working days or as soon as practicable.


17.   Determining the appropriate Sanction

      17.1   Where the Panel decides that the allegation is proven, they must
             then determine the appropriate sanction. Where misconduct is
             confirmed, it is usual to impose one of the following sanctions:

             17.1.1 First Written Warning

                   A Written Warning should be given if there has been no
                   improvement in conduct after informal action has been
                   taken, or if a more serious first breach of discipline occurs
                   that warrants formal action. A first written warning is likely
                   to be appropriate where there are no other active warnings
                   on an employee‟s disciplinary record. The written warning
                   will be active for the length of the time specified in
                   Appendix B. After it stops being active, the warning will
                   remain on an employee‟s personal file. In exceptional
                   circumstances, warnings may be imposed for a period
                   longer than so specified, or may be extended.

             17.1.2 Final Written Warning

                   A Final Written Warning should be given where an
                   employee has continued to fail to meet the required
                   standard (s) after a First Written Warning has been issued
                   which is still current. A Final Written Warning may also be
                   issued in circumstances where no previous warning has
                   been issued but the misconduct is serious enough that it
                   cannot be tolerated a second time. This might occur where
                   the employee‟s actions have had, or are liable to have, a

                                                                                    20
              serious or harmful impact on the PCT. The written warning
              will be active for the length of time specified in Appendix B.
              After it stops being active the warning will remain on the
              employee‟s file. In exceptional circumstances warnings
              may be imposed for a period longer than so specified, or
              may be extended.

       17.1.3 Dismissal

              Where an employee fails to meet the required standard(s)
              of conduct following the issue of previous warnings,
              including a final written warning, the employee will normally
              be dismissed and his/her contract of employment
              terminated according to the contractual notice period.

       17.1.4 Summary Dismissal

              In the case of gross misconduct, which is misconduct
              serious enough to destroy the bond of trust between the
              employee and the PCT, summary dismissal is the
              appropriate sanction and can take place without the
              issuing of any previous warnings.          Examples of
              misconduct that would not normally be considered gross
              misconduct are outlined in appendix A.

17.2   In determining the appropriate disciplinary sanction, mitigating
       circumstances such as previous employment history should be
       taken into account.

17.3   As an alternative to dismissal, at the discretion of the Disciplinary
       Panel, a discussion may take place with the employee regarding
       demotion, a transfer to another department, a reduction in pay,
       loss of overtime, loss of future pay increment of bonus, together
       with a Final Written Warning to the extend that any of these
       options are permitted by the employee‟s contract.. The employee
       may be given three days to consider this proposal, and no such
       action may take place without their agreement. In the event that
       that the employee agrees to this course of action, they will retain
       their right to appeal. If the employee does not agree to this course
       of action, the panel will need to consider whether to dismiss the
       employee.

17.4   Information concerning the required contents of warning letters
       and recommended duration of warnings is provided in appendix B.

                                                                               21
     17.5   The Panel must refer the outcome of their decision to the relevant
            professional lead to determine whether or not the employee
            should be referred to any relevant professional, regulatory or
            supervisory body, unless this has already been done.

18. Appeals Process

     18.1   Any employee who is subject to a disciplinary sanction under the
            formal disciplinary procedure may appeal against the outcome of
            the Disciplinary Hearing, which will result in an Appeals Hearing.

     18.2   HR will arrange for an appropriate panel to her the appeal who will
            normally be of a more senior grade than the manager who heard
            the disciplinary hearing and wherever possible will be comprised
            of members who have not previously been involved with the
            complaint.

     18.3   The Appeals Hearing will not re-hear the evidence, unless the
            PCT determines that this is appropriate in the circumstances, for
            example the availability of new evidence following the original
            decision. In all other cases, the appeals hearing will be restricted
            to a consideration of the grounds of appeal only.

     18.4   An employee wishing to appeal should do so in writing to the
            officer specified in the letter advising them of the outcome of the
            disciplinary hearing within fourteen (14) calendar days of this
            letter.

     18.5   Grounds for appeal include:

                  The decision taken was not reasonable;
                  The disciplinary penalty was not reasonable;
                  There disciplinary procedure was not followed.

            The employee should pay particular attention to specifying the
            grounds of their appeal in detail, for example, an explanation of
            why they believe the decision taken or disciplinary penalty was not
            reasonable.

     18.6   If an employee appeals against a decision to dismiss, the
            dismissal will remain effective pending the outcome of the appeal.




                                                                                   22
18.7   On receipt the appeal should be acknowledged and arrangements
       made to hear the appeal as soon as possible. In the case of an
       appeal against a written warning, or final written warning, this
       should be within four weeks. In the case of an appeal against
       dismissal, due to the involvement of non-executive Directors, the
       appeal should be heard within seven weeks.

18.8   If it is not possible to meet the timescales set out above, the
       manager arranging the appeal must contact the employee and
       explain the reasons for the delay and a revised timescale.

18.9   Where it has been determined that a re-hearing should take place,
       witnesses may be recalled by either side. Otherwise, witnesses
       may not be present.

18.10 An employee is entitled to be accompanied by a trade union
      representative or other workplace representative or colleague at
      an appeal hearing in accordance with paragraph 7 above.

18.11 The format of the appeals hearing will be as follows:

       18.11.1 The appeal Chair will open the hearing by making any
             appropriate introductions and outlining the format for the
             meeting. The Panel may ask questions at any time, and
             any party may request an adjournment at any time which
             will be granted at the discretion of the appeal Chair. In the
             case of a re-hearing, witnesses will only be present when
             called, and only to provide their evidence after which they
             are required to leave.

       18.11.2 If it becomes clear during the Hearing that the employee
             has provided an adequate explanation, or there is no real
             evidence to support the allegation, the proceedings should
             be brought to a close and the employee informed of the
             outcome. This should be followed up in writing within five
             days.

       18.11.3 The employee or his/her companion will explain the
             grounds of appeal and, in the case of a re-hearing, call any
             relevant witnesses.

       18.11.4 The Chair of the Disciplinary Hearing will be offered the
             opportunity to ask both the employee and any witnesses
             questions immediately following the presentation of their

                                                                             23
                   evidence. The appeal Chair has the right to refuse
                   questions if in his/her opinion they are not materially
                   relevant to the case.

             18.11.5 The employee or his/her companion may then ask further
                   questions of the witnesses if appropriate, including seeking
                   clarification to earlier questions.

             18.11.6 The Chair of the Disciplinary Hearing will state the case
                   for the management decision and in the case of a re-
                   hearing call any relevant witnesses.

             18.11.7 The employee or his/her companion will be offered the
                   opportunity to ask both the employee and any witnesses
                   questions immediately following the presentation of their
                   evidence. The appeal Chair has the right to refuse
                   questions if in his/her opinion, they are not materially
                   relevant to the case.

             18.11.8 The Chair of the Disciplinary Hearing may then ask further
                   questions of the witnesses if appropriate, including seeking
                   clarification to earlier questions.

             18.11.9 Where new factual matters arise during an appeal hearing
                   the hearing can b adjourned for consideration of those
                   matters where appropriate. Both parties should be given
                   reasonable opportunity to comment on any new matters.

             18.11.10 The employee or his/her representative, followed by the
                   Chair of the Disciplinary Panel, will then be given the
                   opportunity to summarise their case.

             18.11.11 The meeting should then be adjourned.


19.   Reaching a Decision

      19.1   Following the adjournment, the appeals panel must reach a decision as to
             whether or not the appeal should be upheld. The Appeals panel has the authority
             to change a previous decision if it becomes apparent that it was not soundly
             based. Such action does not undermine authority but rather makes clear the
             independent nature of the appeal.




                                                                                  24
19.2   The Panel may recall either side to clarify a point during their deliberations, but
       must also invite the other side to be present.

19.3   Once the Panel has made a decision regarding whether or not the appeal should
       be upheld (and in the case that the appeal is upheld, an appropriate sanction –
       see paragraph 17 above) the Panel should recall both parties and advise them of
       the decision. In circumstances where it is not possible to re-convene immediately
       both parties should be advised of the decision in writing within 5 working days or
       where this is not possible as soon as practicable.. Where a decision is given
       verbally at a re-convened hearing, this must be confirmed in writing within 5
       working days or as soon as practicable.

19.4   The decision by the appeal panel is final.




                                                                                25
                                           Appendix A


                         Code of Conduct and Performance


Standards of performance and conduct expected of all staff are set out below;
however, due to the diversity of professions and services, many more standards are
set out in professional codes of conduct, and associated documents, together with
PCT policies, procedures and operating standards and joint-working protocols.
Attention is particularly drawn to the following policy groups:

      Child Protection
      Clinical Governance
      Clinical Polices (non medical)
      Finance
      Health and Safety
      Human Resources
      Incident Reporting
      Infection Control
      Information Governance
      Medical Devices/Equipment
      Smokefree
      Email and Internet Acceptable Use Policy (not easy to find this one!)
      Recruitment and Selection (check)

All staff are required to comply with the provisions laid out in all relevant PCT policies
and procedures, and joint-working protocols, were applicable. It is the responsibility
of all staff to read and understand the specific standards expected in the
performance of their own role. Managers are responsible for bringing the relevant
policies to the attention of staff.

The following gives an indication, but not an exhaustive list, of the general standards
of conduct expected of all staff.

Failure to comply with these standards and the provisions of PCT policies and
procedures, and joint-working protocols, not sufficiently serious to constitute
gross misconduct will be treated as mis-conduct and may result in disciplinary
action that may, ultimately, lead to dismissal.

While a first breach of these standards would not normally result in dismissal (other
than in the case of gross misconduct – see below), continued breaches, after



                                                                                       26
warnings and opportunities to improve, could cumulatively do so, as could
particularly serious breaches.


  1. Follow reasonable instructions

     To carry out the reasonable and lawful instructions of managers efficiently and
     to carry out duties as described in the individual job description and objectives
     to a satisfactory standard. In circumstances where there is a disagreement as
     to the lawfulness or reasonableness of instructions employees should
     continue to co-operate with management instructions and should raise any
     concern under the whistleblowing and/or grievance procedure as appropriate.

     “Managers” includes all those with delegated authority for the service area in
     which the member of staff concerned is based, either permanently or
     temporarily.

  2. To work according to standards

     To work in accordance with the training and professional standards, relevant
     codes of conduct (for example the NMC Code of Professional Conduct, a
     Midwives‟ Code of Practice, and the GMC guidance on Contractual
     Arrangements in Healthcare), key skills framework, regulatory and legal
     requirements and PCT policies, procedures and protocols relevant to the
     individual.

  3. Maintain appropriate boundaries

     To maintain appropriate professional boundaries with colleagues, patients and
     visitors, including, but not limited to, those regarding sexual relationships
     whether unlawful or not.

     Staff must not use their position to influence patients or relatives about the
     choice of private Care as either an alternative or follow-up to care received
     from the PCT.

     Staff should have no involvement in patients/clients financial affairs, other than
     advice regarding benefits, housing entitlements, housekeeping budgeting or
     within rehabilitation aims. Such permitted involvement may extend to the use
     of appropriate literature and/ or discussions with patients/clients and should be
     clearly recorded in the patient/client record.

     Staff must not accept offers of loans, or favours of any kind from patients,
     clients or visitors.

                                                                                    27
4. Maintain Professional Registration

   All staff that require professional registration in order to practice must ensure
   that their registration is maintained on an ongoing basis. The Registration of
   Professional Staff policy sets out the relevant staff groups.

5. Equalities and Diversity

   To comply with the provisions of the PCT‟s Equalities and Diversity Policy and
   Dignity at Work Policy and Procedure, and carry out their work with respect for
   the views and feelings of others, including patients, visitors and colleagues,
   whatever their background.

   Not to discriminate against, bully or victimise a colleague, patient or visitor on
   any grounds.

6. Team Work/Customer Care

   To work constructively with colleagues, including those from other
   organisations, patients and visitors without the use of offensive or abusive
   language, violence or other offensive behaviour.

7. Attendance

   To attend for duty punctually and regularly for the hours laid down in their
   contracts of employment, or as agreed with their manager, including starting
   and finishing times. To present themselves for work unless they have prior
   permission to be absent and to take breaks only as authorised.

   In cases of sickness, contact with infectious disease or sudden domestic
   emergency, the responsibility lies with the employee to inform their manager
   at the earliest opportunity and to comply with all requirements for sickness
   reporting under the PCT‟s Sickness Absence Policy.

8. Confidentiality

   To treat all information relating to patients, staff and commercial matters as
   confidential at all times and comply with the provisions of the Data Protection
   Act as appropriate, using such information only for the purposes intended.




                                                                                  28
9. Conflict of Interest

   Any staff undertaking other employment outside their contractual hours must
   ensure that this in no way hinders or conflicts with the interests of their
   employment with the PCT or has any adverse effect upon the performance of
   their duties. Employees must inform their managers of employment outside
   working hours where there this may give rise to a possible conflict of interest.

   Staff must also ensure that any other activities (paid or unpaid) or actions
   undertaken outside of work are compatible with their employment and inform
   their managers where such activities might be perceived to be a conflict of
   interest. This includes being the subject of a referral to, or investigation by
   relevant agencies such as Social Services or the Police. Employees must
   inform the PCT as soon as practicable if they are the subject of any such
   referral or investigation.

10. Health and Safety/Hygiene

   To comply with the PCT‟s Health and Safety Policy and associated policies,
   e.g. Accident and Incident Reporting, and to carry out their duties in a manner
   that ensures safe and secure working practices and a safe environment for
   themselves and others.

11. Complaint and Incident Reporting

   To report any complaint about service or treatment, or any witnessed incident
   of unacceptable behaviour to patients, members of the public or colleagues.

12. Investigations

   To co-operate with all investigations, whether as a witness or otherwise.

13. Fraud and Corruption

   To comply with the PCT‟s Standing Orders and Standing Financial
   Instructions (are these the correct terms?) and at all times to deal honestly
   with the PCT, colleagues and all those who have dealings with the PCT
   including patients, relatives and suppliers. Staff are expected to maintain
   appropriate entries in the Register of Hospitality and Interest.

14. Dress Code

   To maintain appropriate standards of appearance in accordance with the
   Dress Code and wear the necessary identification.

                                                                                29
   15. Safeguarding Property and Equipment

      To avoid damage, either deliberate or through carelessness, to NHS, patient
      or staff property and equipment, and to use only as authorized.

   16. Security

      To comply with the responsibilities of employees set out in the Security
      Strategy.

   17. Documentation

      To complete timesheets, records or other documents (including those relating
      to patients) accurately, as required, and to maintain such records in line with
      PCT protocols.

   18. Smoking

      To adhere to the Smokefree Policy.

Gross Misconduct

The following offences are among those regarded as gross misconduct and therefore
serious enough to warrant summary dismissal, that is dismissal without notice,
without any prior warnings. This is because the misconduct is of such a nature that
the PCT loses confidence and trust in the employee to the extent that it can no
longer tolerate the continued employment of that individual.

The list is not exhaustive:

   1. Theft - any instances of theft or attempted theft from the PCT or other NHS
      properties, or from patients, visitors or staff. This includes unauthorised
      personal use of NHS property on the premises.

   2. Fraud - This includes any deliberate falsification, unauthorised destruction or
      alteration of records or documents, such as the misrepresentation of
      entitlement to expenses or allowances, the falsification of time-sheets, false
      verbal or written claims regarding working off the premises or obtaining
      employment by deception. This may also include falsely claiming sick pay or
      engaging in outside employment during the hours when contracted to work for
      the PCT.

   3. Corruption - the receipt of money, goods, favours or excessive hospitality in
      respect of services rendered (for example, from contractors in anticipation or

                                                                                  30
   recognition of receiving orders for goods), or any other use of position in the
   Authority for private advantage.

4. Ill treatment – including wilful or knowing neglect, or verbal abuse of patients
   and clients.

5. Drugs - Misuse or misappropriation of drugs.

6. Assault - any assault (verbal, physical or threatened) upon a patient, member
   of the public or employee, including fighting, unlawful discrimination,
   harassment, bullying and victimization.

7. Negligence - any action or failure to act which could result in serious loss,
   damage or injury including wilful failure to perform duties satisfactorily.

8. Email/Internet – access, downloading or e-mailing unsuitable material, or use
   of the internet/email for the facilitation/promotion of criminal activities.

9. Insubordination – serious failure to carry out the lawful and reasonable
   instructions of a manager.

10. Disrepute – bringing the PCT into disrepute, including actions or behaviour
    which takes place outside of work and/or off duty.

11. Reduced capability – brought on by the misuse of alcohol, drugs or other
    substances with mind altering or psycho-active properties which are not
    prescribed to the individual for medicinal purposes. The Alcohol and
    Substance Misuse Policy and Procedures set out the support the PCT will
    offer to employees in such circumstances and the situations which will be
    dealt with in accordance with the disciplinary procedure.

12. Confidence - a serious breach of confidence.

13. Health and Safety - a serious breach of health and safety rules.

14. Damage – deliberate and serious damage to PCT, patient, visitor or staff
    property.

15. Misuse – serious misuse of the PCT‟s property or name.

16. Sexual Misconduct – Inappropriate sexual relations between staff and
    patients, whether criminal or not




                                                                                31
17. Unauthorised access to or interference – with information systems, use of
    IT equipment, programmes and date for purposes other than those directly
    concerned with the work of an employee , together with any breach of the
    Data Protection Act, Computer Misuse Act, Copyright, Designs and Patents
    Act and the PCT‟S IT Security Policy.

18. Confidentiality – serious breach of confidentiality of patients, clients, staff or
    others, including unauthorized covert surveillance and disclosure of
    information which is in breach of PCT policy and guidance.

19. Legal/Regulatory     breach    –   serious   breach    of   legal   or   regulatory
    requirements.




                                                                                    32
                                             Appendix B

Disciplinary Warning Letters – Contents

Written Warning

The letter confirming the disciplinary decision and a written warning should include
the following:

      the nature of the misconduct that occurred;
      details of any necessary action to remedy the situation, the standard(s)
       expected and any additional training or support that will be provided;
      the duration of the warning. This is as follows:

          o First Written Warning - 12 months
          o Final Written Warning - Two years

That any further misconduct during the duration of the warning may result in further
disciplinary action, which may lead to a final written warning/dismissal, as
appropriate;

Details of the employee‟s right of appeal.

Dismissal (other than gross misconduct)

The letter confirming the disciplinary decision to dismiss should include the following:

          o The nature of the misconduct that occurred;
          o The warnings previously issued, with copies of these;
          o Confirmation of the contractual notice period and the date of
            termination;
          o Confirmation of whether the employee is required to work their notice
            period, or receive pay in lieu of notice;
          o Details of any outstanding pay due to the employee, for example
            payment in lieu of annual leave;
          o Details of the employee‟s right of appeal.

Dismissal (gross misconduct)

In the case of gross misconduct, the letter confirming the disciplinary decision to
dismiss should include the following:

   o The nature of the misconduct that occurred;


                                                                                     33
o Details of any outstanding pay due to the employee, for example payment in
  lieu of annual leave;
o Details of the employee‟s right of appeal.




                                                                         34
               Appendix C


INCIDENT DECISION TREE GUIDELINES




                                    35
                                        Appendix D



                    LEVELS OF DISCIPLINARY AUTHORITY



First Written Warning and Below

Supervisors, Assistant Managers, Line Managers and equivalent


Final Written Warning and Below

Team Leader, Clinical Team and equivalent


Dismissal and Below

Chief Executive
Executive Director
Chief Operating Officer (Support Services Partnership)
Associate Director/Deputy Director
Heads of Service




                                                                36
                                       Appendix E

                                        Form A



       Sharing of information with Workplace Representative/Colleague


                                      Consent Form




I   consent   to   the   PCT     sharing      relevant   information   regarding   the
Grievance/Disciplinary/Dignity   at    Work   (delete,   or   amend    as   necessary)
investigation/hearing in which I am participating, with ………………………………
(insert name) in their capacity as my workplace representative/colleague.




NAME          …………………………………..


DATE          …………………………………..


SIGNATURE …………………………………..




                                                                                   37
Appendix F

                                   Conduct falls short of standards required




                   First occasion, minor          “Live” oral        Misconduct too serious
                   misconduct                     warning on         to be classed as minor
                                                  file, minor
                                                  misconduct
               Informal discussion
               between manager and                                         Consider
                                                  Inform employee          suspension
               employee
                                                  investigation to
                                                  be undertaken
             ORAL            Employee
             WARNING         provides
             issued          suitable                      Investigation
                             explanation/
                             mitigation.
                             No action            Disciplinary       No case to         Notify
                             required             case to            answer             employee
                                                  answer


                                      Disciplinary Hearing                  Allegation not
                                                                            proven

                                            Allegation
                                            proven                                 Notify
                                                                                   employee


        First Written          Final Written             Dismissal                Summary
        Warning                Warning                                            Dismissal




                                            Appeal within 14 days


                                               Appeal Hearing



                                                Notify
                                                employee




                                                                                                   38

								
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