Human Resources Policies and Procedures for the South West Strategic Health Authority

19 March 2010

South West Strategic Health Authority Human Resources Policies and Procedures for the South West Strategic Health Authority
Paper for the meeting of the South West Strategic Health Authority on 15 April 2010 Author Lisa Wyatt-Jones, Interim Head of Human Resources Responsible Director John Bewick, Director of Strategic Development and Interim Director of Workforce Main aim To report on updates made to Human Resources policies and procedures Outcome of equality impact assessment All policies have been screened and process amended in line with the equality impact screening process Actions taken and planned as a result of No further assessments or action the equality impact assessment, with required details of action plan with timescales/review dates as applicable Groups/individuals consulted with as part Joint Management and Staff Committee of the impact assessment representatives Link to strategic objectives and priorities Supports strategic objectives and priorities Risk register n/a Risks identified if not on risk register Current controls to reduce risk Options/recommendations Resources implications Details of residual risk following recommendations Any legal implications or links to legislation Freedom of information including restrictions Public involvement history Previous considerations n/a n/a n/a n/a n/a Ensures Human Resources policies are compliant with current legislative requirements No risk N/a Senior Management Team meeting on 11 January 2010 and Steering Group meeting on 16 February 2010.

Preface

This paper sets out the thirty Human Resources Policies and Procedures and five Health and Safety Policies and Procedures that have been either created or updated and amended as a result of routine review period; changes in legislation or recommendations from the South West Strategic Health Authority audit reviews.

Sir Ian Carruthers OBE Chief Executive 19 March 2010

South West Strategic Health Authority Human Resources Policies and Procedures for the South West Strategic Health Authority Table of contents
Page No. Assessment sheet Preface Table of contents Section 1 Section 2 Section 3 Appendices Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Appendix 7 Appendix 8 Appendix 9 Appendix 10 Appendix 11 Appendix 12 Appendix 13 Appendix 14 Absence Management policy .................................................. 11 Appraisal policy ........................................................................ 31 Dignity at Work policy............................................................... 43 Disciplinary policy..................................................................... 63 Emergency Response policy.................................................... 119 Establishment Control policy ................................................... 129 Family Friendly policy............................................................... 135 Flexible Working policy ............................................................ 165 Grievance policy........................................................................ 185 Health and Wellbeing policy ..................................................... 197 Hospitality, Gratuities and Inducements policy...................... 233 Lease Car policy ........................................................................ 241 Leave Entitlement policy .......................................................... 253 Mobile Phone policy.................................................................. 265 Introduction................................................................................ 1 Amendments to the policies..................................................... 3 Recommendations ................................................................... 7

Appendix 15 Appendix 16 Appendix 17 Appendix 18 Appendix 19 Appendix 20 Appendix 21 Appendix 22 Appendix 23 Appendix 24 Appendix 25 Appendix 26 Appendix 27 Appendix 28 Appendix 29 Appendix 30 Appendix 31 Appendix 32 Appendix 33 Appendix 34 Appendix 35

Organisational Change policy .................................................. 269 Pay Protection policy ................................................................ 289 Performance Improvement policy............................................ 295 Professional Registration policy.............................................. 315 Redeployment policy ................................................................ 321 Recruitment policy .................................................................... 329 Representation at Work policy ................................................. 363 Retirement policy ...................................................................... 371 Secondary Employment policy ................................................ 377 Secondment policy.................................................................... 381 Staff Involvement and Internal Communications policy ........ 385 Study Leave and Development policy ..................................... 391 Travelling and Subsistence policy........................................... 397 Valuing Diversity policy ............................................................ 405 Whistleblowing policy............................................................... 411 Work Experience policy ............................................................ 417 Adverse Incident policy ............................................................ 421 Fire Prevention policy ............................................................... 433 Health and Safety policy ........................................................... 441 Lone Workers policy ................................................................. 449 Zero Tolerance policy ............................................................... 455

Section 1

Introduction

This section sets out the background to the changes required to the relevant Human Resources Policies and Procedures.

1.
1.1

Introduction
The majority of the Human Resources policies and procedures of the South West Strategic Health Authority were approved in July 2006 and due for routine review by July 2009. All policies that are either written or reviewed are subject to Equality Impact Assessments. All of the policies contained in this report have been screened and any necessary amendments have been incorporated into the policies, therefore full equality impact assessments have not been necessary. The Joint Management and Staff Committee have been consulted about the proposed changes to the respective policies and where appropriate further amendments have been agreed. A Steering Group comprising members of Human Resources, and Directors/Representatives have reviewed all of the policies and after minor amendments have agreed for the policies to progress to the Authority Seminar for consideration. A number of Human Resources policies and procedures have been the subject of Audit reviews and changes recommended, which are fully reflected in the revised documents. Where policies were linked or overlapped significantly, they have been incorporated or amalgamated into an integrated policy, for ease of use by staff and managers, for example the Leave Entitlement policy. This report contains thirty five policies and procedures that have either been amended or created in response to an identified need: revised Absence Management policy (Appendix 1); revised Appraisal policy (Appendix 2); revised and incorporated Dignity at Work policy (Appendix 3); revised Disciplinary policy (Appendix 4); revised and incorporated Emergency Response policy (Appendix 5); revised Establishment Control policy (Appendix 6); revised and amalgamated Family Friendly policy (Appendix 7); revised and amalgamated Flexible Working policy (Appendix 8); revised Grievance policy (Appendix 9); revised and amalgamated Health and Wellbeing policy (Appendix 10); revised and incorporated Hospitality, Gratuities and Inducements policy (Appendix 11); 1

1.2

1.3

1.4

1.5

1.6

1.7

 1.8

revised Lease Car policy (Appendix 12); revised and amalgamated Leave Entitlement policy (Appendix 13); revised Mobile Phone policy (Appendix 14); new Organisational Change policy (Appendix 15); revised Pay Protection policy (Appendix 16); revised Performance Improvement policy (Appendix 17); revised Professional Registration policy (Appendix 18); revised Redeployment policy (Appendix 19); revised and amalgamated Recruitment policy (Appendix 20); revised Representation at Work policy (Appendix 21); revised and incorporated Retirement policy (Appendix 22); revised Secondary Employment policy (Appendix 23); revised Secondment policy (Appendix 24); revised Staff Involvement and Internal Communications policy (Appendix 25); revised Study Leave and Development policy (Appendix 26); revised Travelling and Subsistence policy (Appendix 27); revised Valuing Diversity policy (Appendix 28); revised Whistleblowing policy (Appendix 29); revised Work Experience policy (Appendix 30); revised Adverse Incident policy (Appendix 31); revised Fire Prevention policy (Appendix 32); revised Health and Safety policy (Appendix 33); revised Lone Workers policy (Appendix 34); revised Zero Tolerance policy (Appendix 35).

Details with regard to the amendments are explained further in Section 2, Amendments to the policies.

Section 2

Amendments to the policies

This section sets out a summary of the amendments and updates that have been made to the Human Resources Policies and Procedures in order to comply with legislation, Equalities Impact Assessments and recommendations from Audit Reviews.

2.
2.1

Amendments to the policies

The Absence Management policy has been significantly amended to be clearer about responsibilities and introduces trigger points for short term absence management. Therefore the process for managing and taking action is more specific and can be more tightly managed and supported. The policy was renamed from the Sickness Absence policy. The Equality Impact Assessment raised issues with regard to potential inequality due to disability, however these have been addressed in the policy. The Appraisal policy now includes a section on employee responsibilities and a commitment to the equality of opportunity. The policy has been renamed from the Individual Performance Review policy. The Dignity at Work policy has been incorporated with the Equal Opportunities policy and now includes the staff rights and responsibilities set out under the NHS constitution. The revised policy gives more clarity that investigations will follow the same process as that of a grievance investigation. Detailed procedural guidance for managers on different management behaviours has been provided. The new role and contact details of Employee Support Advisors has also been provided. The Disciplinary policy has been completely rewritten and now has a summary and a larger step-by-step user guide. All appeals will in future be coordinated in the first instance by the Associate Director of Human Resources. The Emergency Response policy has been amalgamated with the Pandemic Flu Policy and the Severe Weather policy and has been extended to cover all emergency situations. The Establishment Control policy has had minor amendments to ensure consistency. The Family Friendly policy has amalgamated the Maternity Leave, Adoption Leave, Parental Leave, Paternity Leave, Career Breaks and Special Leave. The Flexible Working policy has been incorporated with the Job Share policy and the layout has been simplified. The Grievance policy has had a title change from Grievance and Disputes policy and has been amended to follow ACAS guidelines and timescales. Also the timescales now match those of the disciplinary policy for consistency. The Health and Wellbeing policy has amalgamated the Alcohol and Drugs Misuse, Eye Tests, Health problems in disability in employment, Management of Stress, No Smoking and Occupational Health Services. The definition of stress has been amended to include the difference between positive pressure and the harmful affects of pressure that is beyond a persons ability to cope.

2.2

2.3

2.4

2.5

2.6 2.7 2.8 2.9

2.10

2.11 2.12

The Hospitality, Gratuities and Inducements policy has incorporated aspects of staff conduct to address issues of duplication. The Lease Car policy has been amended in line with age discrimination legislation, therefore reference to a drivers age has been changed from 21 to 17 years of age. Clarification is given on travel to or from work as being classed as normal commuting and not official business mileage. To work towards the carbon reduction targets of the Strategic Health Authority, it is proposed that a lease car would not be provided over the level of Band F CO2 emission. In addition, a handover of the vehicle will be undertaken for each employee at which point any visible defects will be identified. The Leave Entitlement policy title has been changed to reflect the amalgamation of the Annual Leave, Civic and public duties leave, Jury and witness special leave and Reserve Forces leave. The policy now makes clear that sickness absence during annual leave can only be reclaimed if there is a valid GP certificate covering the whole period. The Mobile Phone policy was updated due to changes in the charging system for personal calls. The Organisational Change policy is new as the previous policy was put in place for the Commissioning a Patient Led NHS changes. There is now clear and detailed procedural and management guidance which recognises the need for an objective, fair and equitable approach, and recognises the potential impact of change on staff. It explains in detail the appointment processes to be followed when undergoing organisation change and provides a flow chart summarising the process. The Pay Protection policy has been separated from the Redeployment policy and is now set out as a stand alone policy. The Performance Improvement policy has had a title change from Capability and is now simplified and in line with current legislation. The Professional Registration policy now covers independent contractors and gives employees whose registration has lapsed a clear timescale (five working days) to renew their professional registration. The policy requires Human Resources to update professional registration details on the electronic staff record system and conduct annual checks. Guidance is also provided for the management of staff who are unable to maintain professional registration due to disability and a flow chart summarising the process has also been included. The Redeployment policy now includes the employee's responsibility to apply for suitable alternative posts at their previous salary level when on pay protection. The policy has also been re-titled from the Staff Redeployment and Displacement.

2.13

2.14 2.15

2.16 2.17 2.18

2.19

2.20

The Recruitment policy now amalgamates, Recruitment and selection, Relocation and expenses, Employment of partners, Guidance on starting salaries, Induction and Disclosure policies. The policy has been updated in line with the Human Resources processes to match NHS Jobs recruitment process and requirements of NHS employers, Counter Fraud and audit. The Representation at Work policy has been consistency checked and includes the latest Joint Management and Staff Committee Terms of Reference. The Retirement policy has been re-written to assist managers dealing with requests to continue working beyond retirement age. The Secondary Employment policy has been created to support audit requirements. The Secondment policy now includes 'normal' time period of secondments of six to twenty four months and a commitment to the fair and equitable treatment of staff, to provide equity for career development opportunities. The Staff Involvement and Internal Communications policy has been consistency checked and the Staff Charter is now a stand alone document on the intranet site. The Study Leave and Development policy has been revised and re-titled from the Education and Development policy following suggestions from the Joint Management and Staff Committee. The Equality Impact Assessment raised issues with regard to potential inequality due to age and length of service and these have been addressed in the policy. The Travel and Subsistence policy was amended due to an Audit review which recommended that annual vehicle checks should be carried out to ensure that employees claiming mileage hold valid motor insurance which includes business usage, current driving license and motor insurance. The mileage rates were also updated. The Valuing Diversity policy has been updated and reviewed by the Equality and Human Rights Manager to ensure that we meet our legislative requirements. The Whistleblowing policy has been revised to reflect current best practice and is supported by Public Concern at Work.

2.21

2.22 2.23 2.24

2.25

2.26

2.27

2.28

2.29

2.30

The Work Experience policy has been amended so that candidates can now be 14 years old or above to accommodate students on their relevant work experience year. Internships have been included as an example of work experience placement. There is a requirement for South West Strategic Health Authority supervisor and mentor to have CRB enhanced disclosure and registered to work with children under the age of 16 in line with changes introduced by the Independent Safeguarding Authority. There is also a requirement to make reasonable adjustments to accommodate individuals with special requirements. All Health and Safety policies have been reviewed by a Health and Safety Professional to ensure they are up to date on any new legislative requirements. The Adverse Incident policy has had the scoring process brought into line with the 5 x 5 matrix used in the scoring roles for the Risk Register to ensure consistency of approach and understanding. The Fire Prevention policy is now a stand alone policy instead of being incorporated with the Health and Safety policy. The Health and Safety policy has been updated in line with the professional advice received. The Lone Workers policy has been updated in line with the professional advice received. The Zero Tolerance policy has been updated in line with the professional advice received. All of the Human Resources and Health and Safety policies have been through the Equality Impact Assessment screening process and where appropriate, amendments have been made.

2.31

2.32

2.33 2.34 2.35 2.36 2.37

Section 3

Recommendations

This section contains recommendations for the Authority Seminar.

3.
3.1

Recommendations
It is therefore recommended that the Authority Seminar confirm agreement of the thirty five Human Resources policies and procedures included in this report. The policies attached to this report are consistent with current UK employment legislation and where appropriate, Audit recommendations and are also robust in terms of the conditions of employment for NHS staff. The policies have been fully reviewed by the Joint Management and Staff Committee and have been Equality Impact Assessed. It is therefore recommended that the following policies should be agreed for approval by the Authority Public meeting on the 15 April 2010. Where applicable, relevant policies will be reviewed by the Local Counter Fraud Service (LCFS) and the Local Security Management Service (LSMS). The Human Resources and Health and Safety policies have also been assessed to establish when upcoming legislation or organisational requirements may indicate an appropriate review date and Equality Impact Assessment. Therefore the recommendation is that the following policies are reviewed again by April 2011. Absence Management; Appraisal; Dignity at Work; Family Friendly; Lease Car; Pay Protection; Retirement; Travelling and Subsistence; Valuing Diversity; Work Experience.

3.2

3.3 3.4 3.5 3.6

3.7

It is therefore recommended that the following policies should be agreed for approval by the Authority and then reviewed and Equality Impact Assessed again by April 2012: Disciplinary; Establishment Control; 7

 3.8

Flexible Working; Grievance; Hospitality, Gratuities and Inducements; Organisational Change; Performance Improvement; Redeployment; Recruitment; Representation at Work; Study Leave and Development;

It is therefore recommended that the following policies should be agreed for approval by the Authority and then reviewed and Equality Impact Assessed again by April 2013: Emergency Response; Health and Wellbeing; Leave Entitlement; Mobile Phone; Professional Registration; Secondary Employment; Secondment; Staff Development and Internal Communications; Whistleblowing; Adverse Incident; Fire Prevention; Health and Safety; Lone Workers; Zero Tolerance.

3.9

Following Authority Seminar agreement and the Public meeting approval, the changes to the Human Resources policies will be communicated to management and employees, the intranet site will be updated and where appropriate, training will be provided.

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Appendices
Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Appendix 7 Appendix 8 Appendix 9 Appendix 10 Appendix 11 Appendix 12 Appendix 13 Appendix 14 Appendix 15 Appendix 16 Appendix 17 Appendix 18 Appendix 19 Appendix 20 Appendix 21 Appendix 22 Appendix 23 Appendix 24 Appendix 25 Appendix 26 Appendix 27 Appendix 28 Appendix 29 Appendix 30 Appendix 31 Appendix 32 Appendix 33 Appendix 34 Appendix 35 Absence Management Policy Appraisal Policy Dignity at Work Policy Disciplinary Policy Emergency Response Policy Establishment Control Policy Family Friendly Policy Flexible Working Policy Grievance Policy Health and Wellbeing Policy Hospitality, Gratuities and Inducements Policy Lease Car Policy Leave Entitlement Policy Mobile Phone Policy Organisational Change Policy Pay Protection Policy Performance Improvement Policy Professional Registration Policy Redeployment Policy Recruitment Policy Representation at Work Policy Retirement Policy Secondary Employment Policy Secondment Policy Staff involvement and Internal Communications Policy Study Leave and Development Policy Travelling and Subsistence Policy Valuing Diversity Policy Whistleblowing Policy Work Experience Policy Adverse Incident Policy Fire Prevention Policy Health and Safety Policy Lone Workers Policy Zero Tolerance Policy

Appendix 1

Absence Management Policy

This appendix sets out the revised Absence Management Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Absence Management Policy 1.

1.1

Introduction
The South West Strategic Health Authority is committed to improving the health, well being and attendance of all our employees. We recognise the valuable contribution that our employees make in achieving our aims. The Absence Management policy and procedure will ensure that all employees are supported when sick and enabled to return to work as soon as possible to continue their contribution to our success. Any enquiries with regard to sickness absence must be discussed with the employees line manager who, in turn, may contact the Human Resources team for advice. The South West Strategic Health Authority aims to promote equality and diversity and the value the benefits this brings. It is our aim to ensure that all staff feel valued and are treated fairly and equitably at work. It is the intention of this policy and procedure to ensure that all employees are treated fairly and consistently in the management of sickness absence. This policy should be read in conjunction with the: Dignity at Work policy; Disciplinary policy; Family Friendly policy; Flexible Working policy; Health and Safety policy; Health and Wellbeing policy; Organisational Change policy; Performance Improvement policy.

1.2

1.3

1.4

1.5 1.6

11

2.
2.1

Policy principles
The Absence Management policy and procedure is based upon the following principles: regular, punctual attendance is a requirement for the employment relationship. The South West Strategic Health Authority expects each employee to take responsibility for achieving and maintaining good attendance; the South West Strategic Health Authority will support employees during and after periods of sickness. This support will include: occupational health support and advice; access to counsellors where necessary; sheltered return to work following long-term sickness absence;

all line managers will ensure a safe working environment which includes the awareness that stress can lead to short and long term absence; special consideration will be given to those employees who may have protection under the Disability Discrimination Act 2005. Each case will be treated on its own merits and individual circumstances; take into account the needs of those staff who may have protection under the Sex Discrimination (Gender Reassignment) Regulations 1999. Each case will be treated on its own merits and individual circumstances; the South West Strategic Health Authority respects the confidentiality of all information relating to an employees sickness. This policy will be implemented in line with all data protection legislation and the Access to Medical Records Act 1988.

3.
3.1

Responsibilities of employees
The responsibilities of the employees include the need to: take responsibility for achieving and maintaining good attendance; comply with the Absence Management policy and procedure and to cooperate with their line manager in its implementation; notify the nominated person (normally the line manager) on the first day of absence by 10am or as soon as reasonably practicable; stating the reason for absence, the date they first became ill and the likely duration of absence (a third party should only be used to notify sickness absence when it is not practically possible to do so);

12

keep their line manager informed during their absence and provide all necessary information to allow their line manager to support them; inform their line manager when they are well enough to return to work, even if it is a day off or annual leave; attend meetings and occupational health reviews to enable the line manager to discuss the reason for, and cause of, absence and anything the line manager can do to help and that the employee is fit to work. Failure to do so may result in disciplinary action and/or decision being made in their absence or the absence of medical advice.

4.
4.1

Responsibilities of employers
The responsibilities of the employer include the need to: demonstrate that a fair and consistent procedure has been met including attending management training on this policy procedure and keeping up to date with any changes; proactively manage and support their employees; keep accurate records on their employees which will be stored confidentially in the employees personnel file in line with all data protection legislation and the Access to Medical Records Act 1988; notify Human Resources of an employees sickness and return to work within the set payroll deadlines to ensure employees receive their correct pay entitlement; ensure that employees are aware of and understand the Absence Management procedure; maintain reasonable and sensitive contact with employees who are absent due to sickness; seek Occupational Health and Human Resources advice and support where appropriate in order to promote the health and wellbeing of employees; ensure that, at every stage in the policy, the employee is aware of their right to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity); this does not extend to the right of legal representation, partners and family members.

5.
5.1

Reporting of absence
Line managers must ensure that all employees are aware of the procedure for reporting absence to either themselves or a nominated person.

13

5.2 5.3 5.4 5.5

The line manager or nominated person must complete a Notification of Absence form to be sent to the Human Resources team. All sickness absence must be recorded from the first day of reported sickness, even if that day was a day off or annual leave for the employee concerned. When an employee hits one of the short term absence trigger points, the short term absence procedure will be followed. Failure to notify sickness absence will be treated as unauthorised absence and may result in the decision to withhold pay and/or use the Disciplinary policy of the South West Strategic Health Authority. The line manager or nominated person must record the sickness absence on a Sickness Absence Notification Form which should be sent to the Human Resources team to record as sickness absence. Should the period of absence continue for eight days or more (including Saturday and Sundays) a medical certificate must be submitted by the employee to their line manager, to cover the entire absence. Failure to supply these certificates regularly and on time may result in pay being withheld. If an employee is absent during a period of annual leave, they must follow the reporting procedure as detailed above and submit a medical certificate in order for their line manager to consider reinstating their annual leave. Sickness absence at work: if an employee is unwell whilst at work and leaves work early, it must be reported to their line manager or nominated person; will be monitored but will not be counted as a sickness absence unless it is the third or more occasion of part day absence in the twelve month rolling period; part day sickness absence must be recorded on a Sickness Absence Notification Form.

5.6

5.7

5.8

5.9

6.
6.1 6.2

Return to work
On return from sickness absence, a self-certification form must be completed by the employee and submitted to their line manager. The line manager or nominated deputy will carry out a Return to Work Interview during the employees first day back at work. In cases where this is not possible, they must be completed within 48 hours. The purpose of a Return to Work Interview is to discuss the reason for and cause of absence, identify any support the line manager is able to offer and confirm that the employee is fit to work.

6.3

14

6.4 6.5 6.6

Return to work interviews are recognised as the most effective way to reduce absence and support employees in the workplace. Employees have the right to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity). During a return to work interview a line manager can: express their concerns, if any, with regard to their health problems; let them know they were missed and make arrangements to update them on any information they have missed; identify any underlying problems; draw attention to frequent absence following days off, weekends and so on; refer the employee to Occupational Health should any medical condition be identified that is likely to affect the employees performance in their job; this must be with the employees consent.

6.7

The Return to Work form must be completed in full and retained in the employees personal file.

7.
7.1

Formal sickness reviews

A formal review will be triggered by: frequent short term absences; long term absence; frequent part day absences.

7.2

A formal review will consist of a Return to Work interview and, should there be no subsequent improvement in short term absence over the agreed period of time, may lead to: a referral to Occupational Health to help identify the nature of an employees illness and provide advice on how best to improve the employees health and well being; formal meetings to discuss the employees absence; agreed targets for improvement over a set period of time; dismissal should the employee fail to meet the required levels of attendance in line with the South West Strategic Health Authority Absence Management procedure.

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8.
8.1 8.2

Short term sickness absence

A short term absence is any period of absence that lasts less than four continuous weeks. In order to manage sickness absence, the following trigger points have been identified: two occasions of absence in a three month period; or three occasions of absence in a twelve month year; or eleventh day of absence in a twelve month rolling year.

8.3

When an employee hits one of the short term absence trigger points, the short term absence procedure must be followed. Stage one formal return to work interview

8.4

This stage acts as an indicator to employees that their absence is causing concern and that monitoring will commence on the next occasion of absence. The aim is to try and prevent any further absence by identifying and addressing issues and considering support required as part of the return to work interview. The standard return to work interview form is completed by the line manager. However, it is recorded that this is a formal return to work interview by ticking the appropriate box at the top of the form and recording that the stage one formal return to work interview has taken place. Stage two first formal review

8.5

8.6

This stage takes place when an employee has another period of absence following the stage one formal return to work interview, for example: the third occasion within three months; or the fourth occasion in a twelve month rolling year; or the eleventh day of absence in a twelve month rolling year.

8.7

On their return from the absence the line manager will carry out a return to work interview with the employee and during this inform them that a meeting will be arranged to discuss their absence. The line manager will invite the employee, in writing, to the meeting. The letter will give seven days notice of the meeting; explain their right to representation and provide a copy of the policy.

8.8

16

8.9

The aim of the meeting is to: discuss the episodes and reasons for the absence and ensure that the employee is aware of the absence triggers that they have hit; assess the possibility of an underlying medical condition by referring the employee to Occupational Health; inform the employee that continued absence periods are unacceptable and state that the employees continued employment could be at risk (dismissal due to failure to meet the required levels of attendance in line with the South West Strategic Health Authoritys Absence Management policy); consider any personal problems or worries the employee may have, with discussion on the ways in which they may be resolved; agree that the employees attendance will be monitored for a period of six months, setting a target of no more than one occasion of absence during the monitoring period. (In the case of an employee being covered by the Disability Discrimination Act 2005, consideration should be given to adjusting the targets. Guidance must be sought from the Human Resources team on setting these targets and, if the post cannot support adjusted targets, consideration should be given to redeployment); inform the employee that there will be monthly review meetings during the monitoring period; details of the meeting must be confirmed in writing to the employee within five working days of the meeting taking place.

8.10 8.11

A review meeting will be held at the end of the agreed monitoring period. The employee will be advised that they have been taken off monitoring. It must be explained to them that should their sickness absence levels reach a trigger point again within the next six months, the policy may be used again at the next stage. If during the monitoring period the employee has exceeded the targets set, then they will asked to attend a meeting where they will be informed that there has been no satisfactory improvement and that they will proceed to the next stage of the policy. Stage three further formal review

8.12

8.13

Where the targets set in Stage Two - First Formal Review are not met, a Stage Three - Further Formal Review meeting will be arranged with the employees line manager and their Human Resources Advisor.

17

8.14

The line manager will invite the employee, in writing, to the meeting. The letter will give seven days notice of the meeting and explain their right to representation by a Trade Union representative or work colleague (not acting in a legal capacity). The meeting should follow the same process as for Stage Two - First Formal Review. However, the employee should be advised that the monitoring period will be for six months with a target of no more than two occasions of absence. In the case of an employee being covered by the Disability Discrimination Act 2005, consideration should be given to adjusting the targets. Guidance must be sought from Human Resources team on setting these targets. The line manager must make a further referral to Occupational Health to exclude any underlying health issues. The consequences of not reaching the given targets must be clearly indicated, this will involve consideration of termination of employment. The meeting will be summarised in writing to the employee including what the consequences will be if these targets are not met. A review meeting will be held at the end of the agreed monitoring period, if satisfactory improvement is achieved and sustained during the monitoring period no further action will be taken. The employee will be advised that they have been taken off monitoring. It must be explained to them that should their sickness absence levels reach a trigger point again within the next six months the policy may be used again at the next stage. If during the monitoring period the employee exceeds the targets set, then they will be asked to attend a meeting where they will be informed that there has been no satisfactory improvement and it is, therefore, necessary to proceed to the next stage of the policy. Stage four final review meeting

8.15

8.16 8.17 8.18 8.19

8.20

8.21

8.22

Progression to Stage Four Final Review meeting will occur when the agreed targets set at Stage Three Further Review have not been met and Occupational Health has not identified an underlying health problem. The termination of an employees contract will not normally be considered unless a recent assessment by Occupational Health has occurred. However, if an employee refuses to attend an Occupational Health review without an explanation that is satisfactory to the South West Strategic Health Authority, the Final Review Meeting will proceed and a decision will be taken on the information that is available.

8.23

18

8.24

An Executive Director or Chief Executive will Chair the Final Review Meeting. A Human Resources representative who has not previously been involved in the case will also be present to advise the Chair on matters of procedure and fairness. The employee must be given at least seven days written notice of the decision to hold a Stage Four - Final Review Meeting. The letter must include the following information: date, time and venue for the meeting; purpose of the meeting; right to be accompanied; who will be the management representative; arrangements for the exchange of the management statement of case; the possible outcome of the meeting will be termination of their contract of employment.

8.25

8.26

The management statement of case should normally include the following documentation: a complete sickness record including a summary of reasons for absence; copies of all letters sent throughout the process; copies of all return to work interview records; copy of the formal return to work interview record; copy of all Occupational Health and/or specialist medical reports; summary of management procedure including a time plan which sets out the key dates for the whole process; any other information as deemed relevant.

8.27

Any new information given at the meeting regarding ill health or a change in the nature of the sickness must be assessed with a referral to Occupational Health Department, which may result in the review meeting being adjourned. Having considered the employees submissions the possibility of terminating the employees contract should be considered. If dismissed the employee should be notified in writing of the reason for their dismissal and their right to appeal. The appeal process will be the same as the Disciplinary Appeal process. Please see the Disciplinary policy for details.

8.28 8.29

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9.
9.1 9.2

Long term absence procedure

When an employee hits the long term absence trigger of four continuous weeks of absence, the long term absence procedure must be followed. Long term sickness absence must be handled sensitively and with care. It is important that appropriate action is taken without undue delay to help both the employee concerned, as well as their colleagues. Line managers are required to maintain reasonable contact with employees on an agreed basis, but not less frequently than fortnightly. If the employee is not happy for their line manager to be their point of contact then they can request for an agreed third party to maintain contact. However, the line manager must be kept up to date at all times and a record of all contact must be kept. Line managers must refer an employee to Occupational Health when they hit the long term absence trigger, this referral should be made as soon as the line manager is aware that the absence will be for four weeks or more. Once a management referral has been made to Occupational Health, all long term absence cases must be discussed and monitored through the Case Conference system at the appropriate time. These will provide a forum to identify appropriate ways of supporting the employee to return to work at the earliest opportunity. Line managers must remind the employee they have the right to representation at the case conference. Employee is fit to return to work

9.3

9.4

9.5

9.6

Line managers should normally allow a sheltered return to work and monitor the situation. Employee is capable of returning to their current post but cannot fulfil all of the duties.

9.7

Line managers must seek advice from Human Resources. Redeployment (employee is not fit to return to their current post but is capable of other work)

9.8

There is a legal obligation to consider the employee for any suitable vacancies. The Redeployment policy of the South West Strategic Health Authority should be followed. An induction programme should also be considered where appropriate.

9.9

20

Employee currently unable to return to work but assessed as likely to return in the future 9.10 The situation should continue to be monitored by the line manager, human resources advisor and occupational health. Regular review meetings should take place to determine the likely timescale for the employees return to work or other options available. When an employee returns back to work after a long term sickness absence, they would normally be allowed a sheltered return to work which should be agreed prior to their return date. A Return to Work Interview should be conducted, ensuring that follow up discussions occur as necessary. If after the agreed sheltered return an employee is still not able to fulfil their substantive post, a further referral to occupational health should be made to assess the employees fitness to undertake the roles of their substantive post. Upon receipt of the Occupational Health report the line manager should meet with the employee to discuss Occupational Health advice and options available to them. Employee is unfit to return to work 9.13 Where the Occupational Health report or medical report states that employee is unfit to return to work and all appropriate avenues have been considered the following two options apply: Option one Retirement on the grounds of medical incapacity: * Under the terms of the NHS Pension Scheme a member of staff may apply to retire on the grounds of medical incapacity at any stage after two years NHS pensionable service; If this is felt to be the most appropriate route to follow Occupational Health will provide specific advice on this process and procedure. Alternatively, an employee may apply to retire on the grounds of medical incapacity where a medical practitioner has already given definitive medical advice that such an application would be in the employees interest; The decision to accept an application for retirement on the grounds of medical incapacity rests solely with the NHS Pensions Agency and is not an automatic right. The South West Strategic Health Authority does not have to wait for the NHS Pensions Agency decision before making a decision to terminate an individuals employment on the grounds of medical incapacity;

9.11

9.12

21

Option two Termination of employment: * Where an alternative post is not available, and all appropriate avenues have been considered or the medical report states that the employee will be unfit to return to work, a final review meeting will be held and the employees contract of employment will be terminated with the appropriate notice; procedures for the final review meeting are attached at Annex 1.

9.14

Where terminal illness is diagnosed it may be appropriate to take no further action and advice must be sought from Human Resources. The final review process

9.15

Progression to Stage Four - Final Review (see Annex 1) meeting will occur when the agreed targets set at Stage Three Further Review have not been met and Occupational Health has not identified a relevant underlying health problem. The termination of an employees contract will not normally be considered unless a recent assessment by Occupational Health has occurred. However, if an employee refuses to attend an Occupational Health review without an explanation that is satisfactory to the South West Strategic Health Authority, the Final Review Meeting will proceed and a decision will be taken on the information that is available. An Executive Director or Chief Executive will Chair the Final Review Meeting. A Human Resources Representative who has not previously been involved in the case will also be present to advise the Chair on matters of procedure and fairness. The employee must be given at least seven days written notice of the decision to hold a Stage Four - Final Review Meeting. The letter must include the following information: date, time and venue for the meeting; purpose of the meeting; right to be accompanied; who will be the management representative; arrangements for the exchange of the management statement of case; the possible outcome of the meeting will be termination of their contract of employment.

9.16

9.17

9.18

22

9.19

The management statement of case should normally include the following documentation: a complete sickness record including a summary of reasons for absence; copies of all letters sent throughout the process; copies of all return to work interview records; copy of the formal return to work interview record; a copy of all Occupational Health and/or specialist medical reports; summary of management procedure including a time plan which sets out the key dates for the whole process; any other information as deemed relevant.

9.20

Any new information given at the meeting regarding ill health or a change in the nature of the sickness must be assessed with a referral to Occupational Health Department, which may result in the review meeting being adjourned. Having considered the employees submissions the possibility of terminating the employees contract should be considered. If dismissed the employee should be notified in writing of the reason for their dismissal and their right to appeal. The appeal process will be the same as the Disciplinary Appeal process. Please see the Disciplinary policy for details. On return to work after a long term absence, a Return to Work interview will be carried out to discuss anything the line manager can do to help and confirm that the employee is fit to work. The line manager will make arrangements to update the employee on progress in their work and workplace development that have occurred during their sickness absence. An induction programme will be arranged where appropriate. Regular reviews of sickness absence between the employee and line manager will be arranged at reasonable intervals as appropriate. In some cases, Occupational Health may recommend a sheltered return for an employee; this will be a temporary change for either a period of part time work or a post with alternative or less demanding duties. Statutory leave will continue to be accrued during all sickness absence.

9.21 9.22

9.23

9.24

9.25 9.26

9.27

23

10.
10.1

Sickness absence due to a work related cause

Any sickness absence from work that is caused by an injury sustained during your normal duties or due to a disease or condition caused by your employment, must be reported to your line manager or nominated person using the Reporting procedure outlined in Section 1 above. If the absence exceeds four weeks, it will be treated as a long term absence as detailed in Section 4 above.

10.2

11.
11.1

Non-reported absence
Non-reported absence occurs when an employee fails to follow the Reporting procedures as detailed in Section one. In the event of Non-Reported Absence the line manager should follow the following procedure: on the first day the line manager should attempt to make contact by telephone; if the employee returns, the line manager conducts a Return to Work interview as per section 6.6 and additionally: explore the reasons for the Reporting procedure not having been followed; ensure that the employee understands the reporting procedure.

11.2

If the employee does not return to work on their expected next day of work, the line manager should send a letter inviting the employee and a representative to a meeting to discuss their non-attendance. The employee should be given seven days notice of the meeting. If the employee responds to the letter, a meeting should be held with the line manager, employee and a representative present to explore the reasons for non-attendance and failure to follow the Reporting procedure. If the employee does not respond to the letter, the disciplinary procedure may be invoked and may result in dismissal due to the employee failing to fulfil their contract by attending work. Should the employee remain un-contactable, this may ultimately result in any disciplinary action proceeding in their absence. If the employee does not return on their expected next day of work, the line manager will make contact in writing to arrange a meeting to explore the reasons for absence. Employees have the right to be accompanied by a Trade Union Representative or work colleague (not acting in a legal capacity). If the employee reaches the trigger points for short term absence, the short term absence procedure will be followed as detailed in Section 8.

11.3

11.4

11.5

11.6 11.7

24

12.
12.1 12.2

Other paid employment

If the employee works for a second employer in their own time they must declare who is their main employer for Statutory Sick Pay purposes. The South West Strategic Health Authority must be informed of any other employment or business activity and give consent for such employment. Consent may be withdrawn if, in the opinion of the South West Strategic Health Authority, such activity conflicts with your performance and duties. The main employer should be in receipt of the medical certificate; the second employer should receive a copy of the certificate. In the event of an employees General Practitioner deciding that the employee is fit to carry out the duties for one employment but not fit to carry out their employment duties with the South West Strategic Health Authority the employee must inform their line manager as this may affect Sick Pay payments. Failure to do so may result in formal action being taken under the Disciplinary policy of the South West Strategic Health Authority.

12.3 12.4

13.
13.1 13.2 13.3

Role of Occupational Health

Advice will be sought from Occupational Health in order that sickness absence is managed effectively. Employees may also self-refer at any stage to Occupational Health. A free confidential staff support service is also available to all employees on a self-referral basis.

14.
14.1

Occupational Health Service

Occupational health is a distinct branch of medicine concerned with how a workers health can affect his or her ability to fulfil their job and how work and the work environment can affect an employees health. Occupational health is about the effect work has on health and about making sure employees are fit for the work that they do. As a result of a management referral occupational health can provide advice to line managers and aim to assist employees with health problems. Management referrals to Occupational Health must be made with the full knowledge of the employee concerned, encouraging open exchanges of information. It is important that the occupational health advisor is made aware of all relevant facts about a case to ensure that objective advice is given, based on a full understanding of the issues of concern to the referring line manager.

14.2

14.3

14.4

25

14.5

The Occupational Health Referral Form is designed to help managers provide sufficient information and specify the type of advice they are seeking when making a referral. Occupational Health will then: review the information provided by the line manager; elicit further information from the employee; carry out any appropriate examination relevant to the employees health problems; subject to the employees written consent, obtain, if necessary, further medical information from the employees own General Practitioner or Hospital Specialist; determine the advice that will be offered to the line manager and advise the employee of this; arrange a follow-up appointment if required.

14.6

Advice given to the line manager will not contain confidential medical detail, but is concerned with matters of employment and fitness and will contain the following: whether or not the employee is suffering from a health problem which will have an impact upon their fitness to carry out their duties. Where there is no medical evidence or any medical problem to account for an employees absence record, this will be clearly stated; the potential effects of the problem on current and future performance or attendance; adjustments to the work place or tasks that would assist in maintaining health and reducing the effects of the health problem on attendance and performance; the likely duration of any period of absence or, if it is not possible to be precise about this, the minimum likely period of absence.

14.7

Where the employee becomes fit to work, whether it will be on return to full duties or whether limitations should apply: if limitations will apply, whether these limitations are likely to be temporary or permanent; if an individual will not be fit again for normal duties, the nature of other types of duties for which they will be fit; the likelihood of ongoing episodes of sickness absences, whether such episodes may be of long or short duration and the period of time during which such absences are likely to occur;

26

 14.8 14.9

whether the employees health problem may in any way be related to their duties; arrangements that have been made for further review of the employee; opinion on the implications of the Disability Discrimination Act 1995; the potential for an individual to maintain a good attendance record, and if appropriate, suitability for Ill Health Retirement.

If the line manager has concerns or questions relating to the advice provided then they should contact Staff Occupational Health for further clarity. In the event of conflicting medical reports occupational health will obtain a report from the medical practitioner and/or seek to obtain their medical file.

15.
15.1

Medical suspension
Medical suspension is applied in a situation where a General Practitioner would certify a member of staff fit to work. However, the South West Strategic Health Authority or Occupational Health have deemed them not able to work for a defined period. For example, this situation may apply because of an infectious condition which could place patients or other members of staff at risk. This medical suspension should be recorded on the weekly sickness return as medical suspension and not as sickness. In every case the line manager should discuss with Occupational Health if temporary redeployment or different duties could support the employee returning to work sooner, and where possible should support this.

15.2

16.
16.1

Case conferences
Case conferences are an opportunity for all parties to sit down together and discuss the employees absence and look at the process and support needed to either stop the employee going off sick, or to support the employee in returning to work. The case conference will comprise of the employee and their representative, the line manager, a Human Resources Advisor and an Occupational Health representative. During the case conference no medical information will be discussed unless the employee is happy for this to be shared with all parties. The case conference will provide a regular setting to assess and monitor employees who are off sick, and provide an opportunity to determine what action is required.

16.2

16.3 16.4

27

16.5

The case conference is not the forum for formal discussions to take place, for example: placing on the redeployment register, serving notice and so on. However, discussion taking place at the case conference will form the basis of decisions which are made about moving forward.

17.
17.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when absent due to sickness; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in managing absence.

17.2

An impact assessment for this policy will be completed every three years. April 2010 April 2011

Policy Approved: Review By:

28

Annex 1

South West Strategic Health Authority Procedure for conducting Final Review Meetings 1.
1.1

Introduction
The following should be noted when considering the procedure for conducting Final Review Meetings: the following guidelines will inform all Final Review Meetings but the Director will be responsible for determining the procedure for the conduct of the meeting, taking advice from the Human Resources team as required; throughout this document, the term employee will be deemed to include his or her representative at the hearing, if the employee has chosen to be represented.

2.
2.1

The final review meeting procedure

The following procedure will normally apply to disciplinary hearings: the Chair will confirm that the employee has received a copy of the report of the line managers written statement of case; where the employee is unaccompanied, confirm that the employee has been made of their right to representation and is happy to proceed without; the line manager will present their report. No new additional written evidence will be allowed unless all parties present at the hearing agree that is should form part of the hearing; the member of staff may make a statement in respect of their case. The Chair and the line manager may ask questions of the member of staff concerning this statement; the line manager will summarise their management case; the member of staff will summarise their case; the Chair will call on both parties to withdraw but may recall either party in the presence of the other for a point of clarification; the Chair may depart from this sequence if clarification of issues is considered necessary, whether requested by the parties to the Final Review Meeting or because the Chair believes that immediate clarification will enable the Final Review Meeting to proceed most effectively;

29

the Chair will recall both parties and inform them of their decision; the Chair will confirm the decision in writing within five working days and in the event of the decision to dismiss, will inform the member of staff of their right of appeal; either party may request an adjournment at the discretion of the Chair. The Chair will agree to this unless the request is unreasonable.

30

Appendix 2

Appraisal Policy

This appendix sets out the revised Appraisal Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Appraisal Policy 1.

1.1

Introduction
The South West Strategic Health Authority believes that the Appraisal is critical for the effective development of staff to meet the aims and objectives of the South West Strategic Health Authority. Appraisal is a contractual obligation for all staff in the South West Strategic Health Authority. All staff in the South West Strategic Health Authority should use this Appraisal procedure, although the application of and links with the NHS Knowledge and Skills Framework do not apply to those on Very Senior Manager Terms and Conditions of Service.

1.2 1.3

2.
2.1

Philosophy
The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. Staff work more effectively if they clearly know what is expected of them and how well they are performing. Openness and constructive dialogue between the reviewer and staff member are of more importance than a detailed written record. All staff should have the opportunity to develop in their job and be given support and training to do so.

2.2 2.3 2.4

3.
3.1

Principles
The Appraisal process should be a positive and supportive experience encompassing the principles of lifelong learning and continuous skills enhancement. Appraisals should represent a part of an on-going process of communication between the manager and the staff member. All staff should have a current job description, set of objectives, Personal Development Plan and, except for those on Very Senior Manager terms, a NHS Knowledge and Skills Framework outline. All managers who undertake appraisals must attend any training provided.

3.2 3.3

3.4

31

3.5

All new staff should receive an introduction to the Appraisal procedure of the South West Strategic Health Authority and an explanation of the NHS Knowledge and Skills Framework. This policy should be read in conjunction with the following policies and procedures of the South West Strategic Health Authority, where appropriate: Dignity at Work policy; Grievance policy; Flexible Working policy; Performance Improvement policy; Professional Registration policy; Retirement policy; Secondment policy; Study Leave and Development policy.

3.6

4.
4.1

Objectives
The objectives of the policy are to: improve performance; improve communication; develop staff in line with business objectives and enable training needs to be identified, collated and delivered; facilitate workforce succession/career planning; improve the working lives of staff; embed the NHS Knowledge and Skills Framework into Appraisal.

5.

Responsibilities
Line manager responsibilities

5.1 5.2

Line managers are responsible for setting objectives and reviewing the performance of their staff. The role of each manager is to: ensure legitimate and realistic objectives are set for their staff;

32

encourage and coach the member of staff and be continually aware of the progress that is being made; identify obstacles to success and remove them; ensure employees have sufficient financial support and time to fulfil training and development needs; provide praise or appreciation where performance is good.

Grandparent responsibilities 5.3 The Grandparent (the Managers manager) will: ensure the objectives are fair and timescales realistic; be conscious of any interpersonal conflicts that may distort the process and take action to correct them; ensure the manager is acting on legitimate comments and suggestions for the person being reviewed.

Employee responsibilities 5.4 Employees are responsible for: fully participating in the Appraisal process; agreeing legitimate and realistic objectives, personal development plans, and an NHS Knowledge and Skills Framework outline (KSF outline); working with their manager to fulfil agreed development plans; meeting their responsibilities under the Study Leave and Development policy.

6.
6.1 6.2

Timing
The Appraisal will normally take place during May, June or July of each year. Mid year reviews must take place after six months. The Head of Human Resources will monitor the timeliness and effectiveness of the procedure.

7.
7.1

Preparation
Preparation by both managers and staff will be the key to a successful Appraisal.

33

7.2

Managers must ensure that all staff have access to: the Business Plan of the South West Strategic Health Authority; a job description for their role; Appraisal paperwork; NHS Knowledge and Skills Framework outline, except for those on Very Senior Manager terms.

7.3

All staff will be provided with notice of at least one week to prepare for their Appraisal.

8.
8.1

The Appraisal documentation

Linked to this policy is a series of documents available on the intranet that should be completed in support of the appraisal discussion. These are set out below. Document NHS Knowledge and Skills Framework Outline Objectives Form Personal Development Plan Purpose A copy of the NHS Knowledge and Skills Framework outline for the individual with space to record their progress towards its achievement (see section 7). Listing the key objectives agreed as a result of the meeting. Outlining the training and support which will help the employee achieve those objectives.

9.
9.1 9.2

About NHS Knowledge and Skills Framework Outlines

An NHS Knowledge and Skills Framework outline identifies the degree of competency required to function most effectively in any given role. The NHS Knowledge and Skills Framework itself is made up of a list of competency areas called dimensions. Every job is considered to be made up of some combination of these dimensions of competency. All jobs are considered to contain six core dimensions. These are: communication; personal and people development; health, safety and security;

9.3

34

 9.4

service improvement; quality; equality and diversity.

Most jobs include additional, more specialised, competencies above and beyond these core ones. To account for this, the NHS Knowledge and Skills Framework contains a list of 24 specific dimensions which may, or may not, apply to any given job. A NHS Knowledge and Skills Framework outline is generated by using the job description for the role to determine which of the dimensions (areas of competency), core and specific, are applicable to it. Once the applicable dimensions have been decided on, the degree to which each competency is required in order to do the job needs to be determined. Each dimension is divided into four levels of competency numbered in ascending order from 1 to 4. A completed NHS Knowledge and Skills Framework outline will therefore show all the areas of competency (the dimensions) associated with a job and the corresponding degree (or level) to which that competency needs to be displayed by the post-holder, an example is included as Annex 1. When appraising staff and identifying their development needs, managers should use this outline as a guide. By matching the post-holder against the outline for the job, it is possible to identify what development needs they have with respect to reaching the required standards of competency in all areas of the role. The appraisal process will therefore require appraisers to consult the NHS Knowledge and Skills Framework and the relevant outline when agreeing individual objectives and their Personal Development Plan. You can find more details about the NHS Knowledge and Skills Framework on the Department of Health website www.dh.gov.uk.

9.5

9.6 9.7 9.8

9.9 9.10

9.11

9.12

10.
10.1

Linking the NHS Knowledge and Skills Framework to pay progression

The NHS Knowledge and Skills Framework is linked directly to staff members progression through the standard NHS Pay Bands. The right to a pay increment is linked to the progress of the post-holder against the NHS Knowledge and Skills Framework outline. Progress is measured at two points in the progression through the pay band. These points are called gateways.

10.2

35

10.3

If the staff member has not demonstrated the required progress against the NHS Knowledge and Skills Framework outline, they will stop at one of these gateways until such time as they have demonstrated the required competency level. The two gateways are the: foundation gateway: reached after one year; secondary gateway: reached when the individual is between one and three points from the top of the pay band.

10.4

10.5

The foundation gateway represents a subset of the total skills required to achieve the full NHS Knowledge and Skills Framework outline. It can be looked at as the minimum acceptable competency level required to do the job. The secondary gateway represents the full NHS Knowledge and Skills Framework outline whereby the post-holder must demonstrate that they have achieved all the necessary competencies in their entirety. Between gateways, the post-holder will continue to receive an increment year on year whilst working to develop the skills necessary to satisfy the NHS Knowledge and Skills Framework outline. Fig. 1 shows how the gateways might be distributed throughout the pay band. The exact position of the secondary gateway is dependent on the pay band in question. Fig. 1: Notional Diagram of Pay Band X and the Gateway Positions Point 9 Point 8 Point 7 Secondary gateway Point 6 Pay Point 5 Progression Point 4 Point 3 Point 2 Foundation gateway Point 1 (start) It is the responsibility of the post-holder and the employer in partnership to support the development required to move through each gateway. It is not acceptable for either party to ignore this obligation.

10.6

10.7

10.8

10.9

10.10 The post-holder cannot be denied an increment if the organisation has failed to support their development needs in the manner outlined in their Personal Development Plan (see below).

36

10.11 Correspondingly, the post-holder is not entitled to move through a gateway if they have not been active in taking their Personal Development Plan forward, or have refused to take part in any of the developmental work specified. 10.12 The appraisal process will be the mechanism for measuring progress and should therefore be managed in the most open and equitable way possible.

11.
11.1

Review meeting
The Appraisal will include, as a minimum, discussion on each of the following four areas to: Assessment of past year review achievements over the past twelve months and agree any areas where further development is necessary; consider issues relating to improving working lives, including flexibility of working hours, working environment, communication; future objectives; identify key objectives of the South West Strategic Health Authority and the Directorate; identify the individual contribution to achieving these objectives; include individual objectives not covered by the South West Strategic Health Authority and/or the plans of the Directorate. personal development plan; identify training and development needs; develop a plan for meeting those needs in the most appropriate way; career/future plans; discuss long term aspirations and how they can be realised.

12.
12.1 12.2 12.3

Processes
The Appraisal should be given priority and sufficient time by both the employee and the line manager. The Appraisal should be informal and conducted in a non- threatening and neutral environment. Open, honest and constructive feedback should also be provided by the manager in such a way as to motivate staff to improve and develop their skills where necessary.

37

12.4 12.5

The Appraisal should concentrate on the development of the individual to achieve objectives. The Appraisal should always be a summary of key successes and areas for further development already discussed throughout the previous year. Problems with performance should never be tackled for the first time in the review. Any specific problems with performance should be addressed with the member of staff as soon as the problem is identified. The review should, therefore, contain no surprises. The Appraisal form which can be found on the intranet will be used for recording performance and agreeing future objectives. Future objectives should be agreed between the post-holder and their line manager. There should not normally be more than nine objectives. These should be measurable and specific about the result required. The quality of the outcome is as important as the quantity of objectives. Following the agreement of objectives, a Personal Development Plan which can be found on the intranet needs to be completed which sets out the training and development requirements of the staff member which are required to achieve the objectives. The Education and Development policy sets out this process in more detail.

12.6 12.7 12.8

12.9

13.
13.1 13.2

Confidentiality
Completed forms will be kept by the line manager, with one copy sent to the Human Resources team and one copy sent to the staff member. No organisation or individual outside of the South West Strategic Health Authority will have access to any employee Appraisal forms.

14.
14.1

Monitoring and review

It is the responsibility of the Human Resources team to: monitor and review this policy; conduct annual checks to monitor compliance.

15.
15.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently and have equal access to training and development; the development needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority;

38

 15.2

all employees have a clear understanding of their role and responsibilities; all employees remain competent to fulfil their professional responsibilities.

An equality impact assessment for this policy will be completed every three years. Policy Approved: Review By: April 2010 April 2011

39

40

South West Strategic Health Authority NHS Knowledge and Skills Framework Sample Job Outline Administrative Assistant NHS KSF Dimensions Needed for Post? Level for Post

1 Core Dimensions relates to all NHS posts 1 Communication 2 Personal and people development 3 Health, safety and security 4 Service improvement 5 Quality 6 Equality and diversity Specific Dimensions Health And Wellbeing HWB1 Promotion of health and wellbeing and prevention of adverse effects to health and wellbeing HWB2 Assessment and care planning to meet peoples health and wellbeing needs HWB3 Protection of health and wellbeing HWB4 Enablement to address health and wellbeing needs HWB5 Provision of care to meet health and wellbeing needs HWB6 Assessment and treatment planning HWB7 Interventions and treatments HWB8 Biomedical investigation and intervention

Notes

Y Y Y Y Y Y X X X X X

FG = 3 FG = 2 FG = 1 FG = 2 FG = 2 FG = 2

41

NHS KSF Dimensions

Needed for Post?

Level for Post

1 HWB9 Equipment and devices to meet health and wellbeing needs HWB10 Products to meet health and wellbeing needs Estate And Facilities EF1 Systems, vehicles and equipment EF2 Environments and buildings EF3 Transport and logistics Information And Knowledge IK1 Information processing IK2 Information collection and analysis IK3 Knowledge and information resources General G1 Learning and development G2 Development and innovation G3 Procurement and commissioning G4 Financial management G5 Services and project management G6 People management G7 Capacity and capability G8 Public relations marketing Y X Y

Notes

FG = 2

FG = 1

42

Appendix 3

Dignity at Work Policy

This appendix sets out the revised Dignity at Work Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Dignity at Work Policy 1.

1.1

Introduction
The South West Strategic Health Authority is striving to be an equal opportunity employer in all its practices and, as such, opposes all forms of unlawful and unfair discrimination. We believe that all people have the right to be treated with fairness, dignity and respect. The South West Strategic Health Authority is committed to promoting a safe, healthy and fair environment for all its employees. By putting this policy into practice, the authority has resolved to create a working environment that supports the dignity of women and men at work and is free from harassment, intimidation, bullying and victimisation. All employees have a clear role to play in helping to create a climate at work in which harassment or bullying behaviour is unacceptable. In particular, employees should be aware of their own conduct, avoid colluding with inappropriate behaviour and cooperate fully in any complaints procedure. Managers and supervisors have a responsibility to raise awareness of the issue, respond positively to any complaints and challenge and stop unacceptable behaviour in the workplace. Employees are encouraged to raise their concerns and have the right to complain about such behaviour. Allegations of a breach of dignity at work will be treated seriously and sympathetically. Upon becoming aware that harassment or bullying has taken place, the South West Strategic Health Authority will take prompt corrective action, in-line with this policy and the views of the individual(s) concerned. Deliberate victimisation, serious bullying or harassment on the basis of an individuals sex, sexual orientation, religion or religious beliefs, race, age, disability will constitute gross misconduct. No employee will be treated less favourably for raising concerns or for acting as a witness. Malicious complaints or retaliation against an employee complaining of bullying or harassment is a disciplinary offence. This policy should be read in conjunction with the following policies of the South West Strategic Health Authority: Absence Management policy; Disciplinary policy; 43

1.2

1.3

1.4

1.5

1.6

1.7

1.8 1.9 1.10

Grievance policy; Health and Wellbeing policy; Performance Improvement policy; Recruitment policy; Whistleblowing policy;

2.
2.1

Scope of the policy

This policy applies to all employees and includes contractors and employees of other organisations engaging with staff of the South West Strategic Health Authority. There is a general consensus that the most effective way to tackle bullying and harassment and other conflicts at work is informally and quickly rather than a formal route to grievance and disciplinary procedures. Notwithstanding the above mentioned the Strategic Health Authority may, in accordance with its duty of care to all its employees, have no alternative than to use formal action.

2.2

2.3

3.
3.1

Legal framework
There are a number of laws under which action can be taken that provides employees with protection from discrimination, harassment and victimisation. Criminal Justice Act 1998; Criminal Justine and Public Order Act 1994; Disability Discrimination Act 1995, and (Amendment) Act 2005; Employment Equality (Religion or Belief) Regulations 2003 or the Employment Rights Act 1996; Employment Equality (Sexual Orientation) Regulations 2003; Employment Equality (Age) Regulations, 2006; Health and Safety at Work Act 1974; Human Rights Act 1998,and The Human Rights Act (2000); Protection from Harassment Act 1997; Race Relations Act 1976 and Race Relations Amendment Act 2000; Sex Discrimination Act 1975 (Amendment) Regulations 2008;

44

 3.2

The Public Order Act 1986; The Gender Recognition Act 2004.

Where harassment and/or bullying have occurred, the employer can be ordered to pay unlimited compensation, including the payment of fines for injury to feelings. Staff who bully or harasses a colleague may find that their actions could breach criminal as well as civil law. Staff could personally be liable for any bullying and harassment and may have to pay compensation themselves.

3.3

4.
4.1

Policy aims
The primary aim of this policy is to prevent behaviour that could be construed as harassment or bullying in the workplace. Where this does occur, the policy aims to ensure that appropriate and effective action is taken to prevent any recurrence. The specific objectives of this policy are to: ensure that all employees are aware of the types of behaviour which may constitute harassment or bullying and their responsibilities for preventing such behaviour; ensure that all employees understand that behaviour that may constitute harassment or bullying is unacceptable and that appropriate measures, including disciplinary action, may be taken; promote a climate in which employees feel confident in bringing forward complaints of harassment or bullying without fear of victimisation; ensure that all allegations of harassment or bullying are responded to quickly, positively and in confidence; provide arrangements whereby complaints can be investigated in a manner which recognises the sensitivity of the issues raised and respect the rights and confidentiality of all those involved.

4.2

5.

Definitions
Harassment

5.1

The essential characteristics of harassment are that it is unwanted by the recipient and that it is for each individual to determine what behaviour is acceptable to them and what they regard as offensive. It is the unwanted nature of the conduct that distinguishes harassment from behaviour between employees that is welcome, mutual and appropriate in a working environment.

45

5.2

Harassment occurs when someone engages in unwanted conduct which has the purpose or effect of violating someone elses dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment. Harassment (or bullying) is not dependent on an intention to cause distress or hurt but is assessed by the impact the behaviour has on the recipient. As a result, it is possible that behaviour that is acceptable to some employees may cause embarrassment, distress or anxiety to others. It is recognised, therefore, that harassment (or bullying) relates essentially to the perceptions and feelings of the recipient. This policy deals with situations where employees are being harassed (or bullied) by colleagues, subordinates, managers or supervisors. Customers, clients and contractors may be involved, either as harassers or recipients and others who are present can sometimes be affected as adversely as those directly involved. Harassment on the grounds of sex, race, disability, sexuality, age or religion or belief is unlawful and will not be tolerated in any form. Any attention by an employee towards another employee, or group of employees, which is offensive to the recipient and creates an intimidating, hostile or offensive work environment for one or more employees is unacceptable. Harassment also includes the display of material that is offensive to employees in the workplace. Work includes any place where the occasion can be identified with either the requirements of the employer, or with social events linked to the same employment. It is worth noting that whilst harassment often involves repeated acts of offensive behaviour, a single incident may constitute harassment. Harassment can take many forms. An illustration but by no means an exhaustive list may include: unnecessary and unwanted physical contact ranging from touching to serious sexual or physical assault; verbal conduct such as sexist, racist and homophobic comments or innuendo; derogatory remarks about disability or age, comments of a personal nature; inappropriate jokes or language; display, storage or circulation of offensive material (including information held on computer); conduct that denigrates, threatens, ridicules, intimidates or abuses, undermines or undervalues an individual because of characteristics such as gender, sexuality, disability, race, age or religion or belief including derogatory or degrading remarks or insults or offensive comments about appearance or dress;

5.3

5.4

5.5 5.6

5.7

5.8 5.9

46

preventing individuals progressing by intentionally blocking promotion or training opportunities; unfair treatment, which might include deliberate exclusion from conversations or events at work, for reasons based on characteristics such as age, culture, disability, ethnic origin, gender, race, religion or sexuality; unfair rules and requirements or abuse of power, for example, setting unreasonable and often unachievable demands; withholding information and marginalising, with the intent of deliberately affecting the performance of a colleague;

Bullying 5.10 Although harassment is often related to matters such as race, gender, disability, sexuality, age or religion or belief it is apparent that a more general form of harassment may take place that is not based on any one clearly identifiable aspect of the person concerned. This form of harassment may be described as bullying or aggressive or intimidating behaviour by one person towards another. Bullying behaviour is largely identified, not so much by what has actually been done, but rather by the effect that it has on the recipient. People affected by bullying often feel the matter appears trivial or that they may have difficulty in describing it. Bullying can be defined in many ways but is generally behaviour that is identified as a misuse of power. It is usually persistent (i.e. more than a oneoff incident), is offensive, abusive, intimidating, malicious or insulting behaviour or unfair use of sanctions which makes the recipient feel upset, threatened, humiliated or vulnerable and undermines self confidence. Bullying (and harassment) can undermine a persons self confidence and may cause individuals to suffer stress, fear and anxiety, which can affect their life outside of work. It can manifest itself in many other conditions such as nervousness, poor work performance, absenteeism. At its most extreme, bullying can be physical for example hitting, pushing, damaging or stealing personal possessions. Examples of bullying could include: persistent unjustified criticism; shouting at colleagues in public or private; deliberate isolation by ignoring or excluding a person; 47

5.11 5.12 5.13 5.14

5.15

5.16 5.17

 5.18

withholding information or removing areas of responsibility without justification; spreading malicious rumours; making inappropriate personal comments; blocking leave or training applications without reason; setting objectives with impossible deadlines with the deliberate intention of undermining an individual; undermining a person's self respect by condescending, paternalistic or threatening treatment that humiliates, intimidates or demeans.

Legitimate, constructive and fair criticism of an employees performance or behaviour at work is not bullying. It is also recognised that an occasional raised voice or argument in itself may not constitute bullying. It is, however, unacceptable to condone bullying behaviour under the guise of a particular management style. Effective management obtains results whilst ensuring that employees are treated with dignity and respect.

5.19

6.

Responsibilities
South West Strategic Health Authority responsibility

6.1

For the purposes of this policy, the term manager is deemed to cover any employee who has responsibility for employees. The term staff covers all employees. The South West Strategic Health Authority has an obligation and a duty of care to ensure the well being of the staff in the workplace and is, therefore, committed to eliminating harassment and/or bullying, and preserving an individuals dignity at work. Action will be taken regarding behaviour by individuals or groups that cause offence or embarrasses or threatens others. Any allegation of harassment and/or bullying will be handled thoroughly and with sensitivity. Confidentiality will be maintained as far as practicable and appropriate. Confidentiality is vitally important to provide all parties concerned with a degree of security and to ensure that all procedural aspects are dealt with sympathetically, impartially and objectively. The South West Strategic Health Authority encourages and will be understanding to all employees who raise any concerns and/or complain of a breach of dignity at work.

6.2

6.3 6.4 6.5

6.6

48

6.7

The South West Strategic Health Authority will include questions in Staff Surveys about experiences of harassment and/or bullying and employees confidence in the effectiveness of the Dignity at Work policy. Responsibility of all employees

6.8

Staff have a duty not to discriminate, on the grounds of age, sex, sexual orientation, disability, religion, belief or race, against their colleagues and third parties. The intended ethos of the Strategic Health Authority is to value each person as an individual, respect their aspirations and commitments in life and seek to understand their priorities, needs, abilities and limits, making sure nobody is excluded or left behind. Individual employees at all levels have the responsibility to ensure that they do not jeopardise the well being of their colleagues. Employees need to be aware of their behaviour towards other employees and other third parties to ensure that they do not behave in a way which affects their dignity. All members of staff are responsible for helping to ensure that individuals do not suffer from any form of harassment and/or bullying. Members of staff who witness any form of harassment and/or bullying should report it immediately to an appropriate manager or member of the Human Resources team and encourage others to report the incident(s).

6.9

6.10

6.11 6.12

7.
7.1

Rights of all employees

All members of staff should work with managers to create a positive environment where everyone is free to concentrate on their work. The prevention of harassment and/or bullying includes showing common courtesy, dignity and respect for others and avoiding behaviour that makes anyone feel uncomfortable, degraded, upset or victimised. All staff should feel they have rewarding and worthwhile jobs. To do this they need to be trusted and actively listened to. Staff have the right to healthy and safe working conditions and an environment free from harassment, bullying and violence.

7.2 7.3

8.
8.1 8.2

Procedures
The Harassment and Bullying procedure contains two distinct elements: the informal procedure, which may include mediation, and the formal procedure. The formal procedure may be used before the informal procedure has taken place, dependent upon the seriousness of the incident(s) and the views of the individual(s).

49

8.3

The individual also has recourse to the external processes for resolving complaints of harassment and/or bullying at all times through statutory bodies or the police. Employee support advisors are available to staff who feel they are being bullied or harassed. It is important that any concerns and/or complaint(s) should be dealt with promptly and from the perception of the individual(s) concerned, as it is their perception which constitutes the definition of harassment and/or bullying in each case. Following an incident of harassment and/or bullying the individual concerned should record details of all incidents (what, when, by whom, where and so on) including whether there are witnesses and then decide how to proceed. It is important to keep an accurate record of incidents involving harassment and/or bullying. Regardless of whether an incident becomes the subject of formal complaints, incidents raised informally will also be recorded in order to get a more realistic picture of the level and nature of harassment and/or bullying.

8.4 8.5

8.6

8.7

9.

Informal action
Dealing with a complaint

9.1
9.2

Sometimes people are unsure whether or not the way they are being treated is acceptable. If this is the case there are a number of things to consider. It is important for individuals to be made aware that their behaviour is causing concern and given an opportunity to rectify such behaviour in future. It is therefore important for those who feel they are being harassed or bullied of any kind, to raise their concern at an early stage and accept the responsibility for raising these concerns. In the most serious of cases you should report it immediately. Try to talk over your concerns or worries with your immediate manager, or an appropriate member of the Human Resources team, or an Employee Support Advisor or Union representative. Where it is inappropriate to involve the line manager, then either Human Resources or an Employee Support Adviser will provide support and advice in identifying who would be the most appropriate person to involve. If you are unsure as to whether the issues are sufficiently serious to raise them individually with your manager or the individual straight away, keep a diary of all incidents: records of dates and times; any witnesses;

9.3

9.4

9.5

50

 9.6

your feelings; keep copies of anything that is relevant, for instance letters, memos, emails.

It is important that you try to tell the person to stop whatever it is they are doing that is causing you distress, otherwise they may be unaware of the effect of their actions. During discussion: clearly describe the behaviour to the offending person; say that it is unwanted; describe the appropriate behaviour that should be used; seek agreement on this.

9.7

9.8

Contact one of the Employee Support Advisors at the Strategic Health Authority to talk through what has/is happening. You will find their contact details on the Human Resources intranet. Putting your concerns in writing

9.9

If you cannot confront the alleged perpetrator, consider putting your concerns in writing. Keep a copy of this and any reply. Dont make the letter too long and dont personalise any bad behaviours (for example say the behaviour was disrespectful rather than you are disrespectful, the behaviour left me feeling, rather than you made me feel). Try not to be too emotional in your language. Say how you want the situation resolved e.g. a meeting or acknowledgement of the letter, a meeting between yourselves and a manager. Every incident will be treated seriously and follow the Dignity at Work policy having regard to the definition of harassment and/or bullying given in the policy. Mediation

9.10

9.11

9.12 9.13

If the previous suggested actions do not change the situation, mediation will be offered as the next step in the process. Mediation is an alternative method of informal resolution using a process that brings together people in the presence of an impartial third party, who facilitates a resolution. It is a confidential and voluntary process. It is the disputants not the mediator who decide on the terms of any resolution. The mediator does not offer advice or solutions but builds the agreement for future working relationships.

9.14

51

9.15

Mediation encourages feelings to be aired and empowers those involved. It is most effective where there is a will on both sides to reach a solution. Employees participating in mediation do so without prejudice. Staff wishing to seek mediation as a means of resolving an issue, should complete the Mediation Request form which can be found on the intranet. This should be forwarded to the Head of Human Resources. Mediation is not appropriate in the following circumstances: where an informal approach has been rejected; where mediation has already been tried and the mediator feels further mediation would fail; where issues of misconduct or incompetence are present; where there has been serious bullying or victimisation; where one or more people are unwilling to partake in the process of negotiation and mediation.

9.16

9.17

Coaching 9.18 9.19 Coaching may or may not be part of the formal disciplinary process, but is appropriate for dealing with some incidents of harassment and/or bullying. The aim of coaching is to assist and encourage the member(s) of staff to meet the standards of conduct and behaviour required. Notes of the key points referred to in the coaching must be made and then issued to the member(s) of staff. The manager will keep a copy of the notes of the counselling for a period of six months after which time they will be destroyed. A note that coaching has taken place and the date will, however, be retained. Managers should not refer to any instance of coaching that has taken place more than six months earlier.

9.20

10.
10.1

Formal action
Where it has not been possible to resolve a complaint/grievance by informal discussion, the formal procedure should be entered into by raising a grievance in writing. The formal procedure should only be considered where personal or informal action proves ineffective or formal action is appropriate due to the seriousness of the allegations. This will be done in line with the views of the individual(s) as far as is possible. However, the South West Strategic Health Authority must fulfil its duty of care to all its employees and may therefore have no alternative than to use the formal harassment and/or bullying procedure. 52

10.2

10.3

10.4

The complaint must be made in writing, confirming the identity of the alleged perpetrator, the nature of the harassment and/or bullying, dates and details of the incidents and any approaches made asking the person being complained against to stop. Details of witnesses to the incidents should be included if there are any. Please refer to the Grievance policy for further information regarding the process that will be followed.

10.5

11.
11.1

Harassment by third parties

Everyone has the right to be treated with dignity and respect in the course of their work and harassment and/or bullying of an employee by a member of the public is not acceptable. Any member of staff who is harassed or feels threatened by a member of the public should report this immediately to their line manager or to the most senior person on duty. It will be the responsibility of the line manager/senior manager to take prompt and appropriate action to resolve the situation. In dealing with the situation, the views of the recipient should be taken into account. If the harassment and/or bullying continues after this the perpetrator will be informed of the nature of further action to be taken. This might take the form of: a report to the Police that an offence has been committed, for example, assault, indecent assault, an offence in contravention of Section 154 of the Criminal Justice Act, or an offence in contravention of the Protection from Harassment Act 1997; a report to the Commission for Racial Equality or the Equal Opportunities Commission that an offence has been committed; removal from the premises, if appropriate.

11.2

11.3

11.4

11.5

The South West Strategic Health Authority will support a member of staff if they no longer wish to engage with a member of the public who has harassed them.

12.
12.1

Role of Human Resources

In view of the sensitive nature of disclosing harassment and/or bullying and the many different forms it may take, the role of Human Resources in this procedure may be different. It is not intended to infringe upon the right of the manager to manage, but is seen as having a valid role in providing a legitimate alternative source of advice and support to any members of staff on matters concerning this issue only.

12.2

53

12.3

In consultation with the individual concerned, all allegations of harassment and/or bullying should be notified to a member of the Human Resources team for monitoring progress as part of our equality duty. This will also ensure that all matters are supported in a fair and consistent way and helps to identify any trends.

13.
13.1

The Role of the Employee Support Advisor

Employee Support Advisors are an informal route to resolving a problem quickly and concisely. Their approach is one of listening and coaching, rather than counselling. Their role is to: act as an initial contact for staff who feel they have been on the receiving end of harassment, bullying, or unacceptable behaviour at work; listen to the member of staff and explain the options available to them under the Dignity at Work policy of the South West Strategic Health Authority; coach the member of staff to take action (if appropriate), such as talking to the person concerned, seeking advice from Human Resources or their line manager; encourage the member of staff to accompany them to Human Resources for advice if it is believed that gross misconduct has occurred or other members of staff are likely to be the subject of misconduct; offer support to the alleged bully or harasser.

13.2

13.3

Employee Support Advisors should: treat all contacts with members of staff in confidence; attend training to ensure their skills are suitable for this role; keep up to date with issues surrounding harassment and bullying at work; monitor contacts in accordance with the Authoritys procedures; network with other Employee Support Advisors.

13.4

Employee Support Advisors do not: investigate complaints; make a complaint on someones behalf;

54

 13.5

persuade someone to make a complaint; approach the alleged perpetrator; enter into a formal counselling situation; mediate between the victim and alleged perpetrator; provide evidence at any formal proceedings.

How to contact an Employee Support Advisor: a list of trained Employee Support Advisors is available on the Human Resources intranet.

14.
14.1 14.2

Role of a manager
If a personal approach fails or is inappropriate, informal action by a line manager, with advice from Human Resources, may be more effective. The advantages are that: it provides an opportunity for the manager to be satisfied that the perpetrator complained about fully understands the requirements of the policy; it provides a quick and effective resolution; it minimises disruption at work.

14.3

Managers dealing with an alleged incident must show the utmost sensitivity whilst ensuring the following actions are taken: to listen sympathetically and sensitively to what has happened; to help the complainant to deal with emotions arising as a result of the harassment and/or bullying allegation and to give information about agencies which can give professional support; to give information on whatever courses of action, formal or informal, are open to the complainant; to keep matters confidential within the requirements of the Dignity at Work policy and/or the Grievance policy.

14.4

After discussing the issue of confidentially with the complainant, the manager will speak to the perpetrator to attempt to resolve the issue. This informal and confidential discussion should explore: how the complainant is feeling as a result of their behaviour;

55

 14.5 14.6

the views of the person being complained about; how the behaviour may be contrary to the Dignity at Work policy and the required standards of behaviour; the likely consequences of continuing the behaviour; how the on-going situation will be monitored and over what timescale.

A note of both discussions will be kept confidentially at departmental level. Following these discussions the manager will provide feedback to the complainant. If appropriate, the manager can offer to facilitate a joint meeting with both sides to re-establish effective working relationships. If no further harassment and/or bullying occurs after this, then further action need not be taken. Please refer to the Dignity at Work, Duty of Care Guidelines for Managers. The document refers to the responsibilities of managers.

14.7 14.8

15.
15.1

Support
The individual(s) concerned may consult with their line manager, a colleague, a member of the Human Resources team, a Trade Union representative or the Staff Counselling service. The individual(s) will be supported throughout the procedure.

15.2

16.
16.1

Victimisation
No member of staff will be treated less favourably for raising concerns or for acting as a witness. Any form of retaliation against a member of staff for complaining of bullying or harassment is a disciplinary offence.

17.
17.1

Monitoring
Monitoring of this policy will be undertaken and include: anonymised statistics of number and type of allegations received (for example, race, gender, or sex.); number of uses of the mediation service under this policy; number of informal and formal uses of this policy.

18.
18.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently in terms of equality in the workplace; 56

the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves with regards to equality in the workplace.

18.2

An impact assessment for this policy will be completed every three years. April 2010 April 2011

Policy Approved: Review By:

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58

Annex 1

Dignity at Work duty of care guidelines for managers 1.

1.1

Introduction
It is the aim of the South West Strategic Health Authority to create an environment where all employees are treated with dignity, fairness and respect and to protect them from harassment and bullying

2.
2.1

Awareness and attitude

Managers and supervisors have a clear duty to take positive steps to ensure that the workplace for which they are responsible is free from harassment and/or bullying and intimidation, or victimisation of any person who has complained of harassment and/or bullying. Any member of staff experiencing such behaviour can look for and expect support from managers. It is the managers responsibility to ensure that all of their staff are aware of the Dignity at Work policy. The accepted language, behaviour and appearance of the workplace should not be liable to cause offence to any worker, potential worker or member of the public. Individuals can help to create a positive atmosphere free from harassment and/or bullying by ensuring they do not behave in a way which affects the dignity of colleagues. Consider your attitudes about people of the opposite sex, ethnic minorities, people with a disability, those who may have different religious views or beliefs or of a different sexual orientation. Avoid making assumptions and do not go along with the crowd, or accept behaviour that may be offensive. You may also be able to offer help and support to a colleague who is a victim of harassment and/or bullying. Managers should be alert for signs of harassment and/or bullying and deal with the perpetrator promptly. If a persons work begins to deteriorate or show signs of stress, consider the possibility that someone in that department is causing them stress. Have an open door policy and encourage employees to report any instances of harassment and/or bullying, either experienced personally or observed in relation to others. Managers must ensure their staff are aware that if a member of the public is harassing them, they should report this immediately to the senior member of staff on duty. Prompt and appropriate action should then be taken to resolve the situation.

2.2

2.3

2.4

2.5

2.6

2.7

2.8

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2.9

Staff experiencing harassment and/or bullying often suffer in silence rather than complain. In some instances, sympathetic managers and supervisors may be reluctant to tackle the matter for fear of upsetting other people. This is unacceptable and doing nothing is not a neutral position. Any person who receives a complaint, or suspects that harassment and/or bullying is occurring, has a duty to take the appropriate action to ensure the harassment and/or bullying is stopped. Managers are reminded of the importance of documenting actions taken in the management of staff. Further advice is available from the Head of Human Resources or appropriate member of the Human Resources team.

2.10

2.11 2.12

3.
3.1

Specific responsibilities of managers

The specific responsibilities of the Manager are: to ensure that all employees are aware of the aims and objectives of the South West Strategic Health Authority through effective induction and appraisal of staff; to lead by example; to be proactive in addressing contributory causes of harassment and/or bullying (which may include, inter alia, poor management style, organisational change, poor organisational culture, work pressure) as well as the individual behaviour and approach of the perpetrator; to support individuals who experience harassment and/or bullying as appropriate; not to collude with adverse, discriminatory behaviour by staff or members of the public; to deal with incidents reported to them informally in a speedy, sensitive and effective way and to ensure that the formal procedure is implemented on request/where an informal approach is not appropriate; to be aware of the behaviour of their staff in relation to the respect and dignity of others and to challenge any inappropriate behaviour or attitudes; to take appropriate action against those who are behaving unacceptably; to identify and facilitate training where appropriate;

60

to advise their own line manager of any incidents of bullying and harassment and/or bullying.

4.
4.1

Management of staff
As part of everyday management of staff managers are required to provide staff with feedback concerning their performance, conduct, time keeping and so on. Feedback delivered in a constructive manner is beneficial to the employee, and provides them with the opportunity to reflect on their behaviour and make necessary improvements. Any feedback given in a critical manner can have a detrimental effect on staff morale and the manager and employee working relationship. Table 1 below gives examples of behaviours associated with firm but fair management and management behaviours associated with harassment and/or bullying. Table 1: Examples of management behaviours
Management behaviours associated with bullying or harassment and/or bullying Aggressive, inconsistent and unfair. Unreasonable and inflexible. Believes they are always right, has fixed opinions, believes they know best, and not prepared to value other peoples opinions. Insists upon high standards of service and behaviour but blames others if things go wrong. Loses temper, regularly degrades people in front of others, threatens.

4.2

4.3 4.4

Behaviours associated with firm but fair management Consistent and fair. Determined to achieve the best results but reasonable and flexible. Knows their own mind and is clear about their own ideas but willing to consult with colleagues and staff before drawing up proposals. Insists upon high standards of service in quality of and behaviour in the team. Will discuss in private any perceived deterioration before forming views of taking action and does not apportion blame on others when things go wrong. Asked for peoples views, listens and assimilates feedback. Provides constructive feedback.

Does not listen, only tells people what is happening. Provides persistent unjustified criticism.

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62

Appendix 4

Disciplinary Policy

This appendix sets out the revised Disciplinary Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Disciplinary Policy

Who is included: This policy applies to everybody who works in the South West Strategic Health Authority.

Disciplinary is:
the disciplinary procedure is intended for dealing with misconduct issues; if issues relate to sickness absence, the absence management policy should be followed; if issues relate to unsatisfactory performance, the performance improvement procedure should be followed.

1.
1.1

Principles
Initially any issues relating to conduct should be dealt with informally through one to one discussions and counselling. When the informal approach fails to resolve the problem, or the misconduct issue is serious, then the formal disciplinary process should be followed. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. Each case will be dealt with as fairly, thoroughly and quickly as possible. If an employee is subject to the formal procedure, they will be informed of the nature of the allegation in writing (see section 10 below: Rights of Staff). Employees will be made aware of their rights to be accompanied at all formal stages of the procedure by a representative of a Trade Union or a work colleague not acting in a legal capacity. No action will be taken against a Trade Union representative / official of a recognised Trade Union until the initial circumstances have been discussed with a full time officer / senior official of the union concerned. No employee will be disciplined without a thorough investigation into the allegations and full consideration of alternative action.

1.2

1.3 1.4 1.5

1.6

1.7

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1.8

In every case the employee must always be made aware as to why they have been disciplined, and the possible consequences, together with the employees right of appeal. Everything about the case will be kept strictly confidential and only released to people who are authorised to receive this information. Where offences are committed outside of the workplace, consideration of disciplinary action will only take place where it could have a bearing on the employees employment. Other than in cases of gross misconduct, no one will be dismissed for a first breach of discipline. Suspension is not regarded as a disciplinary sanction. Suspension carries no assumption of guilt. The decision to suspend will not be undertaken lightly, and suspension will only occur when deemed absolutely necessary.

1.9 1.10

1.11 1.12

2.

Roles and responsibilities

Associate Directors, Directors and Chief Executive

2.1

Associate Directors, Directors and Chief Executive: promote the policy and ensure its effective implementation; ensure that all managers understand their responsibilities for action and confidentiality and receive appropriate training; ensure consistency of approach; Be designated as the officer empowered to dismiss (this may exceptionally be delegated to their deputy).

Line managers 2.2 The role of the manager is to: intervene early when there are concerns regarding conduct; promote understanding and a constructive outlook to help staff address any problems identified; ensure that everyone understands acceptable standards of conduct and behaviour to instigate this procedure when standards of behaviour and conduct require this.

Staff 2.3 The role of the member of staff is to ensure that they understand acceptable standards of conduct and behaviour.

64

Human Resources 2.4 The role of Human Resources is to provide advice and guidance to everyone on the application of this policy and to support the manager at either stage two or three of the disciplinary policy when dealing with an alleged offence at a disciplinary hearing where the possible result could be a final written warning or dismissal.

3.
3.1

Procedure
If the employee is subject to formal action under this disciplinary procedure, they will be supplied with a copy of the disciplinary policy and procedure and User Guide. The employee has the right to be accompanied at formal investigatory interviews and disciplinary hearings, either by a Trade Union representative, or a work colleague (not acting in a legal capacity). Normally, a minimum of seven days notice (less by agreement) of a disciplinary hearing will be given to allow the employee to make necessary arrangements for representation. It will be their responsibility to make such arrangements.

3.2

3.3

4.
4.1 4.2

Suspension
Suspension is not a disciplinary action and carries no assumption of guilt. However, it may be decided to suspend an employee from duty in advance of any investigation for any of the following reasons (this list is not exhaustive): where there is an allegation of gross misconduct; where it is felt necessary for the protection of the employee, other people or public funds; where the employees continued presence at work could prevent a thorough investigation; to avoid undue pressure being placed on a member of staff under investigation by their continued presence at work.

4.3

The decision to suspend should not be undertaken lightly, and suspension should only occur when deemed absolutely necessary. Prior to suspension, a manager will consider whether there are alternative options, such as transferring the employee to another work location. The employee may be suspended by any manager who has been given authority by a Director, Associate Director or their Deputy. Support must be sought from Human Resources.

4.4

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4.5

If an employee has been suspended, they will receive written confirmation from the Director, Associate Director or their Deputy within seven days of the date of suspension stating the reasons for the decision for example, details of the alleged offence, and the date and time from which the suspension will operate. It is recognised that suspension from duty will have an impact both on the employee being suspended and the South West Strategic Health Authority, and therefore a review of the need will be carried out at least monthly. However, the employee will also be updated weekly, or as agreed on the progress of the investigation by the Investigating Officer. The employee will receive normal pay, including allowances, during their suspension. Every effort will be made to contact the employees Trade Union prior to suspension. In cases where this is just not possible the employee will be advised to contact their Trade Union representative as a matter of urgency. If the employee is not in a Trade Union they may wish to speak to a work colleague. The unavailability of a Trade Union representative should not delay the suspension process. In such cases the employee will be offered the opportunity to be accompanied by a work colleague.

4.6

4.7 4.8

5.
5.1

The informal route

The informal disciplinary route consists of the following steps: initially any issues relating to conduct should be dealt with informally through one to one discussions and counselling. When the informal approach fails to resolve the problem, or the misconduct issue is serious, then the formal disciplinary process should be followed.

6. 6.1

The formal route

The disciplinary route consists of the following steps: the Disciplining Manager (the manager potentially conducting the Disciplinary Hearing) has been made aware of an incident or formal complaint; the Disciplining Manager will seek advice on the case from the Human Resources team; the Disciplining Manager will appoint an Investigating Officer; the Investigating Officer will interview the member of staff and any witnesses who may have relevant information and ensure that reasonable adjustments are made particularly for individuals who have a disability or for whom English is not their first language;

66

the witness statements provided to the investigating officer may be used as part of the disciplinary hearing. If witnesses statements are used at a Disciplinary Hearing as part of the Management Statement of Case, these witnesses must be available on the day of the Hearing so that they may be called to give evidence.

6.2

The investigating officer will recommend: whether there is no case to answer; whether counselling is an appropriate outcome; whether a disciplinary hearing is necessary.

7.
7.1 7.2

Disciplinary Hearing
The hearing will be conducted by the Disciplining Manager accompanied by a Human Resources representative or another appropriately trained manager. The Disciplining Manager will ensure that the employee is given at least seven days written notice, informing them of the requirement to attend a disciplinary hearing and will detail: the date, time and place of the hearing; the nature of the alleged offence (enclosing copies of any relevant statements and correspondence); the employees right to representation; who will be present, including the identity of witnesses; possible outcome of the hearing; the employee will be requested to submit relevant documents to the Disciplining Manager in advance of the hearing (this does not preclude later submission of information at the hearing); if the employee is in a Trade Union it is important that they contact their representative immediately on receipt of the letter; the Disciplining Manager must be accompanied by a Human Resources representative. The Disciplining Manager may also seek advice from a professional advisor (who has not been involved in the proceedings) as appropriate.

7.3

The Disciplinary Hearing will follow this format: the Investigating Officer (the Officer tasked with establishing whether there is a case to answer) will first present the findings of the investigation and call witnesses as appropriate;

67

the employee and their representative will have the right to question all witnesses and the investigating officer; the Disciplining Manager will have the right to question the investigating officer and witnesses; the Investigating Officer may re-examine any witnesses; the employee and their representative will then respond on the employees case and the employee may call witnesses; the Investigating Officer will have the right to question the employee and witnesses; the Disciplining Manager will have the right to question the employee and witnesses; the employee or their representative may re-examine any witnesses; the Disciplining Manager may also, at any time question any party, or adjourn the hearing to allow further evidence of witnesses to be called; the Investigating Officer will sum up their case followed by the employee or their representative. No new evidence should be introduced at this stage.

7.4

The preparation of any records will be the separate responsibility of the employee and the Disciplining Manager. The employee will be advised to keep their own notes. Interviews or the Hearing may exceptionally be recorded using audio equipment. Therefore, at any level of this procedure either party may request that interviews or the Hearing are recorded using audio equipment. The recording will only be transcribed in cases of dispute, and wiped by management side when all procedures have been exhausted. To reduce the need for this, Investigating Officers should ensure wherever possible that written witness statements are provided, rather than just verbal evidence and that witnesses are also supported by a representative. At the conclusion of the disciplinary hearing, the Disciplining Manager will adjourn the proceedings to consider the appropriate action. In most cases a decision should be given that day.

7.5

8.
8.1

Disciplinary rules
In deciding to impose any disciplinary sanctions, in accordance with this procedure, a Disciplining Manager must always: act in good faith and have a reasonable belief in the guilt of the staff member, having taken into consideration mitigating circumstances.

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8.2

There are three levels for formal disciplinary sanctions: Level one written warning

8.3

Appropriate in cases involving offences of minor misconduct, or where attempts at counselling have failed to secure improvement. This formal warning will remain on record for a period of twelve months. Level two final written warning

8.4

Appropriate where there is a current written warning on file, or where serious misconduct is proven. A Final written warning will remain on record for a period of twenty four months. Written confirmation of the outcome will be sent to the employee and their representative within seven days of the hearing. Level three dismissal

8.5

Appropriate in cases of gross misconduct, or may be where there is a current final written warning on file. The employee may be summarily dismissed (in other words dismissed without notice or a payment in lieu of notice) only in the event of gross misconduct. Written confirmation of the outcome will be sent to the employee and their representative within seven days of the Hearing. A Director or Chief Executive will be designated as the Officer empowered to dismiss (this may exceptionally be delegated to their deputy). Once the effective period of the warning is spent, all documentation relating to the disciplinary action, including any letters confirming the outcome will be removed from the employees personal file. A letter confirming this will be sent to the employee. If the employee does not receive this they should contact the Human Resources team.

8.6

9.
9.1

Appeals procedure
The employee has the right to appeal against disciplinary action if they do not believe that the Disciplining Manager has acted reasonably or fairly in their case; The grounds for appeal must be disclosed at the time the appeal is lodged; Appeals should be lodged with the Associate Director of Human Resources who will arrange for an appropriate Panel to hear the Appeal; The Director or Chief Executive may invite an advisor to provide them with professional advice.

9.2 9.3 9.4

10.
10.1 10.2

Rights of staff under the disciplinary procedure

Where the employee has been advised of the possibility of disciplinary action, they will have the right to be: Represented by either an accredited Trade Union representative or accompanied by a work colleague (not acting in a legal capacity). 69

10.3 10.4 10.5 10.6 10.7

Advised in writing of the alleged misconduct prior to any disciplinary hearing or investigatory interview taking place. Allowed time to brief a Trade Union representative or to take advice and prepare a case. Given, on request, a copy of any disciplinary letters that remain within their personal file. Made aware of the Officer who has the authority to discipline or dismiss. Reminded where disciplinary action has been taken, of the right of appeal and with whom they should register an appeal.

11.
11.1 11.2 11.3

The role of counselling

It is expected that in many cases, minor disciplinary matters will be resolved through informal counselling. Counselling should not be seen as part of the formal disciplinary process. During counselling, the employee should be made aware of any shortcomings in conduct and improvement encouraged. The employee should be given the opportunity to discuss any underlying problems that could contribute to difficulties at work. Counselling should end with a clear understanding by both manager and the employee on what needs to be done, and if appropriate, how conduct will be reviewed, over what period of time and the potential consequences of the employee conduct not improving. Counselling is not formal disciplinary action. Managers must ensure that the counselling interview does not turn into a formal investigatory interview or disciplinary hearing. Managers should also be aware that counselling may be used in support of disciplinary action, to encourage improved conduct.

11.4

11.5

11.6

12.
12.1

Examples of matters of misconduct, which may result in disciplinary action:

Misconduct which will normally be resolved informally, but repeated occurrences may lead to formal steps: habitual poor timekeeping; discourteous or unacceptable behaviour to other members of staff, visitors or patients;

70

borrowing the South West Strategic Health Authoritys property without authorisation (including excessive use of the South West Strategic Health Authoritys internet at inappropriate times); damage caused by carelessness to property or equipment belonging to patients, other staff, or the South West Strategic Health Authority; smoking in contravention of the health and wellbeing policy; unauthorised absence from work.

12.2

Misconduct, which may lead to formal disciplinary action: failure to respond to previous written warnings; unauthorised absence, without reasonable cause, whilst purporting to be on duty; wilful refusal to carry out a lawful and reasonable order by an authorised person; any discriminatory practice, including harassment; incapacity to perform normal duties through the consumption of alcohol or the misuse of drugs, unrelated to an underlying health problem; failure to comply with working procedures or safety regulations; disclosure of information in breach of the Confidentiality policy and Data Protection requirements; prolonged or repeated unauthorised absence from work.

12.3

Gross misconduct, which may lead to dismissal: theft or dishonesty whilst working; wilful assault or ill treatment of patients; violent behaviour to another person whilst in duty or on the South West Strategic Health Authoritys premises; deliberate failure to comply with working procedures or safety regulations; deliberate disclosure of information in breach of the Confidentiality policy and Data Protection requirements; gross professional negligence; misconduct outside work that breaches the mutual trust and confidence between the employer and member of staff; 71

breach of the South West Strategic Health Authoritys policy on deliberate personal use of the South West Strategic Health Authoritys internet to access sites of a pornographic nature for example; deliberate breach of the equal opportunities and diversity policy.

12.4

The above lists are not exhaustive, nor prescriptive, but give a general indication of the standards of conduct required.

13.

Finding out more

Disciplinary policy all staff members are asked to speak to a manager or refer to the User Guide on Disciplinary in the first instance.

13.1 For further information on the South West Strategic Health Authoritys

13.2

Additionally you may contact the Human Resources team.

14.
14.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when being involved with disciplinary action; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in managing disciplinary issues.

14.2

An impact assessment for this policy will be completed every three years. April 2010

Policy Approved:

Review By:

April 2012

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South West Strategic Health Authority Disciplinary Procedure Section one Staff guide 1.
1.1

Introduction
We want you to carry out your job to the best of your ability at all times and we expect high standards of behaviour at the South West Strategic Health Authority. Sometimes, there may be a problem with behaviour that needs to be resolved and we will guide and support you to solve this in the best possible way. If problems are not being resolved, or if the nature of the problem is more serious, we may have to use our formal disciplinary procedure. Unless it is stated otherwise, all time limits refer to consecutive calendar days and not working days. Why do we have a disciplinary policy and procedure?

1.2

1.3

The Disciplinary policy helps you understand what standard of conduct and behaviour we expect from you, during your career with the South West Strategic Health Authority. The rules of our policy ensure that we are: fair and consistent; thorough in our investigations; open in our dealings with you when misconduct arises; compliant with all legal requirements.

What are the core principles of our disciplinary procedure? 1.4 1.5 Our Disciplinary procedure is based on the twelve sound principles, which are detailed fully in the disciplinary policy (see section on Principles). We will always treat you fairly and with dignity, if you are subject to the disciplinary policy and procedure. In summary, we will always try to deal with any conduct issue informally through one to one discussions and counselling. When the informal approach fails to resolve the problem, or the misconduct issue is serious, then the formal disciplinary process will be followed. We will investigate the full facts before taking any action and you will have the right to be accompanied at all formal stages by a Trade Union representative or a work colleague (not acting in a legal capacity). We will be open in our dealings with you and keep the matter confidential at all times. You will also have the right to appeal against any sanctions which are applied.

73

For what type of behaviour or conduct might the disciplinary policy be used? 1.6 The Disciplinary policy covers three different types of misconduct. These are generally known as minor misconduct, serious misconduct and gross misconduct. Minor issues such as poor timekeeping will generally be addressed informally, although if this becomes habitual behaviour and there are repeated occurrences, it may lead to more formal action being taken. Issues of a more serious nature, such as a failure to respond to previous written warnings or a single, more serious act of misconduct such as aggressive behaviour for example, may result in formal disciplinary proceedings. Finally, gross misconduct, such as theft or fraud, may lead to dismissal through the disciplinary procedure. Please refer to sections 13 15 of the disciplinary procedure for more examples. This is not intended to be an exhaustive list. You will notice that the general theme of these types of offences is that the misconduct is such that it fundamentally breaches the mutual relationship of trust and confidence, which we expect to have with our staff.

1.7

1.8 1.9

2.

The informal procedure

How is misconduct handled informally?

2.1

If you commit a minor act of misconduct your manager will speak to you informally to ensure that you are aware of what you have done wrong and how proper standards of conduct can be restored. They will make it clear that a repetition of the misconduct may lead to more formal action being taken. Such discussions do not themselves constitute disciplinary warnings. However your manager will make a file note of what has been discussed and this may be referred to if the minor misconduct should be repeated.

3.

The formal procedure

How is the formal procedure of misconduct started?

3.1

If informal means have not led to the required improvement in conduct, or the misconduct is considered too serious to be classed as minor, formal procedures will begin. Where an alleged incident of misconduct has happened, your senior manager (sometimes referred to in the policy as the disciplining manager) will appoint an Investigatory Officer to investigate the incident further. The Investigating Officer remains impartial and will conduct an investigation to establish the full facts and determine if there is a case to answer, whether counselling may be appropriate or if a Disciplinary Hearing will take place.

3.2

74

What happens during the investigation? 3.3 The Investigating Officer will contact you to arrange an investigatory interview. You have the right to be represented at this meeting (and all other meetings) by your Trade Union representative or a work colleague (not acting in a legal capacity). The interview is necessary to enable the Investigating Officer to establish the facts of the case and understand whether there is a case to answer. During the interview they will ask you about the alleged incident or misconduct and get your views, explanations and perception of the alleged incident. They may also interview witnesses to the alleged incident, as part of their fact finding investigation. Witnesses will be asked to sign their statements and you will be provided with a copy of all evidence gathered should the matter be referred to a Disciplinary Hearing. These interviews or the Hearing may exceptionally be recorded using audio equipment and either party can request this. The Investigating Officer will then prepare a Management Statement of Case and based on the evidence gathered, make a recommendation as to whether there is a case to answer and the matter may be referred to the Disciplining Manager to arrange a formal Disciplinary Hearing. When is suspension from work necessary? 3.8 Sometimes, in order to carry out an investigation fairly and properly, it may be necessary to suspend you from work. This may happen for allegations of gross misconduct, where your continued presence at work could prevent a thorough investigation or where it is felt necessary for the protection of yourself, other people or public funds. This time away from work will be on full pay and will be for as short a period as possible. Suspension does not imply guilt and is not a punishment. However, you will be instructed that you may not enter the South West Strategic Health Authority premises or contact your colleagues. You will be expected to attend any investigatory interviews and are entitled to meet with your Trade Union representative or staff counsellor, which may be on the South West Strategic Health Authoritys premises. If, during this suspension, you need to enter the South West Strategic Health Authoritys premises for health care reasons or to visit relatives of friends, you should first discuss your requirements with the Disciplining Manager. Suspension is not a decision we take lightly and if you are suspended you will be informed of the reason, and this will be confirmed in writing within seven calendar days. If you are to be suspended from work, we will make every effort to contact your Trade Union representative (should you have one) prior to your suspension so that you have representation at the suspension meeting.

3.4

3.5

3.6 3.7

3.9

3.10

3.11

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3.12 3.13

While you are suspended you are still required to attend the investigatory or Disciplinary Hearing or provide further information. A decision to suspend you can only be taken by a Director, Associate Director, or their Deputy. Support must be sought from Human Resources. The Director, Associate Director, or their Deputy may then authorise a manager to conduct the suspension meeting. Will disciplinary action be taken by the same person who handles the investigation?

3.14

No. The investigation will be carried out by a manager who is impartial and who will not be involved in deciding the outcome of the Hearing. How is the formal Disciplinary Hearing arranged?

3.15 3.16

The Disciplining Manager will write to you to advise the date, time and location of the Disciplinary Hearing. The letter will also include the Management Statement of Case which provides a background of alleged incident, details of the investigation and the reason for the decision to hold a Disciplinary Hearing. Formal meetings will be held privately and free from interruption. You will be asked to submit details of any written evidence you wish to present, and witnesses you may wish to call in advance of the Hearing. Can I be accompanied to the Disciplinary Hearing?

3.17 3.18

3.19

You have the right to be accompanied to the Disciplinary Hearing by your Trade Union representative or a work colleague (not acting in a legal capacity). How should I prepare for the Disciplinary Hearing?

3.20

You will need to set aside time to prepare for your Disciplinary Hearing. Make sure you have copies of all papers that will be discussed at the Hearing, wherever possible. All evidence related to your case will be made available to you (and your Trade Union representative or work colleague), seven days before the Hearing. You may wish to prepare a written statement of some notes so that you can put forward your version of events clearly. You can then read from this, or refer to it during the Hearing. If you are being accompanied by your Trade Union representative or work colleague, they may be able to help you prepare this.

3.21

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What will happen at the formal Disciplinary Hearing? 3.22 The purpose of the Hearing is to hear evidence from all parties so that the Disciplinary Panel is able to reach a decision about what disciplinary sanction (if any) should be applied. The Disciplining Manager will normally be accompanied by another manager who had had no previous involvement in the case, and who will help them reach a decision. This may be a Human Resources representative, another manager from the South West Strategic Health Authority or a professional advisor if appropriate. The procedure needs to be fair and consistent so it will follow a set pattern: the Investigating Officer will first present the findings of the investigation and call witnesses as appropriate; you and your representative will have the right to question all witnesses and the investigating officer; the Disciplining Manager will have the right to question the investigating officer and all witnesses; the Investigating Officer may re-examine any witnesses; you and your representative will then respond on your case and you may call witnesses; the Disciplining Manager may also, at any time, question a party, or adjourn the Hearing to allow further evidence or witnesses to be called the Investigating Officer will sum up their case first followed by you or your representative. No new evidence shall be introduced at this stage.

3.23

3.24

An adjournment of reasonable length will take place at this point to allow for the manager to consider the discussion and review the evidence before reaching their decision. The Hearing may be adjourned to a later date if further investigation is required before a decision can be made. When the Hearing is reconvened: the Disciplining Manager will recap on what has been discussed and tell you their decision and their reasons for it; if appropriate, a formal warning or other sanction will be issued; if this happens, you will be reminded of your right of appeal (see When and how I can appeal against a disciplinary warning?);

3.25

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3.26

After the Hearing: the Disciplinary Manager will confirm the decision to you in writing within seven calendar days; originals of all information will be kept on your staff file according to the Data Protection principles.

What sanctions might there be? you may be given a written warning in cases involving offences of minor misconduct or where counselling has failed to improve the behaviour. This written warning may stay on your file for a period of twelve months. Any repetition of this type of misconduct within this twelve month period may result in further disciplinary proceedings being initiated against you; you may be given a final written warning where there is a current written warning on file or where serious misconduct is proven. A final written warning will remain on your file for twenty four months. Any repetition of this type of misconduct within this twenty four month period may result in further disciplinary proceedings being initiated against you. If proven, this misconduct may result in your dismissal from the South West Strategic Health Authority; you may be dismissed in cases of gross misconduct or where there is a current final warning on file. You may be summarily dismissed (without notice or pay in lieu of notice).

3.27

You will be notified in writing (with a copy to your representative) within seven calendar days of the Hearing.

4.

The appeals process

When and how can I appeal against disciplinary action?

4.1

If you feel that the decision was unfair you can appeal against any formal disciplinary action taken against you. Once you have received the disciplinary outcome letter, you should lodge an appeal within fourteen calendar days. The decision outcome letter will tell you who to send your appeal to and you should write to them, stating the grounds for the appeal. The appeal will be heard by a more senior manager than has been previously involved. You have the right to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity). The appeal will usually be heard within six weeks of receipt of your request.

4.2 4.3 4.4

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On what grounds can I appeal? 4.5 This is not an exhaustive list but the most likely grounds for appeal are one of the following: the action was too harsh; the investigation was incomplete; the manager was unfair; the Hearing was not fairly conducted; you have new evidence; you did not have all the information/documentation, which was relied upon.

What will happen at an Appeal Hearing? 4.6 At the Appeal Hearing, you will have to explain why you feel the action taken against you was unfair. You will need to think carefully and prepare your case in advance. Your Trade Union representative or work colleague may be able to help prepare you. Remember, an Appeal Hearing is not usually a re-hearing of all the evidence but rather concentrates on the specific grounds of appeal. The possible outcomes from an Appeal Hearing are: 4.9 original decision and penalty upheld; original decision upheld but penalty reduced, for example final warning turned into a written warning; or original decision overturned, penalty withdrawn.

4.7 4.8

The outcome of the appeal will be binding on you and us. A decision to appeal does not affect the date of dismissal unless the appeal decision overturns the original disciplinary decision.

Section two: Manager guide

5.
5.1

Introduction
To help maintain the high standards of behaviour that we expect at the South West Strategic Health Authority, its essential to firstly let our staff know the standard of conduct we expect. As managers we expect you to help your team members understand what acceptable standards of conduct and behaviour are, and to address any potential misconduct issues promptly.

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5.2

This guide is intended to ensure consistency in our approach to maintaining high standards of behaviour at the South West Strategic Health Authority so that we treat all staff fairly and with dignity if they are subject to our disciplinary procedure. In addition to this guide, the Human Resources team will provide support and guidance to you. The disciplinary procedure is contractual, which means that failure to follow it will be a breach of a staff members contract. Failure to follow the procedure also significantly increases the risk that a dismissal could be found to be unfair if an Employment Tribunal claim is made against us, and this could result in significant costs, as well as damage to our reputation as the South West Strategic Health Authority and as an employer. Unless it is stated otherwise, all time limits refer to consecutive calendar days and not working days. When to use the disciplinary procedure

5.3

5.4

5.5

The disciplinary procedure is intended for dealing with misconduct issues, where a staff members behaviour falls below our expected standards. It applies to everyone who works within the South West Strategic Health Authority irrespective of the length of their service. If the issue relates to absence, you should use the Absence Management policy unless you believe that the absence is not due to genuine sickness (in other words you believe the staff member has deliberately misled you). If the issues relate to unsatisfactory performance, you should use the Capability procedure. It may be difficult to tell whether an issue relates to misconduct or capability, and you may need to explore this as part of your investigations. If a staff member fails to meet performance standards due to deliberate carelessness, negligence or idleness, or they deliberately breach the South West Strategic Health Authoritys policy, or they are persistently late, this is a misconduct issue. If they cant carry out their role acceptably, this is a capability issue (cant as opposed to wont is a good way to think of it). Before using the formal disciplinary procedure, always consider whether it might be possible to resolve the issue informally instead. Where possible, we should attempt to resolve minor problems by taking prompt informal action, and therefore avoid the need to use the formal disciplinary procedure. You should also consider: are you sure that the staff member is aware of the relevant standards of conduct / the particular rule which they have broken? could there be a misunderstanding as to what is acceptable behaviour?

5.6

5.7 5.8

5.9

5.10

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 5.11

are there any personal circumstances, which you should be taking into account?

Where informal action does not resolve the issue, where the misconduct is sufficiently serious, or where the member of staff is already on a formal warning for a related matter the formal disciplinary process will apply. This will normally be the case for any act of gross misconduct (see policy for examples). Essentially the aim of the process is to ensure that the staff members behaviour improves, rather than to punish them. To maintain the dignity of the staff member during any stage of the disciplinary process, we will maintain confidentiality at all times.

5.12

6.

Taking informal action

What is informal action?

6.1

The informal approach to discipline is a one to one confidential conversation between the staff member and manager, which allows the manager to highlight any unacceptable behaviour or conduct. It encourages an open discussion on how both can work together to help the staff member reach an acceptable standard quickly. As the manager, you may provide advice, counselling, coaching or training to support the staff member to understand and improve expected behaviours through an agreed action plan. You (the manager) should also ensure that the staff member understands the consequences of future similar incidents, when formal action may be considered. In many cases a prompt and informal discussion with the staff member, about their conduct, is the most effective way to manage the situation. By acting promptly and fairly, the issue can be nipped in the bud to prevent it developing into a more serious problem, which can be time consuming and may impact on the effectiveness of the team. Informal action also promotes strong healthy working relationships and fits with our view of discipline being about improvement not punishment. Examples of misconduct, which may warrant informal action, include: unreliable behaviour such as persistent lateness; unauthorised absence; inappropriate or offensive behaviour .

6.2

6.3

6.4

This type of misconduct should be tackled informally the first time it occurs. Repeat offences of this nature will require formal disciplinary action to be taken.

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Quick reference guide to the informal disciplinary procedure Note: This flow chart should be used in conjunction with the guidance notes which follow. You should refer to the Human Resources team for further advice.

Manager is informed of or observes minor misconduct

Manager gathers facts about the case

Manager informally arranges one to one meeting with staff member to discuss concerns

Manager provides counselling, training, advice and support to resolve conduct. Discuss how to improve. Ongoing monitor and review

Yes

Is there a case to answer?

No

Case closed

Does behaviour improve?

Yes

Case closed

No

Manager may use the formal disciplinary procedure

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How to take informal action Step one before the meeting 6.5 We all know that setting clear standards is the foundation to good performance management. So when we have concerns about a staff members behaviour falling below acceptable standards, we need to present clear facts to the staff member to help them understand when this is happening. At this stage it is not necessary to conduct an investigation, although it is useful (and good management practice) to provide specific examples of behaviour to the staff member when you meet with them. If the behaviour is something that several members of staff are displaying, such as lateness, rudeness or taking too long on breaks, you might want to address the whole team, by way of a team meeting and follow this up with a memo to staff. You can then be sure that all of the team are aware of what is expected and that you are not unfairly picking on just one member, who you may have noticed breaching the rules. You will need to have a meeting with the staff member, which should be held as soon as possible. The meeting should be kept informal and be on a one to one basis. If the staff member feels uncomfortable with this, it is at your discretion whether you allow them to be accompanied.

6.6

6.7

6.8

Step two during the informal meeting 6.9 The purpose of the informal meeting is to: 6.10 advise the staff member of your concern about their behaviour; understand any reasons why the misconduct has occurred; agree an appropriate way forward.

It is useful to take notes during the meeting and note the outcome of the meeting in an agreed plan. If you decide that the issues are more serious than you originally thought, you may decide to adjourn the informal meeting and use the formal disciplinary procedure.

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Format of the meeting Welcome explain the purpose of the meeting; explain how you intend to conduct the meeting.

Explain present the facts about observed behaviours or complaints received; explain why behaviour is unacceptable and the impact of behaviour on others.

Explore Ask questions to understand why the staff member behaved in such a way; the staff members perspective of what happened to gain a fuller understanding of the situation; the staff members understanding of misconduct, standards of behaviour; what needs to be put in place to help.

Confirm the required standard and timescales for improvement; the staff members understanding of what needs to happen; the possible consequences of any repetition of behaviour (such as formal disciplinary action and the penalties attached to that).

Agree Follow Up agree any actions on both your part and the staff member (write down an action plan); agree a review date; review performance when you say you will.

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Step three after the informal meeting 6.11 It is useful to keep a brief summary of the discussion at the meeting as a record (including the date and time of the meeting) together with any important information that you have obtained, and any agreed action as this will help you monitor and review the behaviour and may be relevant if formal action is taken at a later stage. The notes must be kept securely and confidentially in compliance with the Data Protection policy. A copy of the agreed actions/record of the meeting should be given to the member of staff. You may agree a review/monitoring period for the behaviour to improve to an acceptable level if, for example the staff member is regularly late. By the end of the period you will need to decide whether or not there has been an acceptable improvement. If not, you may decide to use the formal disciplinary procedure.

6.12

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Sample case study Mike is a member of your team and you have noticed that he arrives about 10 minutes later than his expected start of the working day most mornings. Although he works later in the day to make up his time and his work is generally up to the required standard, you are concerned that this behaviour may have an impact on the rest of the team. You regularly carry out team briefings in the morning and have had to delay the start of this briefing a few times to wait for Mike. You decide to arrange a meeting with Mike to discuss his behaviour with him. Before you arrange the meeting, you know that you need to gather more facts to present to Mike. The next morning you note the exact time that Mike arrives in the morning and the exact times that the team briefing starts. You have already noted other dates where this has happened. You privately ask Mike to meet with you the following day to discuss his timekeeping. You let him know that you have concerns and wish to discuss them with him. Mike asks if he is allowed to bring a colleague to the meeting and you let him know that there is no right to representation at an informal meeting. Mike is concerned about this and you let him know that it is at the managers discretion but if he wishes you will allow him to be accompanied at the meeting. (You think it might be helpful if he does bring someone with him, to witness what is said and reinforce any agreed outcomes.) At the meeting, Mike denies that he has been late on any occasions and says that he always gets to work on time and there is never any problem with his work. You present the facts to him and let him know the exact dates that you have monitored his arrival and the time that he has arrived. You also let him know the exact times that the team briefing started and exactly how long this was delayed for. Mike then points out that he hadnt thought he was late and you are only talking about ten minutes, which is minimal. He doesnt know what all the fuss is about as he always does his work to a high standard. You let him know that his work is of a high standard but his behaviour at work is also expected to be of a high standard and that he cannot continually come in late with no explanation or prior agreement. You ask him what impact it has on his colleagues when their team briefing is delayed and Mike again states that he doesnt think they will mind as it is only a minimal delay. You remind Mike that he is contracted to start at a specific time every morning and ask him to explain his lateness. Mike admits (faced with the facts) that he may have been late but he has no explanation for this. You outline the importance of coming to work on time and inform Mike that he must improve his timekeeping. You let Mike know that you will monitor and review the situation and let him know that if he does not meet these standards it may result in more formal action. After the meeting you make a brief record of your discussion and agreed actions (for your own files) to help you manage the situation and should the need arise for any further action. You give a copy of this record to Mike.

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7.
7.1

The formal disciplinary procedure

We will always try to deal with any alleged conduct issue through one to one conversations, but if this does not resolve the issue or if the nature of the alleged misconduct is of a more serious nature, it will be necessary to begin the formal disciplinary process.

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Quick reference guide to the formal disciplinary procedure

Note: This flow chart should be used in conjunction with the guidance notes, which follow. You should refer to the Human Resources team for further advice.
Investigating Officer contacts staff member via letter (DIS4) and arranges Investigatory Interview, (include their right to be accompanied). Holds meetings with witnesses to investigate full facts

Allegation of misconduct made

Is this potential gross misconduct?

No

Contact Human Resources team. Staff member may be suspended pending investigation. If suspended issue letter

Yes

Disciplining Manager appoints an Investigating Officer to the case. Letter issued to staff member, informing them that the alleged misconduct is being investigated under the formal disciplinary procedure (letter DIS3)

Investigating Officer arranges for witnesses to sign statement (DIS5)

No Disciplining Managers issues one of two letters. DIS6 No case to answer letter DIS7 Refer to counselling letter

Is there a case to answer?

Investigating Officer prepares management statement of case

Yes

Disciplining manager sends letter to inform staff member of outcome and arranges disciplinary hearing (DIS8). Exchange papers. Copy to Trade Union rep/Colleague

Hold disciplinary hearing. Investigating Officer presents case, calls witnesses, cross examines staff member and summarises case

Yes

Does the staff member accept the outcome of the hearing?

Issue letter to confirm type or warning and conditions of warning to the staff member (could be written or final written). If gross misconduct sanction could be dismissal (DIS9 or 11)

Yes

Is there a case to answer?

No (Send letter DIS 10) Case closed and employee advised. Update Human Resources records

Update Human Resources records. Monitor and review ongoing conduct. No As an example, in case of Dismissal, Panel of 3 Directors, Non Executive Directors or Chief Executive to hear appeal. Makes decision on case

Yes (Send DIS 16)

Staff member submits their appeal and reasons for appeal in writing within 14 days of hearing outcome letter

Is the appeal successful? No

Original sanction may be changed (Send DIS 17). Case closed and staff member advised. Update Human Resources records

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8.
8.1

Investigation
We can only take disciplinary action against alleged misconduct when we are sure that there is a case to answer. This means our first step to start the process is to gather all of the facts, in an appropriate way. There are 2 main situations when we will need to conduct an investigation to establish whether or not to call a Hearing: Repeated or continuous actions - which in themselves may not be too serious but which, because of their continuous or repeated nature, have a serious effect on the staff members overall performance. There may already be records of previous discussions, attendance records as examples. Serious incidents a specific incident of a more serious nature.

8.2

Step one getting started Appointing the Investigating officer 8.3 Employment law stresses that a disciplinary decision must be made on a reasonable investigation of facts. The provision recognises that the investigation process should be separated from the decision making process. To ensure that the staff member is treated fairly in the process, an Investigating Officer will be appointed by the Disciplining Manager to arrange an investigation to establish: is there a case to answer? will counselling (the informal approach) be a more appropriate outcome? is a disciplinary Hearing necessary? when appointing an Investigating Officer, it is important that the Disciplining Manager is assured that this person has sufficient time and resource to conduct the investigation in a timely manner.

8.4

8.5

If a Trade Union steward is being investigated, the full time officer must be contacted at the outset of the investigation. Step two gather the facts

8.6

The nature of the investigation will vary according to the circumstances of each case. It is important that facts are gathered as quickly as possible, whilst they are still fresh in everyones mind. The investigating officers role is to establish the facts and not to build a case against the staff member. It is also important to gather relevant background information such as working relationships between staff, custom and practice.

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In some circumstances, it may be necessary to suspend the member of staff to enable the investigation to be carried out thoroughly and fairly. If this is required the Disciplining Manager (or delegated manager) will inform the staff member of the reason why and confirm this to them in writing (DIS2) within seven days of their suspension. A decision to suspend can only be taken by a Director, Associate Director or their Deputy. They may then authorise a manager to conduct the suspension meeting. The Disciplining Manager will write to the staff member to confirm the name of the Investigating Officer (DIS3). The Investigating Officer will contact the staff member in writing (DIS4) to invite them to an initial interview to investigate the allegation. The staff member will have the right to be accompanied in this meeting (and all other meetings) by a Trade Union representative or a work colleague who is not a legal representative. The key factors in conducting an investigation are to be thorough, discreet, fair and reasonable, and considerate of the staff member. Conducting fact finding interviews with witnesses

8.8

8.9

8.10

It may be necessary for the Investigating Officer to question others who were present or who have knowledge of the circumstances surrounding the incident. The Investigating Officer will also meet with any witnesses with a view to gathering full facts about the alleged misconduct. The Investigating Officer will take notes during all meetings and arrange for these to be checked for accuracy and signed by the witnesses (DIS5). The witnesses may themselves wish to be represented at the fact finding meeting and you should consider this request. It may be helpful if the witness is likely to be anxious or emotional or if the case is particularly sensitive. However, the non-availability of a representative at this meeting should not be allowed to cause unacceptable delays to the overall process. At the interviews, the Investigating Officer will cover the following with any witnesses: what is the purpose of the interview; that their full co-operation is expected; in the interests of a fair procedure their statement will be shown to those involved in the disciplinary processes, including the member of staff under investigation; the notes from the meeting must be signed by the witness and the investigating manager; when their statement or interview notes will be ready for them to check and sign;

8.11 8.12

8.13

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that if their statement is used at the Hearing, they will be requested to be available to answer questions in person, at the Hearing; disciplinary action may stem from the information given.

Some witnesses may feel nervous or anxious, particularly at the thought of appearing at a Hearing to give evidence in front of a staff member being disciplined. They may fear repercussions or be genuinely concerned for their own safety and well being. It is not usually possible for witnesses and statements to remain anonymous, but the Investigating Officer may need to consider what steps they can take to ensure that the witnesses fears are not realised. If further advice is needed on this matter, the investigating officer should contact the Human Resources team who will be able to provide support and guidance. Below are some practical guidelines on conducting the fact finding interview: state the purpose of the meeting, date, time and those present; record statements on a question and answer basis; attempt to record verbatim and stick to the facts. Interviews of the Hearing exceptionally may be recorded using audio equipment. Therefore at any stage of this procedure either party may request that interviews or the hearing are recorded using audio equipment. The recording will only be transcribed in cases of dispute by management side when all procedures have been exhausted. To reduce the need for this, investigating officers should ensure wherever possible that written statements are provided, rather than just verbal evidence and that witnesses are also supported by a representative; ask open questions such as those indicated below what, when, where, how and who to gain maximum information.

8.15

Possible questions for staff members making allegation/complaint and witnesses we understand that you may have witnessed an incident at xxx about xxx time ago, where something happened/was said about xxx please explain exactly what happened? when and where did the incident take place? who was involved and who else witnessed this? what was your reaction, what did you say? what action did you take? did you speak to anyone else about this incident?

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has anything like this ever happened before?

Investigatory meeting with the staff member 8.16 At the investigatory meeting, the Investigating Officer will arrange for the staff member (and their representative) to meet them for an investigatory meeting; stress this is not a disciplinary hearing but a meeting to establish the facts to decide whether there needs to be a formal disciplinary hearing; take full notes of the discussion, ideally arranging for a note taker to be present. These notes will need to be sent to the staff member as soon as possible after the meeting and checked and signed by them (see earlier comments on recording using audio equipment); remind the staff member of their right to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity); go through the evidence they have collected and ask the staff member for their comments; ask as many questions as they need to establish the facts, (remember this meeting is to enable them to decide if disciplinary action needs to be initiated); if new information comes to light, tell the staff member that further investigation will take place before they decide how to proceed; tell the staff member when they are likely to have made a decision on whether to proceed.

Possible questions for staff member subject to investigation can you recall an incident which took place about xx weeks ago? have you ever . . . . . (describe the alleged event and use the exact detail including the language used); X has stated that you . . . . (describe specific event) what is your response to this? Y has stated that they saw/heard you . . . .(describe specific event) do you recall this? have you ever said anything to Z . . . . (refer to the information previously received); why would X say that you did this?

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can you think why your actions may have been interpreted in this way/seen as inappropriate? consider if the staff member has any health issues which might have contributed to the misconduct. It might be necessary to seek advice/opinion from Occupational Health to understand whether health can be used in mitigation.

Step three make decision based on findings of investigation 8.17 Having conducted the appropriate investigatory interviews and gathered relevant paperwork, the Investigating Officer will make a recommendation whether the case will go to a Hearing. Decisions will be based on answers to the following: is there a case to answer (has the allegation been substantiated?) They may find that some key facts are still being disputed by different parties, so that it is one persons word against anothers. In this situation the decision will need to be based on what they believe, taking all of the evidence into account, working on the balance of probability; what is the staff members employment record like to date? what guidance does the disciplinary procedure offer? has the Investigating Officer ascertained all of the facts from which they may reach a reasonable decision? what are the risks if the case does not go to Hearing? what is the decision? Should the case go to Hearing? why have they arrived at that decision?

8.18

Step four write a Management Statement of Case (Investigation Report) 8.19 The Investigating Officer will now complete a Management Statement of Case to provide a factual summary of the investigation findings and recommend the next course of action to the Disciplining Manager which could be: no case to answer; counselling is an appropriate outcome; a disciplinary hearing is necessary.

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8.20

The outline of Management Statement of Case (Investigation Report) is as follows: Section background on staff member

8.21

In the section on background, give a brief paragraph(s) covering: staff members base/location/ward; brief description of work and work area; numbers on duty (if appropriate); append job description (if relevant); refer to training received (if relevant); refer to counselling/previous written warning(s) given (if relevant and current); employment record to date.

Section investigation 8.22 Give details of who was involved in the investigation and attach the statements and evidence gathered. Section allegations and evidence 8.23 Set out the allegations made against the staff member and provide a summary of the evidence for and against each allegation. Section report summary conclusions 8.24 In this section, provide a summary of whether the evidence gathered supports the allegation or not. State the facts and cross refer to statements / documentation which supports the allegation. Section recommended actions 8.25 8.26 In this section, consider whether the evidence gathered supports the need to hold a disciplinary hearing or if other action is required. When considering if this is or is not a disciplinary issue, the Investigating Officer may consider the following: is this the first time it has happened? what were the expectations? what were the risks/consequences?

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what is reasonable? Was this reasonable? what are the staff members professional responsibilities? what were the mitigating circumstances? was any remorse shown or apology given? what guarantees were there that this would not happen again? how would the staff members actions be regarded by others? had the staff member received support/training/guidance as appropriate? underlying medical factors.

Write down the recommendations and explain reasons for this recommendation, using answers to the above questions and evidence gathered . . . Section sign off

8.28

Sign the form and complete the appropriate dates for the investigation.

9.
9.1

Suspension
Suspension is not a disciplinary sanction and carries no assumption of guilt. It is a means of protecting the interests of the staff member and the South West Strategic Health Authority whilst the investigation is taking place. A staff member should be suspended pending the disciplinary investigation and hearing when you consider that having them in the office/ward poses a significant and legitimate risk to the South West Strategic Health Authority, to our property, to other staff, or to themselves, or where you have any reason to believe that they may interfere with the investigation in any way. It is also likely to be appropriate if the nature of the misconduct is such that there has been a serious breach in the trust and confidence resulting in a breakdown of relations. It will normally be appropriate in cases of gross misconduct, but it is unlikely to apply to more minor incidents. The decision to suspend should not be taken lightly, and suspensions should always be kept to a minimum. Confidentiality must be maintained. You can only suspend a staff member if you have been given authority to do so by a Director, Associate Director, or their Deputy. If you are considering suspending a staff member, you should always get in touch with the Human Resources team to discuss the case.

9.2 9.3

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The process for suspension is as follows: the manager who becomes aware of the misconduct should discuss the matter with a Director, Associate Director or their Deputy, and the Human Resources team; the Director, Associate Director or their Deputy, should consider whether suspension is appropriate, and consider any alternatives to suspension (for example moving the staff member or altering their working arrangements); once the decision has been taken by the Director, Associate Director or their Deputy, to suspend the member of staff, they may carry out the suspension or delegate authority to another appropriate manager; the authorised manager should endeavour to find out whether the member of staff is in a union, and if so, try to arrange for a union representative to be present at the suspension meeting. However, it may not be possible to ascertain this information as quickly as is necessary, or to find a Trade Union representative who can attend at short notice. Neither of these circumstances should cause the manager to delay the suspension process. In these situations the member of staff should be given the opportunity to have a work colleague present at the meeting (not acting in a legal capacity), should they wish; the authorised manager should arrange a quiet room in which to meet the staff member and then inform them of the reason for the suspension and provide specific details of the concerns, including names if appropriate; the manager should advise the staff member not to make any response to the allegations at this time but to explain that a full investigation will take place during which they will be able to put their own views; the manager will organise collection of any South West Strategic Health Authority property, including ID badge and any keys; the manager will advise the staff member that they should not come onto South West Strategic Health Authority premises (unless as part of the investigation or if visiting Occupational Health to access counselling) and will give the name of a link manager who will maintain contact with them during the investigation. This may be the Investigating officer; issue suspension letter DIS2, within seven days of the suspension, following review and agreement by the Human Resources team.

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9.5

If you decide that it is necessary to suspend a staff member, the period of suspension will be on full pay and should be for as short a time as possible. The need for suspension should be reviewed on a regular basis to ensure that the suspension is still appropriate in the circumstances. During this period, the staff member: must not carry out any of their normal duties. This includes overtime and any Bank shifts that might be booked. They should provide you with any outstanding work before the suspension starts; must not contact any colleagues, (with the exception of their Trade Union representative or Staff Counsellor), or patients. If they have any queries, these should be referred to you or the line manager; will be required to maintain confidentiality, and not discuss the case with patients or colleagues; is required to co-operate with any investigations.

9.6

Criminal matters 9.7 Staff may occasionally commit acts of misconduct, which are against the law and need to be dealt with through the Criminal Justice System. Examples might be theft, assault or fraud. Whether these offences are committed in work time or outside of work, they will need to be dealt with if they have an impact upon the staff members ongoing employment with us, or if they breach the bond of mutual trust and confidence between employer and employee. In these circumstances it is appropriate to follow the South West Strategic Health Authoritys Disciplinary procedure in the usual way and carry out a full internal investigation. You should contact the Human Resources team as soon as you become aware of the criminal act, and they will provide further advice and support with the case. It may be necessary to liaise with the police throughout the investigation process, and also provide the police with any witness statements or other evidence which you may gather. You are legally obliged to provide this evidence if requested. It is not necessary to await the outcome of any criminal process or prosecution before convening a disciplinary Hearing. Providing that a procedurally fair and thorough disciplinary process has been carried out, any sanction, which might be given, will stand, regardless of the later outcome of the court case.

9.8

9.9

9.10

9.11

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Managers should be aware of the likely public interest in such cases and also the negative publicity that might result. You should therefore inform the Director of Communications and Corporate Services Department immediately if you think the South West Strategic Health Authority is in anyway at risk in terms of press interest in your case. Again, advice and support are available through the Human Resources team. Counter Fraud Service

9.13

The NHS has access to a Counter Fraud Service who are able to provide expert advice and support with cases of suspected fraud. They are able to undertake investigations on behalf of the South West Strategic Health Authority and will provide managers with their evidence and conclusions, in order that a Disciplinary Hearing can be arranged. You should contact the Human Resources team in such cases who will advise how and whether to contact Counter Fraud. In accordance with the Secretary of State Directions only an accredited Local Counter Fraud Specialist (LCFS) should conduct investigations into matters relating to fraud or corruption. Incidents of fraud should be reported by the Human Resources team to the LCFs or the National Fraud and Corruption Reporting Line (0800 028 40 60) without delay. Where there is evidence of fraud or an allegation of fraud is made, against an employee, the procedures detailed in the Fraud Response Plan will be followed. Such cases are likely to involve a criminal investigation being conducted by the LFCS and managers are reminded that close liaison with the LCFS will be necessary to avoid taking action in isolation that could jeopardise the LCFS investigation. The Fraud Response Plan and contact details for the LCFS can be found on the Authoritys intranet site. Non attendance at the Disciplinary Hearing

9.14

9.15

In the event of a resignation being tendered, it is the practice of South West Strategic Health Authority to proceed with, and conclude any disciplinary action where the allegation could have resulted in dismissal for example an allegation of potential gross misconduct. This will apply even in cases where the individual is no longer an employee of the organisation, as a disciplinary hearing may proceed in their absence.

10.
10.1

Arranging the Disciplinary Hearing

To ensure the smooth running and effectiveness of the Disciplinary Hearing, the Disciplining Manager will need to make arrangements for the Hearing. They will need to: confirm that a confidential note taker will be available, if possible; book a suitable room, where privacy and confidentiality can be maintained;

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it may be helpful to book two further smaller rooms to enable the separate parties to pre-meet, or to withdraw to in cases of adjournment; invite the staff member to the meeting, ensuring that they give them at least seven days notice, using letter DIS8 and give them copies of the Management Statement of Case (Investigation Report); inform witnesses of dates and times they will be required at the Hearing; if the staff member wishes to be represented by their Trade Union, ensure that a copy of the letter is sent to the Trade Union representative. It may be helpful to liaise with the Trade Union representative when setting up the Hearing, to ensure their availability.

10.2

The letter will include the details of the meeting (date, time, place, who will present and in what capacity), and explain the right to be accompanied. It will need to include clear and specific details of what the allegations to be considered are. It is important that the Management Statement of Case (Investigation Report) is provided in order to allow the staff member a fair and reasonable opportunity to prepare their case in advance. The staff member will be requested to send any written information in support of their case to the Investigating Manager in advance of the Hearing. They should also confirm whether they intend to call any witnesses. If the allegation is of gross misconduct, the letter should confirm that, if proven, dismissal is a possible outcome. The staff member is allowed to postpone the meeting for up to five working days if they or their Trade Union representative or work colleague are unable to attend on the date originally set. The Disciplining Manager should not hear the case alone, and should be accompanied by another appropriate manager or a Human Resources representative. The Disciplining Manager must be accompanied by a member of the Human Resources team where the outcome could be a final written warning or dismissal. The Disciplining Manager may also seek advice from a professional advisor (who has not been involved in the proceedings) as appropriate. In cases of alleged gross misconduct, or where dismissal is a possible outcome, the Disciplining Manager must be a manager with authority to dismiss (such as a Director or Chief Executive).

10.3 10.4

10.5

10.6

11.
11.1

The Disciplinary Hearing

The purpose of the Hearing is to: ensure the staff member understands the concerns of the allegations;

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understands any reasons why the misconduct has occurred; to decide on what disciplinary action is appropriate and discuss this with the staff member.

The format of the Hearing is as follows: Stage one welcome the Disciplining Manager will introduce all present by name and job title, and explain why they are there (for example in an advisory capacity, to take notes or to accompany staff member); confirm the purpose of the Hearing, as mentioned in their letter dated (date), is to discuss (reason for disciplinary action); confirm that the staff member has received their letter and is aware of their right to be accompanied. If they are happy not to be represented, ensure that this is noted; if the Hearing has previously been postponed because of illness, confirm staff member is fit and well enough to proceed with the Hearing; explain that notes may be taken of the Hearing (possibly using a note taker). Interviews of the Hearing may exceptionally be recorded using audio equipment. At any stage of the disciplinary procedure, either party may request that the Hearing is recorded using audio equipment; explain the format the Hearing will take.

Stage two explain the Investigating Officer will firstly give clear and specific details of the alleged misconduct with dates/details as appropriate; the Investigating Officer will describe the nature of the evidence and how it was gathered. They will outline all evidence that has been gathered to support the allegation including any witness statements. They will call their witnesses, who may read their statements and answer any points of clarification; the Disciplining Manager, employee and their representative will have the right to question all witnesses and the investigating officer;

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the Investigating Officer may re-examine any witnesses. The witnesses should appear one at a time and should leave the room after they have given their evidence. Consideration will be given in advance by the investigating officer as to where the witnesses will wait until they are called, so that they do not meet the staff member being disciplined. It is helpful to arrange a separate room where witnesses may wait. Witnesses should be briefed in advance of the Hearing so that they understand what to expect. They should be reminded of the need to keep details of the Hearing confidential.

Stage three explore the Disciplining Manager should ask the staff member whether they are prepared to accept that they committed the act of misconduct. If the staff member is prepared to accept, find out the extent that they wish to admit to; the Disciplining Manager will invite the staff member to comment on the allegation and evidence, and provide an explanation of the alleged misconduct, or their failure to improve or factors that need to be taken into account; the staff member may also call witnesses at this point. Both the Disciplining Manager and the Investigating Officer have the right to question the witnesses. The staff member can also be re-examined at this point; both the Disciplining Manager and Investigating Officer will ask as many probing questions as they need to gain a full understanding of what happened and why; allow the staff member or their Trade Union representative or work colleague the opportunity to ask questions.

Stage four summary (before adjournment) the Investigating Officer will summarise the findings of their investigations and the staff member, supported by their Trade Union representative or work colleague, will also summarise their own response to the alleged misconduct; no new evidence shall be introduced at this stage; in the case of alleged gross or serious misconduct, the Disciplining Manager will ensure the staff member fully understands the serious view we take of such offences and give the staff member, supported by their Trade Union representative or work colleague, the opportunity to make any additional comments;

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the Disciplining Manager will let the staff member know there will be an adjournment, the reason for this (such as to carry out further investigations, or to consider their responses and make a decision) and how long this is likely to be. If further investigation is required, this may take several days.

Stage five adjournment 11.3 The Disciplining Manager should always adjourn the Hearing for at least a short time to consider the responses made by the staff member and to make their decision on what action will be appropriate. Normally the meeting will be reconvened the same day. They will also need to adjourn if the staff member presents new evidence before the summary has been made. In this case it is likely that the adjournment will need to be for several days to allow further investigation. The Disciplining Manager should make sure that they advise the staff member that the disciplinary meeting will be reconvened following the investigation, why this is necessary, and when this further meeting is likely to take place. An adjournment may also be necessary: 11.5 11.6 if the Disciplining Manager realises that the misconduct is either more or less serious than originally thought; if tempers become frayed; if anyone is upset or overly anxious; if a natural break is needed.

11.4

The staff member or their Trade Union representative or work colleague may also request an adjournment at any time during the meeting. During the adjournment, the Disciplining Manager, the Human Resources representatives or other manager on the panel will: consider the facts and responses made by the staff member; consider any mitigating circumstances; carry out further investigations if required; decide upon whether or not they genuinely have a reasonable belief that staff member has committed the alleged act(s) of misconduct, based on the evidence presented, and any action to be taken. (see following section) Ensure the action is appropriate, taking into consideration : how serious is the offence?

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were there any mitigating circumstances which would excuse the misconduct or justify a lesser penalty? (some offences may be so serious that mitigating factors can not excuse them) has there been previous disciplinary action, including informal action? what impact did the misconduct have on other staff, or customers and the South West Strategic Health Authority? was the staff member in a position to comply with the rules or procedure, for example, had they been fully trained? Were they aware of the rules? consider the penalties, which have applied for similar offences in the past; if dismissal is a possible outcome, are there other options such as demotion, which would be appropriate to consider? The decision will depend on the seriousness of the misconduct and the mitigating circumstances; remember if in doubt, always take advice!

Making a decision 11.7 To find against the staff member there would need to be a reasonable belief that they have committed the act(s) of misconduct in question, and this belief must be based on a thorough investigation. Before coming to a decision, the Disciplinary Panel should check that: they have followed the disciplinary procedure; they have investigated all the evidence thoroughly, ensuring that it is robust and balanced; they have looked at all of the surrounding circumstances and taken into account any mitigating factors including any information offered by the staff member prior to or during the disciplinary meeting (for example personal issues, previous record, ill health.) their decision is reasonable, based fully on the objective evidence and that this evidence is sufficient to support that belief (in other words belief must not be based on intuition); their decision is completely impartial and has not been influenced in any way by personal knowledge of the staff member, or by any factors such as gender, race, age or undue pressures from other managers as examples;

11.8

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the disciplinary penalty is appropriate to the act of misconduct and is consistent with similar cases, whilst allowing for the individual circumstances. It is unlikely to be reasonable to dismiss a staff member for a first offence unless the offence is one of gross misconduct. They must be sure of the seriousness of the issue and whether it is classified as misconduct or gross misconduct. If they are unsure, discuss with your Human Resources representative.

An overview of the formal disciplinary sanctions Written Warning A written warning is usually given in cases of less serious misconduct, where no current warning is on file. A written warning will be placed on the staff members personnel file for twelve months. A final written warning would normally be given if there is: an accumulation of minor offences; a failure to respond to a previous written warning; (required standards of improvement not met for example) a repeat of an act of misconduct during the life of a previous written warning; a more serious offence.

Final Written Warning

This warning will normally stay in place for a period of twenty four months. The Disciplining Manager must be a Director or Associate Director. Dismissal Dismissal may occur if: the staff member commits an act of gross misconduct; the required improvements have not been made following a final written warning; there has been a further act of misconduct during the life of a final written warning.

Dismissal may be with notice or summary dismissal for gross misconduct. The Disciplining Manager must be a Director or Chief Executive (a manager with authority to dismiss)

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Stage six reconvene and close 11.9 Ideally the Hearing should be reconvened on the same day. However, this may not be possible in all cases, for example if new evidence is provided at the meeting. The Investigating Officer should be present at the reconvened Hearing.

11.10 When the Disciplining Manager reconvenes the Hearing: recap on what has already been discussed; advise the staff member whether or not you believe that they have committed the alleged misconduct, and ensure that they understand the reasons for your decision.

11.11 If the Disciplinary Panel does not believe that they committed the alleged misconduct: explain what evidence has been taken into account (including any mitigating circumstances); explain what the disciplinary penalty will be and in the case of a written warning, how long this will remain on their records; ensure that the staff member understands any standards of conduct they need to meet in the future and the details of any review period; explain the right of appeal; ensure the staff member understands the consequences of any future misconduct; explain that the staff member will receive a letter confirming this.

11.12 If the decision is to terminate employment for gross misconduct, the panel will need to decide whether dismissal will be summary dismissal or dismissal with notice. If summary dismissal is appropriate, they will need to advise the staff member that they are summarily dismissed, and are not entitled to pay in lieu of notice. Confirm that arrangements will be made for salary and any accrued holiday entitlement up to and including todays date, to be paid as soon as possible. Follow up actions 11.13 The Disciplining Manager will need to write to the staff member and their Trade Union representative or work colleague within seven days of the hearing to confirm the outcome of the disciplinary hearing as follows: written warning letter DIS9; confirmation that action is not appropriate letter DIS10;

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dismissal with notice or pay in lieu, or summary dismissal letter DIS11; other sanction, such as demotion letter DIS13.

11.14 If you are terminating employment, ensure that you liaise with the Human Resources team in order that the termination can be processed. You will also need to arrange for the return of any company property if this has not already been done. Disciplinary case files 11.15 It is important to ensure that every part of the process you have undertaken is fully documented, and that all the papers are sent for filing to the Human Resources team where they will be held in accordance with the Data Protection Act. You should place the papers in a sealed plain envelope clearly marked Confidential and send it securely to the Human Resources team. 11.16 You can keep local files on individuals yourself for a maximum of twelve months, as long as they are current, relevant and secure.

12.
12.1

The appeal process

If the staff member is not happy with the outcome of the disciplinary hearing, they have the right to appeal within fourteen calendar days to the Associate Director of Human Resources who will ensure that an appropriate panel is convened. One appeal is allowed at each stage of the formal procedure. The appeal should clearly state the basis on which it is made. The staff member should put their appeal in writing, and if necessary be provided with the necessary support to do so. The process is as follows: Situation Action Standard Date Letter Completed

Step

Appeal received preparing for Hearing 1. Appeal received Check that the appeal is being dealt with by a manager senior to the manager who imposed the disciplinary sanction (or in the case of a Director, by a panel consisting of 3 Directors, Non Executive Directors or Chief Executive), and must not have been involved (even indirectly) in the original decision. In the case of a dismissal, the appeal must be heard by a panel including 3 Directors, Non Executive Directors or the Chief Executive, accompanied by a Human

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Step

Situation

Action Resources representative. Check the appeal has been made on acceptable grounds. These are: the procedure has not been correctly applied; the level of sanction is inappropriate (too severe); the staff member now has additional relevant evidence not previously taken into account.

Standard Date Letter Completed

2.

Arrange Hearing to be held within six weeks of receipt of appeal and confirm that note taker and a Human Resources representative are available. Invite the staff member to the meeting. They may be accompanied by a Trade Union representative or work colleague not acting in a legal capacity. Employee postpones Hearing The meeting may be postponed by up to five days to enable their Trade Union representative or work colleague (not acting in a legal capacity) to attend. Appeal manager to rearrange meeting and re-advise date. DIS15

3.

4.

5.

Once meeting date agreed

Appeal Manager to prepare for the Hearing by reviewing all available evidence. The Manager presenting the management case should send all evidence and Management Statement of Case to the Appeal Manager and the staff member well in advance of the Appeal Hearing. The staff member should also send their written grounds for appeal to the panel in advance of the Hearing.

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Step

Situation

Action

Standard Date Letter Completed

Hearing 6. At Hearing Hold Hearing, allowing both sides to present their case and ask/answer questions, taking full notes and decide whether to uphold the original decision, or to agree the appeal. Reconvene Hearing and advise staff member verbally of decision. Following Hearing 7. Appeal agreed (original decision revoked) If Appeal Manager decides that the original decision was incorrect, they may decide to revoke this decision. In the case of dismissal, this will mean the staff member is reinstated with continuous service. Confirm decision to the staff member. DIS16

8.

Sanction reduced

If Appeal Manager decides that the DIS17 original penalty was too severe, they may decide to give a lesser penalty, for example a final written warning instead of a dismissal. Confirm decision to the staff member. If Appeal Manager decides that the original decision was correct, advise the staff member accordingly. If the appeal was against dismissal, dismissal date remains unchanged. Appeal managers decision will be final.

9.

Sanction upheld

10.

Final decision

Resignation during disciplinary proceedings 12.2 If a staff member wants to resign during the disciplinary process, or immediately afterwards, you must contact the Human Resources team for guidance, and extreme care must be taken. Sometimes staff may tender a resignation subject to certain conditions and it is vital that you contact the Human Resources team if this is the case.

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12.3 In the event of a resignation being tendered, South West Strategic Health Authority will proceed with and conclude any disciplinary action where the allegation could have resulted in dismissal, for example an allegation of potential gross misconduct. This will apply even in cases where the individual is no longer an employee of the organisation, as a disciplinary hearing may proceed in their absence. 12.4 In exceptional circumstances, if the resignation is accepted including all conditions, letter DIS14 should be used following review and agreement by a Human Resources Manager. If any or all conditions made as part of a resignation are unacceptable to the South West Strategic Health Authority you must contact the Human Resources team for guidance. Appeals regarding the disciplinary process 12.5 If a staff member has a grievance that the process has been applied outside the agreed disciplinary procedure this can be raised separately to any appeal against a disciplinary sanction applied.

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Annex 1 Checklist for any stage of formal disciplinary procedure

Step Situation Action Standard Date Letter Completed

Before Hearing 1. Incident occurs or information becomes available which indicates that misconduct may have occurred Investigating Officer investigates allegations and recommends whether disciplinary hearing is appropriate. The Investigating Officer will need to: collect and analyse statements from any witnesses, or other evidence; examine personnel file to check for any previous occurrences; (such as unexpired warnings) consider any possible mitigating circumstances that might be put forward; to proceed they must have a reasonable belief that the staff member may have committed the misconduct for example it appears more likely than not that they did so, and have reasonable grounds to support that belief at this stage.

2.

Unless allegations clearly unfounded Attendees confirmed

Recommend Hearing and confirm that Disciplining Manager, Human Resources, Trade Union representative or work colleague and note taker will hear the case. Investigating Officer prepares all relevant documentation, which they will rely on at the meeting. Prepares script for Hearing. Disciplining Manager advises date of meeting to staff member and Trade Union representative, giving at least seven days notice and encloses copies of all relevant documentation with letter. Go to step 4/5/6 as appropriate. DIS4

3.

111

Step 4.

Situation Staff member postpones Hearing

Action The staff member may postpone the Hearing for up to five working days in order to allow their Trade Union representative or work colleague to attend. Rearrange Hearing and re-advise date. Go to step 6.

Standard Date Letter Completed

5.

Staff member refuses to attend

Investigate why the staff member is refusing to attend. If there is no reasonable explanation, ensure that they understand that the Hearing will proceed in their absence. If the staff member cannot attend due to illness, Hearing should be rearranged for an appropriate date. If illness is likely to be long term, consult with Human Resources team for advice.

6.

Once Disciplining Manager holds Hearing, Hearing date taking full notes and verbally advises agreed action to be taken.

After Hearing 7. Hearing has been held Decision made to take one of the following actions: Written warning agreed as appropriate action go to step 8; Final written warning agreed as appropriate action go to step 9; Other action to be taken go to step 10; No action necessary go to step 11; Dismiss employee go to step 12.

112

Step 8.

Situation If written warning agreed as appropriate action If final written warning agreed as appropriate

Action Issue written warning specifying period for monitoring (twelve months).Ensure copy of warning is included on personnel file. Go to step 14.

Standard Date Letter Completed DIS9

9.

Issue final written warning, including time scale for monitoring (twenty four months). Ensure copy of warning is included on personnel file. Go to step 14.

DIS9

10.

If other action agreed

Issue letter advising of action (such as demotion). For next step seek advice from the Human Resources team.

DIS13

11.

If no action appropriate If dismissal appropriate (usually for gross misconduct) If appeal received

Issue letter to staff member to confirm that procedure is finished and no further action will be taken. Issue letter of dismissal or summary dismissal (for gross misconduct). Go to step 14

DIS12

12.

DIS11

13.

See appeals procedure. Go to step 14 is appeal unsuccessful.

14.

If no appeal Where a written warning has been or issued, monitor for agreed period. At unsuccessful end of period go to step 15. appeal In case of dismissal, ensure all copies of correspondence, the script of the Hearing, notes made and copy of completed checklist are sent to the Human Resources team for filing on the staff members personnel file. No further action necessary.

113

Step 15.

Situation Has misconduct recurred within the period of the warning?

Action No: Advise staff member that the procedure has finished and warning has expired. Ensure all copies of correspondence, the script of the Hearing, any notes and copy of completed checklist are sent for filing to the Human Resources team where they will be held on the employees personnel file. The expired warning and correspondence will be held in a section of the employees file, which has limited access to ensure compliance with the data protection principles. Yes: Disciplinary procedure will restart at next stage. Start a new checklist.

Standard Date Letter Completed

114

Annex 2 Disciplinary authority

Note: the appropriate Officer will be determined in each case by the size, and organisational structure of the department or section in question. Disciplining Manager in case of potential: Dismissal Director or Chief Executive Issue of first and final written warnings Associate Director or Director Appeal Associate Director or Director not previously involved Appeal against a Dismissal Panel of 3 Directors, Non Executive Directors or Chief Executive not previously involved Appeals should be submitted to the Associate Director of Human Resources who will arrange for an appropriate Panel to hear the Appeal. Suspension Authority to suspend may be delegated to a Manager by a Director, Associate Director or their Deputy. Investigating Manager As appointed by the Disciplining Manager.

In the case of the Chief Executive or other Executive Directors, this document needs to be read in conjunction with the Terms of Reference for the Remuneration and Terms of Service Committee.

115

116

Annex 3 Summary of letters

All of these letters can be found on the intranet site Letter DIS1 DIS2 DIS3 DIS4 DIS5 DIS6 Name Confirmation of outcome of informal meeting Letter of Confirmation of Suspension Notify Investigatory Officer Appointed Invite to Investigatory Interview Letter to Witness Confirmation of Outcome of Investigatory Interview No case to answer Confirmation of Outcome of Investigatory Interview Counselling Invite to formal Disciplinary Hearing Formal Disciplinary Outcome Written Warning Formal Disciplinary Outcome No Case to Answer Formal Disciplinary Outcome Dismissal Confirmation of Standards following review Offer of demotion Acceptance of resignation Acknowledgement of appeal and invite to Hearing Decision withdrawn Decision altered Decision upheld When to use Following an informal meeting to confirm actions/outcome When suspending employee such as suspected of gross misconduct To conform the name of the Investigatory Officer appointed Confirm date of investigatory interview Issue following interview with witness Issue following the investigatory interview Issue following the investigatory interview Use at stages 1, 2 and 3 Written or Final Written Warning No case to answer following the Disciplinary Hearing Dismissal for Misconduct Following review period, to confirm no further action appropriate To confirm demotion When employee resigns during disciplinary procedure When appeal received Where original decision overturned Lesser sanction imposed following appeal Appeal rejected

DIS7

DIS8 DIS9 DIS10 DIS11 DIS12 DIS13 DIS14 DIS15 DIS16 DIS17 DIS18

117

118

Appendix 5

Emergency Response Policy

This appendix sets out the revised Emergency Response Policy or the South West Strategic Health Authority.

South West Strategic Health Authority Emergency Response Policy

1.
1.1

Introduction
The South West Strategic Health Authority is committed to ensuring that the organisation is prepared to manage services and the workforce effectively during an emergency situation, for example an outbreak of pandemic influenza, severe weather or mass causality incident. During emergency situations, staff sickness and workforce issues will affect the NHS South West and the South West Strategic Health Authority as an employer. Employees may be directly or indirectly affected by an emergency impacting their ability to attend work. An incident or emergency affecting staff may impact all Directorates resulting in a potential need to work differently and with different people. Some staff may be redeployed into different roles and there may be an increase in the use of volunteers and non-NHS sources for temporary cover. It is therefore necessary to have a clear strategy to ensure continuity of business. In developing this strategy the South West Strategic Health Authority has taken account of the following guidance published by the Department of Health: responding to Pandemic Influenza - the ethical framework for policy and planning; pandemic Influenza - Workforce guidance for NHS developed on a partnership basis with the NHS Trade Unions and the Department of Health/South West Strategic Health Authority Employers; South West Strategic Health Authority Major Incident Plan South West Strategic Health Authority Business Continuity Plan.

1.2

1.3

1.4

2.
2.1

Strategy outcomes
The intended outcomes of this strategy are as follows: to ensure that the South West Strategic Health Authority has an appropriate Human Resource policy to support the requirements on an emergency response. to provide an appropriate policy to support the Business Continuity plan in maintaining the delivery of essential services during an emergency situation; to ensure that the staff of South West Strategic Health Authority are supported during an emergency situation.

119

3.
3.1

Principles
This Emergency Response policy does not override current workforce policies which already exist. These policies will continue to apply as normal but the Emergency Response policy sets out specific arrangements which will be used for the duration of an emergency situation. The Emergency Response policy of the South West Strategic Health Authority is developed in the context of a duty to provide services to the population of NHS South West, maintaining the continuity of the core business function, as well as maintaining the health and safety of staff. The potential gravity of an emergency situation cannot be overemphasised. In all probability there will be a time when normal working arrangements are insufficient. General experience has shown that staff respond well whenever there is a major incident or set of unusual circumstances to deal with. In order to respond to the needs of the local population it will be essential that all staff work together for the common good. Only by working together will the South West Strategic Health Authority be able to work through the problems which will inevitably face the organisation and the NHS South West. The South West Strategic Health Authority will encourage a culture of reasonableness and negotiation, coupled with an expectation that staff will act responsibly. Wherever possible, volunteers will be sought from the existing workforce, but where this proves to be inadequate, managers may need to be more directive, but this will be for a time-limited period. The South West Strategic Health Authority will take all reasonable steps to protect staff health and safety, provide clear communication on risks and provide support throughout the period of an emergency situation. In developing the detailed actions to implement this strategy, the South West Strategic Health Authority is committed to involving staff and their representatives.

3.2

3.3

3.4

3.5

3.6

4.

Preparing for an emergency situation

Mapping the workforce

4.1 4.2

In order to tackle an emergency situation it will be necessary to take pragmatic decisions to help ensure business continuity. The impact of an emergency situation will mean an increased workload coupled with a reduction in the staff available for work. It will therefore be essential that the capacity of the workforce of the South West Strategic Health Authority is increased by asking people to vary their normal pattern of work, increase their hours, or to work differently. There may also be a need to call on professionals from partner organisations or individuals who are not currently working to assist if existing staff are absent.

4.3

120

4.4

The standard contract of employment for the staff of the South West Strategic Health Authority includes a mobility clause which will provide for reasonable flexibility of staff between locations. It is likely that the South West Strategic Health Authority will need to invoke this contractual provision and will do so in line with the principles detailed in this policy. The following actions have been undertaken to develop a comprehensive information database to be accessed when the need arises. This data will be collected in accordance with the Data Protection Act and other NHS specific guidance, and will only be used for emergency planning purposes: details of staff arrangements for travelling to work have been collected to identify risks of non-attendance due to transport or other factors, and to inform redeployment options; collecting up to date staff contact details, especially mobile telephone and other emergency contacts which will be reviewed accordingly; a process has been established to enable details of staff dependants and caring responsibilities to be gathered as these staff may experience more difficulties in attending for work due to illness or school closures for example which will provide a valuable planning tool.

4.5

Developing a register of staff resources Staff Pool 4.6 A pool of staff who have retired or left the organisation has been developed within the past two years and can be called upon to provide additional resources. Liaison with partners across the health community, including acute and primary care trusts and independent sector providers, local authorities and independent contractors, will ensure that they have assessed the impact on their own staff and are developing plans to maintain essential services. In addition we will seek to identify how we might work together to increase capacity. A review of training and development needs, putting in place skills refresher programmes for those staff who have moved out of clinical roles or are no longer utilising key skills, and development packages as appropriate, to develop capacity not solely for our own workforce but also the NHS South West region will be undertaken. Supporting the Major Incident Room 4.9 In the event of a Major Incident that requires regional coordination of the Health service response, due to the impact of the emergency, the South West Strategic Health Authority will activate its Major Incident Room. This facility will provide strategic command and control for the NHS South West.

4.7

4.8

121

4.10

The operation of the Major Incident Room is over seen by the Resilience Team but relies on assistance from staff from all Directorates to perform key roles. Staffing the Major Incident Room must meet the demands of the incident which may require evening and weekend working or even 24 hour operability. Volunteers from all Directorates who have received Major Incident Room training will be temporarily released from their posts to assists the incident response in agreement with their line manager or as appropriate. The Resilience Team will deliver training to volunteers in both Associate Director and support roles as appropriate. Staff volunteering to undergo training for the Major Incident Room must do so in agreement with their line manager or as appropriate. On-call payments

4.11

4.12

4.13

It may be necessary to add staff to the on-call rota as part of the response to the emergency situation. On-call payments are made in line with section 2.40 of the NHS Terms and Conditions of Service Handbook. Dependent on the timeframe of the emergency situation, these payments will be pro rata and paid as part of their monthly salary. Please note that a local agreement for on-call frequency has been made for on-call frequencies less than 1 in 12 which equates to 1.5% of the basic pay. Review of Service Level Agreements

4.14

Where staff services are provided by other organisations, such as Occupational Health, the South West Strategic Health Authority has reviewed service level agreements to ensure that contingency plans are in place for maintaining essential services. Communication arrangements

4.15

Communication is seen to be a key factor in providing information and support to staff during an emergency situation and the Communication strategy will ensure that arrangements are in place. The South West Strategic Health Authority recognises that there is likely to be a great deal of concern among staff about the potential risks and evolving impact of an emergency and is therefore committed to robust communication with staff. Working with the Resilience Team, the Communications Team will ensure that staff are briefed and regularly updated on the incident as appropriate. Where possible, managers will maintain face to face communication in order to respond to staff concerns and sustain morale.

4.16

4.17

122

Assessing the impact on staff 4.18 An emergency situation may affect staff in the following ways: staff may be directly impacted by the incident or emergency and therefore unable to attend work; staff may be indirectly affected due to the impact on family; stress levels may be high due to the pressure the response, impact on work load or working in an unfamiliar role.

During an emergency situation Managing absence 4.19 As the strategic lead for the South West, the expectation is that staff will make every effort to attend their workplace and work flexibly to support their colleagues across the South West. During an emergency situation, normal reporting arrangements will apply where possible and sickness records will be maintained to monitor absence. If an employee feels that it is not reasonably practical to get to work, or it is unsafe to do so, or that it would take so long as to be pointless, they must telephone their manager or nominated deputy and explain the situation by 9.30am or as soon as possible after this time. Wherever possible, the manager should find work that the employee is able to do from a remote location including their home. If the manager feels that the employee has not made a reasonable attempt to attend, the employee will be required to take annual leave or to make up the lost hours. In the event that line managers are themselves absent, or at the discretion of Management, alternative arrangements will be established. The South West Strategic Health Authority aims to work with staff to allay any fears and protect their health and safety and that of their families. However, professional codes of conduct and contracts of employment oblige staff to attend for work and discharge their responsibilities, and any unreasonable refusal to attend could result in non-payment and appropriate disciplinary measures being taken following the emergency situation.

4.20 4.21

4.22 4.23

4.24 4.25

123

Working flexibly 4.26 In relation to South West Strategic Health Authority Business Continuity Plan there are roles and functions that have been identified as critical and noncritical. Therefore some non-critical functions could cease for a period of time in the event of an emergency. This will release staff who can then be deployed to work in different roles. South West Strategic Health Authority reserves the right to redeploy staff as the need arises. This could be to a different role, function, or locality and in some circumstances may involve transferring staff to other NHS organisations, such as acute hospitals. Staff may also be requested to work different hours from those stated in their contract of employment. Requests to make these alterations to work and working patterns should not be unreasonably refused, and will be for the duration of the emergency situation as required. There will be no change to the contract of employment and normal working hours will resume at the end of the emergency. Staff will not be expected to undertake roles for which they are not competent but there is an expectation that they will respond positively by rapidly learning new (non professional) skills that they will require. In order to cover essential services staff may be asked to work more hours than normal. Staff up to and including Agenda for Change Band 7 will be paid for the extra hours worked on their current grade regardless of the task undertaken. For staff on Agenda for Change Band 8 or above, time off in lieu and over-time arrangements will be reviewed as appropriate during an emergency situation. Providing more services out of normal working hours is likely to be necessary in order to effectively respond to the demands of the emergency. Any member of staff may therefore be asked to consider working during the evening/night and at weekends to ensure adequate cover. In some instances, this change in working pattern may be mutually beneficial if staff are also trying to juggle carer/domestic responsibilities. In terms of remuneration, staff will be paid at their normal rates of pay regardless of the work they are doing. For example, a Finance manager working on a helpline will continue to receive their normal salary. In circumstances where a person is working above their pay band for more than 65% of work time and has completed twenty eight days or more working at that level, consideration will be given as to whether they should be re-banded on a temporary basis. With regard to indemnity, people undertaking different roles during the emergency will be considered to be working under the direction of their employer and their actions will be covered. It is important, however, that people feel able to raise any questions or concerns they may have in fulfilling their new role and seek advice accordingly.

4.27

4.28

4.29

4.30

4.31

124

Management arrangements 4.32 The operational management arrangements will remain in force during the emergency response however a protracted incident would necessitate back up arrangements. Contingency plans have been developed to provide cover in the event of sickness or absence of managers and team leaders which will also be applicable in protracted incidents. Annual leave 4.33 It may be necessary for the duration of the emergency response to refuse requests for annual leave or even cancel leave (costs where incurred, may be compensated on a case by base basis). If the incident continues for a more than twelve weeks, or is followed by subsequent activity, thus preventing staff from taking outstanding leave in accordance with normal arrangements, South West Strategic Health Authority will increase the annual leave carry over entitlement into the next annual leave year and, in exceptional circumstances, consider purchasing leave entitlement where staff have been unable to take it. Staff who do not normally work on bank holidays may be requested to do so. In this event, payments will be in accordance with NHS Terms and Conditions of Service Handbook. During an emergency the operation of the employment policies of the South West Strategic Health Authority will need to be reviewed in the light of pressure on the service. Any changes to employment policies will be discussed in partnership with staff representatives. It is anticipated that during the emergency response, a number of nonstatutory functions will need to be put on hold, such as undertaking Appraisals. Similarly, Knowledge and Skills Framework reviews, training and study leave may need to be postponed. It will be also be impractical to undertake job evaluation and hold re-banding panels, as these will therefore be postponed. All non-essential project groups and meetings will be suspended as appropriate during the response to an emergency. Terms and Conditions of Employment 4.38 4.39 Normal terms and conditions of employment will apply with the exception of alterations to place of work and working hours as indicated above. The way services need to be delivered and the fact that staff may be undertaking new roles will mean that many staff may be working away from their usual base and working with people they may not normally come into contact with. Increased travel costs incurred by individuals travelling to fulfil their duties will be in line with their terms and conditions of employment.

4.34

4.35

4.36

4.37

125

Working Time Regulations 4.40 The Working Time Regulations will remain in force but its application will need to be reviewed. In exceptional circumstances, which are beyond the control of the South West Strategic Health Authority, some aspects of the Regulations may not apply (such as night work limits and rest breaks). South West Strategic Health Authority recognises the importance of the Regulations for the health and safety of staff and to maintain standards. However, there may be a need to review the Regulations to allow for greater flexibility. The South West Strategic Health Authority will involve staff representatives in this review process. Health and safety 4.41 During an emergency situation the South West Strategic Health Authority will continue to take all reasonable steps to safeguard the health and safety of staff. The South West Strategic Health Authority will take all reasonable steps to implement national guidance published by the Health Protection Agency, the Health and Safety Executive and the Criminal Records Bureau (CRB). Before redeploying staff with clinical skills to a clinical environment the South West Strategic Health Authority will ask Occupational Health to review the individuals fitness to work in a patient environment. This will ensure that no vulnerable member of staff is placed at avoidable risk. Staff will be provided with guidance on the risks of infection and steps to take to avoid contracting the disease. Infection control procedures will also be reviewed to ensure that all measures are in place to minimise the spread of infection. Disciplinary and grievance matters 4.45 The Disciplinary policy and procedure and Grievance policy and procedure of the South West Strategic Health Authority will continue to apply during an emergency situation. However, in applying these procedures due account will be taken of the pressures under which all staff and managers will be working. Where appropriate staff will continue to adhere to their professional codes of conduct but will also be guided by Responding to pandemic influenza: The ethical framework for policy and planning (DH 2007) on the decisions they take during an outbreak of pandemic influenza. The framework is available at: http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPo licyAndGuidance/DH_080751 The South West Strategic Health Authority will ensure there is rapid learning from untoward incidents which may arise and will adopt a no-blame approach where staff have acted in good faith within their skill and competence. Any, reckless or unreasonable behaviour will be dealt with in accordance with employment policies of the South West Strategic Health Authority.

4.42

4.43

4.44

4.46

126

4.47

Any non-urgent grievance matters, such as those that do not affect business continuity or service provision, will be postponed until after the outbreak of pandemic influenza or emergency situation. Staff support

4.48

During the response to an emergency, staff will be under significant pressure caused by a high workload and potentially concerns over the direct impact of the incident on themselves. South West Strategic Health Authority is liaising with Occupational Health to ensure that where possible their support and counselling services are enhanced during an emergency. Where staff are required to work additional hours, the South West Strategic Health Authority will consider the provision of overnight accommodation as necessary. Where public transport systems fail or staff who do not drive are asked to work in alternative locations, the South West Strategic Health Authority will endeavour to arrange transport. After the emergency situation

4.49

4.50

4.51

Post incident, particularly a protracted emergency, it may take considerable time for NHS services to return to normal. The emergency response it will be essential to allow staff sufficient time and space to recover. Once the emergency has been officially declared over staff who have been working extended hours will be given compensatory rest, annual leave requests will be reviewed and any Working Time Regulation waivers will be rescinded. Any outstanding disciplinary or grievance matters will be processed and other employment policies which were put on hold will be resumed. Sickness levels are likely to remain high and staff support mechanisms, including counselling will be maintained. In addition, arrangements will be made for bereavement counselling and dealing with post-traumatic stress. In managing performance, managers will be expected to take into account the extraordinary pressures experienced by staff during an outbreak of pandemic influenza or emergency situation and the recovery time required. The post incident review/debrief should take place to enable learning to be identified and implemented, including capturing the impact on staff and working practices adapted. Conclusion

4.52

4.53 4.54

4.55

4.56

This Emergency Response policy supports the Pandemic Influenza Plan and Business Continuity Plan of the South West Strategic Health Authority and summarises the key priorities for the South West Strategic Health Authority to manage its workforce effectively during the response to an emergency.

127

5.
5.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently during the response to an emergency; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in managing the emergency response.

5.2

An impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy Approved: Review By:

128

Appendix 6

Establishment Control Policy

This appendix sets out the revised Establishment Control Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Establishment Control Policy 1.

1.1

Introduction
The purpose of the document is to ensure a consistent and equitable process for establishment control and help to ensure that recurring resources are available to fund permanent changes in establishment. The document sets out the procedures for: the maintenance of the funded establishment for the South West Strategic Health Authority; the processes of agreeing Directorate establishments and making changes to the establishment.

1.2

2.
2.1

Policy statement
In line with the established budget setting principles the South West Strategic Health Authority is committed to an establishment control mechanism which requires formal approval of changes to the funded establishment prior to implementation. This process will incorporate all posts within the South West Strategic Health Authority. The process will incorporate a robust workforce planning process, reflecting proposed changes in staffing levels and or skill, and will be linked to the Standing Orders and Standing Financial Instructions.

2.2 2.3

3.
3.1

Definition of budgeted establishment

A budgeted establishment is the agreed recurrently funded level of staffing for a Directorate/area. This may be changed as a result of: funded developments whether permanent, fixed term, temporary, or secondment; agreed transfers between budgets; permanent or temporary changes in skill mix and grade; successful Agenda for Change grading appeal; change of job description to an existing post; retraction of service; new pressures or work programmes.

129

4.
4.1

The South West Strategic Health Authority Establishment

The overall establishment figure is confirmed annually, as part of the annual review to the management arrangements of the South West Strategic Health Authority. Establishment figures confirm the number of staff employed by the South West Strategic Health Authority in the form of whole time equivalents and the salary structure. The establishment figures are agreed to the organisational structure of the South West Strategic Health Authority. The establishment cannot be changed without adherence to the following process outlined in this document and with the approval of the Chief Executive, Director of Finance and Performance and Associate Director of Human Resources. The Director responsible for each Directorate will agree with the Chief Executive an annual plan (in a structure chart format) which shows: the reporting structure of the Directorate; each post by unique post reference to ensure compliance with electronic staff records; each post by job title with job holders name as appropriate; each post the whole time equivalent for each post (with the whole time equivalent shown in brackets where this is different to the established post); each post the agreed grade and actual salary for the current post holder.

4.2

4.3 4.4

4.5

4.6

The responsible Director should ensure that all posts: be described in the standard Job Description format as provided the Human Resources; be supported by a person specification detailing the level of qualifications, experience, skills and knowledge that the post holder must possess as essential or desirable requirements; have the agenda for change banding confirmed via the Agenda For Change job evaluation process. employment recruitment will only be permitted against agreed establishment.

130

4.7

Restructuring within a funded establishment will need to be approved by the Chief Executive and Director of Finance and Performance to include sign off of costed proposals and the banding of new posts under the Agenda for Change process. Posts must be disestablished in the event of a restructuring that introduces new posts.

4.8

5.
5.1

Responsibilities
The application and monitoring of this procedure is the ultimate responsibility of the Chief Executive, but it is executed by the Director of Finance and Performance in conjunction with the Associate Director of Human Resources. All Directors of the South West Strategic Health Authority with responsibility for the recruitment and management of staff must adhere to this procedure. The Assistant Director of Finance will be responsible for ensuring that the funded establishment is entered onto the Electronic Staff Record. The Assistant Director of Finance will be responsible for confirming funding is available within the appropriate budget. Human Resources will be responsible for confirming the correct banding of the post through the Agenda for Change matching process. Human Resources will be responsible for confirming that vacant posts are correctly detailed and verified against the registered employee records. All Directors are responsible for managing the numbers, hours, bandings and costs of staff set out in the agreed establishment for their directorate

5.2

5.3

5.4

5.5

5.6

5.7

6.
6.1

Changes to the establishment procedure

There are a number of reasons why an agreed establishment may need to be changed: changes to salary bandings arising from revised Job Descriptions and person specifications that will require a written briefing to explain the changes and the rationale behind this; changes to structure numbers (including hours if they are to increase) that will require a written briefing to explain the changes and the rationale behind this.

6.2

This policy is not to be considered a substitute for the necessary discussions which may need to take place at senior level with regard to any proposed changes. The policy therefore, is designed to ensure that agreed establishment changes are recorded and actioned accurately but does not guarantee approval.

131

6.3

On identifying the need for a change the relevant Director should ensure that the principles are agreed at an early stage before the completion and submission of the form. An agreed business case or rationale will need to be prepared to support any decisions in addition to the completion of the Establishment Change Form which can be found on the intranet. The Director responsible for the post will complete the relevant sections of the Establishment Change Form, attach a rationale which provides a business justification and financial implications of this proposed change, job description and person specification, sign and forward to the Assistant Director of Finance (Headquarters and Accounts), who will determine whether there is adequate funding to support the post for the period of employment or advise on the costing of any proposed changes. For new posts or existing posts with a revised Job Description the Assistant Director of Finance will pass the form to Human Resources, who will ensure the grade and contract type are appropriate. The Establishment Change Form will then be returned to the Assistant Director of Finance (Headquarters and Accounts) for checking funding details. The Establishment Change Form along with required attachments will then be passed to the Director of Finance and Performance and Director of Workforce Development for approval. If approved, the Establishment Change Form will be forwarded to the Chief Executive. The Chief Executive will provide final approval and sign off to the Establishment Change Form. If approved, the form will be passed to the corporate Assistant Director of Finance to set up the position onto the Electronic Staff Record., before being passed to Human Resources to commence the recruitment process.

6.4

6.5

6.6

6.7

132

Flow Chart depicting Establishment Control process A change in funded establishment budget is identified (see Sections 3 and 4)

Prior agreement in principle has been given by the Chief Executive and/or through the Senior Management Team meeting.

Yes

No

No further action

Director completes Establishment Change Form and attaches: rationale outlining the business justification, financial implications, and source of funding; job description and person specification. Establishment change form is submitted for authorisation to: Assistant Director of Finance Director of Finance Director of Workforce Development Chief Executive

Change in Establishment is authorised

Yes

No

Form is returned to Director who initiated process

Form is passed to: Finance to set up position on ESR; Human Resources to commence recruitment process.

133

134

Appendix 7

Family Friendly Policy

This appendix sets out the revised Family Friendly Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Family Friendly Policy 1.

1.1

Introduction
South West Strategic Health Authority is committed to promoting Equal Opportunities and the purpose of this policy is to promote flexible employment which will provide the framework for improving the working environment and encouraging diversity in the workforce. The South West Strategic Health Authority is committed to ensuring that all employees are supported and provided with necessary and timely information in respect of this Family Friendly policy. The Family Friendly policy addresses a number of areas where employees are provided and offered support: Maternity leave; Paternity leave (maternity support); Parental leave; Adoption / surrogacy leave; Career breaks; Special leave.

1.2

1.3

2.

Maternity leave
Introduction

2.1

This information has been designed to give guidance on the maternity leave and maternity pay entitlements within the South West Strategic Health Authority. Although this is a complex area, this policy should answer most questions, helping to make informed choices and to plan ahead for when the baby is due. Maternity leave and maternity pay entitlements are governed by NHS regulations as well as statutory legislation. Therefore, the information contained in this guide is specific to NHS employees. Please bear this in mind if offered advice by friends or relatives. Please contact the Human Resources team if further information is required.

2.2

135

Ante-natal care and official meetings in the adoption process 2.3 All employees are entitled to reasonable time off in order to attend ante-natal appointments and official meetings in the adoption process. If these appointments fall during working hours, time off shall be paid at the normal rate. Employees are expected, where possible, to attend work prior to, or return to work following these appointments or meetings. Employees should notify their line manager of the time of their ante-natal appointment and additional time off needed in respect of ante-natal care, for example Aqua natal or Parentcraft classes, must be arranged with the line manager of the employee, or another appropriate manager. Meeting with a member of the Human Resources team 2.6 Written notification of pregnancy is required prior to the end of the fifteenth week before the expected week of childbirth, (week twenty five of pregnancy) by the line manager. Employees are encouraged to contact Human Resources before this date, so that they may be fully informed of their entitlements and any risk assessments that should be carried out. An employee may commence maternity leave at any time between the eleventh week before the expected week of childbirth and the expected week of childbirth, provided the required twenty eight days notice is given. Should an employee subsequently wish to change the date on which they commence maternity leave, they should provide written notification to the Human Resources team at least twenty eight days prior to the date on which they intend to commence maternity leave or, if this is not possible, as soon as is reasonably practicable beforehand. Following the contact with a member of the Human Resources team, an employee will receive written confirmation of: entitlement to paid and/or unpaid maternity leave; expected return to work date, based on entitlement to paid and/or unpaid leave and the date on which the employee intends to commence maternity leave; any annual leave entitlement, which in agreement with line manager, may be taken prior to, or at the end of, maternity leave or carried forward to the next financial year, if appropriate; the requirement to provide twenty eight days notice of the date on which an employee intends to return to work, if this is before the expected return date.

2.4 2.5

2.7

2.8

2.9

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2.10

As well as a copy of this information remaining on file in the Human Resources team, copies will also be forwarded to Payroll and the line manager. Employees are required to forward the MAT B1 certificate, available from a general practitioner or midwife from week twenty one of the pregnancy, to the Human Resources team. Maternity pay cannot be processed without this certificate. Human Resources will also provide you with form ML1 and 2, which will confirm your intended return date. Prior to commencing maternity leave, employees are advised to discuss and agree with the line manager any voluntary arrangements for maintaining contact during their absence. This will include awareness of developments within the role and work place and measures to help facilitate the return to work. An employee will also be expected to advise their manager of any circumstances that may affect their intended date of return. Eligibility to maternity leave and pay Compulsory maternity leave

2.11

2.12

2.13

Employees are not permitted to work, including working from home, for the two week period commencing with the date of birth of their baby. The compulsory maternity leave period falls within the ordinary maternity leave period. Employees who wish to return to work prior to the end of their ordinary maternity leave period should discuss this option with their line manager and a member of the Human Resources team. Maternity leave

2.14

2.15 2.16

Employees are entitled to take fifty two weeks of maternity leave. The amount of maternity leave and pay entitlement depends on length of service prior to becoming pregnant and the intentions following maternity leave. Employees are not obliged to confirm at this stage their intentions regarding returning to work following maternity leave, although they will be asked to sign form ML 1 and 2 to indicate their intentions. However, without this indication, there is no way of providing guidance on entitlement to allow an employee to plan their time or finances during and following maternity leave. Employees will be asked for their intentions regarding returning to work or not returning to work, following maternity leave or whether they are undecided at this stage of pregnancy what their intentions are. This, combined with the length of continuous service with the NHS, will determine the amount of maternity leave and pay entitlement. Annex 1 provides an explanation of this entitlement. However, payment can vary depending on individuals circumstances.

2.17

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2.18

Entitlement to receive Statutory Maternity Pay is dependent upon National Insurance contributions and, if applicable, will be paid concurrently with the thirty nine weeks leave and/or pay that an employee receives from the organisation. Maternity allowance

2.19

Employees who do not pay National Insurance contributions, and do not, therefore, qualify for Statutory Maternity Pay can claim Maternity Allowance from the Department of Work and Pensions. The employee should get an SMP1 form from their employer. An employee may also qualify for a Sure Start Maternity Grant from the Department of Work and Pensions. Returning to work

2.20

By prior agreement with the South West Strategic Health Authority, this entitlement may be paid in a different way, for example in a fixed amount spread equally over the maternity leave period: twelve months continuous NHS service: an employee who indicates that they intend to return to work following maternity leave and who has at least twelve months continuous NHS service prior to the eleventh week before their expected week of childbirth, will be advised of the following entitlement: * fifty two weeks maternity leave, during which the employee will receive: full pay for the first eight weeks; half pay plus Statutory Maternity Pay for the next eighteen weeks (providing this does not exceed normal full pay); statutory Maternity Pay for the next thirteen weeks

at least twenty six weeks continuous NHS service: an employee who indicates that they intend to return to work following maternity leave and who has at least twenty six weeks continuous NHS service prior to the fifteenth week before their expected week of childbirth, will be advised of the following entitlement: * fifty two weeks maternity leave, during which the employee will receive: 90% of their normal full pay for the first six weeks; statutory Maternity Pay for the next thirty three weeks;

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less than twenty six weeks continuous NHS service: an employee who indicates that they intend to return to work following maternity leave and who has up to twenty six weeks continuous NHS service prior to the fifteenth week before their expected week of childbirth, will be advised of the following entitlement: * fifty two weeks unpaid leave;

irrespective of her entitlement to Statutory Maternity Pay and/or Maternity Allowance, the employee will have a statutory entitlement to fifty two weeks unpaid leave; employees entitled to the eight weeks full pay and eighteen weeks half pay in their maternity leave are required to return to work for a minimum period of three months. This can be different hours of work, a different post or potentially a different NHS employer; the South West Strategic Health Authority has the right to recover monies owed by employees who subsequently do not to return to work for a minimum of three months following their maternity leave.

Not returning to work 2.21 If an employee chooses not to return to work with the same (or other NHS employer) for a minimum period of three months after the maternity leave has ended, the entitlement of the employee will be affected if they have more than twelve months continuous service prior to the eleventh week before their expected week of childbirth. If they do not return for the minimum three months, their entitlement will revert to: fifty two weeks maternity leave, during which the employee will receive: 90% of their normal full pay for the first six weeks; statutory Maternity Pay for the next thirty three weeks.

Undecided whether to return to work following maternity leave 2.22 If undecided whether to return to work following maternity leave: employees indicating that they are undecided whether or not to return to work following maternity leave will be paid in the first instance as if they were not returning. Should an employee then decide to return to work, any further monies owed to them will be paid, less the amount which has already been paid. This will be paid at the end of the leave period. All other conditions applicable to those employees who indicate that they intend to return to work will apply; should an employee decide not to return to work following maternity leave, they should resign to the Human Resources team, giving requisite notice.

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Calculation of maternity pay 2.23 Full pay will be calculated using the average weekly earnings rules used for calculating Statutory Maternity Pay entitlements, subject to the qualifications. Keeping in Touch (KIT) days 2.24 You can work for up to ten days during your Maternity Pay Period without losing any Statutory Maternity Pay. These special days are known as Keeping in Touch days. Keeping in Touch days are intended to help you keep in touch with your workplace and allow you to do some work during your Maternity Pay Period without affecting your Statutory Maternity Pay. They could also help ease your eventual return to work. The type of work you do could be attending work for a training course or for an Appraisal, for example. Whether you take advantage of these days is your choice. Both you and your manager should agree that you can work on those days. Any work you do as a Keeping in Touch day, even as little as half an hour for example will be counted as a whole day for Keeping in Touch days. They can be taken as single days; in blocks of two or more days; or can be taken consecutively. Once you have used up your ten Keeping in Touch days and you do any further work, you will loose a weeks Statutory Maternity Pay for the week in the Maternity Pay Period in which you have done that work. If a week in your Maternity Pay Period contains only Keeping in Touch days, you will be paid Statutory Maternity Pay for that week. If a week in your Maternity Pay Period contains the last Keeping in Touch day and you do a further days work in the same week for the employer paying you Statutory Maternity Pay, you will lose Statutory Maternity Pay for that week. You will be paid at your basic daily rate for any hours worked, less appropriate maternity leave payment. Health and safety at work 2.31 Once an employee has notified the South West Strategic Health Authority that they are pregnant, their manager may need to take specific measures to safeguard their health and that of their unborn baby. The measures taken will depend upon the type of work they do and the environment in which they work. It is therefore necessary for their manager to regularly assess the situation by undertaking a work based risk assessment. Where an employee has recently given birth, or is breastfeeding, the line manager should carry out an additional risk assessment of her working conditions. The Return to Work Risk Assessment, and the New and

2.25

2.26 2.27 2.28

2.29

2.30

2.32

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Expectant Hazard Management Check List forms are available from Human Resources. Premature birth 2.33 Maternity leave shall commence on the actual date of the premature birth, unless the employee has been absent from work on certified sickness, in which case maternity leave will commence at the beginning of the actual week of childbirth. With the agreement of their manager, if the baby is born prior to the eleventh week before the expected week of childbirth and if the baby is in hospital, employees may choose to split their maternity leave entitlement. This would enable them to take an agreed short period of maternity leave immediately after their baby is born and then return to take the balance when their baby is allowed home from hospital. Miscarriage 2.35 Where an employee has a miscarriage before twenty four weeks of pregnancy, normal sick leave provisions will apply as necessary. Still birth 2.36 In the event of a still birth from twenty four weeks of pregnancy, an employee will be entitled to full maternity leave entitlements. Sickness and absence during pregnancy and maternity leave Sickness during pregnancy 2.37 If sickness is prior to the date they intend to commence maternity leave and is unrelated to the pregnancy, the absence shall be treated as sick leave in the usual way until the agreed date of maternity leave. If sickness is related to pregnancy and is prior to the date an employee intends to commence maternity leave, the absence will be treated as sick leave in the usual way until the fourth week before the expected week of childbirth when maternity leave will start automatically as set out below. If, during weeks twenty nine to thirty five of the pregnancy, medical opinion expresses that the employee or their unborn child would be at risk, or that they would be incapable of carrying out all or part of their duties, but they are not advised to refrain from work, the organisation will, where reasonably practicable, provide alternative work for which the employee would receive their normal pay, even if the alternative work would normally attract a lower rate of pay.

2.34

2.38

2.39

141

2.40

Maternity leave will start automatically on the first day after the first day of absence, if an employee is absent from work for a pregnancy related illness during the four weeks before the expected week of childbirth, regardless of when they have actually said that they want their maternity leave to commence. Sickness during maternity leave

2.41

Please note that an employee will not be entitled to normal sick pay during any period of paid maternity leave. Sickness following maternity leave

2.42

Sickness absence from the expected date of return to work will be treated as sick leave and appropriate medical certificates will be required. The Occupational Health Service

2.43

A manager is able to refer an expectant employee to the Occupational Health Service if they have any concerns with regard to the workplace, duties or the health of the employee. Returning to work

2.44 2.45

An employee has the right to return to her job under her original contract and on no less favourable terms and conditions. An employee who intends to return to work at the end of her full maternity leave will not be required to give any further notification, although if she wishes to return early she must give at least twenty eight days notice. As in the paragraph of 2.21 above, employees who indicate that they intend to return to work following maternity leave are required to return for a minimum period of three months. If an employee who has indicated her intention to return to work in accordance with the paragraph 2.21 above does not do so within fifteen months of the beginning of her maternity leave, she will be liable to refund the whole of her maternity pay (unless it is illness related under the Disability Discrimination Act), less any Statutory Maternity Pay received. Return to flexible working arrangements

2.46

2.47

2.48

Where possible, any request for consideration to changes to contracted hours upon return to work from maternity leave should be discussed with the line manager in accordance with Flexible Working policy of the South West Strategic Health Authority policy prior to commencing maternity leave.

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2.49

However, although the line manager must look at ways of meeting with the request, the decision as to what can be offered must be in line with the needs of the service. The South West Strategic Health Authority fully supports flexible working and recognises the value of retaining staff and every endeavour will be made to accommodate requests where possible. If it is agreed that the employee will return to work on a flexible basis, including changed or reduced hours, for an agreed temporary period, this will not affect the employees right to return to her job under her original contract at the end of the agreed period. Annual leave

2.50

2.51 2.52

Annual leave is accrued at the normal rate during ordinary maternity leave and, if appropriate, additional maternity leave. Employees whose maternity leave, whether ordinary or additional, falls across two financial years are entitled to carry forward one working weeks annual leave entitlement, following agreement with their manager. Therefore, it is suggested that employees who are due to commence maternity leave and have an excess of annual leave, use any outstanding entitlement prior to commencing maternity leave. This should be discussed and agreed with the line manager as per normal procedures for booking annual leave. If, in exceptional circumstances, it is not possible for the employee to take their annual leave prior to commencing maternity leave, for example if the baby is born prematurely, the outstanding balance of annual leave entitlement will be paid at the end of the financial year. Employees who arrange to change their contractual working hours on return to work from maternity leave will have their annual leave entitlement calculated on a pro-rata basis proportional to the date on which they return to work. Bank holidays are not accrued during compulsory, ordinary or additional maternity leave. Part time employees will have their annual leave and Bank holiday entitlement recalculated to take account of this. Pensions

2.53

2.54

2.55

2.56

Pension rights and contributions shall be dealt with in accordance with the provisions of the NHS Superannuation Regulations. Any queries regarding Pensions should be directed to the Pensions Supervisor.

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Organisational change resulting in redundancy 2.57 If, following an organisational change an employees post becomes redundant whilst on maternity leave, she will be placed on the South West Strategic Health Authoritys redeployment register and will be offered suitable alternative employment where a suitable vacancy is available before her contract ends. The employee is entitled to a four week trial period upon her return to work in accordance with the South West Strategic Health Authoritys Organisational Change policy. The new contract will take effect immediately on the ending of the original contract and must be such that the: work to be done by the employee is both suitable and appropriate for her to do in the circumstances; the capacity and place in which she is to be employed and the other terms and conditions of her employment are not substantially less favourable to her than if she had continued to be employed under her original contract; if the employee unreasonably refuses this suitable alternative employment, she may forfeit her right to redundancy; the contract of employment will terminate on the agreed date of termination and the entitlement to occupational maternity pay will cease. However, the South West Strategic Health Authority will continue to fulfil its statutory duty of paying Statutory Maternity Pay for the period of time the woman would have been entitled to it had she not been made redundant, but this period shall not be constituted as employment by the South West Strategic Health Authority; if an employee on ordinary or additional maternity leave is made redundant, her maternity leave period comes to an end. She will receive a written statement of the reasons for the dismissal, regardless of whether or not she had requested one, and regardless of her length of service.

2.58

Organisational change resulting in transfer of undertakings and protection of employment transfer 2.59 Maternity leave and Statutory Maternity Pay will continue in accordance with Transfer of Undertaking and Protection of Employment regulations in the event of a Transfer of Undertakings and Protection of Employment transfer taking place.

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Miscellaneous provisions Increments 2.60 Absence on maternity leave shall count towards the normal annual increment on the employees grading scale, and will not defer the normal incremental date. In the event of a pay award or annual increment being implemented before the paid maternity leave period begins, maternity pay will be calculated as though the pay award or annual increment had effect throughout the entire Statutory Maternity Pay calculation period. If such a pay award is agreed retrospectively, maternity pay will be re-calculated on the same basis. In the event of a pay award or annual increment being implemented during the paid maternity leave period, maternity pay due from the date of the pay award or annual increment will be increased accordingly. If such a pay award is agreed retrospectively, maternity pay will be re-calculated on the same basis. Fixed-Term contracts or training contracts 2.63 Employees subject to fixed-term or training contracts which expire after the eleventh week before the expected week of childbirth, and who have at least twelve months continuous NHS service prior to the eleventh week before their expected week of childbirth, shall have their contracts extended so as to allow them to receive the thirty three weeks paid contractual maternity leave set out in paragraph 2.21 above. If there is no right of return to be exercised because the contract would have ended if pregnancy had not occurred, repayment provisions will not apply. Employees on fixed-term contracts who do not meet the conditions set out in paragraph 2.60 above may still be entitled to Statutory Maternity Pay. Rotational training contracts 2.66 Where an employee is on a planned rotation of appointments with one or more NHS employer as part of an agreed programme of training, she shall have the right to return to work in the same post or in the next planned post irrespective of whether the contract would otherwise have ended if pregnancy and childbirth had not occurred. In such circumstances, the contract of the employee will be extended to enable them to complete the agreed programme of training. Contractual rights 2.67 During maternity leave, both paid and unpaid, an employee retains all of her contractual rights except remuneration.

2.61

2.62

2.64 2.65

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Continuous service 2.68 For the purposes of calculating whether the employee meets the twelve months continuous service with one or more NHS employers qualification set out in paragraph 2.20, please consult the NHS Terms and Conditions of Service Handbook. The South West Strategic Health Authority will count other previous NHS service. The South West Strategic Health Authority has the discretion to count other previous service with other employers but this does not confer an entitlement on any employee. Each case would be considered on its individual circumstances and on a non-precedent basis. Further information 2.70 There are some issues that may arise during pregnancy and maternity leave, which may not be covered by this policy. Further information and advice on these matters is available from the Human Resources team. The BERR document, Pregnancy and Work, What you need to know as an employee. Is a useful document, and can be found at: http://www.berr.gov.uk/files/file34285.pdf

2.69

2.71

3.

Paternity leave policy (Maternity support)

Introduction

3.1

This information has been designed to give you guidance on the parental leave entitlements within South West Strategic Health Authority. This guidance on paternity leave and pay is part of a package of rights and benefits designed to give support to working fathers, mothers and their partners. It covers the leave and pay rights for the partner of a woman who is expecting a child or a partner in a family adopting a child. Paternity leave and pay entitlements are governed by NHS regulations, as well as statutory legislation. The information contained in this guide is specific to NHS employees. Ante-natal care and official meetings in the adoption process

3.2

3.3

All employees are entitled to reasonable time off in order to attend ante-natal appointments or official meetings in the adoption process. For details of the rules governing Ante-natal care and official meetings in the adoption process, please refer to the Maternity section of this policy, which applies in this instance. Eligibility to paternity (maternity support) leave and pay

3.4

In order to qualify for paternity leave and pay, the employee must expect to have responsibility for the upbringing of the child as the father of the child or adopter, or the husband or partner of the mother or adopter of the child.

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Paternity leave and pay entitlement 3.5 All employees are entitled to two weeks Paternity Leave (Maternity Support). The Parental Leave and Pay entitlements are as follows: twelve months continuous NHS service: an employee who has twelve months continuous NHS service prior to the eleventh week before their partners expected week of childbirth or prior to the week in which they are notified of having been matched with a child for adoption, shall be entitled to two weeks paternity leave during which they will receive full pay; at least twenty six weeks continuous NHS service: an employee who has at least twenty six weeks continuous NHS service prior to the fifteenth week before their partners expected week of childbirth or prior to the week in which they are notified of having been matched with a child for adoption, shall be entitled to two weeks paternity leave during which they will receive Statutory Paternity Pay or 90% of their normal salary, whichever is the lesser; less than twenty six weeks continuous NHS service: an employee who has less than twenty six weeks continuous NHS service prior to the fifteenth week before their partners expected week of childbirth or prior to the week in which they are notified of having been matched with a child for adoption, shall be entitled to two weeks unpaid paternity leave.

3.6

Paternity leave may be taken as a two week block, or in two blocks of one week, provided that all leave is taken within fifty six days of the birth of the child or placement for adoption. Paternity leave may be taken from the date on which the child is born or placed for adoption, or on a predetermined date following this. Your entitlement to receive Statutory Paternity Pay (SPP) is dependent upon your National Insurance contributions and, if applicable, will be paid concurrently with the two weeks leave and/or pay that you receive from the organisation. Notification

3.7 3.8

3.9

Employees should notify their manager of their intention to take paternity leave and pay prior to week twenty five of the pregnancy or within seven days of the notification of adoption. Using the Paternity Leave Request Form which can be found on the intranet, employees are required to provide the following information at least twenty eight days prior to commencing paternity leave: the expected date of birth of the child or date of placement;

3.10

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 3.11 3.12

adoptive parents taking paternity leave should provide a Matching Certificate issued by the Adoption Agency; details of when and how you intend to take paternity leave; when you plan your paternity leave to begin.

Your manager will forward a copy of the Paternity Leave Request Form to the Human Resources team, who will in turn process the information with Payroll. You will receive written confirmation of your arrangements for paternity leave from the Human Resources team within twenty eight days of their receipt of your Paternity Leave Request Form. You are required to give at least twenty eight days notice should you wish to change the dates of your paternity leave. If you are unable to give this notice, notification should be made as soon as is reasonably practicable. You are required to confirm with your manager the actual date of birth or placement for adoption. Miscellaneous provisions

3.13

3.14

3.15

An employee who is absent on paternity leave is entitled to the benefit of all of the terms and conditions of employment that would have applied if they had not been absent and is bound by any obligations arising under those terms and conditions. An employee taking paternity leave is entitled to return from leave to the job in which they were employed before their absence, on terms and conditions not less favourable than those which would have applied if they had not been absent. In the case of multiple births or adoptions, entitlement to paternity pay does not increase for each child. Still birth

3.16

3.17

3.18

You can still take paternity leave if the child is stillborn after twenty four weeks of pregnancy or is born alive at any point of the pregnancy. Further information

3.19

There are some issues that may arise during paternity leave which may not be covered by this policy. If you would like further information and advice on these matters, or if you wish to clarify and discuss any other issues covered in the policy in greater detail, please contact the Human Resources team.

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4.

Parental leave
Introduction

4.1 4.2

This information has been designed to give you guidance on the parental leave entitlements within the South West Strategic Health Authority. Parental leave entitlements are governed by the NHS regulations as well as statutory legislation. Therefore, the information contained in this guide is specific to NHS employees. Please contact the Human Resources team if you require further information. Eligibility for parental leave

4.3 4.4

Any employee requesting parental leave must have at least twelve months continuous NHS service at the time of parental leave commencing. Employees requesting parental leave must have nominated caring responsibility for a child aged under 14 years, or 18 years in the case of disabled children. All requests for parental leave should be made in writing directly to your line manager, using the Parental Leave Request form which can be found on the intranet. Parental leave provision

4.5

4.6 4.7

Parental leave provides employees with a right to up to thirteen weeks unpaid leave, or eighteen weeks unpaid leave in the case of disabled children. The right of parents of adopted children to take parental leave applies for five years from the date the child was placed for adoption or until the childs eighteenth birthday, whichever is sooner. The way in which parental leave is taken should be flexible and should be arranged through negotiation with your line manager. However, as a rule, parental leave must be taken in blocks of one week, although in exceptional circumstances this need not be the case. Leave can be taken in any format for parents of disabled children. Employees are entitled to take a maximum of four weeks leave in any one year. In exceptional circumstances, an agreement can be made with your line manager to take the full entitlement of parental leave from work in days, weeks, one long block or as reduced working hours or a mixture of these, depending on the circumstances. Parental leave may be added to any period of maternity, paternity or adoption leave, provided the requisite notice is given.

4.8

4.9 4.10

4.11

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4.12

These provisions apply to each child. Therefore an employee with twins could take up to eight weeks in any one year. Notification

4.13

Employees are required to give at least twenty eight days notice of their intention to take parental leave, although in exceptional circumstances this need not be the case. Your employer is entitled to postpone parental leave in exceptional circumstances, provided that a written explanation is provided. You are entitled to postpone or cancel parental leave through negotiation with your line manger. Provisions during parental leave

4.14 4.15

4.16

An employee retains all their contractual rights, except remuneration, during parental leave, and has the right to return to their job under their original contract and on no less favourable terms and conditions. Pension rights and contributions shall be dealt with in accordance with the provisions of the NHS Superannuation Regulations. Any queries regarding Pensions should be directed to the Pensions Supervisor. Periods of parental leave shall be regarded as continuous service. Annual leave is accrued at the normal rate during parental leave. Bank holidays are not accrued during parental leave. Prior to commencing prolonged periods of parental leave, you are advised to discuss and agree with your manager any voluntary arrangements for maintaining contact during your absence. This will include awareness of developments within the role and work place and measures to help facilitate your return to work. Absence on parental leave shall count towards the normal annual increment on the employees grading scale, and will not defer the normal incremental date. Employees are not entitled to normal sick pay during any period of parental leave. Miscellaneous provisions

4.17 4.18 4.19 4.20 4.21 4.22

4.23

4.24

4.25

The South West Strategic Health Authority is entitled to make enquiries of previous employers as to whether any parental leave has been taken.

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Further information 4.26 There are some issues that may arise during parental leave which may not be covered by this policy. If you would like further information and advice on these matters, or if you wish to clarify and discuss any other issues covered in the policy in greater detail, please contact the Human Resources team.

5.
5.1 5.2

Adoption/surrogacy leave
You can take statutory adoption leave for up to fifty two weeks. There are two types of adoption leave: twenty six weeks ordinary adoption leave, immediately followed by twenty six weeks additional adoption leave, giving a total of up to fifty two weeks. To qualify for adoption leave

5.3

You can claim Statutory Adoption Leave if you are an employee (and remain employed until the date of the adoption or placement of the child) and either: adopting a child on your own; in a couple who are adopting together.

5.4 5.5

The provisions apply to placements for children up to 18 years old. In the case of a couple, only one of them will be entitled to take the leave. However, the other will be entitled to the two weeks paternity leave or parental leave (if they qualify). Adoption leave and pay does not apply to stepfamily adoptions. Foster carers will qualify if they go on to adopt the child and the child was placed with them by an adoption agency. Same sex parents may qualify for adoption leave. Paid adoption leave

5.6

5.7

5.8

To qualify for paid adoption leave an employee must: be newly-matched with a child for adoption by an approved adoption agency, and; have worked continuously for the same employer for twenty six weeks leading into the week in which they are notified of the matched with a child for adoption (the 'matching week').

5.9

During ordinary and part of additional adoption leave you will be entitled to Statutory Adoption Pay (SAP) on a similar basis to that governing Statutory Maternity Pay. Statutory Adoption Pay is payable for thirty nine weeks.

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5.11

The rate of Statutory Adoption Pay is the same as the lower rate of Statutory Maternity Pay. Adopters whose average weekly earnings are below the lower earnings limit for National Insurance purposes do not qualify for Statutory Adoption Pay but may qualify for other welfare benefits.
Less than twenty six weeks service You can have up to fifty two weeks adoption / surrogacy leave. This leave will be unpaid

Returning to Work

More than twenty six weeks but less than one years service

You can have up to fifty two weeks adoption / surrogacy leave. You will be entitled to Statutory Adoption Pay if your earnings are above the lower earning limit. Statutory Adoption Pay will be for thirty nine weeks.

More than one years NHS service

You can have up to fifty two weeks adoption / surrogacy leave. The first thirty nine weeks will be paid and the remainder will be unpaid. The thirty nine weeks paid leave will be made up as follows: First eight weeks Next eighteen weeks Last thirteen weeks Full pay Half pay plus Statutory Adoption Pay (if eligible) Statutory Adoption Pay (if eligible)

More than one years service (deferred option)

This allows you to defer the above payments so that you receive a lump sum of eight weeks full pay and fourteen weeks half pay, (less Statutory Adoption Pay) three months after you return to duty. You will receive Statutory Adoption Pay (if eligible) during the adoption / surrogacy leave period.

Not returning to work

More than twenty six weeks service.

If you are entitled to Statutory Adoption Pay, you will receive Statutory Adoption Pay for thirty nine weeks.

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Notes

1. All above service periods relate to service at the sate of adoption or placement of the child 2. The Statutory Adoption Pay is made up as follows: first six weeks 90% average weekly earnings; next thirty three weeks current Statutory Adoption Pay (or 90% average weekly earnings, whichever is the lesser).

When and how statutory adoption leave is taken 5.12 The employee can start their leave on any day of the week, either: 5.13 5.14 from the actual date of the child's placement, or; from a fixed date up to fourteen days before the expected date of placement.

Only one period of leave is permitted for each placement regardless of how many children are placed at that time as part of the same arrangement. If, for some reason, the placement is not successful and ends during the adoption leave period, then the employee will be allowed to continue adoption leave for a maximum of eight weeks after the placement ends, or until the end of the Statutory Adoption Pay period if that is sooner. If the employee starts their adoption leave before the child is placed, they need to be sure that the placement is going to go ahead. If it is delayed once they have started their leave, they cannot stop their leave and start it again at a later date. Giving the correct notice to take statutory adoption leave and receive statutory adoption pay

5.15

5.16

The employee must notify the employer of their intention to take adoption leave within seven days of being notified of a match by the adoption agency, unless this is not reasonably practicable. The employee should confirm in writing: that they would like to take adoption leave; when the child is expected to be placed with them; when they would like their Statutory Adoption Leave/Statutory Adoption Pay to commence.

5.17

5.18

The adopter can change their mind over when they would like to commence leave provided they give at least twenty eight days notice of the change (unless this is not reasonably practicable).

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5.19

The employee must provide the South West Strategic Health Authority with documentary evidence of the placement for adoption in the form of a matching certificate from the adoption agency. In the case of surrogacy, the employee must provide the South West Strategic Health Authority with a MATB1 certificate issued to the surrogate mother. Parents who adopt from overseas and do not use a registered adoption agency will not be able to secure a matching certificate and will not therefore be eligible. Parental leave and paternity leave

5.20 5.21

5.22 5.23

Employees may extend adoption leave by combining a period of parental leave provided they have completed the qualifying service period of one year. A maximum of four weeks parental leave may be taken in any one year. See the section on Parental Leave within this policy. Terms of the contract whilst on leave

5.24

During the fifty two weeks of Adoption Leave, the contract of employment the employee continues as normal with the exception of remuneration. In addition: paid holiday entitlement will continue to accrue. (the employee cannot take accrued holiday during leave but can, with agreement, take it immediately before or at the end of leave); benefits such as reimbursement of professional subscriptions, use of a company car or mobile phone (unless provided for business use only) will also continue.

5.25

During periods of paid adoption leave the employers pension contributions will continue and are calculated as if the employee was in receipt of their normal remuneration. If the employee normally makes pension contributions these will also continue during periods of paid leave but are based on what the employee is actually paid, not normal remuneration. Returning to work

5.26

The employee intends to take their full leave entitlement then there is no need to formally notify the South West Strategic Health Authority of their return to work. The employee can return early, however they must provide twenty eight days notice in writing. If the adoption placement is disrupted and the employee is returning earlier than expected, they will also need to give the organisation twenty eight days notice. If the employee attempts to return early without notification, the organisation may delay the return by up to the twenty eight days notice period provided this does not extend beyond the end of additional leave.

5.27

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5.28

Employees who have taken adoption leave will, in most cases, be eligible to make a request to work flexibly. The employee has the right to return following the adoption leave to the same job on the same terms and conditions as if they had not been absent. If the employee decides not to return to work at the end of either type of adoption leave they must tender their resignation giving their usual period of notice. Maintaining contact

5.29

5.30

The South West Strategic Health Authority will maintain regular contact with the employee during leave to ensure they continue to feel part of the organisation and not out of touch. Keeping in Touch (KIT) days

5.31

The rules for Keeping in Touch days for Maternity Leave apply to the Adoption/Surrogacy Leave in the same way. Official meetings in the adoption process

5.32

All employees are entitled to reasonable time off in order to attend official meetings in the adoption process. For details of these rules, please refer to the Human Resources team for further clarity.

6.

Career breaks
Introduction

6.1

The South West Strategic Health Authority values the accumulated knowledge and skills of its staff and supports the use of innovative new ways of retaining them in post while allowing individuals to explore opportunities for personal development and fulfilment. A career break allows staff to take an agreed period of time away from their job to pursue other interests on the understanding that they will return when that period has expired. Such an opportunity encourages personal development whilst providing both the staff member and the organisation with a degree of security over their continued employment. A career break is not a substitute for a secondment or an opportunity for an individual to work for another organisation. Terms of the scheme

6.2

6.3

6.4

6.5

In order to be eligible to apply for a career break, the employee must have completed at least twelve months service with the South West Strategic Health Authority.

155

6.6

The minimum length of a career break is three months. Staff wishing to take shorter periods away from work should consider unpaid leave which is covered in the Special Leave section of this policy. The length of break which an employee may apply for depends on their length of service with the NHS: Length of Service one to five years service five to ten years service ten years or more service Length of Career Break three to six months break maximum of twelve months break maximum of twenty four months break

6.7

6.8 6.9 6.10 6.11

Any application for a career break should be made in writing and include an indication of the duration required and the purpose for which it is intended. When agreeing the duration of a career break a balance should be maintained between the needs of the applicant and those of the service. Applicants for a career break must provide some detail of what they would wish to do with a career break opportunity. Possibilities might include: caring for a dependant; childcare beyond statutory entitlement; pursuit of a hobby or interest; study or training opportunities; voluntary work or travelling abroad.

6.12

Employees must agree a return date prior to their departure and should be aware that it may not be possible to facilitate a return to work any earlier once this has been agreed. Employees who wish to extend their career break whilst they are on it may only do so by arrangement with their line manager and up to the limits prescribed in paragraph 5.7 above. A period of a career break will be treated as continuous service after the employee returns to work. It will not be treated as such if the employee does not return after the break period is complete.

6.13

6.14

156

6.15 6.16

A career break is distinct from unpaid leave, which is appropriate for shorter periods of authorised absence. It is the joint responsibility of the staff member and the line manager that during the period of the career break the individual stays up to date with organisational and service developments where possible. This is to ensure the easiest reintegration back in to their role when it ends. The organisation reserves the right to refuse a career break to an eligible employee where it can be demonstrated that their absence will negatively impact on the work of the South West Strategic Health Authority. The employee must maintain any relevant professional registration including any training courses required for updating. Evidence of renewal of professional registration must be sent to the line manager, and a copy to the Human Resources team for the employee file. Staff who are required to take responsibility for their own continuous professional learning and development will retain this responsibility during their career break. Implementation Staff

6.17

6.18

6.19 6.20

Staff who meet the eligibility criteria for a career break as outlined in paragraph 5.5, may apply for one at any time by writing to their line manager. In the interests of ensuring that backfill can be arranged for an employee who is going on a career break it is asked that a request be made at least three months before the proposed leaving date. Line manager

6.21

On receipt of a written application from a member of staff, the line manager must arrange to meet with them within seven days for a preliminary discussion. Having spoken with the staff member, the line manager should evaluate the likely impact on the team, the organisation and on service delivery of granting a career break. If it is decided that a career break should go ahead then the manager should complete the authorisation section of the form and submit it to their Director to be countersigned. No career break can be finally authorised without signatures of both a line manager and a Director. An employee whose application is refused will be entitled to receive a written reason for the refusal. If the line manager does not consider it possible to authorise a career break, they must respond within seven days of the preliminary discussion, returning

6.22

6.23

6.24 6.25 6.26

157

the submitted form accompanied by a letter setting out the reasons for being unable to authorise it. 6.27 6.28 Wherever possible the line manager should attempt to offer an alternative time or length of career break that would be acceptable to the organisation. Any decision deemed to be unfair by the employee may be appealed through the grievance procedure of the South West Strategic Health Authority. Contractual position 6.29 During the period of the career break, the following conditions will apply: during the period of the career break, the employee would be required to sign a new contract reflecting their status. This would take the form of an agreement between the organisation and the employee; during the career break, the employee will maintain continuity of service from the point of view of the organisation for statutory purposes; other provisions depending on length of service, such as Pensions, contractual redundancy payments or leave entitlements are suspended for the duration of the break. This will be reflected in the revised contract; it is not usual for an employee to enter in to paid employment with any other organisation during the period of the career break. An employee wishing to do this requires written dispensation from a Director of the South West Strategic Health Authority; the employee and employer have joint responsibility to remain in contact during the period of the career break. It is suggested that this should not be less than one occasion in any six month period; on the completion of the career break, the employee will be reemployed by the organisation.

6.30

Any career break lasting less than one year entitles the employee to return to the same post that they had vacated. Following any break of more than a year, where the original post is not available, the South West Strategic Health Authority should ensure that a suitable alternative post is available at the same level. The organisation commits to providing reasonable and appropriate training and mentoring support to assist with the re-induction of the employee on their return to work. Employees may return to work earlier than expected or request an extension to their career break whilst away from the organisation.

6.31

6.32

158

6.33

A request for an extension should be made in writing in the same way as the original application. No extension may exceed the maximum career break entitlement open to the employee at the time they left the organisation. Employees wishing to return to work early must give at least two months notice for a career break of less than a year and at least six months notice if the break is more than a year.

6.34

7.

Special leave
Introduction

7.1

The South West Strategic Health Authority recognises the importance of supporting staff in enabling them to balance work and the needs of the organisation with personal and family commitments. This policy aims to take into consideration the individual needs of staff in a responsive and flexible way at times of urgent or unforeseen circumstances or longer-term changes in personal commitments. Leave granted on a paid basis is intended for short-term needs as opposed to long-term domestic family commitments, which may be better catered for through parental leave or a career break. Staff should make applications for special leave directly to their line manager. Further clarification of the provision of the leave included within this policy is available from the Human Resources team. A record will be kept on the personal file of the employee of all leave that is granted. Special leave

7.2

7.3

7.4

7.5 7.6

The principal aim of special leave is to provide a fair and compassionate response to a range of immediate personal and domestic circumstances. Whilst inevitably the needs will vary according to each set of circumstances, examples might include: bereavement; care of dependents; domestic emergency; personal distress.

Entitlement 7.7 The extent to which leave is granted will be entirely dependent upon the circumstances in each case and may range from an hour to several days. As a guide, the maximum period of paid special leave that can be granted is six working days, although this may be extended in exceptional circumstances.

159

7.8

Legal guidance suggests that three factors should be taken into account when granting special leave: the nature of the incident; closeness of relationship between employee and dependant; and the availability of others to help out. The leave will be pro-rata to the hours worked and because of its nature it would not be expected to be granted on a regular basis. Special leave will normally be granted on a paid basis for the types of issues described above. However, if it is not clear whether the circumstances warrant paid leave in this context, then clarification should be sought from the Human Resources team and if there is an ongoing need for time off, further unpaid leave may be available. All requests for special leave should be discussed and agreed with the line manager of the employee as soon as it is evident that leave is required. However, it is recognised that owing to the nature of the leave, individuals may need to take time off before the detail of the arrangements can be finalised. Line managers must ensure completion of the Application for Special Leave and forward this to the Human Resources team when they have granted special leave so that a record can be kept on personal files for monitoring purposes. Wherever possible, staff must make doctor/dentist/medical appointments out of normal working hours. However, if this is not possible, staff may be permitted reasonable time off with pay to attend such appointments, when specifically authorised by their line manager. If staff wish to attend an interview or selection process for alternative employment outside the NHS they should take unpaid leave, use time owing or take annual leave. Applicants for paid or unpaid special leave should be entitled to a written explanation if the application is declined. Appeals against decisions to decline an application for paid or unpaid special leave should be made through the grievance procedure. Additional unpaid leave

7.9 7.10

7.11

7.12

7.13

7.14

7.15 7.16

7.17

A period of unpaid leave up to twelve weeks can be authorised for staff requiring time off in order to care for sick and elderly dependants or to deal with other long-term family responsibilities without having first exhausted their annual leave entitlement. Approval of this type of leave will be at the discretion of line managers, in consultation with the Head of Human Resources, who will need to identify and respond to the individual needs of the staff concerned. Final authorisation will be required from a Director.

7.18

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8.
8.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when requiring leave that falls within the Family Friendly policy; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of options available to them through this policy. An impact assessment for this policy will be completed every three years. April 2010 April 2011

8.2

Policy Approved: Review By:

161

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Annex 1 Maternity leave entitlement guide

Continuous NHS Service Intention Following Maternity leave

More than twelve months continuous NHS service at eleventh week prior to Expected Week of Childbirth

Over twenty six weeks continuous NHS service at fifteenth week prior to Expected Week of Childbirth

Up to twenty six weeks continuous service at fifteenth week prior to Expected Week of Childbirth

Intending to return to work following maternity leave

Thirty nine weeks paid leave comprising: Eight weeks at full pay Eighteen weeks at half pay Thirteen weeks Statutory Maternity Pay Thirteen weeks unpaid

Thirty nine weeks paid leave comprising: Six weeks at 90% of full pay Thirty three weeks at Statutory Maternity Pay plus up to thirteen weeks unpaid leave

Fifty two weeks unpaid leave

Not intending to return to work following maternity leave

Thirty nine weeks paid leave comprising six weeks at 90% of full pay, thirty three weeks at Statutory Maternity Pay plus up to thirteen weeks unpaid leave

Undecided whether to return to work following maternity leave

Thirty nine weeks Fifty two weeks paid leave unpaid leave comprising: Six weeks at 90% of full pay Thirty three weeks at Statutory Maternity Pay plus up to thirteen weeks unpaid leave Employees indicating that they are undecided whether or not to return to work following maternity leave will be paid in the first instance as if they were not returning. Should they then decide to return to work, further monies owed will be paid, less that which has already been paid.

The payment of Statutory Maternity Pay is dependent on National Insurance Contributions. Employees who do not qualify for Statutory Maternity Pay may be entitled to receive Maternity Allowance, which is payable by the Department of Work and Pensions.

163

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Appendix 8

Flexible Working Policy

This appendix sets out the revised Flexible Working Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Flexible Working Policy 1.

1.1

Introduction
The South West Strategic Health Authority is committed to flexible working as a means to help retain existing employees and to attract new employees to work for the Authority, providing opportunities for staff to vary normal contractual hours to suit work and domestic circumstances. The major benefit of flexible working is that it facilitates new or continued employment which may be on reduced hours or variable patterns of hours. It is therefore designed to assist the South West Strategic Health Authority in meeting its aims of being a good equal opportunities employer and it enables staff to have some flexibility in their work patterns by taking account of their varying employment needs. Flexible working also helps the South West Strategic Health Authority to retain and employ effective staff who might otherwise be unable to continue working under their normal contractual hours and to retain specific talent and expertise of staff who would have difficulty in travelling to the headquarters on a daily basis. This policy has been developed and agreed in consultation with the Joint Management and Staff Committee.

1.2

1.3

1.4

2.
2.1

Principles
There are many possible models of flexible working which may have benefits for both the staff and the organisation, for example, annualised hours; flexi-working; home working; job share; remote working.

2.2 2.3

Each of these are described in more detail in Annexes 1-4 to this policy, including guidance on implementation. The models listed are not exhaustive and the South West Strategic Health Authority will consider alternative proposals on a case by case basis. Any proposals of this nature should be given careful consideration as to their consequences for the organisation and its staff and, in some cases, a trial

165

period might be advisable. Directors (or delegated authority) are advised to seek support and guidance from the Human Resources team when making any decisions. 2.4 The South West Strategic Health Authority aims to: ensure that all requests for flexible working are treated fairly, impartially and in the most expedient manner possible; ensure that all staff have an equal right to investigate their flexible working options; be supportive of staff in meeting their flexible working requests wherever possible; promote flexible working as a tool for the positive growth and improvement of individual employees and the organisation as a whole; support the implementation of this policy with appropriate resources and training; retain talent and expertise across the geographical area.

3.
3.1

Definition of flexible working

Flexible working is any pattern of working that meets the needs of an individual and the service requirements of an organisation. For the organisation, benefits will include: optimising the talent and skills of staff; addressing the geographical constraints and specific needs of the South West; ensuring that staff are flexible in meeting the needs of the South West Strategic Health Authority in terms of health and care service needs; ensuring that staff are flexible in meeting the requirements of their roles within the South West Strategic Health Authority; ensuring the presence of staff at key events, including corporate days (where appropriate), in headquarters and throughout the South West at the line managers discretion.

3.2

For employees, benefits will include: job sharing. Offers existing to prospective employees and an opportunity to undertake a whole time job on a part time or shared basis for domestic or other reasons;

166

avoidance of an excessive burden of travel, in terms of both distance and the length of working day; allowing them to make optimum contribution to the work of the South West Strategic Health Authority; knowing in advance when their attendance at the headquarters or other dispersed premises used by the South West Strategic Health Authority is required for corporate days; being able to plan their working and travel patterns around commitments, which will require their presence at locations other than their local (including home) work base; knowing that their skills, experience and contribution are valued. For the employee, flexible working can include:

3.3

remote (in a local location agreed by the South West Strategic Health Authority) working and/or home based working on a short term or regular basis; flexitime. Staff can be flexible around start and finish times usually with a core time when they have to be at work in line with the needs of the business and in agreement with their line manager. Excess hours worked can be carried over from one week to another and used as flexi-leave. Similarly, a limited number of deficit hours can be made up at a later date. annualised hours. Rather than agreeing to work a certain number of hours in a week, the hours are agreed over the course of a year. This allows for flexibility and an uneven pattern of work throughout the year but the member of staff is usually paid in twelve equal portions; part-time hours, such as any hours that are less than the standard contracted full-time hours (full time hours are 37.5 per week); voluntary reduced working time through an agreed temporary reduction of hours.

4.
4.1

Family Friendly policy

The policy offers existing and prospective employees an opportunity to undertake a whole time job on a part-time or shared basis for domestic or other reasons. In addition to flexible working patterns, the South West Strategic Health Authority has a Family Friendly policy designed to help staff balance their work with their domestic responsibilities.

4.2

167

5.
5.1

Employee rights
Anyone can ask their employer for flexible work arrangements, but the law provides some employees with the statutory right to request a flexible working pattern. You must: be an employee, but not an agency worker or in the armed forces; have worked for your employer for twenty six weeks' continuously before applying; not have made another application to work flexibly under the right during the past twelve months. have or expect to have parental responsibility of a child aged 16 or under or a disabled child under 18 who receives Disability Living Allowance (DLA); are the parent/guardian/special guardian/foster parent/private foster carer or as the holder of a residence order or the spouse, partner or civil partner of one of these and are applying to care for the child; are a carer who cares, or expects to be caring, for an adult who is a spouse, partner, civil partner or relative; or who although not related to you, lives at the same address as you.

5.2

5.3 5.4 5.5

You will then have the statutory right to ask if you: The application will be seriously considered, and only rejected if there are good business reasons for doing so. Employees who do not have the legal right to request flexible working will be considered within the same parameters as those who do not have the legal entitlement. There is also legislation limiting the number of hours employers can require staff to work as part of the Working Time Regulations and ensuring that part time staff are treated in the same way as their full time colleagues. A refusal to consider properly an application to work flexibly may amount to indirect discrimination under the Sex Discrimination Act 1975. The Employment Relations Act 1999 also affords dependants reasonable time off to deal with an emergency and these circumstances are addressed under Special Leave in the Family Friendly policy. The Part-timer Workers Regulations 2000 also refers to no detriment to a part-time worker.

5.6

5.7 5.8

5.9

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6.
6.1

Treating staff equitably

There is the need to consider the issue of precedent and equitable treatment for all staff. There needs to be equity and fairness for all, coupled with an understanding that precedents are not automatically set, and requests must be balanced with the needs of the South West Strategic Health Authority to deliver its key role in the South West. The issue centres on equitable consideration not necessarily identical treatment. It is important that all staff who may be affected by the request of an individual to work flexibly are considered and consulted.

7.
7.1

Process
When an individual wishes to make use of flexible working, they should complete an application form which can be found on the Human Resources intranet site, and submit this to their line manager. The line manager should arrange to meet the staff member within twenty eight days of receiving the application. If there is agreement in principle, the proposal should be referred to the Director responsible (or delegated authority) who will have the authority to approve it. Following the approval by the Director (or delegated authority), the line manager should complete the response form also found on the Human Resources intranet site, confirming the change to the working pattern of the employee. Due consideration should be given to the effect on other staff in the team and any other consequences arising from the absence of the employee from base before approval is given. These issues should be addressed by the staff member in their application and investigated by the manager when coming to a decision.

7.2

8.
8.1

Guidance for managers

Given the wide range of possible flexible working options and the even wider range of staff personal circumstances, it is not possible to provide prescriptive guidance on when a request can be accepted. However, the following ground rules should be applied: the South West Strategic Health Authority will respond positively to requests received from existing or prospective staff to work flexibly; staff affected by any proposed changes to their working arrangements, whether directly or indirectly, have the right to be consulted but also the responsibility to consider the interests of other team members; communication and openness are critical in dealing with an issue of flexible working, whether it is a change to the working pattern of an individual or of a whole Directorate. Any decisions will be discussed with all affected staff and confirmed in writing; changes to working arrangements can be made on a temporary or permanent basis.

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8.2

The assessment criteria will need to be transparent and straightforward for both managers and staff and could include the following questions: Will the proposed change: reflect the geographical dimension of the NHS South West and allow local working consistent with the role and requirements of the organisation? help to retain staff who might otherwise leave or retire? attract staff into areas of shortage? help build a more diverse range of skills within the team? help balance staffing levels and activity levels more efficiently? improve morale for either the team or the individual?

8.3

8.4

If the answer to some or all of the above questions is Yes, the next step is to look at how to try to accommodate the request: can the work of the directorate be organised in a different way? what scope is there within the budget to recruit more staff? what impact will the change have on other staff? is it a permanent or a temporary change? how will the change be monitored?

8.5

If the request cannot be accommodated using the above criteria, is there a compromise that can be reached to meet the needs of both the individual and the organisation? Another option where the impact of a change is uncertain would be to agree to a trial period.

9.
9.1

Reasons why the South West Strategic Health Authority could refuse a request
The South West Strategic Health Authority may refuse a request where it considers that one or more of the following would apply: the burden of additional costs is prohibitive; a detrimental effect on the ability to meet service demand; an inability to reorganise work amongst existing staff; a detrimental impact on the quality of work;

170

a detrimental impact on performance, including the health and safety of the employee, colleagues or others; insufficient work during the periods the employee proposes to work; planned structural changes.

10.
10.1

Appeals
If an employee is dissatisfied with a decision of a Director (or delegated authority) about any of the options outlined above, the employee has a right to meet the Director, who must then confirm the outcome of the meeting within fourteen days in writing. If the employee remains dissatisfied, they may raise a grievance through the grievance procedure, within fourteen days. The employee is entitled to be accompanied at the meeting with the Director by a representative of a Trade Union, or a work colleague (not acting in a legal capacity).

11.
11.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when applying for flexible working arrangements; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in the application of flexible working arrangements.

11.2

An equality impact assessment for this policy will be completed every three years. Policy Approved: Review By: April 2010 April 2012

171

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Annex 1

Models of flexible working Guidance to job sharing 1.

1.1

Definition
Job sharing is an arrangement which normally involves two people who voluntarily share the duties and responsibilities of an established full-time post. This requires co-ordination and collaboration between the job share partners to ensure that the whole job is done. Each sharer undertakes a proportion of the duties and responsibilities of the post and pay and conditions of service are shared pro rata according to the number of hours worked unless specified otherwise in this document. Separate contracts are issued to each sharer.

2.
2.1

Designation of posts for job sharing

All established posts will be eligible for consideration for job sharing. It is the responsibility of the existing employee(s) and/or the relevant representative to demonstrate to the appropriate manager that job sharing is suitable and practicable for a particular post. If an existing full-time employee wishes to job share, they should apply in writing to their manager in the first instance. The manager will discuss the proposed arrangements with the employee(s) concerned and forward details to the appropriate director for joint consideration. Advice on the suitability of the post for job sharing will be obtained from the manager. When a full-time post is vacant, job sharing will always be considered. Where an existing full-time employee has received approval for their post to be designated for job sharing, the post will be advertised as a vacancy for a job share partner. Shortlisted candidates will be given the opportunity to meet the existing postholder in advance of the formal interview. Selection will be made on the basis of suitability for the post and appointment will be subject to the precise working arrangements having been finalised in consultation with the existing postholder. In the case of a vacant full-time post, candidates will be asked to state whether they are applying to work with any job-share partner or if they are prepared to work only with a specific job sharing partner. Candidates who wish to job share will be interviewed separately and prospective job sharers will be given the opportunity to meet prior to a formal offer of appointment being made. No formal appointment shall be made until precise working arrangements have been finalised and agreed between the job share partners and the manager and drawn together into a written job share agreement.

2.2

2.3 2.4

2.5

2.6

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Annex 1 2.7 The individual job share agreement shall take account of operational requirements and constraints, the type of work involved and the special skills, knowledge and abilities required of the job share partners. The agreement should contain the following: the split of hours between partners; the need for length of any handover period between partners; annual leave constraints; public holidays and annual leave pro rata arrangements; degree of supervision; allocation of duties and distribution of work; such other items as need to be determined in writing; any arrangements around lease cars must be agreed prior to the job share arrangements being put into practice.

3.
3.1

Inability to recruit a job share partner

If, after advertisement and/or interview, no suitable job share partner is found, the post will be re-advertised where necessary including external advertising. If no suitable partner is found the following procedure shall apply: If the post had not previously been a job share, then the employee concerned will continue on the original contract and hours; If the post had previously been a job share, the remaining employee will be offered the post on a full-time basis or redeployment to another suitable post.

3.2 3.3

4.
4.1

Contract of employment
Job sharers will be appointed on individual contracts of employment and the provisions of the Job Sharing policy and the individual job share agreement relating to the post will form part of the contract. Where a post is converted from full-time to job share at the request of the existing postholder, an amended contract of employment will be issued. This will retain any service linked entitlements as appropriate. Job sharers will be individually responsible to the relevant manager for their own duties and attendance.

4.2

4.3

5.
5.1

Salary
Job sharers will receive the appropriate rate for the post calculated pro rata to the actual number of hours worked.

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Annex 1 5.2 The starting salary and incremental progression will be on an individual basis within the grade for the post, according to length of previous relevant service.

6.
6.1

Pension scheme
All employees are eligible to join/remain in the NHS Pensions Scheme unless they opt out.

7.
7.1

Annual leave
This will be pro rata to the full-time entitlement. Job sharers should agree with their line manager as part of the job share agreement whether it is preferable for them to take leave separately or simultaneously, wherever possible. They should also consult with each other before submitting a formal leave request.

8.
8.1

Bank Holidays/Statutory Days

These will be applied pro rata to the hours worked and should be equally distributed where possible. Job sharers may be required to redistribute working hours as the need arises in order to avoid an imbalance of bank holidays, and these arrangements will form part of the job share agreement/contract of employment.

9.
9.1

Other leave
All entitlements associated with length of service, such as sick pay, long service leave and maternity leave will be calculated on an individual basis.

10.
10.1

Hours of work
The job share partners may undertake their duties by working a divided week (such as mornings/afternoons or specific days of the week) or alternate weeks by mutual agreement and approval by the manager. If a flexible working hours arrangement exists in the department concerned, the job sharers may work flexible hours only with the specific consent of the manager. Where the full-time post entails on-call or standby working arrangements, this commitment will be shared equally between the job share partners.

10.2

11.
11.1

Cover arrangements
There will be no compulsory requirement on a job share partner to work additional hours to cover their partners short term absence during periods of sickness or leave. However, the remaining job share partner may be required within the terms and hours of their job share agreement to undertake specific tasks normally undertaken by the absent partner until suitable alternative arrangements can be made. Additional hours may be offered at the discretion of the manager.

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Annex 1

12.
12.1

Additional hours
A job sharer who is required to work in excess of their contracted hours but below whole-time shall be paid at the basic hourly rate for the additional hours or qualify for time in lieu appropriate to their individual terms and conditions of employment. If the job sharer agrees to cover the post on a whole-time basis in an emergency, any additional hours worked beyond the whole-time hours for the grade would be paid at enhanced rates unless time off in lieu was taken.

13.
13.1

Grading
The grading of a job share post will relate to all sharers employed against it. Any review of the grading of a post will assess the whole post and not the duties of an individual employee against part of it.

14.
14.1

Car user classification

Eligibility for reimbursement of mileage expenses or for a lease car will be determined for each partner in accordance with the South West Strategic Health Authority policy on travelling expenses.

15.
15.1

Training and promotion

Each sharer will be considered separately in respect of training and promotion opportunities.

16.
16.1

Termination of job share

If one partner in an existing job share resigns from their post, the manager will review whether the job share shall continue. The views of the remaining partner will be sought. If continuation of the job share arrangement is agreed, the recruitment procedure above will apply. If it is decided that the job share arrangement will not continue, the procedure under section 4, contract of employment will apply. In the event of an alteration in operational requirements, the manager seeking advice from the Human Resources team retains the right to terminate the job share agreement by giving notice to both job sharers according to their contract. If a job share arrangement is terminated, the individual job sharers shall have the right to appeal against the decision by an interview with the manager and the appropriate Director. They shall be each entitled to be accompanied by a friend or representative if they so wish.

16.2

16.3

17.
17.1

Grievances
In cases of dispute over the application of this procedure, reference may be made to the South West Strategic Health Authority Grievance policy.

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Annex 2

Guidance on remote and home working 1.

1.1

Definitions
Regular Home Working is where an employee makes use of their home as a workplace instead of, or as well as the premises of the South West Strategic Health Authority. This can alleviate pressure on accommodation, help avoid unnecessary travel and help with travel to work difficulties. Occasional Home Working is where employees are able to take advantage of working from home for short periods with the agreement of their Director (or delegated authority). The principle of this is to enable the employee to have greater control over how and when they work. Remote workers are staff who predominantly work away from a main office base, and who have infrequent contact with their line manager (for example staff based from home). Remote workers need to complete timesheets to enable the Strategic Heath Authority to comply with Audit requirements. Circumstances where home and/or remote working may be appropriate include: when staff are out of the office for a part of the day on official business involving visits to establishments in the course of their work, such as NHS Trusts, Primary Care Trusts, educational institutions, stakeholder organisations and attending national meetings and driving to the South West Strategic Health Authority headquarters for the remainder of the working day would take up a disproportional amount of time, or not be achievable within the working day; where exceptional skills would be lost to the South West Strategic Health Authority because an employee could not travel to the headquarters without detriment to their health and safety, personal/family life or effective working; where a local presence is required to fulfil the obligations of the South West Strategic Health Authority; when staff are recovering from a period of sickness and are returning to work under a staged arrangement (see the Absence Management policy); when staff have a circumstance, which makes it difficult for them to travel to the South West Strategic Health Authority headquarters, such as domestic emergency (see also Family Friendly policy).

1.2

1.3

1.4 1.5

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Annex 2 Eligibility 1.6 Not all posts will be suitable for home working, occasional home working, or remote working. The Director (or delegated authority), in consultation with the employee, should carefully balance the advantages and disadvantages before agreeing that a staff member can work from home. For example, absence from the workplace may create problems for others in the Directorate. With this in mind, a trial period is advised in order to highlight any potential difficulties. No arrangement would be agreed where it prevented the employee from meeting the requirement to be available at South West Strategic Health Authority headquarters on designated corporate days. Conditions and Considerations 1.8 If it is agreed that an employee can work from home or from an alternative work base approved by the South West Strategic Health Authority, the following issues need to be considered: the place of work should be adequate in terms of space and lighting, should be able to accommodate any equipment required and be conducive to work; that Directors and Senior Managers will always, and other staff sometimes, be required to attend at the South West Strategic Health Authority headquarters on the designated corporate days and on any other occasion requiring their presence at the headquarters; employees working at home will be expected to work the same number of hours as they would normally; no employee will work at home without the full knowledge and permission of their line manager; diaries or electronic schedules will be available so that the whereabouts of staff can be monitored for line management and health and safety purposes and Directors can be contacted speedily when required; staff on home working or remote working arrangements must be contactable by telephone/mobile at all times and the relevant telephone numbers must be advised to the line manager, key staff within the Directorate, Reception staff and Personal Assistants of Directors;

1.7

178

Annex 2 wherever appropriate, meetings should be arranged to take place in the premises of the South West Strategic Health Authority, including accommodation secured in other organisation premises. Where, exceptionally, the meeting is held at the home of an employee or in single occupancy remote working premises, then at least three people should be present of whom two will, ideally, be employees of the South West Strategic Health Authority; staff working remotely or at home should report any untoward incidents or matters of concern to their line manager or the Human Resources team as soon as is reasonably practicable; employees working from home may be required to work at other locations on an ad-hoc basis in response to conferences, meetings or team based project work. Arrangements should be flexible enough to allow for this; any equipment provided by the South West Strategic Health Authority for home use should be recorded and returned once the arrangement/contract ends; conditions under which any expenses associated with Home Working such as telephone and postage are paid should be agreed with the Director; the employee must be able to retain security and confidentiality of documents within the home and comply with information technology security and data protection requirements; the Health and Safety at Work Act 1974 applies even if staff are working from home. This means that the employee should ensure that work is carried out without risk to self or others. The South West Strategic Health Authority has an obligation to ensure the health, safety and welfare of its employees. This will involve carrying out a risk assessment and DSE Workplace assessment of the proposed area of work and any equipment to ensure the safety of the employee and his/her family (please see the Information Technology Systems Security policy and procedures); the following guidelines on levels of practical and financial support may be considered and applied, although additional alternatives could be devised to arrive at an agreed level of support to facilitate home working: level 1: Casual working from home, five to ten hours per week. Employee uses a dial up facility connecting via the 0800 number, using equipment issued for day-to-day mobile working;

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Annex 2 level 2: Casual working from home. Not based at home but connecting for more than ten hours per week. Employee uses a Broadband connection for which they pay, with a financial contribution of 15 per month from the budget of the Directorate; level 3: Regular home worker and based at home, using a dedicated telephone line to connect via Broadband for business use. The budget of the Directorate will pay up to 30 per month for the Broadband connection, plus the phone line rental and the cost of business voice calls (additional telephone line rental costs could be optional at this level if staff agree to convert their existing phone line for use as a Broadband connection private or business voice calls can be made whilst using the Broadband connection). the Director of the employee will be provided with an estimate of cost, in order to approve all home working arrangements in their Directorate. Liaison with IM and T must take place at an early stage to ensure that the information technology and supply arrangements are properly planned and implemented; if an employee routinely works at home, issues such as insurance, council tax and taxation may need to be considered. Domestic insurance and council tax rates may be affected if an individual frequently works from home. If employees are required by the South West Strategic Health Authority to work from home, they may be entitled to tax relief on outgoings such as heating, lighting, and so on. The employee should take advice from the appropriate authorities. Staff must advise their home insurance company that they regularly work from home to ensure that they have the appropriate cover. Failure to do this may invalidate an insurance claim if an accident happens whilst the employee is doing work on behalf of the South West Strategic Health Authority; staff are required to advise illness in accordance with the Sickness Absence policy of the South West Strategic Health Authority.

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Annex 3

Guidance on flexi-working
1. 1.1 1.2 1.3 Definitions Flexi-working allows staff to work contracted hours in a flexible manner whilst ensuring that the needs of the service are not disadvantaged. Flexi-working can be applied to all staff, although there may be difficulties in areas such as Reception, where consistent and continuous cover is required. The Working Time Regulations state that individuals should not work more than forty eight hours per week, averaged over seventeen weeks, unless they opt out from these Regulations. However, the South West Strategic Health Authority believes that for staff to work at their best the regulations should be adhered to and therefore cumulative hours should not exceed forty eight hours per week. Eligibility 1.4 All staff are eligible to be considered for flexi-working, including part-time staff. Flexi-time working presents staff with the opportunity to arrange part of the working day to suit their own particular circumstances and needs. However, a prerequisite of the flexi-time working scheme is that the service to the public and organisations reliant on the South West Strategic Health Authority is not affected in a detrimental way. Terms and conditions 1.5 1.6 The option to work on a flexi-time basis is subject to the needs of the service and agreement with line managers. Part-time staff may use flexi-time on a pro-rata basis if agreed with their line manager. With regard to core working time, staff are able to start work any time between 7.30 am and 10.00 am and finish work any time between 4.00 pm and 6.30 pm provided they are at work during the core times of 10.00 am to 12.00 noon and from 2.15 pm to 4.00 pm (Annex 4 illustrates this). Staff will only be able to claim flexi-time between 7.30am and 6.30pm. Hours worked outside of these times will not count for flexi-time, but as overtime or time off in lieu if staff have been required to work these hours with prior agreement with their line manager. Staff working flexi-time who are contracted to work full time (37.5 hours per week) should have worked 150 hours at the end of a four-week period. Staff working flexi-time are required to maintain an up to date record of their working hours on the flexi-time form which can be found on the Human Resources intranet site and this must be submitted within one month of completion. A false entry on a time record will be considered an act of gross misconduct and the employee will be subject to disciplinary action, which could lead to dismissal.

1.7 1.8

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Annex 3 1.9 If the employee has worked for more than 150 hours over the four week period, the extra time is rounded down to the nearest 15 minutes and deducted from the 150 hours the employee would have to have worked in the subsequent four-week period. If the employee has worked for less than 150 hours, the lost time is rounded down to the nearest 15 minutes and added to the 150 hours the employee would have to have worked in the subsequent four week period. An employee is allowed to accumulate a maximum of fifteen hours credit or seven and a half hours debit to take forward to the subsequent four week period. No more than two days leave may be taken in any four week period as a result of flexi-time, unless agreed with their line manager. Employees leaving the South West Strategic Health Authority must bring their credit or debit hours to zero, or the outstanding debit balance will be deducted from the final salary. Managers are responsible for monitoring the flexi-time process. All absences from work are counted on the basis of a normal working day. A day consists of seven hours and 30 minutes and a half day is three hours and 45 minutes, however, flexi-time can also be taken in blocks of 1 hour. Appointments such as with a doctor or dentist within work time should be avoided. When this is not possible, the employee must inform their line manager and the time will be deducted from the flexi-time record. However, hospital appointments are an exception and these can be taken with working time.

1.10

1.11

1.12 1.13

1.14 1.15

1.16

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Annex 4

Guidance on annualised hours 1.

1.1 1.2

Definition
Under the system of annualised hours, staff are contracted to work a set number of hours in a year rather than in a week. The hours worked are calculated on a yearly basis rather than weekly. Full time hours are 1950 hours a year, which is the equivalent of 37.5 hours per week, the normal weekly hours for that post. Employees would receive the same monthly salary and any additional hours that are worked would be paid on a monthly basis. Eligibility

1.3

1.4

All staff are eligible to be considered under this policy. However annualised hours are offered at the discretion of the South West Strategic Health Authority and may not be suitable for everyone. Conditions and considerations

1.5

Hours worked are monitored on a quarterly basis by the manager of the employee. Any hours worked in excess of the contracted hours can be bought back, or can be carried over to the next quarter, subject to approval by the Director. If hours are owed at the end of a quarter they are carried forward to the next quarter. Hours worked should be recorded on a timesheet and regularly monitored by the line manager to ensure that the contract is fulfilled. Annual leave should be calculated in hours. The number of weeks entitlement should be multiplied by the contracted hours per week. If an employee is absent due to sickness of up to one month, the number of hours recorded as sickness will be whatever they had been requested to work that week. If a staff member is absent due to sickness more than one month or takes annual leave, the number of hours recorded will be the average weekly contracted hours for the job, that is, 1/52 of the annualised hours. At the end of the final quarter any deficit in contracted hours must be paid back.

1.6 1.7 1.8

1.9

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South West Strategic Health Authority Core and non core hours
7.30 am 10am 10.00 am 12 noon 12.00 noon 2.15pm 2.15 pm 4.15pm 4.15 pm 6.30 pm

Non-Core Start time is flexible

Core Time Attendance required

Non Core At least a 30 minute lunch break must be taken between 12.00 noon and 2.15 pm

Core Time Attendance Required

Non Core Finish time is flexible

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Appendix 9

Grievance Policy

This appendix sets out the revised Grievance Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Grievance Policy 1.

1.1 1.2

Introduction
The purpose of this policy is to ensure that all grievances are settled in a fair, reasonable and consistent manner. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. The policy and procedures provide a mechanism for employees to raise any grievances arising from their employment with their managers. This includes concerns from an employee about action the employer has already taken or is proposing to take in relation to them. These may include: a change in the terms and conditions of employment; the introduction of new working practices; organisational change; discrimination; bullying; harassment; equal opportunities; health and safety.

1.3

1.4

2.
2.1 2.2 2.3

Scope of the policy

This policy describes the process to be followed to address any individual or collective grievances. An individual grievance is a concern, problem or complaint that one employee raises with their employer. A collective grievance is a concern, problem or complaint raised by two or more employees with their employer.

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2.4 2.5

The procedure for dealing with individual and collective grievances is the same. In the event of a collective grievance not being resolved internally, the South West Strategic Health Authority may refer the grievance to an independent body such as the Advisory Conciliation and Arbitration Service (ACAS) for conciliation. Appeals against the grading of posts will be dealt with in accordance with the Agenda for Change Terms and Conditions of Service Handbook.

2.6

3.
3.1 3.2 3.3

Policy principles
This policy exists to enable employees to raise any concerns, problems or complaints with their managers. The aim is that all grievances will be resolved quickly, fairly and at a local level with the opportunity to appeal to a higher level if necessary. The South West Strategic Health Authority recognises that all employees have the right to: be represented at all stages by a Trade Union representative or work colleague (not acting in a legal capacity); (Annex 2) have appropriate support offered if the employee or their representative has a disability or if English is not their first language.

3.4

Whilst a grievance is being considered under this procedure the working and management arrangements (which may have given rise to the complaint) will continue until a resolution is reached or the procedure exhausted. If service delivery or health and safety are likely to be compromised alternative working arrangements may be agreed. In cases where it is inappropriate to submit the grievance to the person identified (see section 4.0, overview of the procedure), a suitable alternative person should be advised by Human Resources in discussion with the Trade Union representative and relevant Director. Grievances should normally be made in writing using the Notification of Grievance form which can be found on the Human Resources intranet site. However an employee may choose to inform their manager verbally of the basis of their grievance, in which case the manager should document the discussion on the Notification of Grievance form and agree the content with the employee. Written statements from employees, including letters of resignation, that detail employee complaints will be dealt with under this policy.

3.5

3.6

3.7

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3.8

The policy may be implemented at either the first or second stage if the nature of the grievance warrants such action. The level that the grievance will be heard at will be determined by the receiving manager and a senior member of the Human Resources team. Where an individual has left the employment of the South West Strategic Health Authority the modified procedure (Annex 1) can be followed subject to written agreement by both parties or in situations where it is not reasonably practical for one or other party to carry out the standard procedure. In the event of a grievance being raised during a disciplinary process, advice must be sought from Human Resources as to whether the disciplinary process could be suspended whilst the grievance is investigated or the grievance may be investigated and heard concurrently if it is an integral part of the disciplinary investigation. Grievance proceedings can be sensitive or controversial in nature, it is important that all information discussed as part of the grievance be kept confidential by all parties. All reference to days in this policy means calendar days. The time limits referred to in this policy may be varied by mutual agreement. Written records should be kept at all stages of the grievance policy and procedure. These should include: the nature of the grievance raised; a copy of the written grievance; the employers response; action taken; the reasons for action taken; if an appeal was lodged; the outcome of the appeal; any subsequent developments.

3.9

3.10

3.11

3.12 3.13

3.14

Copies of meeting records should be given to the employee including any formal minutes that may have been taken; in exceptional circumstances (for example to protect a witness) the employer might withhold some information. If a grievance is raised against a third party, the South West Strategic Health Authority shall take the grievance as far as is possible and action taken to inform the third party of the grievance and the outcome. In some cases it may be necessary to investigate the allegations (Annex 3).

3.15

3.16

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4.

Overview of the procedure

Level Grievance Heard by: Manager to acknowledge & convene a meeting in fourteen days Period to lodge grievance at next stage fourteen days fourteen days

First Stage Second Stage

Third Stage

Line manager of the employee Associate Director or fourteen days Director of the employee and Human Resources Representative Director or Chief six weeks Executive (or nominee) and two Board Members* Human Resources Representative Secretary to the Panel *At least one of the Board members will be a Non-Executive Director who will chair the panel.

no further appeal. (see paragraph 2.5 for collective grievances)

5.
5.1

Grievance Procedure
First Stage Informal: on receiving a grievance, the manager should acknowledge receipt in writing and invite the employee to a private meeting as soon as is reasonably practical and within fourteen days; the employee will have the right to be accompanied (see 3.3) and the manager should work with the chosen representative to find a suitable date and time for the meeting so long as it is no more than five days after the original date; this is an informal meeting during which discussion may lead to an amicable resolution; the employee will have the opportunity to restate their grievance, call any witnesses they wish to and to make suggestions as to how the grievance could be resolved. It should be recognised that a grievance is often the last resort for an employee;

188

during the meeting, the manager may decide that they need to carry out further investigation in to the grievance or consult with others as how to progress the grievance. In this instance the meeting should be adjourned to enable these steps to take place; the manager will keep a written record of the main discussion points of any subsequent meetings; the manager will arrange a further meeting with the employee and their representative. At this meeting they will share with them the main discussion points of their meetings; the manager will then discuss the outcome with the employee and their representative and record the agreed outcome. A copy of this will be sent to the employee, no later than seven days after the initial meeting and a copy retained on their personal file, together with the Notification of Grievance form; it is anticipated that most day to day problems and grievances can be dealt with satisfactorily through this informal stage. In the event of non resolution the employee has the right to invoke further stages in the procedure; in order to do this, they must write to their Director within fourteen days of receipt of the letter confirming the outcome of the first stage. They must state clearly their reasons for referring the matter to the next stage of the grievance procedure.

5.2

Second stage formal: on receiving a grievance, the Associate Director or Director should acknowledge receipt in writing and invite the employee to a private meeting as soon as is reasonably practical and within fourteen days; the employee will have the right to be accompanied (see Annex 2) and the Associate Director or Director should work with the chosen representative to find a suitable date and time for the meeting so long as it is no more than five days after the original date; this is a formal meeting during which discussion may lead to an amicable resolution; the employee will have the opportunity to restate their grievance, call any witnesses they wish to and to make suggestions as to how the grievance could be resolved; during the meeting, the Associate Director or Director may decide that they need to carry out further investigation in to the grievance or consult with others as how to progress the grievance. In this instance the meeting should be adjourned to enable these steps to take place;

189

the Associate Director or Director will keep a written record of the main discussion points of any subsequent meetings; the Associate Director or Director will arrange a further meeting with the employee and their representative. At this meeting they will share with them the main discussion points of their meetings; the Associate Director or Director will then discuss the outcome with the employee and their representative and record the agreed outcome. A copy of this will be sent to the employee, no later than seven days after initial meeting, and a copy retained on their personal file, together with the Notification of Grievance form; in the event of non resolution the employee has the right to use a further stage in the procedure.

5.3

Third stage Appeal: the Director or Chief Executive (or nominated deputy) will acknowledge receipt of the grievance and convene a panel (as detailed in 4.0) as soon as is reasonably practical and within six weeks of receipt of the grievance letter; the employee will be required to provide a written statement of the grounds on which the management action is being contested, in advance of the panel hearing to enable the management side to draft their response; the management representative will submit a written statement setting out the reasons why they reached their decision and will include in the statement a copy of the letter confirming the decision reached at the second Stage; the panel will be provided with these statements no later than seven days before the hearing. The statements, together with the copies of all relevant correspondence relating to the grievance will be circulated to all parties and the Panel members; the case for the employee shall be presented by the employee and/or their representative. The employee may be questioned by the Panel members; the case for the management will be presented by the manager who heard the grievance at the previous stage. The manager may be questioned by the Panel members and management, the employee and/or their representative; the two parties are entitled to bring before the panel such witnesses as they deem necessary to support their case. The respective parties are responsible for the attendance of their witnesses;

190

witnesses for the two parties should wait in separate waiting rooms where possible and should not be present at any part of the hearing, except where they are giving evidence; it is usual for witnesses to be questioned by both parties and by Panel members. The Chair will decide on the admissibility of questions and evidence and all questions should be formally put through them; the employee and/or their representative may ask questions of their own witnesses, the manager and their witnesses; the manager may ask questions of their own witnesses, the employee and their witnesses; the two parties will have the opportunity to sum up their cases, the employee first. During this summing up, no new evidence can be produced; the decision of the Appeal Panel will be confirmed in writing to both parties within seven days; the decision of the Appeal Panel represents the final stage of the internal procedure.

5.4

In order to do this, they must write to the Director or Chief Executive within fourteen days of receipt of the letter confirming the outcome of the second stage. They must state clearly their reasons for referring the matter to the next stage of the grievance procedure.

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when being involved with the Grievance procedure; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in managing grievance.

6.2

An impact assessment for this policy will be completed every three years. April 2010 April 2012

Policy Approved: Review By:

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192

Annex 1

The modified grievance procedure

The modified grievance procedure can be used when the following conditions are met: 1. The employee has ceased to be employed by the South West Strategic Health Authority. The South West Strategic Health Authority was either: unaware of the grievance before employment ceased or; aware of the grievance before employment ceased but the standard grievance procedure was not started or was not completed before the last day of the employees employment.

2.

3.

The South West Strategic Health Authority and the employee have agreed in writing, either before, on or after the employees employment ended (but after the Authority had become aware of the grievance) that the modified procedure should apply. Process

4.

First Stage: The ex-employee must send a written statement of grievance and the basis of the grievance to the Human Resources team. Second Stage: The Authority must reply to the ex-employee in writing giving their response to the points raised within seven days.

5.

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Guidance note on the role of the representative

1. The employee may wish to be represented, this representative must be a Trade Union representative or work colleague (not acting in a legal capacity). The employee should inform the Manager of who they have chosen to be their representative as it is sometimes helpful for the Manager to make contact with the representative before the meeting. The role of the representative is to: 4. support the individual; make the views of the employee known to the employer; make the views of the employer known to the employee; have a say at meetings/hearings to put the employees case across; sum up the employees case at hearings; respond on behalf of the employee to any view expressed at the meeting.

2.

3.

The representative may confer with the employee during the meeting and may participate fully in the meeting, including asking witnesses questions. The representative has no right to answer questions on behalf of the employee, or to address the meeting if the employee does not wish it. An employee who has agreed to represent a colleague will be entitled to take a reasonable amount of paid time off to fulfil their responsibility. They will also be given reasonable time to familiarise themselves with the case and confer with their colleague before and after the grievance meetings.

5.

194

Guidance note on investigating a grievance

1.1 In some cases it will be necessary to investigate the allegation and take statements from those involved. This should be undertaken discreetly and without breaching confidences. If the line manager of the employee is unable to investigate the grievance, the Director should decide who is appropriate to undertake the investigation. The manner in which the investigation is conducted, information obtained and the method of presentation will depend on individual circumstances. Sometimes it will be appropriate to obtain written statements and call witnesses to give evidence. If the investigation takes longer than the prescribed time periods, progress should be reviewed at fourteen day intervals and the employee should be notified of this in writing.

1.2

1.3

1.4

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Appendix 10

Health and Wellbeing Policy

This appendix sets out the revised Health and Wellbeing Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Health and Wellbeing Policy 1.

1.1

Introduction
The South West Strategic Health Authority is committed to ensuring Health and Wellbeing is there for all employees by providing a supportive, fit for purpose working environment. The Health and Wellbeing policy addresses a number of areas where employees are provided and offered support: alcohol and drugs; eye tests; health problems and disability; no smoking; occupational health; stress management.

1.2

1.3

This policy should be read in conjunction with: Absence Management policy; Appraisal policy; Dignity at Work policy; Disciplinary policy; Grievance policy; Organisational Change policy; Performance Improvement policy; Recruitment policy.

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2.

Stress management
Introduction

2.1

The South West Strategic Health Authority is committed to maintaining a healthy and safe working environment for all its employees. It recognises that this duty of care extends to mental health as well as physical health at work. Mental health problems have many causes, including stresses in the workplace and in the life of employees away from work. The South West Strategic Health Authority is committed to identifying sources of excessive stress in the workplace and taking action to reduce them. Definition of stress

2.2

2.3

The Health and Safety Executive defines stress at work as follows: the adverse reaction people have to excessive pressures or other types of demands placed on them. The ACAS guide Stress at Work states that positive pressure which can lead to improved motivation, job satisfaction and performance, should not be confused with the harmful affects of pressure that is beyond a persons ability to cope. Annex 1 sets out the main causes of stress and action that can be taken to address the situation. The legal position

2.4

2.5

2.6

There is no specific law on controlling stress at work, but broad health and safety law applies: under the Health and Safety at Work Act 1974 employers have a duty to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all their employees; under the Management of Health and Safety at Work Regulations 1999 employers have a duty to assess the health and safety risks to which their employees are exposed at work; *stress risk management forms are held on the intranet) under the Disability Discrimination Act 1995 employers have a duty not to discriminate against employees on account of their disability as defined under the Act. This involves making reasonable adjustments to the workplace or to the way the work is done, if the existing working arrangements or physical features place the disabled person concerned at a substantial disadvantage. Ill health arising from, or exacerbated by, stress at work may constitute a disability under the Act.

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2.7

Ill health resulting from stress caused at work has to be treated in the same way as ill health due to physical causes in the workplace. This means that employers do have a legal duty to take reasonable care to ensure that health is not put at risk through excessive and sustained levels of stress arising from the way work is organised, or from the day to day demands placed on their workforce. Aims and objectives

2.8

The aims and objectives of this Stress Management procedure are: to increase general awareness of stress and methods to prevent and combat harmful, excessive work place stress through training initiatives for Directors and managers; to take action to combat and prevent workplace stress; to assist staff in managing stress in others and themselves; to manage problems that do occur and provide a confidential referral service; to manage the return to work of those who have had stress related problems; to monitor and evaluate stress indicators.

Recruitment and selection 2.9 The full range of tasks and demands of a post should be set out clearly in the job description and person specification which is sent out to all prospective candidates. Areas of potential pressure and stress should be identified and discussed in the interview process. Where appropriate, referees should be asked specific questions about candidates ability to deal with stressful situations. For posts where it is recognised that a higher than normal level of pressure and stress exists, candidates tolerance to stress should become an important factor in the selection process. Induction 2.11 All new staff must receive induction into their new posts, whether they are newly appointed or are existing employees who have moved into a different post, seconded or temporary. Starting a new job can be stressful and a planned programme of activity will help to eliminate many concerns. Prevention of stress 2.12 The South West Strategic Health Authority recognises that the most effective way of tackling harmful, excessive work place stress is to prevent it at source, as part of a coherent overall prevention policy, covering a range of issues. This includes continuous review of Human Resources policies, improving communication systems, redesigning jobs or continuing to encourage decision making and autonomy.

2.10

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2.13 2.14

Early recognition of problems and encouragement of self-reporting before stress becomes harmful is important. Precise prevention strategies will vary. These can be assessed through induction, appraisal, exit information as well as through stress-related sickness, turnover rates and the annual staff survey. Some of the ways in which the South West Strategic Health Authority aims to create a healthy and supportive network/environment include: the development of a supportive organisational climate where stress is not perceived as a sign of weakness or incompetence; working to remove the stigma frequently attached to those adversely affected by stress and maximise the support available to staff. Managers and directors have a crucial role in this respect; a demonstrable commitment to the issue of stress and mental health at work. This will require a dismantling of cultural norms within the organisation which inherently promote stress. One example would be employees who feel they have to work excessively long hours and feel guilty about leaving on time; informing employees of sources of support and advice within the organisation; extending and improving the inter-personal skills of Directors and managers so they convey a supportive attitude and can handle employee problems more comfortably; developing mechanisms to advise and support individuals when major organisational change is planned, during which either job changes or potential redundancies are a possibility; the continuation of the staff development and training that already exists, including: * * * mentoring; various courses covering inter-personal skills and management; stress management workshops with the aim of teaching individuals stress management skills and the ability to monitor and manage stress levels in themselves, their staff and colleagues.

2.15

Early detection of stress 2.16 To increase the early detection of stress, managers should: discuss workload and other stress related factors in the Appraisal; check if work performance is impaired by stress so that problems can be resolved (such as by reviewing the person's duties);

200

consult the Human Resources team or the Occupational Health Service for advice.

Action to take if you feel under stress 2.17 Any member of staff who feels that they are under stress should: not allow stress to increase to a level where it becomes intolerable. By taking action early, it is possible to minimise the harmful effects of stress (see Guidance Note 1); speak (or write) to your immediate manager as soon as possible. They may be unaware of the stress you feel you are under and may be able to make changes which alleviate the situation; a fully confidential counselling service is available for staff. Staff interested in accessing this service should contact Somerset Occupational Health directly on 01823 345800; seek advice from the Human Resources team or the Occupational Health Service; seek support from an Employee Support Advisor if the stress is related to an issue of bullying or harassment; seek the advice and support of your representative body.

Management of stress 2.18 Where the above preventive mechanisms fail, stress related conditions should be recognised as soon as possible. Facilities should be available for discussion, advice and appropriate referral as necessary. Most individuals who develop stress related conditions make a full recovery, often without interruption to working lives. If time off has been required, it can be far more costly to retire an employee early on medical grounds, recruit and train a successor than to spend time easing an individual back to work. The South West Strategic Health Authority will provide confidential support via the Human Resources team and the Occupational Health Service. Confidential and professional counselling services for any employees who are experiencing problems in their workplace can be sought via the Human Resources team or direct from Occupational Health. When employees are absent from work as a result of stress, the return to work is also likely to be a stressful experience. Employees are encouraged to discuss their return to work with their manager. A manageable programme of work has to be worked out with the individual and the manager. If a referral to the Occupational Health Service has not already been made, this would be an appropriate time so that fitness to return to work may be assessed and advice given on reasonable measures to be taken to avoid a recurrence of stress.

2.19

2.20

2.21

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Monitoring and evaluation 2.22 The measurement of levels of stress is complex. There are no simple measures which can be used as direct indicators of levels of stress. However, it is important that the South West Strategic Health Authority is committed to monitoring potential indicators of stress so that both potential problems and variability in stress can be identified. It is important to monitor potential indicators of stress such as: accident rate; early retirement records; exit information; sickness absence; turnover.

3.

Health problems and disability in employment

Introduction

3.1

The purpose of the Health Problems and Disability in Employment procedure is to: ensure the South West Strategic Health Authority and all its staff adhere to the employment requirements of the Disability Discrimination Act 1995 and its underlying philosophy of eradicating workplace discrimination against people with a health problem or disability; demonstrate commitment to equal opportunities by the South West Strategic Health Authority; ensure that people with a health problem or disability are not deliberately or inadvertently excluded from or disadvantaged in employment.

Guidance on health problems and disability in employment 3.2 The Executive Board of the South West Strategic Health Authority has adopted this policy statement as a public commitment to facilitating the important rights of disabled people and those with health problems not to suffer discrimination in: 3.3 access to employment opportunities; access to its service; employment;

The policy statement and operational procedures are informed by the requirements of the Disability Discrimination Act 1995 and by the following philosophy.

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3.4

For further advice see Guidance Note 2 on Financial Assistance available from Local Employment Services. Philosophy

3.5

The South West Strategic Health Authority believes that it should relate to every person who uses, provides or is otherwise involved with its services on the basis of his or her abilities rather than any disabilities. The South West Strategic Health Authority takes the view that, with appropriate action, a health problem or disability is irrelevant in most circumstances and that the main barriers to the full involvement of people with health problems or disabilities are: inappropriate stereotypes; lack of understanding; inappropriate or ill-informed attitudes.

3.6

The philosophy of the South West Strategic Health Authority is that all barriers and discrimination should be eliminated, wherever possible and in accordance with the requirements of the Disability Discrimination Act 1995. Expectations

3.7

The South West Strategic Health Authority is committed to carrying out good practice in this important aspect of our overall Equal Opportunities strategy and will take all appropriate action to ensure compliance with the Disability Discrimination Act 1995. Specifically, the South West Strategic Health Authority will: ensure that all its practices and activities are properly informed by and reflective of the principles and requirements of the Disability Discrimination Act 1995; ensure that people with health problems or disabilities are not unlawfully discriminated against, whether they are: visitors to South West Strategic Health Authority premises; employees or applicants for employment with the South West Strategic Health Authority; other service users/providers working in premises owned or occupied by the South West Strategic Health Authority;

actively promote the principles protected in the Disability Discrimination Act 1995, engaging all staff in the process through training to develop a full understanding of their individual and collective responsibilities.

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3.8

The South West Strategic Health Authority will undertake to: audit and monitor all aspects of the activity to ensure conformity with the provisions of the Disability Discrimination Act 1995 as individuals apply to the South West Strategic Health Authority; provide an annual update to the South West Strategic Health Authority Board, detailing activities in the preceding year; work with the local Employment Service Placing, Assessment and Counselling Team (PACT) to attain approval to promote and display in advertisements and other appropriate documents the Department of Employment symbol of good practice, the two ticks symbol.

Pre-employment Job specifications, job descriptions and advertisements 3.9 The job pack for all vacancies will include a job description, person specification and draft advertisement which do not contain requirements, whether explicit or by implication, which would exclude people with a health problem or disability from consideration. Application records 3.10 The usual format for application for any post will continue to be by application form. However, the South West Strategic Health Authority will make alternative arrangements where a person advises that their disability makes this necessary. The process will be as follows: advertisements to include the two tick symbol to indicate the South West Strategic Health Authority welcomes applications from people with a health problem or disability; application forms, which have been completed by a nominated person acting on behalf of the applicant will be accepted, but will require the applicant to confirm the accuracy of the content by adding their own signature or mark.

3.11

The letter sent (or verbal advice given by the appointing manager) to all applicants for employment will contain the following statement: The South West Strategic Health Authority is committed to the view that everybody should be judged on the basis of their abilities and that all appropriate adjustments, as defined by the Disability Discrimination Act 1995, should be made to allow someone with a disability to compete for a job on an equal basis with people who do not have a disability. If you think you have a particular need which may affect your ability to carry out the job you have applied for or you think you may need support or special arrangements at any interview, would you please enclose a covering letter with your application, or alternatively, please contact the Human Resources team at

204

the above number to give this information or to discuss any queries you may have. Shortlisting arrangements 3.12 The Human Resources Advisor will review all applications for each vacancy before sending the file to the appointing manager for shortlisting for interview. Where an applicant has given details of a health problem or disability which will/may affect the interview or employment arrangements (including making adjustments to premises, equipment), the Head of Human Resources will discuss the application with the appointing manager. The possible outcomes are as follows: that the applicant meets the minimum requirements for the post and that adjustments are necessary and practicable (including availability of financial and/or other resources) in relation to interview and selection processes, premises, equipment and working arrangements. The applicant and expert opinion should be consulted where necessary (for example, Occupational Health) and the Human Resources team will be responsible for ensuring that all the arrangements are in place; the Human Resources team will agree with the appointing manager any changes needed where a selection test or process would put the person with a health problem or disability at a disadvantage compared to the candidates without a health problem or disability. All applicants who have notified a health problem or disability and who, disregarding the nature or effect of their health problem or disability, meet the minimum job specification requirements and selection criteria for the post, will be shortlisted for interview; that the applicant does not meet the minimum requirements for the post, independently of the effect of their health problem or disability and will not therefore be shortlisted on those grounds alone; that a decision will be made that it is justifiable (as defined by the Disability Discrimination Act 1995) not to employ the person (and, therefore, not to offer an interview) on the grounds of the effects of their health problem or disability. This may involve further correspondence or discussion with the applicant before the final decision is made. The appointing manager is responsible for making the final decision in such a case, taking expert advice where necessary (for example, Occupational Health), and for communicating the reason and the decision to the applicant.

3.13

3.14

The selection and interview procedures will be adapted as appropriate and the applicant with the health problem or disability, and other applicants and staff if appropriate, will be advised of the arrangements.

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Interview arrangements 3.15 All interview and selection processes must be in accordance with the Human Resources Policies and Procedures of the South West Strategic Health Authority and with Equal Opportunities and related employment legislation. Subject to these requirements: questions should relate to all relevant experience rather than purely past work experience, recognising that many people with a health problem or disability have little work experience or have a fragmented work history, but could have transferable skills developed outside the workplace; the interviewing panel should make clear to the candidate that they are being judged on their abilities to do the job in question, regardless of any health problem or disability; discussion of any health problem or disability notified in advance or identified during the selection process or through notification from Occupational Health should take place, only if a decision to appoint an applicant with a health problem or disability has been taken and will be held at a time after all interviews for the post have been concluded. The candidate should be assured that the purpose of the discussion is to establish what adjustments, if any, would need to be made in order to facilitate their employment.

3.16

3.17

In all circumstances, the sensitivity of the issues and the actual, or possible, feelings of the applicant and of anyone who has attended to offer assistance in accordance with agreed arrangements should be considered. Agreeing adjustments on offer of appointment and making adjustments

3.18

Where an appointment is offered to and accepted by a person with a health problem or disability, there should be a further discussion (in person, by letter or by telephone as appropriate) to confirm finally: the adjustments needed and which of these must be completed before the employee can take up employment; what the interim arrangements would be, if appropriate, for the employee to take up the post but not to undertake duties for which adjustments were still outstanding; the timescale and process for the manager to meet with the employee after they have been in work for an appropriate period to review the adjustments made and to make any further changes needed and appropriate.

3.19

It is the responsibility of the appointing manager, taking advice from the Head of Human Resources and Occupational Health Department, when needed, to ensure that the adjustments are: put into effect in the first instance;

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 3.20

monitored to confirm their continuing suitability and any changes needed.

A flow checklist is attached as Annex 2 showing the steps to be followed to meet employer obligations under the Disability Discrimination Act 1995. Training

3.21

Managers with responsibility for the appointment of staff will be provided with training by the South West Strategic Health Authority in the application of this policy and will receive disability awareness training. During employment Terms of employment

3.22

The employee with a health problem or disability will not be appointed on terms and conditions less favourable than the terms and conditions applying to someone in the same role, who does not have a health problem or disability, notwithstanding adjustments made by the South West Strategic Health Authority. Monitoring database

3.23 3.24

All new starters with a health problem or disability will be registered on the database and existing staff will be invited to register. It will be the responsibility of the line manager to discuss and seek advice from the Head of Human Resources in the event of: any changes to the health problem or disability of the employee; any changes in the effects of that health problem or disability on the performance of the employee or ability to carry out their duties; any employee who has acquired a health problem or disability or been diagnosed as having a health problem or disability which may have an effect in due course; a past health problem or disability, as defined by the Disability Discrimination Act 1995, which has come to light; any suspicions that an employee may have acquired or chosen not to disclose a health problem or disability.

Regular reviews 3.25 Each appointing manager will meet on a voluntary basis with any employee with a health problem or disability to review the effectiveness of adjustments made, any change in the effect of the health problem or disability and will agree any new adjustments which may be needed.

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Equality of access to employment opportunities 3.26 The line manager will, with the agreement of the individual, as with other staff, use the Appraisal process to identify with any employee with a health problem or disability a joint action plan identifying: 3.27 what the career aspirations of the employee are and how these could be achieved; what factors could hamper this achievement and how these will be overcome or adjusted; the training and development needs of the employee and/or wishes, and how these could or will be met; what factors could hamper this and how these will be overcome or adjusted.

The South West Strategic Health Authority will make all reasonable adjustments necessary to the working environment to accommodate the particular needs of the individual concerned. Where the Appraisal informs any decisions on performance targets agreed and used to measure effectiveness, it must take due account of the current effects of the health problem or disability and of any relevant changes during the appraisal year. Redeployment because of a health problem or disability or changes in the effect of an existing health problem or disability

3.28

3.29

Where it is necessary to consider redeployment because an employee acquires a health problem or disability, or because of changes in the effect of an existing health problem or disability, then they will have the same rights as an employee at risk of redundancy. The rights will be equal and the person with a health problem or disability should be assessed in the first instance on the basis of ability to do the job, without regard to the effects of the health problem or disability unless it is already known and agreed that these are relevant and could not reasonably be overcome. Wherever possible, the South West Strategic Health Authority will seek redeployment to reasonable alternative work in preference to redundancy or dismissal. Health and safety

3.30

3.31

A person with a health problem or disability may need special consideration and/or adjustments in relation to health and safety procedures. The line manager should identify these through discussion with the individual and agree with the Health and Safety Officer of the South West Strategic Health Authority, or through Occupational Health, how these will be affected. Particular consideration needs to be given to the arrangements in the event of fire and may include: visual warning systems;

208

appointing a named person to assist the employee with a health problem or disability in the event of fire; informing the local fire station and police of the location of any person with mobility difficulties; hearing or visual disability.

Victimisation or bullying 3.32 Any allegation of victimisation or bullying of a person with a health problem or disability by another employee will be investigated in accordance with the Dignity at Work policy. Any action needed to be taken to prevent a recurrence of any bullying or victimisation will be overseen by the Head of Human Resources. Termination of employment 3.33 Where an employee with a health problem or disability resigns voluntarily from employment (as with other staff), the line manager should offer an exit interview to establish, as far as possible, the reasons for leaving employment, including any aspects around employment facilities/environment for those with health problems or disabilities. Where the effects of a health problem or disability are such that the South West Strategic Health Authority is unable to make further adjustments to facilitate continued employment (and no alternative post acceptable to the individual can be found) and the tests of justification defined by the Disability Discrimination Act 1995 apply, then the contract of employment may be terminated. This decision will be taken only after receiving professional advice from Occupational Health and from those with an expertise in the field of the health problem or disability. Discussions will be held with the employee concerned, in the presence of the Head of Human Resources and a Trade Union representative or work colleague (not acting in a legal capacity) so that they are fully aware of the proposed action and the reasons for it and what their rights are in terms of: 3.35 monetary entitlements on termination (NHS Superannuation Scheme benefits, pay in lieu of notice, holiday pay, unemployment/disability benefits); employment rights and the right to appeal against the decision to terminate the employment through the Disciplinary Appeal procedure.

3.34

The Head of Human Resources will be responsible for ensuring that the South West Strategic Health Authority meets its obligations and that all the relevant paperwork is completed.

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For reasons unconnected with the health problem or disability 3.36 The South West Strategic Health Authority may terminate the contract of employment of a person with a health problem or disability, without being guilty of discrimination under the terms of the Disability Discrimination Act 1995, where the reason for dismissal is unconnected with the health problem or disability and its effects and where the health problem or disability or its effects do not provide any mitigation of the circumstances which led to termination of the employment. Such a termination would take place in accordance with either the Performance Improvement policy, Organisational Change, Disciplinary or Absence Management policy of the South West Strategic Health Authority. Where an employee with a health problem or disability is at risk of redundancy, the normal redundancy and redeployment arrangements will be enhanced to take into account the obligations the South West Strategic Health Authority has to that person under the Disability Discrimination Act 1995.

3.37

4.

Alcohol and drugs misuse

Introduction

4.1 4.2

The purpose of this policy is to support any employee who has been identified with an alcohol or drug problem and also to support the manager of the employee. This policy outlines the role a manager should play when the performance, conduct or attendance of any member of staff is affected by continual or repeated drinking or drug abuse. Isolated incidents of alcohol or drug misuse should be dealt with through the disciplinary policy. An employee who is identified as a problem drinker or drug user will be treated with understanding, sympathy and fairness. Definitions

4.3

4.4

For the purposes of this policy: alcohol misuse is defined as the drinking of alcohol to the extent that it continuously or repeatedly adversely affects the work performance, conduct, attendance or normal behaviour at work of an employee; drug abuse is defined as the deliberate use of drugs for the purpose of intoxication or for any other reasons other than a genuine health reason.

4.5

This policy is not concerned with the use of drugs for legitimate purposes. Procedure

4.6

Employees who suspect or know that they have an alcohol or drug related problem are encouraged to seek help voluntarily through their manager, the Human Resources team, their general practitioner, the Occupational Health Service or any other appropriate agency, such as Alcoholics Anonymous.

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4.7

Where it is apparent or suspected that an individual may have an alcohol or drug problem, they should be referred by their manager to the Occupational Health Service for assessment, by contacting the Human Resource team. Confidentiality will be observed where an employee with a drink or drug problem requests advice or support. However, if the disciplinary route is applicable it may be necessary during the course of disciplinary interviews, appeals or Employment Tribunal hearings, to mention that help or treatment has been offered. The South West Strategic Health Authority reserves the right to require any employee suspected of having an alcohol or drug related problem to take sick leave pending further assessment. With the agreement of the manager absence from duty for assessment or treatment will be treated as sick leave. Rehabilitation

4.8

4.9

4.10

4.11

The employee will be permitted to return to their post after treatment if the South West Strategic Health Authority is satisfied that the employee is capable of working to the required standards, unless: to do so could prejudice complete and satisfactory recovery; the effect of the problem prior to treatment has affected the ability of the individual to such an extent that to continue in, or return to, the same post would be unacceptable to the South West Strategic Health Authority; where, because of organisational needs, the post no longer exists or has had to be filled.

4.12

If it proves impossible for an employee to return to the same post after treatment, the South West Strategic Health Authority will make every effort to offer an alternative post and allow the employee to be considered for other suitable vacancies. Should work performance, conduct or attendance deteriorate after the employee has returned to work, the South West Strategic Health Authority reserves the right to use the Disciplinary policy which could lead to the termination of employment. In certain cases, the South West Strategic Health Authority may support an application for early retirement on the grounds of ill health. Where an employee fails to accept or co-operate with treatment and their performance, conduct or attendance continues to be unsatisfactory, appropriate action will be taken under the Disciplinary policy of the South West Strategic Health Authority, which may include dismissal. Regular reviews

4.13

4.14 4.15

4.16

The performance of an employee receiving counselling and/or treatment should be regularly reviewed by their manager, at least at monthly intervals.

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4.17 4.18

The advice of the Occupational Health Service should be sought on the likely timescale for a return to full health. Action under this policy should usually be brought to a conclusion within six months of a problem first being recognised. Special conditions

4.19

The consumption of alcohol on the premises of the South West Strategic Health Authority is only allowed with the express approval of the Chairman or Chief Executive of the South West Strategic Health Authority and should be limited to festive celebrations, or occasionally, at leaving presentations. In granting approval the Chairman or Chief Executive must be satisfied that the amount of alcohol available will be strictly limited and that a senior member of staff will be present. Appropriate non-alcoholic beverages should also be available on these occasions. Aware that the consumption of alcohol can exacerbate inappropriate behaviour, employees involved in South West Strategic Health Authority social events should at all times behave courteously to others whether at the workplace or in a venue chosen by the organisation to host an event. Behaviour that is intimidating or threatening or unacceptable to another person will not be tolerated and the employee involved may be subject to the disciplinary procedure if such behaviour is exhibited. Responsibility of staff

4.20

4.21 4.22

Staff may render themselves subject to disciplinary action if it is suspected that their ability to undertake their duties is impaired by alcohol or drugs. Where staff are under medication from their doctor and have reason to believe that this may affect their performance at work, they must inform their manager of this in order that alternative arrangements can be made. The co-operation of all staff is required in the implementation of this policy. Appeals

4.23

If an employee receives a formal warning or has their employment terminated under this policy, they have a right of appeal in accordance with the provisions of the Disciplinary policy. The letter confirming the action taken should remind the employee of this right.

5.

Occupational Health Services

Introduction

5.1

The Occupational Health Service aims to promote and maintain the highest degree possible of physical, mental and social well being at work for all employees of the South West Strategic Health Authority. It is both a confidential and impartial service.

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5.2

The Occupational Health Service is in place primarily to give advice on all matters relating to the effect of health on work and work on health. It assists the South West Strategic Health Authority to discharge its obligations to protect the health and safety of all staff in line with Health and Safety Legislation and Department of Health guidelines.

6.

Services provided by Occupational Health Services to the South West Strategic Health Authority
Pre-employment health assessments

6.1

To ensure that those appointed are fit for the full range of duties of their post or appropriate adjustments recommended. Medical supervision Provided when necessary during employment, such as blood pressure checks. Immunisations

6.2

6.3

To provide protection at work as appropriate. Not available for travel immunisations although advice can be given. Sickness absence advice

6.4

Either formally through manager referral, or informally through manger referral, or self-referral. Phased return to work

6.5

Arrangements for a gradual return to work rehabilitation programme after a significant period of absence, working part-time but on full pay. This is monitored by the Occupational Health Service in conjunction with management following surgery, accident or serious illness. Environmental assessment and health surveillance

6.6

Advice given regarding use/handling of hazardous materials and regular health surveillance when and where indicated. Health and safety

6.7

Including general advice to employees and management regarding environmental and individual health and safety concerns. This includes, for example, advice regarding pregnant workers, work stations assessment. Health promotion

6.8

One to one support for staff wanting to lose weight, stop smoking, increase physical activity levels or manage stress.

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Counselling 6.9 Employees are entitled to up to six free counselling sessions. More may be available in exceptional circumstances. Self-referrals 6.10 Employees may refer themselves to the Occupational Health Service for advice and support on all matters regardless of whether or not the matters relate to work. Confidentiality 6.11 All information received from the Occupational Health Service will be treated in strict confidence. Statements to managers about the health of members of their staff by Occupational Health are agreed with the employee and are only made with the agreement of the member of staff concerned. The confidentiality of employees who self-refer themselves to the Occupational Health Service will be maintained. The Occupational Health Service will not provide any confidential information to the South West Strategic Health Authority that can be traced back to any individual. The South West Strategic Health Authority will treat all information held on employees as confidential and no information will be divulged to third parties without the prior consent of the individual concerned. Provider 6.14 The Occupational Health Service for the South West Strategic Health Authority is provided by: Daphne Marston Senior Occupational Health Nurse Occupational Health Department Yeovil District Hospital NHS Foundation Trust Higher Kingston Yeovil, Somerset BA21 4AT Tel: 01823 345815 Daphne.marston@tst.nhs.uk Further advice and support 6.15 Employees who require further advice or support may contact the Human Resources Advisor or the Head of Human Resources at the South West Strategic Health Authority.

6.12

6.13

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7.

No smoking
Introduction

7.1

All South West Strategic Health Authority owned and managed buildings are smoke free. This policy applies to all staff, visitors and contractors. Purpose

7.2

The smoking ban within all South West Strategic Health Authority buildings has been brought into effect for two key reasons: the South West Strategic Health Authority is concerned about the health and welfare of its employees. As a health employer it believes that it should discourage smokers from smoking in its buildings and, thereby, minimise the risk of passive smoking to non-smokers; as part of its corporate responsibility to develop non-smoking policies in hospitals and community sites within the NHS South West, the South West Strategic Health Authority needs to set an example for these, and other employees, to follow.

General points 7.3 Managers will be expected to counsel employees who experience problems in coming to terms with the policy and encourage them to seek assistance from the Health Promotion Department, the Stop Smoking Service or to a local Stop Smoking organisation. This policy extends to areas outside the South West Strategic Health Authority buildings, such as car parks and includes private vehicles parked on the premises of the South West Strategic Health Authority. It also extends to lease cars provided through the Authority. The policy should be regarded as applying when on Authority business such as in private cars when accompanied by work colleagues or at non NHS premises such as private homes, meeting venues etc. when accompanied by colleagues or in the presence of patients, carers or relatives. Failure to comply with any part of this policy will be deemed to be a disciplinary offence. The South West Strategic Health Authority will ensure that appropriate signs are posted at all entrances to Authority buildings and will also ensure that prospective employees are informed of the policy.

7.4

7.5 7.6

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8.

Eye tests, lenses and frames for display screen equipment users
Introduction

8.1

The South West Strategic Health Authority places a high value on maintaining the health and safety of all its employees. While work with Display Screen Equipment (DSE) may not cause any permanent damage to eyes or eyesight, complaints of temporary discomfort, eye strain and headaches are common. As with any work that is visually demanding, users with existing uncorrected vision defects are more likely to suffer fatigue and stress in DSE work. Definition of a user

8.2

The Health and Safety Regulations 1992 require that the South West Strategic Health Authority must determine which of its employees fall within the definition of a user. The guidance within the Regulations states that where use is more or less continuous on most days the employee will be deemed a user. An employee will also be classified as a user if most or all of the following criteria apply: the job cannot be done effectively or at all without Display Screen Equipment (DSE); the worker has no discretion over whether to use DSE; the job requires significant IT training or particular IT skills; the worker uses Display Screen Equipment for periods of an hour or more at a time, more or less on a daily basis; the task depends upon the fast transfer of information between the worker and Display Screen Equipment; attention and concentration demands are high, such as where there may be critical consequences of an error.

8.3

The South West Strategic Health Authority defines a user as an employee who uses Display Screen Equipment for three hours or more every day. Eye tests and spectacles

8.4

The Regulations require the South West Strategic Health Authority to offer its Display Screen Equipment users a free eye test and the cost of basic frames and lenses (this may include contact lenses) to be used for Display Screen Equipment work. The South West Strategic Health Authority will pay for an eye test once every two years and will only pay for frames and lenses if they are needed due to significant computer use. In exceptional circumstances, the South West Strategic Health Authority will pay for more frequent tests, frames and lenses, where this is required. In all cases, a prescription/letter from the optometrists must state that lenses (glasses or contacts) are needed for this reason.

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8.5

The South West Strategic Health Authority will fund the cost of an eye test and up to 85 towards the cost of basic frames and/or lenses, if required. In exceptional circumstances, this may be increased due to the value of the prescription required. Employees who wish to purchase more expensive or designer frames are required to fund the excess cost themselves. Employees may also be eligible for funding via an NHS voucher, which can be used to upgrade lenses and frames. Employees may like to check their eligibility with their local tax or benefits office. Application for free eye test/lenses and frames

8.6 8.7

8.8

To access funding from the South West Strategic Health Authority for a free eye test (and, if necessary, lenses and frames), employees should contact the Human Resource team prior to arranging an appointment with the optometrists. The employee will then book the eye test and pay for this along with any corrective lenses and frames. The receipt and a copy of the prescription (if applicable) should be forwarded to the Human Resource team and the employee will be reimbursed through their salary.

8.9

9.
9.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently with regards to their health and wellbeing; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves for their own health and wellbeing.

9.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy Approved: Review By:

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Annex 1 Managing the causes of work-related stress (Health and Safety Executive Guidance HSG218) Main causes of stress Demands: employees often become overloaded if they cannot cope with the amount of work or type of work they are asked to do. What can be done Make sure employees understand what they have to do and how to do it. Identify and meet training needs. Examples of positive manager behaviour Bring in additional resource to handle excessive workloads. Monitor team work load Adjusting priorities and setting realistic deadlines. Examples of negative manager behaviour Delegating work unequally to team. Creating unrealistic deadlines. Showing lack of awareness of how much pressure the team is under Asking for tasks without checking workload first. Listening but not resolving problems Being indecisive about decisions Not taking problems seriously Assuming problems will sort themselves out Not using consistent processes Sticking too rigidly to rules and procedures Panicking about deadlines rather than planning

Consider whether Follow through working flexible problems on behalf of hours would help employees employees to manage demands. Developing action plans Breaking problems down into parts Dealing rationally with problems Reviewing processes to see if work can be improved Asking themselves could this be done better Prioritising future workloads Working proactively

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Annex 1 Main causes of stress Control: employees can feel disaffected and perform poorly if they have no say over how and when they do their work. What can be done Examples of positive manager behaviour Examples of negative manager behaviour Managing under a microscope Extending so much authority employees feel a lack of direction Imposing my way is the only way Not listening when employee asks for help Presenting a final solution Making decisions without consultation Refuses requests for training Not providing upward mobility in the job Not allowing employees to use their new training

Involve employees Trusting employees to in the way work is do their work carried out. Giving employees Consult responsibility employees about Steering employees in a decisions direction rather than Build effective imposing direction teams with Provides opportunity to responsibility for air views outcomes Review performance to identify strengths and development needs, and how the development will be obtained. Provides regular team meetings Prepared to listen to employees Knows when to consult employees and when to make a decision Encourages staff to go on training courses Provides mentoring and coaching Regularly reviews development Helps employees to develop in role

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Annex 1 Main causes of stress Support: levels of sickness absence often rise if employees feel they cannot talk to managers about issues that are troubling them. What can be done Give employees the opportunity to talk about issues causing stress. Be sympathetic and supportive. Keep employees informed about what is going on in the department and organisation. Tackle any instances of bullying and harassment and make it clear such behaviour will not be tolerated. Examples of positive manager behaviour Communicating that employees can talk to them at any time Having an open door policy Making time to talk to employees at their desks Examples of negative manager behaviour Being constantly at meetings/away form desk Saying dont bother me now Not attending lunches or social events Not taking health and safety seriously

Making sure everyone is Questioning the safe capability of an employee who has raised a safety Structuring risk issue assessments Ensuring all health and safety requirements are met Praising good work Acknowledging employees efforts Operating a no-blame culture passing positive feedback about the team to senior management Provide regular one to ones Flexible when employees need time off Provides information on additional sources of support Regularly asks how are you Not giving credit for hitting deadlines Seeing feedback as only one way Giving feedback that employees are wrong just because their way of working is different Assuming everyone is okay Badgering employees to tell them what is wrong Not giving enough notice to shift changes No consideration of worklife balance

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Annex 1 Main causes of stress Relationships: failure to build relationships based on good behaviour and trust can lead to problems related to discipline, grievances and bullying. What can be done Ensure staff and managers are aware of and fulfil their respective responsibilities under the Performance Improvement, Disciplinary, Grievance and Dignity at Work Policies. Examples of positive manager behaviour Listening objectively to both sides of the conflict Examples of negative manager behaviour Not addressing bullying

Trying to keep the peace rather than sort out sort Support and investigating incidents of out problems abuse Taking sides Dealing with conflict Not taking employee head on complaints seriously Following up on conflicts Passing on stress to after resolution employees Having a positive Acting aggressively approach to Acting calmly when under pressure Walking away when feeling unable to control emotion Apologising for poor behaviour Keeps employee issues private and confidential Admits mistakes Treats all employees with the same importance Wiling to have a laugh and a joke Socialises with team Brings food and drinks in for team Regularly has informal chats with employees Losing temper with employees Being unpredictable in mood Speaks about employees behind their backs Makes promises, then doesnt deliver Makes personal issues public Criticises people in front of colleagues Pulls team up for talking / laughing during working hours Uses harsh tone of voice when asking for things Keeps people in the dark Holds meetings behind closed doors Doesnt provide timely communication on organisational change

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Annex 1 Main causes of stress Role clarity: employees often feel anxious about their work and the organisation if they dont know what is expected of them. What can be done Employees should have clear job descriptions. There should be close links between an employees performance objectives and organisational aims and objectives. New employees should attend the corporate induction and receive a thorough local induction. Examples of positive manager behaviour Keeps team informed of what is happening in the organisation Communicates clear goals and objectives Explains exactly what is required Examples of negative manager behaviour Keeps people in the dark Holds meetings behind closed doors Doesnt provide timely communication on organisational change

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Annex 1 Main causes of stress Leadership What can be done Taking responsibility Knowledge of job Empathy Seeking advice Deals with difficult customers on behalf of employees Able to put themselves in employees shoes Examples of positive manager behaviour Leading from the front Steps in to help out when needed Communicating the buck stops with me Examples of negative manager behaviour Saying it is not my problem Blaming the team if things go wrong Walking away from problems Doesnt have the necessary knowledge to do the job Doesnt take time to learn about the employees job

Has enough expertise to Insensitive to peoples give good advice personal issues Knows what employees Refuses to believe are doing someone is becoming Takes an interest in stressed employees personal Maintains a distance lives from employees us Aware of different and them personalities and styles of working within the team Notices when a team member is behaving out of character Seeks help from occupational health when necessary Seeks advice from other managers with more experience Uses Human Resources when dealing with a problem A fully confidential counselling service is available for staff. Staff interested in accessing this service should contact Somerset Occupational Health directly on telephone 01823 345800.

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Guidance Note 1

Managing stress: employee guidelines

When does pressure turn to stress? 1.1 Being under pressure can improve performance and be a good thing for some people. It is worth noting that stress is not the same as pressure. Problems arise when pressure is too great, goes on for too long, or comes from too many directions at once. Stress is the reaction people have when they feel they cannot cope with the pressures of other demands placed upon them. Stress can be caused by a wide variety of factors; accordingly the causes and effects of stress will be different for each individual. People react differently to work pressures and deadlines. What may motivate one employee may be a source of severe stress to another. Employees will be a subject to pressures both inside and outside the workplace and sometimes it may be a combination of these pressures that results in stress. Symptoms of stress 1.3 An important step in tackling stress is to realise that it is causing you a problem. Sometimes things get too much and we begin developing a physical or emotional reaction to our problems. You need to make the connection between feeling tired or ill with the pressures you are faced. Tackling work related stress requires a partnership between you, your manager and the policies/procedures/services provided by the South West Strategic Health Authority. These reactions are often warning signs of stress and that some action is necessary, for example: poor timekeeping; increased consumption of alcohol, tobacco, caffeine or drugs; frequent headaches or digestive problems; withdrawal from social contact; poor judgement / indecisiveness; not being able to sleep properly; constant tiredness or low energy; unusual displays of emotion; inability to concentrate and worrying;

1.2

1.4

1.5

225

feelings of irritation, anger and tension are early warning signs that the body is wound up.

Tips for reducing stress 1.6 Taking good care of yourself can really help to reduce stress. Here are some tips: good health eat sensibly and get enough rest. Do not drink too much caffeine; if possible, try to keep smoking and drinking to a minimum. They may seem to reduce tension, but in fact they can make problems worse; try to be physically active some form of physical exercise (e.g. walking) can get your bodys defences working and help bring stress levels down. talk to family or friends about what you are feeling they may be able to help you and provide the support you need to raise your concerns at work; rest and relaxation make time for yourself. Enjoy leisure activities and interests outside work; if you feel your workload is excessive or you are under pressure to take work home inappropriately, speak to your manager or another (see useful contacts).

Your responsibilities 1.7 You as an employee also have responsibilities to help protect yourself from suffering stress. These are: getting support early rather than waiting until things go wrong; taking reasonable steps to notify the South West Strategic Health Authority, your manager or Trade Union representative at an early stage about working practices and environments, which, if allowed to continue, may lead to stress or other related hazards; trying to channel your energy into solving the problem, rather than just worrying about it. Think about what would make you happier at work and discuss this with your manager; ensuring that annual leave and flexible working are used to good effect; not taking on more than you can handle. If unrealistic demands are made on your time, be prepared to be assertive and say no; if you believe you are suffering from stress talk to your manager, if they do not know there is a problem, they cannot help. Explain what is causing the stress; 226

supporting colleagues if they are experiencing work related stress. Encourage them to talk to their manager or seek professional advice; not being afraid to seek advice if you feel you are no longer able to manage things on your own. If you dont feel able to talk directly to your manager then contact Occupational Health, your doctor, trade union or the Human Resources team; take your break entitlements during your working day.

Get the support you need 1.8 Seeking support from other people can be key to getting through stressful situations. Taking the time to talk things through with someone else can be an important step. You can talk to your manager, Occupational Health (including their counsellors), your doctor, your Trade Union or Human Resources. If it is your managers or colleagues that are a source of stress then there are other people in the South West Strategic Health Authority who you can talk to. Remember : stress is not a weakness and you do not have to suffer. The South West Strategic Health Authority has a duty to protect your health and safety at work and to take steps to reduce risks at work, including those from stress. As an employee there is a legal requirement on you to tell your employer about any shortcomings in workplace health and safety arrangements. Useful external contacts : Samaritans 08457 909090, jo@samaritans.org UK helpline for anyone experiencing emotional distress. Someone to talk to in confidence 24 hours a day. CRUSE Bereavement Care 0117 9264045, www.crusebereavementcare.org.uk/ Local office is 9A, St James Barton, Bristol (just off St James Barton roundabout, around corner from Nationwide). A national voluntary organisation offering bereavement counselling and advice to all bereaved people. Relate 0845 1304010, www.relate.org Provides couples counselling for breakdown within relationships.

1.9

227

National Debt Line 0808 8084000, www.nationaldebtline.org.uk A helpline that provides free confidential and independent advice to deal with debt problems. Alcoholics Anonymous 0845 7697555, www.alcoholics-anonymous.org.uk Alcoholics Anonymous is a fellowship of men and women who share their experience, strength and hope with each other that they may solve their common problem and help others to recover from alcoholism. Narcotics Anonymous 0117 9240084, www.ukna.org Narcotics Anonymous is a fellowship of men and women for whom drugs had become a major problem recovering addicts who meet regularly to help each other stay clean. Bristol Drugs Project 0117 9871500; www.bdp.org.uk BDP is an independent agency, delivering an accessible and confidential information, advice and counselling service to drug misusers, their relatives and friends, and to other professionals working with drug misusers. Other useful contacts Occupational Health; Counsellors (Occupational Health); Human Resources manager for your Directorate; Health and Safety Executive website : www.hse.giv.uk keep an eye out for health promotion information / support in your place of work e.g. lunch time walks.

228

Annex 2 South West Strategic Health Authority Checklist Meeting obligations under the Disability Discrimination Act 1995

Is the person disabled as defined under the DDA? NO YES No Legal Obligations

Does the person require any special consideration or adjustment to perform the job? No Legal Obligations NO YES

Is the adjustment required to prevent substantial disadvantage. For example, is it material/substantial? NO YES No Legal Obligations

Would the employee be able to do the job after the adjustments? NO YES No Legal Obligations

Is the adjustment reasonable? NO YES No Legal Obligations

Adjustment has to be made

Failure likely to be Unlawful

If Done

Meets the requirements of the DDA

229

Guidance Note 2

Financial assistance available from local employment services 1.

1.1

Background
Financial assistance may be available from a local Employment Service Placing, Assessment and Counselling Team (PACT), who may be able to offer assistance on an individual basis. Several schemes and financial availability may be considered.

2.
2.1

Job introduction scheme

If you have reservations about employing an individual with a health problem or disability, or retaining an existing employee who acquires a health problem or becomes disabled, a trial period may help. The Employment Service may make a contribution towards the salary or wage during the trial period.

3.
3.1

Adaptation to premises and equipment

Grants may be available to contribute towards the cost of adjustments in order to accommodate a new or existing employee with a health problem or disability.

4.
4.1

Fares to work scheme

A grant towards the cost of fares may be payable to certain people whose health problem or disability prevents them from using public transport in order to get to their place of employment.

5.
5.1

Special aids to employment

Equipment may be used on a free permanent loan scheme to an individual, whether they work from their own home, or in a separate place of employment.

6.
6.1

Working at home with technology

Help may be available to set up a home-based environment for a worker with a health problem or disability.

230

7.
7.1

Supporting employment
This scheme may be accessed if an individual with a health problem or disability is unable to complete particular tasks within a job specification, or where there is a loss of productivity, to which an individual with a health problem or disability, through their health problem or disability, may be subjected. Finances are available from the Employment Service, in order to subsidise disabled people in open employment with a host employer, or in a sheltered workshop environment. This means that, for example, an individual who is unable to undertake all of the duties within a particular job, will continue to receive a salary for the grade, but compensation may be available to employ further support to undertake duties they are unable to complete, for example, tasks requiring fine finger movement. Authorisation to this scheme is via the Disability Employment Adviser, based at Employment Centres. More information is available from the Human Resources team.

7.2

7.3

231

232

Appendix 11

Hospitality, Gratuities and Inducements Policy

This appendix sets out the revised Hospitality, Gratuities and Inducements Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Hospitality, Gratuities and Inducements Policy 1.
1.1

Introduction
South West Strategic Health Authority staff and Non Executive Members will, in the course of carrying out the business of the Authority, meet with people from the NHS, other public sector organisations and the private sector. Where the South West Strategic Health Authority is responsible for hosting such an occasion, hospitality expenses may be incurred where it is clearly in the interest of the South West Strategic Health Authority for such an event to take place. Such expenditure must be justified in terms of the use of public funds and should only be authorised where it is in the interest of the South West Strategic Health Authority. In addition, there should be no appearance of extravagance which might give rise to criticism that the South West Strategic Health Authority staff and Non Executive Members were benefiting at the expense of the taxpayer. When providing hospitality for guests, the number of South West Strategic Health Authority hosts must be kept to an absolute minimum and should normally form a minor part of the group. Hospitality should only be extended to spouses in very exceptional circumstances, for example, leaving or retirement occasions.

1.2

2.
2.1

Management hospitality
Hospitality can take the form of either general hospitality or a working lunch/supper. General hospitality

2.2

This describes an occasion when a guest is bought a meal or snack either during or outside of normal working hours. Reimbursement will cover the cost of food and, if appropriate, drinks, normally non-alcoholic, taken with the meal or snack, for both host and guests. Working lunch/supper

2.3

Working lunches or suppers are provided where the formal business of a meeting, conference or seminar continues through a lunch period or into the evening. Working lunches or suppers should normally take place on South West Strategic Health Authority premises and organisers should use staff catering facilities (if available) or, where better value for money can be achieved, an outside caterer. Standard buffet menus should be used and drinks should be non-alcoholic. Occasionally it may, however, be appropriate for a lunch or

2.4

233

supper to take place outside the South West Strategic Health Authority headquarters or other NHS premises. Expenditure for such meals should normally be in line with NHS Terms and Conditions of Service Handbook. General refreshments 2.5 The general rules and guidance on entertainment do not apply to the provision of tea, coffee and biscuits. A decision to provide refreshments at public expense must receive due consideration to cost and in relation to the total hospitality budget.

3.
3.1

Hospitality in support of training and development

It is accepted practice that public funds should not be used for the entertainment of South West Strategic Health Authority employees. However, there are occasions when, in the interests of good management, some expenditure would be appropriate. The South West Strategic Health Authority is committed to a programme of organisational and personal development for all staff. This might take the form of meetings to bring together senior and junior Managers from within the South West Strategic Health Authority or other NHS organisations, team building exercises or away days for groups of staff where a period of time away from the headquarters of the South West Strategic Health Authority might assist in working through particular work issues or projects. In these situations, the use of hotels, the provision of refreshments including meals and, on some occasions, overnight accommodation might be appropriate. Such expenditure should normally be in line with, or to the level of, NHS Terms and Conditions of Service Handbook. Similarly, it would be appropriate to provide hospitality at events such as a management seminar programme which may bring together staff from other Strategic Health Authorities, and NHS Trusts and other organisations or agencies, or to visitors from other parts of the country or overseas guests who come to share their experiences and expertise. In these situations, it would be appropriate for the South West Strategic Health Authority to meet the costs of overnight accommodation and other expenses of the visitor and reasonable expenses on the part of staff who agree to entertain the visitor out of normal working hours. Again, such expenditure should normally be in line with, or to the level of, the NHS Terms and Conditions of Service Handbook. The South West Strategic Health Authority is also committed to a training programme for Non-Executive Members, as well as employees of the Authority. Training sessions and away days for the Board would be funded as part of the wider organisational and personal development programmes of the South West Strategic Health Authority. These events will normally take place away from the headquarters building but should not be disproportionately lavish in terms of accommodation or refreshments provided. Authorisation of expenditure for such events should be agreed with the Director of Workforce Development.

3.2

3.3

3.4

3.5

234

4.
4.1

Declaration of interests
To protect employees, the South West Strategic Health Authority maintains a Register of Interests. This Register records, in advance, any matters that might lead to, or be perceived to lead to, a conflict of interest. An important principle however, is that if in any doubt at all it is always better to register the matter. Interests in a business

4.2

If you, or a close relative, have a controlling interest or significant financial interest in a business (including a private company, partnership, voluntary organisation, public sector organisation or other statutory organisation), or any other activity or pursuit which may compete for an NHS contract to supply either goods or services, then this interest should be declared as soon as you start employment with the NHS or as soon as that interest is acquired. Outside employment

4.3

Staff and Non Executive members should not be engaged in outside employment or consultancy that may conflict with their NHS work, or be detrimental to it. If you have any concerns it is better to register this matter and to discuss the issue with your line manager. Commercial sponsorship

4.4

Commercial sponsorship of staff to attend courses or conferences and sponsorship of South West Strategic Health Authority posts or other work by a commercial organisation may be acceptable but only where permission is received in advance from the South West Strategic Health Authority. How to register interests?

4.5

You should register by completing the Declaration of Staff Interests form which is available on the Human Resources team or the intranet, or by writing a letter of sending an email which clearly details all interests you hold. What happens to the register?

4.6

The Register is held at South West Strategic Health Authority Headquarters and is a public Register available for inspection by any member of the public or interested party. The form, letter or e-mail is held on this file as a public record and retained for the period laid down by Statute that can be up to thirty years.

235

Failure to declare 4.7 Failure to declare an interest under the Standards of Business Conduct may result in South West Strategic Health Authority invoking the Disciplinary policy, and could potentially result in dismissal for gross misconduct. All staff are therefore advised to familiarise themselves with their responsibilities under the following organisational documents and policies, all of which are available on the intranet: Standards of Business Conduct for NHS Staff; South West Strategic Health Authority Standing Orders; South West Strategic Health Authority Standing Financial Instructions; Disciplinary policy of the South West Strategic Health Authority;

5.
5.1

Acceptance of hospitality and gifts

This section sets out some general guidance to which South West Strategic Health Authority staff should refer in exercising judgement on offers of hospitality. HSG(93)5 includes detailed guidance on the responsibility of NHS staff, principles of contact in the NHS and acceptance of casual gifts and hospitality. Acceptance of hospitality

5.2

Individuals must consider whether: the hospitality is likely to help in the effective discharge of their job, or promote the interests of the South West Strategic Health Authority or taxpayer, for example, through improved understanding; the hospitality is a reasonable means to that end in the circumstances, that is: * * not over frequent; nor, so far as the individual is aware, part of a pattern of invitations to that person and colleagues from one particular organisation which taken together is excessive; nor disproportionately prolonged or lavish given the nature of the relationship.

* 5.3

If any doubts could arise on any of the above grounds, individuals should consult the Director of Workforce Development. In particular: if the individual thinks there is a case for accepting hospitality, they should always have approval before accepting and an entry should be made into the hospitality book;

236

the Director of Workforce Development must consider whether the event is disproportionately lavish; all offers of entertainment at the opera, theatre, sporting events or the like should be declined; think how Parliament or the media might interpret the behaviour and how this would be justified.

Acceptance of gifts 5.4 As set out in HSG(93)5, the receipt of casual gifts offered by contractors or others, at Christmas or other festive occasions, may not necessarily constitute an offence under the Prevention of Corruption Act as long as the gift is not connected with the performance of the duties of an individual as an employee or representative of the South West Strategic Health Authority. Such gifts, or offers of gifts, should nevertheless be politely, but firmly, declined. Articles of low intrinsic value, such as diaries and calendars, need not necessarily be refused. In cases of doubt, staff should consult their line manager or politely decline acceptance. Declarations of gifts, benefits, hospitality or sponsorship of any kind (provided their value is assessed to be worth at least 25), whether refused or accepted, must be entered in a register and held in Reception. Staff will be reminded annually of this requirement. Declarations are verified by the Centre Fraud and Security Management Service. Withholding or providing false information may result in action under the Disciplinary policy of the South West Strategic Health Authority and criminal or civil proceedings.

5.5

5.6

6.
6.1

Private transactions
Staff having official dealings with contractors and other suppliers of goods or services should avoid transacting any kind of private business with them by any means other than through normal commercial channels. No favour or preference as regards price or otherwise which is not generally available should be sought or accepted.

7.
7.1

Interest in contracts
If it comes to the attention of any employee that the South West Strategic Health Authority has, or intends to, enter into a contract in which they have a financial interest, other than where the employee is known to be part of the contract, then the employee must declare that interest in writing to the Chief Executive. In the case of married persons, or persons living together as though married, the interest of one partner shall, be deemed to also be the interest of the other.

7.2

237

8.
8.1

Candidates for appointment

Candidates for any appointment with the South West Strategic Health Authority shall, when applying, disclose in writing if they are related to any Director or employee of the South West Strategic Health Authority. Failure to disclose such a relationship may disqualify or, if appointed, make the person liable for disciplinary action, including dismissal. A member of an appointment panel which is to consider the employment of a person to whom they are related must declare the relationship before an interview is held. Relationships to which these rules apply are those of immediate family of the employee, or partner, as defined in the South West Strategic Health Authority Standing Orders.

8.2

8.3

9.
9.1

Canvassing for appointments

Canvassing of Directors of the South West Strategic Health Authority, or any members of an appointments committee, either directly or indirectly, shall disqualify a candidate. Any employee of the South West Strategic Health Authority shall not solicit for any person an appointment with the South West Strategic Health Authority. This shall not preclude an employee from giving a written reference or testimonial of a candidate's ability, experience or character for submission to an appointments panel.

10.
10.1

Guide for staff

Staff who are unsure of the guidelines should obtain a copy of the Standards of Conduct, which were attached to HSG(93)5, and Section 8 of the South West Strategic Health Authority Standing Orders and/or consult with an appropriate manager. It is the responsibility of each member of staff to ensure that the Standards and/or Standing Orders are complied with both in the letter and the spirit of ensuring that the conduct of staff in the NHS is not only scrupulously impartial and honest but also beyond the reach of suspicion.

11.
11.1

Guide for managers

It will be the responsibility of the Human Resources team to ensure that this document, together with a copy of the South West Strategic Health Authority Standing Orders, Reservation and Delegation of Powers and Standing Financial Instructions are issued to new employees. Individual South West Strategic Health Authority directors will be responsible for ensuring that employees sign and return a form to the Human Resources team in order to confirm their acknowledgement and understanding of the documents referred to in paragraph 10.1 above.

11.2

238

12.
12.1

Intended outcomes
Intended outcomes of this policy are: all employees are impartial and honest in the conduct of their business; the South West Strategic Health Authority is seen as impartial and honest by employees, other organisations and the public; all new employees will have been issued with a copy of this policy along with the South West Strategic Health Authority Standing Orders, Reservation and Delegation of Powers and Standing Financial Instructions.

12.2

An impact assessment for this policy will be completed every three years. April 2010 April 2012

Policy Approved: Review By:

239

240

Appendix 12

Lease Car Policy

This appendix sets out the revised Lease Car Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Lease Car Policy 1.

1.1

Purpose
The purpose of the South West Strategic Health Authority in making lease cars available is: to ensure that those who need to travel on official business can do so efficiently and economically; to provide such transport at a cost which is commensurate with the financial and employment aims of the South West Strategic Health Authority.

1.2

The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action.

2.
2.1

Eligibility
Any regular car user may, with the approval of the relevant Director, be allocated a lease car. A regular car user is one who is required by the South West Strategic Health Authority to travel on NHS business: an average of more than 3,500 miles a year; an average of at least 1,250 miles a year and: * * to need to use a car an average of three days a week; to spend an average of at least half their time on visits;

an average of at least 1,000 miles a year and to spend an average of at least four days a week on visits.

2.2

A lease car may also, with the approval of the relevant Director, be allocated to any car user who, in the opinion of that Director, has a business need to be mobile, even though not necessarily qualifying as a regular user. No leased vehicle will be allocated for the use of an employee who has not held a full driving licence for at least twelve months. The South West Strategic Health Authority reserves the right to refuse an application for a lease vehicle for objective business reasons. The reasons for refusal will be explained to the employee and be relevant to the above guidance. 241

2.3 2.4

3.
3.1

Provision of a lease car

The day to day administration of the lease car scheme is outsourced to Plymouth Finance Shared Services. References to tasks performed by a Scheme Manager within this policy refer to the tasks outsourced to Plymouth Finance Shared Services. Applications for a lease car should be addressed to the Human Resources team on the appropriate form and should include: an estimate of business and private mileage over the next three years; the appropriate benchmark vehicle (Table 1); details of vehicles the employee would like quotes on, maximum of three.

3.2

Forms are available on the intranet. 3.3 Applications require the approval of the Director to whom the employee is responsible, who should certify that the employee meets the criteria set out in Section 2 above and that the estimate of business mileage appears reasonable. An employee allocated a lease car may choose any vehicle that is suitable for the performance of their duties. Cars will normally be provided on three-year leases, but in certain circumstances (such as impending retirement, or a particularly high or low estimated level of annual mileage) the South West Strategic Health Authority may consider that a shorter or longer lease is appropriate. However, the South West Strategic Health Authority will not order lease cars above a band F, CO2 emissions (see Appendix 1). The level of CO2 emissions will be reviewed annually to ensure that we meet our obligation to reduce carbon emissions. Lease Contracts are entered into by the South West Strategic Health Authority using the Pan-Government Lease of Cars Framework negotiated by NHS Buying Solutions. The Scheme Manager will obtain competitive quotations for the contract hire of up to three different vehicle specifications requested, including any extras, on the basis of monthly rental payments using the Pan-Government Lease of Cars Framework. Rentals will include Road Fund Licence, breakdown cover and the costs of maintenance (including servicing and the replacement of tyres where the need results from fair wear and tear) during the lease period.

3.4

3.5

3.6

4.
4.1 4.2

Benchmark cars
An employee of the South West Strategic Health Authority is eligible for a benchmark car based on their position within the organisation. Benchmark cars will be kept under review by the Scheme Manager. 242

4.3

The following table sets out for illustrative purposes the suggested cars for each banding: Table 1: Benchmark cars

Chief Executive, Deputy Chief Executive Audi A4 2000 SE Directors and Senior Managers on Agenda for Change at pay band 9 Ford Mondeo 2.0 Edge, 5 door hatch

Senior Managers on Agenda for Change Ford Focus 1.8 litre Style, 5 door at pay band 8A, 8B, 8C and 8D hatch All other staff on Agenda for Change at pay band 7 and below. 4.4 Ford Fiesta 1.4 Style Climate, 5 door hatch

Employees may, however, choose any reasonable vehicle, paying regard to public perception and the image of the South West Strategic Health Authority as a publicly funded organisation. Employees choosing to lease a more expensive car than the allocated benchmark car will pay the whole extra cost over the duration of the contract.

4.5

5.
5.1

Contributions
The South West Strategic Health Authority will meet the cost of the first 6,000 miles of the lease, or the amount of business mileage if that is greater. An employee will pay the difference between the 6,000 mile lease cost (or the greater business mileage) and the total cost of the lease for the combined business and private mileage. The South West Strategic Health Authority will also pay 80% of the insurance costs. An employee will meet the cost of: the balance of the lease costs over the 6,000 miles (or the greater business mileage); all the additional costs if a more expensive car is selected; a charge to cover private use insurance (this is calculated at 20% of the insurance premium); an administration charge.

5.2 5.3

5.4

Where an employee requires a car with special features (such as automatic transmission) because of a disability, the additional cost will be borne by the South West Strategic Health Authority. 243

5.5

Employee contributions, including VAT, will be paid monthly through deductions from salary over the life of the lease. The full amount of any contribution by the employee, including VAT, will be treated as a contribution to the cost of private motoring. In the event of the employee leaving the employment of the South West Strategic Health Authority, the Strategic Health Authority is empowered to deduct from salary or other payment due to the employee any sums remaining outstanding under the agreement.

5.6

6.
6.1

Review of contributions
An employee is required to keep records of their official mileage. At each anniversary of the lease the Scheme Manager will request a mileage reading when providing a new road fund licence. From records of official mileage claimed and the mileage reading provided the Scheme Manager will carry out a review of contributions. Should actual mileage over the life of the lease exceed that originally estimated, any excess charge payable will be met: by the South West Strategic Health Authority if business mileage is above estimate and private mileage equal to or below estimate; by the employee if private mileage is above estimate and business mileage equal to or below estimate; by the South West Strategic Health Authority and the employee pro rata the respective additional business and private mileages if both business and private mileages are above estimate.

6.2

Excess charges payable by an employee will be recovered through adjustment of monthly contributions where possible or otherwise at the end of the lease. Adjustments to the lease can only be made during the first two years of the lease. At the end of a lease an employee may also be required to pay any additional charge imposed in respect of unrepaired damage to the vehicle going beyond reasonable wear and tear (and not recoverable from insurers) or cleaning costs if the vehicle is not returned in a satisfactory condition. The personal contributions payable by an employee will be adjusted from time to time to reflect changes in the premiums for insurance, Road Fund Licence and administration charge. The South West Strategic Health Authority also reserves the right to recharge an employee any additional costs which cannot be recovered through insurance, such as the replacement of damaged aerials, door mirrors or (where not solely due to fair wear and tear) tyres.

6.3

6.4

6.5

7.
7.1

Mileage allowances
Fuel costs for official mileage will be reimbursed at a rate set by the South West Strategic Health Authority. 244

7.2 7.3 7.4

The current business mileage reimbursement rate is 15p per mile. This rate applies to all lease cars regardless of the model or type. Mileage allowances will be reviewed annually. The review of the mileage allowance will be undertaken by the South West Strategic Health Authority and will be notified to the Scheme Manager.

8.
8.1 8.2

Insurance
The South West Strategic Health Authority will maintain comprehensive fleet insurance cover for all vehicles within the scheme. Motor policy premiums are reviewed annually by the insurer and are subject to market forces. Any changes to the terms of insurance, premiums or excess payable, will be notified to affected drivers and appropriate adjustments made to the employees monthly deductions. All drivers of lease cars must have held a full UK licence or EEC category B drivers licence or equivalent for at least twelve months. Drivers under the age of 25 years are subject to special terms with regards to insurance excess, details are given in paragraph 8.4. Drivers under the age of 25 years are considered to be young drivers under the terms of our motor policy and will be subject to a higher policy excess. Cover for young drivers must be agreed in writing by our insurer prior to them commencing driving. The insurers decision is final. Any excess payable in the event of an accident resulting from business use which is not recoverable from a third party will be treated in the following way: one accident in the year: the South West Strategic Health Authority will pay the excess; two accidents in the same year: excess payment shared 50:50 between the South West Strategic Health Authority and the employee; three accidents in the same year: employee pays excess payment in total.

8.3

8.4

8.5

Excess payments are as follows: if the driver is aged 25 or over and has held a full licence for twelve months: 100; if the driver is aged 25 or over and has held a full licence for less than 12 months: 250; if the driver is aged 18 to 24: 350.

8.6

Any excess payable in the event of an accident resulting from private use of the car which is not recoverable from a third party will be the responsibility of the person to whom the car has been allocated. 245

8.7 8.8

With the exception of excess mileage payments, travel to and from work is classed as normal commuting and is not official business mileage. The South West Strategic Health Authority reserves the right to pass on any other excesses or to vary the levels of excess payable by an employee.

9.
9.1

Termination of lease
The contract between the South West Strategic Health Authority and the employee will be terminated at the expense of the South West Strategic Health Authority in the following circumstances: on the death of the employee; on termination of employment by the South West Strategic Health Authority; on retirement to pension (including ill-health); on grounds of health and safety; in the event of prolonged absence of the employee, where the period is in excess of four months; if a South West Strategic Health Authority initiated change of employment affects the entitlement of the user to a lease vehicle; if the contract between the South West Strategic Health Authority and the lease company is terminated due to any of the conditions in the lease contract.

9.2

The contract between the South West Strategic Health Authority and the employee will be terminated at the expense of the employee in the following circumstances: termination of employment by the employee; breach of any of the lease contract conditions by the employee; when the contributions of the employee cannot be recovered from their salary; if the user becomes disqualified from holding, or for any reason ceases to hold, a valid licence entitling them to drive a car.

246

10.
10.1

Replacement vehicle
Fleet insurance arrangements include provision of a replacement vehicle when a lease car is not roadworthy following an accident and while damage is being repaired. An employee should make their own arrangements for replacement vehicles to cover routine servicing. The Scheme Manager can make arrangements to hire replacement vehicles when required, but any hire charges will normally be charged to the employee.

11.
11.1

Employee obligations
An employee shall notify the Scheme Manager promptly of any faults in the car allocated which are apparent on delivery and of any defects or symptoms of defects that are not rectified in the course of routine servicing. An employee shall: send a photocopy of their driving licence, and a photocopy of all the named drivers driving licences, to their line manager on an annual basis; ensure that routine servicing and maintenance are carried out at the intervals recommended by the manufacturers; at regular intervals check and maintain the oil, water, battery and brake fluid levels and tyre pressure and tyre conditions; take all reasonable precautions against frost damage and ensure that antifreeze in the engine coolant system is of adequate strength; keep the car clean and presentable at all times; obey all regulations as applicable to the vehicle or use or possession, and exercise all reasonable care to keep the vehicle in good condition, both mechanically and otherwise, and avoid loss or damage to the vehicle whether on the road or not; pay the South West Strategic Health Authority any amounts due under the agreement.

11.2

11.3

A female employee who has a lease car, and becomes pregnant shall notify their line manager as soon as reasonably practicable so that a health and safety assessment can be undertaken. No car may be modified or altered, or any parts removed or identification mark numbers changed. The Scheme Manager, or any person authorised by the South West Strategic Health Authority, will have the right to inspect the car at any time. An employee will be responsible for all parking and other fines incurred during the period of the lease. Any charges imposed for handling unpaid fines will be passed on to the employee to whom the car is allocated. 247

11.4

11.5

11.6

Lease cars must be available for official use at all times (other than in the event of accident or breakdown). A lease car must be used in preference to a privately owned car on all official business, particularly where two or more employees travel together. All employees wishing to take the lease vehicle abroad must give two weeks notice to the Leasing Company who will arrange the necessary authority. Any additional costs will be borne by the employee. When the vehicle is involved in any accident or damaged, then Linkfield Accident Management must be contacted immediately via their 24 hour Accident Management Service.

11.7

11.8

12.
12.1

Application process
An employee who wishes to apply for a lease car needs to discuss the matter with their line manager and/or Director. If their line manager/Director agrees in principle to a lease car, form F4/1 (available on the intranet) should be completed. The completion of form F4/1 does not commit either party to a lease car. On completion of form F4/1, the Human Resources team for the South West Strategic Health Authority will forward the form to the Scheme Manager. The Scheme manager will send the employee quotations on three vehicles. Once a lease car has been chosen, form F4/2 is to be completed. Form F4/2 authorises an employee to receive a lease car and an order for the selected vehicle to be placed by the Scheme Manager.

12.2

12.3

13.
13.1 13.2

Delivery of lease car

A delivery schedule is unique for each vehicle. All lease cars will be delivered to South West Strategic Health Authority, South West House, Blackbrook Park Avenue, Taunton, TA1 2PX. The Human Resources team will conduct a handover of the vehicle for each employee at which point any visible defects will be identified. An information pack giving instructions about what to do regarding servicing, breakdown or in event of an accident will be provided with the car. This information pack should be kept with the car at all times.

13.3

14.
14.1

Mobile phones, alcohol and drugs misuse and smoking

The South West Strategic Health Authority has policies with regard to the use of mobile phones, the consumption of alcohol, drugs and not smoking in lease cars. Employees should refer to policies: Mobile Phone policy; Health and Wellbeing policy.

248

15.
15.1

Further information
For further information on lease cars please contact the Human Resources team.

16.
16.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when applying for lease cars; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of their responsibilities when approving an application for a lease car or leasing a car.

16.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2011

249

Appendix 1 Examples of CO2 emissions and tax bandings. For further examples please see: CO2 emissions on other makes of cars please go to: Direct Gov, Act on CO2, on the move/what car. http://campaigns.direct.gov.uk/actonco2/home/on-the-move/top-10-fuel-efficientcars.html Petrol Cars Tax Band / Cost P/A B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35 B/ 35

Rank

Make

Model

Edition 1.0 VVT-i 3 & 5 door 1.0i 3 & 5 door 1.0 (68 bhp) L251 1.0L EFi 1.0 1.0R 1.1 (14" wheels) M300 1.0L EFi 0.8 S 5 door Hatchback 1.1l SOHC (13" & 14" wheels) 1.2 1.2l SOHC

Gear box M M M M M M M M M M M M

Fuel

CO2 (g/km) 108 108 109 114 117 118 118 118 119 119 119 119

1 1 2 3 4 5 5 5 6 6 6 6

TOYOTA CITROEN PEUGEOT DAIHATSU KIA SUBARU KIA DAIHATSU

Aygo C1 107 Charade Picanto Justy Picanto Sirion

Petrol Petrol Petrol Petrol Petrol Petrol Petrol Petrol Petrol Petrol Petrol Petrol

CHEVROLET Matiz HYUNDAI FIAT HYUNDAI i10 500 i10

Diesel Cars Tax Band / Cost P/A

Rank

Make

Model

Edition

Gear box

Fuel

CO2 (g/km)

VOLKSWAGEN

Polo 3 / 5 Door

1.4 TDI (80 PS) M BLUEMOTI ON with DPF 1.4 TDI 80PS Ecomotion 250

Diesel A/ 0

99

SEAT

Ibiza

Diesel A/ 0

99

Rank

Make

Model

Edition MINI Cooper D Hatchback - with particle filter 1.4 TDI 80PS GreenLine with DPF 1.4 TDI PD 80PS GreenLine with DPF 1.4HDi MINI Cooper D Clubman with particle filter 1.3 16v MultiJet

Gear box

Fuel

Tax Band / Cost P/A

CO2 (g/km)

MINI

MINI Hatchba ck R56 New Fabia New Fabia Estate C1 MINI Clubman R55 500 New Fiesta, 2009 Model Year Onwards New Fiesta, 2009 Model Year Onwards

Diesel B/ 35

104

SKODA

Diesel B/ 35

109

3 3

SKODA CITROEN MINI

M M M

Diesel B/ 35 Diesel B/ 35 Diesel B/ 35

109 109 109

FIAT

Diesel B/ 35

110

FORD

1.4 Duratorq TDCi (68PS)

Diesel B/ 35

110

FORD

1.6 Duratorq TDCi (90PS)

Diesel B/ 35

110

251

252

Appendix 13

Leave Entitlement Policy

This appendix sets out the revised Leave Entitlement Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Leave Entitlement Policy 1.

1.1

Introduction
The south west strategic health authority is committed to ensuring that all employees receive their full entitlement in the following: Annual leave; Civic and Public Duties leave; Jury and Witness Service leave; Reserve Forces leave.

1.2

Taking adequate and appropriate leave supports the south west strategic health authority in achieving its ambitions for staff wellbeing as well as meeting the commitments under the working time directive. The leave entitlement policy also supports the aims of the health and wellbeing policy. For career breaks see the Family Friendly policy.

1.3 1.4

2.
2.1 2.2

Annual leave
The annual leave year for the South West Strategic Health Authority employees runs from 1 April to 31 March in any year. Annual leave requests must be discussed at least two weeks in advance, with the employees line manager. On agreement, the line manager will record and authorise the annual leave on the annual leave card prior to the annual leave being taken. Any enquiries with regard to annual leave must be discussed with your line manager who, in turn, may contact the Human Resources team for advice. Entitlement

2.3

2.4 2.5

Entitlements to annual leave are set out in Annex 1. Generally, public holidays include bank holidays, holidays by Royal Proclamation and common law holidays. When public holidays in the Christmas and New Year period fall on a weekend, alternative week days are declared as Public Holidays. The eight statutory bank holidays in the year are: Christmas Day; 253

2.6

 2.7 2.8

Boxing Day; New Years Day; Good Friday; Easter Monday; May Day; Spring Bank Holiday; August Bank Holiday.

Employees who wish to calculate their annual leave entitlement in hours can do so using the ready reckoner in Annex 2. An employee, who joins the South West Strategic Health Authority part way through the annual leave year, will have their annual leave entitlement based on the period from the end of their first month of employment until the annual leave year ends. This will be calculated pro rata for the entitlement for a full year. An employee who becomes eligible for an increase in annual leave entitlement due to the completion of either five or ten years service, will receive that entitlement pro rata from the end of the month they become eligible to the end of the annual leave year. (see Annex 2) Employees are encouraged to take two consecutive weeks annual leave during each annual leave year. In peak holiday periods for example Christmas and June to September it may not be possible to grant requests for two consecutive weeks leave. Employees may request annual leave in excess of two and up to a maximum of four consecutive weeks and/or unpaid leave to run consecutively as an agreed long holiday. The employees line manager will consider these requests and seek to balance the needs of the individual employee with those of the South West Strategic Health Authority. Employees who are required to work on a Public Holiday will be entitled to equivalent time to be taken off in lieu at a date agreed by their line manager and recorded on the annual leave card. Public Holiday will be paid at plain time rates in addition to the appropriate payment for the duties undertaken on the Public Holiday. Employees who work part time are entitled to paid public holidays. The entitlement is based on that of a full time worker and adjusted to reflect the hours worked by the part time employee. Entitlement is rounded up to the nearest hour.

2.9

2.10

2.11

2.12

2.13 2.14

254

2.15

The paid entitlement to public holidays for part time employees forms part of their annual leave entitlement. As a result, any public holidays that fall on their normal working days must be booked as annual leave if they are not required to work. Payment received during annual leave is calculated on the basis of what the employee would have earned had they been at work. It includes: supplements that form part of your regular pay; recruitment and retention premia; payments for work outside of normal hours; high cost area supplements.

2.16

2.17

An employee who takes a period of annual leave without authorisation will be considered by the South West Strategic Health Authority to have had a period of unauthorised absence, which would usually be unpaid and may constitute misconduct (which will be managed through the Disciplinary procedure). Responsibilities of Employees

2.18

The responsibilities of the employees include the need to: ensure that their annual leave is planned and taken at regular intervals throughout the year; request annual leave as specified in 2.2 above; make every effort to reach agreement with their line manager with regard to annual leave but, in the event of a dispute, to follow the grievance procedure.

Responsibilities of Employers 2.19 The responsibilities of the employers include the need to: ensure that the Leave Entitlement policy is applied fairly to all; ensure that all employees are aware of the procedure for requesting annual leave and their own entitlement; keep accurate annual leave records of all employees for monitoring purposes; ensure that employees take adequate and appropriate time away from their duties to allow for rest and recreation. respect cultural and religious beliefs, as far as possible when managing annual leave requests.

255

ensure that employees with caring responsibilities are not disadvantaged, as far as possible when managing annual requests.

Carry over of leave 2.20 Employees may be permitted to carry over up to one weeks annual leave entitlement to the next annual leave year. Any such request will be considered by their line manager and granted if it meets the needs of both the South West Strategic Health Authority and the individual employee. The entitlement to be carried over will be recorded on the annual leave cards for both years. In exceptional circumstances, it may be possible to carry more than one weeks annual leave over to the next annual leave year. If a request is approved by the relevant director, the leave should be taken as soon as is reasonably practicable to ensure that the right balance is achieved between rest and work. The entitlement to be carried over will be recorded on the annual leave cards for both years. Any request to carry leave over must be discussed with the employees line manager prior to 1 February in each annual leave year in order to allow time for the remaining leave to be taken should it not be possible to grant permission to carry the leave over. An employee who is absent from work during an annual leave year due to statutory maternity leave, paternity leave, parental leave or adoption/ surrogacy leave period will be subject to special conditions. These conditions will be outlined by their line manager on commencement of their leave period and any adjustments to their annual leave entitlement recorded on their annual leave card. Sickness absence during annual leave 2.24 An employee who is absent due to sickness immediately prior to or during a period of annual leave may request that their leave be treated as sickness absence and their annual entitlement reinstated. An employee must report their sickness in line with the Absence Management policy, as stated below: on the first day of absence the employee should notify the nominated person, in accordance with the reporting sickness absence arrangements. They should give the reason for the absence and in the case of sickness, the date that they first became ill (including Saturdays, Sundays and holidays) and the likely duration of absence. The nominated person must record that sickness has been reported by completing the Sickness Absence Notification form and forward it to the Human Resources team.

2.21

2.22

2.23

2.25

2.26

In order for the line manager to consider such a request, the employee will be required to provide supporting evidence in the form of a medical certificate to cover this period. 256

Unpaid leave 2.27 An employee may request unpaid leave for the purposes of, for example, an extended holiday, sabbatical and further training. In this instance, unpaid leave of up to one week may be granted over and above the annual leave entitlement. If the request is for more than one week, an employee is required to use their annual leave entitlement for the remaining period. Information and guidance on unpaid leave due to maternity, paternity, parental leave and adoption/surrogacy can be found in the Family Friendly policy. Line managers are required to inform the Human Resources team in writing of any unpaid leave that is granted and to record the unpaid leave on the annual leave card. The Human Resources team will inform Payroll so that the necessary adjustments to pay can be made.

2.28

2.29

3.

Civic and Public Duties leave

Introduction

3.1

Under the Employment Rights Act 1996, employers are required to permit employees who hold certain public positions reasonable time off to perform their duties. Those who are eligible are: Justices of the Peace; members of local authorities; members of statutory tribunals; members of police authorities; members of a board of prison visitors or a prison visiting committees; members of a relevant health body, such as NHS Foundation Trusts Board of Governors; members of a relevant education body including school governors; members of the service authority for the National Criminal Intelligence Service; members of the General Teaching Councils for England and Wales; members of the Environment Agency.

3.2

Duties that are covered are: attendance at meetings of the body or any of its committees or subcommittees;

257

the performance of the duties approved by the body, the purpose of which is the discharge of the functions of the body in question or any of its committees or sub-committees.

3.3

In deciding what is reasonable time off, the manager should take into consideration the following aspects: the time required to perform these duties; the amount of time already taken off for these duties; the circumstances within the specific department of the South West Strategic Health Authority from which the employee comes and the effect of the absence of the employee.

3.4

There is no requirement for the leave to be paid, however the South West Strategic Health Authority will grant up to six days paid leave per annum if the employee has at least one year of continuous service in the South West Strategic Health Authority. Further periods of unpaid leave may be granted at the discretion of the manager. Pay will be constituted as basic earnings during a normal working week including performance bonus payments and excluding overtime. An application for Civic and Public Duties Leave should be made by the individual concerned in writing to their manager at least two months before each occasion. Such leave must be approved by the manager and authorised by the Head of Human Resources. Any employee holding additional positions, such as those listed in paragraph 3.1, should refer to the Secondary Employment policy and declare in writing to the Chief Executive of the South West Strategic Health Authority any possible conflict of interest.

3.5 3.6

3.7

4.

Jury and Witness Service leave

Introduction

4.1

Under the provisions of the Juries Act 1974, men and women between the ages of 18 and 70 may be summoned to attend for jury service in the Crown Court, the High Court, a Coroners Court or the County Court, subject to certain limited exceptions and disqualifications. Exemptions

4.2

A person can only be excused or exempted if they have a mental illness, a criminal conviction, insufficient command of the English language, certain care responsibilities or religious beliefs or other compelling reasons for being unable to sit in the twelve months from being summoned; they can defer jury duty on the grounds of death or illness of a close relative, a pre- booked holiday, religious festivals or essential military service.

258

4.3

The previous list of people entitled to be excused from such service, amongst them doctors, ceased to have effect following the passing of the Criminal Justice Act 2003. Avoidance

4.4

It is not normally possible for either an employee or the employer to avoid a summons to attend court as a juror. However, if it can be shown that there is a good reason why it is not appropriate for them to attend then jury service can be deferred. An employee may argue that a prolonged absence from work may mean that the work of the South West Strategic Health Authority would suffer, which would be detrimental to the public interest. The final decision rests with the judge. Time off arrangements

4.5

4.6

The South West Strategic Health Authority will grant paid leave at normal salary for staff called for jury service regardless of the length of time the jury service is for. A juror is usually called for two weeks or ten days, but if the trial exceeds ten working days, the juror is required to remain until the trial finishes.

4.7

5.

Reserve Forces policy

Introduction

5.1

The Reserve Forces Act 1996 allows the compulsory mobilisation of reservists for military operations. There is protection for employers of key personnel including exemptions and deferrals. Members of the Armed Forces Reserves include the Royal Navy Reserve, Royal Marines Reserve, Territorial Army and Reserve Air Forces. For attending annual camp the South West Strategic Health Authority will allow two weeks leave, one week will be paid, the other will either be unpaid or taken from the annual leave entitlement of the employee. Application for Reserve Forces Leave should be made by the individual concerned in writing to their manager at least two months before each occasion. Such leave must be approved by the manager and reported to the Head of Human Resources.

5.2 5.3

5.4

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when requesting leave;

259

the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in the booking and management of annual leave and unpaid leave.

6.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2013

260

Annex 1 Annual leave tables

Agenda for change Length of Service in years On appointment After five years service After ten years service Annual Leave (in days) 27 29 33 General Public Holidays (in days) 8 8 8

Very Senior Managers Length of Service in years On appointment After five years service After ten years service Annual Leave (in days) 27 29 33 General Public Holidays (in days) 8 8 8

Medical and Dental As per the individual terms and conditions of service as found on NHS Employers website. http://www.nhsemployers.org/PAYANDCONTRACTS/Pages/Pay-and-contracts.aspx

261

262

Annex 2 South West Strategic Health Authority Agenda for Change annual leave entitlement for complete years inclusive of Bank Holidays
Weekly Basic Contracted Hours On Appointment 35 days Hours Equivalent: 263 260 256 252 249 245 242 238 235 231 228 224 221 217 214 210 207 203 200 196 193 189 186 182 179 175 172 168 165 161 158 154 151 147 144 140 137 After 5 Years Service 37 days 278 274 271 227 263 259 226 252 248 245 241 237 234 230 226 222 219 215 211 208 204 200 197 193 189 185 182 178 174 171 167 163 160 156 152 148 145 After 10 Years Service 41 days 308 304 300 293 292 287 283 279 275 271 267 263 259 255 251 246 242 238 234 230 226 222 218 214 210 205 202 197 193 189 185 181 177 173 169 164 160

37.5 37.0 36.5 36.0 35.5 35.0 34.5 34.0 33.5 33.0 32.5 32.0 31.5 31.0 30.5 30.0 29.5 29.0 28.5 28.0 27.5 27.0 26.5 26.0 25.5 25.0 24.5 24.0 23.5 23.0 22.5 22.0 21.5 21.0 20.5 20.0 19.5

263

Weekly Basic Contracted Hours

On Appointment 35 days Hours Equivalent: 133 130 126 123 119 116 112 109 105 102 98 95 91 88 84 81 77 74 70 67 63 60 56 53 49 46 42 39 35 32 28 25 21 18 14 11 7 4

After 5 Years Service 37 days 141 137 134 130 153 123 119 115 111 108 104 100 97 93 89 86 82 78 74 71 67 63 60 56 52 49 45 41 37 34 30 26 23 19 15 12 8 4

After 10 Years Service 41 days 156 152 148 144 140 136 132 128 123 119 115 111 107 103 99 95 91 87 82 78 74 70 66 62 58 54 50 46 41 37 33 29 25 21 17 13 9 5

19.0 18.5 18.0 17.5 17.0 16.5 16.0 15.5 15.0 14.5 14.0 13.5 13.0 12.5 12.0 11.5 11.0 10.5 10.0 9.5 9.0 8.5 8.0 7.5 7.0 6.5 6.0 5.5 5.0 4.5 4.0 3.5 3.0 2.5 2.0 1.5 1.0 0.5

Note: Formula Is Weekly Contracted Hours

X No. Of Days Entitlements

264

Appendix 14

Mobile Phone Policy

This appendix sets out the revised Mobile Phone Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Mobile Phone Policy 1.

1.1

Introduction
The South West Strategic Health Authority provides a mobile phone or Blackberry (hereafter both devices will be referred to as a mobile phone) to employees who need to contact and be contactable while on Strategic Health Authority Business. This policy has been compiled to help ensure that South West Strategic Health Authority employees use mobile phones safely, securely and in line with the law. The policy should be read in conjunction with Department of Health Patient Power Review Group Use of Mobile Phones in Hospitals and other NHS Premises available through the link below. http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPo licyAndGuidance/DH_4138658

1.2

It is the responsibility of the Directors of the South West Strategic Health Authority to implement and administer this policy. However, it is the responsibility of the users to comply with, and adhere to, this policy.

2.
2.1

General
Where a mobile phone is provided to an employee this will include a voicemail facility to ensure no calls are missed while employees are in appointments or driving. A mobile phone is provided for essential business and emergency calls. Personal calls made using a Strategic Health Authority mobile phone should be avoided where possible. However, where employees do choose to make personal calls, users will be required to reimburse the cost of personal calls to the Strategic Health Authority. This will be done through a payroll deduction or directly invoiced to the staff member dependent upon whether they are paid through the Strategic Health Authority payroll.

2.2

2.3

3.
3.1

Issue and agreement

Any employee who requires the use of a mobile phone to support their work must have authorisation from their Manager and Director before one can be purchased. The authorisation form can be found on the intranet entitled Information Technology (IT) Set Up and Property Request Form. An Agreement for Acceptable Use of Mobile Phones must be signed by all employees issued with a mobile phone which can be found on the intranet. This is the joint responsibility of the line manager and user. Failure to comply with the requirements of this policy may lead to disciplinary action being taken.

3.2

265

3.3

Included in the Agreement for Acceptable Use of Mobile Phones, all mobile phone users will agree for private call charges to be recovered through payroll deductions or separate billing. The private call charges recoverable will be informed by an individual Call Details Statement, issued quarterly and completed by the user.

4.
4.1

Camera phones
South West Strategic Health Authority business will not normally require employees to use cameras installed in mobile phones and employees are asked not to use this facility on business. Camera phones should be used with extreme care and should not be turned on in clinical environments or patient areas (except in an emergency), to protect patient privacy and dignity and safeguard both the South West Strategic Health Authority and its employees from litigious claims. It is also a courtesy not to use mobile phones in these areas as it can be intrusive and impact adversely on the therapeutic environment and some sensitive clinical equipment. All employees in possession of a mobile phone, whether issued by the Strategic Health Authority, or a personal mobile should not capture any images of employees or patients on mobile phone devices. This applies unless written permission by the third party has been granted for an image to be captured.

4.2

5.
5.1

Legislation
The Highway Code specifically warns drivers that they must be in proper control of their vehicle at all times and strongly advises drivers not to use mobile phones whilst driving. Telephone conversations while driving, if business related, may be urgent, tense and provoke higher stress levels. The conversation itself is the most distracting factor, meaning that hands free kits are little safer than holding a mobile phone. Research has revealed that drivers talking on a mobile phone are four times as likely to crash compared with other drivers. The South West Strategic Health Authority does not require employees to answer mobile phones whilst they are driving. Regulation 104 of the Vehicle Construction and Use Regulations indicates that drivers may face prosecution if they are not at all times in proper control of their vehicle. This Regulation has already been used as the basis for prosecution by police officers nationwide. If you use a mobile phone whilst driving, you may be charged with: failing to exercise proper control of a vehicle; careless and inconsiderate driving; dangerous driving.

5.2 5.3

5.4

266

5.5

It is an offence to use a hand held mobile phone whilst driving. Prosecution may follow an offence of this nature. Such an offence could lead to a fixed penalty, the awarding of penalty points and/or a fine. It is not illegal to use a hands free mobile phone, however, the police may prosecute if an incident should occur. Proof of use of a mobile phone is readily available to the authorities. The South West Strategic Health Authority has a legal duty of care under health and safety legislation to ensure the safety of their employees and of anyone else who may be affected by their activities. This duty applies when employees are driving for work purposes, including travelling to meetings.

5.6

5.7

6.
6.1

Employee obligations
Employees are required to make full use of the message (voicemail) facility available and only make and receive calls whilst the vehicle is stationary, with the engine switched off and it is completely safe to do so. Employees should not make calls from petrol station forecourts. Employees who personally choose to use a wireless hand free system are encouraged to use the most up to date equipment and, ideally, a voice activated system. All employees have an obligation to comply with the law and any prosecution under any of the above legislation will be the full responsibility of the driver in charge of the vehicle. You should be in proper control of your vehicle at all times.

6.2

6.3

7.
7.1

Intended outcomes
The intended outcomes of this policy are: line managers and directors approve the issue of a mobile phone to an employee; all users sign the Agreement for Acceptable Use of Mobile Phones; all drivers issued with a mobile phone comply with the law and are aware of their responsibilities; all users only use camera phones where strictly necessary for business use and do not turn on camera phones in hospital units, around children or vulnerable people.

7.2

An impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy approved: Review by:

267

268

Appendix 15

Organisational Change Policy

This appendix sets out the revised Organisational Change Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Organisational Change Policy 1.

1.1

Introduction
The purpose of this policy is to set out the key elements which should be applied where there is a need for organisational change affecting the provision of services and staff terms and conditions of employment. Organisational change decisions and actions will be recorded and monitored by the Human Resources team to ensure that the procedure is operated fairly and consistently to all staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or an adverse effect is found the South West Strategic Health Authority will take appropriate action. The policy aims to acknowledge that each situation may be different and require an individual approach. Any change is a potential stressor and therefore the South West Strategic Health Authority will ensure (so far as is practicable) that an assessment of risk is undertaken at the start of any organisational change programme. All reasonable steps will be taken to reduce the risks to staff. It is recommended that the Stress Management section of the Health and Wellbeing policy of the South West Strategic Health Authority be considered in conjunction with this policy. Nothing in this policy and subsequent procedure and guidelines has the effect of limiting or attempting to limit the statutory rights of employees or their representatives, or the statutory obligations on the South West Strategic Health Authority as an employer. The importance of a well thought out organisational change programme is key to a successful implementation and the ongoing success of the South West Strategic Health Authority. If the outcome of the organisational change is likely to result in a reduction of posts then Section 16 of the NHS Terms and Conditions Service Handbook and the Redeployment policy and procedure of the South West Strategic Health Authority should be referred to, in conjunction with advice from a senior member of the Human Resources team. This policy and procedure will apply when considering a transfer of employment under the Transfer of Undertakings (Protection of Earnings) Regulations 2006.

1.2

1.3 1.4

1.5

1.6

1.7

1.8

269

2.
2.1

Scope of the policy

The policy applies to all staff whose job content, hours, work base or conditions of service are affected by organisational change. Staff representatives will be notified of affected staff. This policy and procedure will not normally cover change of on-site work base or changes in line management arrangements unless there is an impact on the employees terms and conditions of service.

2.2

3.
3.1

Policy principles
This policy and procedure applies in full to any proposed changes which are of a temporary nature but expected to last for four months or more. For temporary changes lasting less than four months, the principles of this policy should still be considered as good management practice. Early advice should be sought from the Human Resources team on the appropriateness and application of this policy and procedure. This policy should be read in conjunction with: Dignity at Work policy; Family Friendly policy; Grievance policy; Health and Wellbeing policy; Pay Protection policy; Recruitment policy Redeployment policy; Staff Involvement and Internal Communications policy.

3.2 3.3

3.4

Planning and introduction of organisational change must involve staff and their representatives as set out in the Staff Involvement and Internal Communications policy. Full and open communication with staff will take place throughout the process to facilitate meaningful consultation, allowing adequate time to consider responses and give feedback on the decisions taken. With all organisational change a Lead Manager will be identified who will take responsibility for leading and managing the change programme throughout all stages given in this policy. The Lead Manager will normally be a Director or an Associate Director.

3.5

270

3.6

The Lead Manager will ensure that a risk assessment is carried out to identify any potential risks of the organisational change programme to staff, and that this risks are acted upon so far as reasonably practicable. The South West Strategic Health Authority will seek to maximise the opportunities for existing staff to apply for posts within new structures, giving prior consideration to existing post holders (subject to fulfilling the essential criteria required) and thereby minimising the risk of redundancy. Where staff can not be accommodated in new structures, the South West Strategic Health Authority will seek to retain staff through the application of the Redeployment policy. The South West Strategic Health Authority will ensure that new structures are implemented with fairness, sensitivity and consistency. In managing organisational change the Lead Manager must demonstrate consideration to the following: the anxiety of staff and the need to retain staff commitment, continuity and stability; the requirements to achieve change effectively, in a timely way and with the minimum disruption to the South West Strategic Health Authority business; the need to comply with employment legislation (Human Resources advice must be obtained); ensuring new posts have an appropriate job description, person specification that has been evaluated in line with the NHS Job Evaluation Handbook.

3.7

3.8

3.9

3.10

At all stages of organisational change the employee will have the right to be accompanied at meetings by a Trade Union representative or work colleague (not acting in a legal capacity). A Lead Manager has responsibility to ensure that appropriate support is available to employees who have particular requirements. The South West Strategic Health Authority supports managers to make decisions based upon the needs of the service. In doing this the views of others will be taken into consideration, so that any decisions taken are on an informed basis. However it is important to recognise that not all views will be seen as appropriate by management and meaningful feedback will be given. The Lead Manager will follow the Organisational Change procedure and Guidance set out in Annexes 1 and 2.

3.11 3.12

3.13

271

4.
4.1

Monitoring and review

It is the responsibility of the Human Resources team to: monitor and review this policy; consider the results of the Staff Survey and where appropriate endorse actions to update the management of organisational change procedures that have been identified from this; monitor organisational change in the South West Strategic Health Authority, to ensure compliance with this policy and actions that may be appropriate beyond it.

5
5.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently and supported during organisational change; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves during the consultation, and implementation of organisational change.

5.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2012

Policy Approved: Review By:

272

Annex 1 Organisational Change Procedure

Flow chart summarising the organisational change process Draw up a formal consultation paper for consultation.
Following approval of the organisational change proposal, the Lead Manager writes a formal organisational change consultation paper (see template given in Annex 3) in discussion with Human Resources and Staff Representatives. The formal paper will include an explanation as to why change is necessary, any options available, impact on staff, set out the timetable for consultation and proposed implementation plan.

Formal Consultation paper is submitted for consultation.

The finalised formal organisational change consultation paper is circulated to all parties directly affected by the proposed organisational change.

Consultation process.
The Lead Manager will formally brief staff of the change and answer any questions. In addition, individual meetings will be held with staff whose posts have been identified at risk. Staff must provide written feedback by the end of the consultation period. The Lead Manager will: give serious consideration to the feedback to develop a final organisational change paper and implementation timetable; provide written response to the feedback; issue the final organisational change paper, brief staff, and arrange individual meetings with staff whose posts have been identified at risk.

Implementation process.
Any new job descriptions will be submitted for evaluation in line with the NHS Job Evaluation Handbook. The Redeployment Policy will be followed for staff whose posts have been identified as being at risk.

273

274

Annex 2

Organisational procedure and guidance for managers 1.

1.1

Identify the case for change and obtain appropriate authorisation to proceed
Managers should determine what they are aiming to achieve and whether organisational change is the most appropriate process, for example would a collective agreement be more appropriate. In determining this, managers may wish to discuss with staff representative and their Human Resources team. At this point any proposals would need to be agreed and signed off at a senior level within the organisation, such as Senior Management Team and the Management Board. A clear business rationale will be provided for any proposed organisational change. The business rationale should reflect the potential risks on other Directorates, departments and staff not directly affected by the change, and where necessary these aspects should be reflected in the formal consultation process. Lead manager and their responsibilities

1.2

1.3

A Lead Manager will normally be a Director or Associate Director and is responsible for: compliance with this policy; obtaining the necessary authorisation and sign off to proceed; briefing Senior Management, Human Resources and recognised staff representatives on initial proposals; writing the initial draft consultation paper; leading on formal/informal briefing sessions with affected staff; carrying out a risk assessment; reducing the risks as far as possible; reviewing the risk assessments throughout the project to ensure correct actions are in place; updating the Senior Management Team and other formal meetings on actions taken around proposals; ensuring all those involved in the proposed changes are fully aware of their responsibilities; ensuring appropriate paperwork is completed;

275

ensuring the correct process is completed, in a fair and equitable manner; managing the timeframes for which the change is completed within, this will include judging when the timeframe needs to be extended to ensure a transparent and fair process to be followed; recording and monitoring all actions taken (briefing sessions, group meetings, for example) and ensuring adequate administrative support; ensuring all those supporting the change process are adequately equipped; identifying any relevant support needed for staff affected by the change; maintaining up to date records/documents completed as part of the change process; ensuring someone is available at all times to deal with questions or issues relating to the change, particularly with a presence at key stages of the process; ensure Staff Occupational Health is informed of the proposed scope of the organisational change, to anticipate scale and likely demand on their services to ensure adequate support for those affected.

Support for staff the South West Strategic Health Authority does not underestimate the impact that proposals and changes will have on members of staff. Lessons learnt from previous changes have been incorporated within this document, especially regarding communication and support to staff; staff are entitled to support from their Trade Union representative, Occupational Health Department and Staff Counsellor, and the Human Resources team. One to one meetings will provide opportunities to discuss any personal issues, preferences for redeployment opportunities, and other options as appropriate; if individuals are required to re-apply for posts, consideration must be given to providing support around preparation of a Curriculum Vitae (CV) and for interview and advice around providing referees; it may be appropriate to organise Question and Answer sessions with staff affected by the organisational change, this should be timetabled in at the start of the change process together with the names of those who will be in attendance. This should be done in partnership with staff representatives;

276

all meetings and question and answer sessions will be minuted and copies provided to all staff affected by the organisational change. The Lead Manager is responsible for providing staff the administration support to carry this out. support is offered to staff in a number of different ways and will be dependent on each individuals needs and requirements throughout the process. Formal and informal support is offered through the following individuals and departments: * * * * line manager and colleagues; Human Resources team; staff Occupational Health; pensions/payroll.

2.
2.1 2.2 2.3

Preparation of a formal consultation paper setting out proposed changes

For all consultations, a formal paper must be prepared by the Lead Manager setting out the rationale for change and the options available; The formal paper must be discussed/developed with staff representative and the Human Resources team before formal consultation commences; Once the formal paper is agreed by the above it should be circulated for formal consultation to all parties that are likely to be directly affected by the proposals. Guidance for managers

2.4

It may be appropriate to carry out a situation analysis an activity which identifies barriers, levers and facilitators for change this is an important first step in designing a change management strategy that will meet local needs; A formal paper will need to set out all the options with their respective advantages and disadvantages (strengths, weaknesses, opportunities and threats analysis could be a useful tool, although it needs to be carefully considered, and with the end in mind rather than as a process in its own right); There should be a formal risk assessment done on any planned proposals; Proposals need to be written in plain English; There will need to be sufficient time allowed for staff to consider and respond to the contents of the consultation paper;

2.5

2.6 2.7 2.8

277

2.9

In line with legislation consultation periods should not be less than: 1 20 staff 21 99 staff 100+ staff two weeks four weeks twelve weeks

2.10 2.11

When calculating consultation periods managers should be mindful of staff wishing to involve their unions and the availability of this. Where there are potential redundancies please see Section 16 of the NHS Terms and Conditions Service Handbook, which is available on the intranet or from Human Resources. The consultation paper should invite comments, suggestions and feedback. It should also ensure that the implications of the proposed change are clear, including a clear plan with timescales for consultation feedback, review of the feedback, confirmation of the final proposals and proposed implementation plan.

2.12

3.
3.1

Briefing of staff representatives and affected staff

The purpose of the briefing is to explain the proposals, content of the formal paper and set out the plan and timescales for implementation with affected staff, including those on extended leave (such as maternity leave, career breaks). Guidance for managers

3.2

It will be mutually beneficial for the Lead Manager to ensure that the Joint Management and Staff Committee is briefed on the proposals and the associated timescales prior to any consultation paper being circulated amongst affected staff. The purpose of this briefing will be to explain the proposals, the content of any consultation paper, and to set out the plan and timescales for sharing this information with affected staff. The next stage in the process will be to brief affected staff on the proposed changes. The scale and format of this will be dependent upon the specific nature of the changes and the number of individuals affected. This may entail the organisation of group and also individual meetings with staff, taking care to recognise the grapevine effect and thus avoiding this as much as possible. Managers embarking upon a change process must also ensure that they make contact with any staff that may be on extended leave, whether it is long term sick leave, maternity leave secondment and career breaks. Where staff in another department may be affected by the proposals there should also be communication with the staff and of the area concerned. It is essential that proposals are communicated to staff clearly in plain English.

3.3

3.4

3.5 3.6

278

4.
4.1 4.2

Consult with affected staff

It is important to recognise the impact on individuals at this stage. In consulting on change the Lead Manager is required to consider in an openminded way the feedback received on the proposals and to examine any alternative suggestions. It is recommended that the Lead Manager sets up a panel of suitable personnel (this may involve a staff representative and Human Resources representative) to consider feedback and investigate suggestions appropriately before decisions are made. If in the light of the feedback, if the proposals are significantly amended, a revised consultation paper will be issued and a further consultation will commence. The length of the second round of consultation should reflect the degree of change from the original proposals, but will not be less than two weeks. At the end of the consultation process the Lead Manager should communicate the decision made and the reasons for this, including an explanation of why any other options put forward were not accepted with if necessary a further group meeting or one to one if appropriate. It must be recognised that managers have the right to manage and make changes, whilst not under estimating the effect that this can have on some members of staff. At the end of the consultation the Lead Manager will communicate the decision made and the reasons, including a brief explanation as to why any options put forward that were not accepted were deemed unsuitable.

4.3

4.4

4.5

4.6

4.7

5.
5.1 5.2

Implementation of change
The importance of a well thought out and communicated implementation plan is key to a successful change programme. Managers should seek to reach a consensus on the change proposals. However, in the absence of this, formal notification of change will be issued with appropriate notice periods being given. It is recommended that if changes affect large groups of individuals a date of four months hence is determined as the change of date to capture all individuals. If a decision has been agreed regarding the proposals, notice periods can be waived by staff and it may be appropriate to agree a date of implementation, which should then become the effective date agreed by all.

5.3

5.4

279

5.5

Following the consultation process there needs to be a clear implementation plan, which also needs to be communicated to affected staff setting out specific changes. Staff should be offered one to one meetings with their line manager to discuss the effects of the changes. Staff will be entitled to representation by a Trade Union or accompanied by a work colleague (not acting in a legal capacity) at these discussions. Every effort will be made to ensure appropriate training and support. Managers and staff will also need to consider the effect of the changes on any existing Personal Development Plans in light of the NHS Knowledge and Skills Framework. Where teams are merging consideration should be given to the benefits of team coaching either before or during the implementation of any change.

5.6

5.7

6.
6.1 6.2

Appointments
This section explains in detail eligibility for slotting-in, ring-fenced competition and pay protection arrangements. It is essential that the Lead Manager ensures that all posts have a detailed job description and person specification prepared. These will include the essential skills, qualifications, experience and qualities required of the postholder. All jobs will have undergone job evaluation and a properly constituted panel will have banded them.

7.
7.1

Eligibility for posts

Substantive staff affected by the change programme are eligible to be considered for posts in the new structure through either slotting in or ringfenced competition, (this includes those on fixed term contracts and temporary contracts of more than twelve months). Staff on secondment or acting-up will be considered on the basis of their substantive post, not their seconded/acting up role. Eligibility for posts will be assessed by matching the content of the new posts to those in their present post. Slotting in process

7.2

7.3

This process will be monitored by the Lead Manager with support from Human Resources. Any member of staff who feels that they have been incorrectly excluded or included for consideration for any post has the right of appeal through the South West Strategic Health Authority Grievance Procedure they should initially seek advice from their Trade Union or Human Resources representative. Where there is a single post in the new structure, the content of which is substantially similar (at least 70%) to one in the old structure, the present substantive and permanent incumbent will be the natural successor to the post in the new structure.

7.4

280

7.5

That person therefore, will be the sole initial candidate for the position and providing that essential criteria contained in the person specification are met, that person should be slotted in. Where there is a post or posts in the new structure which clearly result from the merging of two or more posts form the old structure then the incumbents of the old posts will be the initial candidates for the new post or posts. In this instance, ring-fenced competition may apply. Where a person accepts slotting in either as a sole initial candidate or as a result of a job merger, then they will not be eligible for ring-fenced competition for any other posts in the new structure. However they may apply for posts advertised in open competition after the ring-fenced stage. If the employee does not accept slotting in to a suitable post, the South West Strategic Health Authority will not be obliged to offer further employment opportunities and the individual will forfeit their right to any redundancy payment. Staff considering such a step will be urged to seek advice from their Trade Union representative or Human Resources before rejecting any offers of employment. How the Slotting in process works in practice

7.6

7.7

7.8

7.9 7.10

Slotting in is the very first process to attempt to appoint within a band, for example, a band 7 post is filled by an employee currently on a band 7. Slotting in is very appropriate where the number of suitable staff is equal to or less than the number of posts available, if there are more suitable staff then posts would go to ring-fenced competition. To qualify for slotting in, there should be a match of at least 70% of the duties from the old to the new post as set out in the job description/person specifications and known job content. It is a management decision regarding individuals qualifying for slotting in. If a staff member is not happy with the decision, they must take Human Resource and Trade Union advice to assist with addressing this. Appointments to the new structure will be made by descending grade, level by level in the organisation structure. However, staff at risk will not be considered for posts in the next level of the structure until the first round of slotting into that structure has been completed; individuals do not automatically take a post at the next band down. Ring fencing of posts in the new structure

7.11

7.12

7.13

7.14 7.15

Once slotting in arrangements have been completed ring-fenced competition takes place before the posts are opened to internal competition. At this stage, all eligible employees will receive a letter detailing the posts available to them. The letter will include job descriptions and person specifications for each of the relevant posts. 281

7.16 7.17

It will also include details of how to apply, the closing date and the method of selection. Job share applications will be considered for all posts. If applicants are applying (other than in open competition) for more than one post at any one phase there will be no need to complete multiple application forms. The Lead Manager will indicate whether a standard application form or shortened version is to be completed for all posts applied for, to be accompanied by a letter from the applicant listing the posts for which application is being made and, where appropriate, indicating an order of preference. Application forms should demonstrate how the candidate meets the essential criteria for the post. One employment-related referee will need to be given; however they will only be contacted where external assessors are involved in the appointment process. All applicants will be considered for their preferences subject to them meeting the essential requirements of the person specification for the post, and taking further training into consideration where appropriate. In circumstances where there are more posts than applicants, selection interviews will be held. Short-listed candidates will be given reasonable notice of the interview date and every effort will be made to see all candidates on the same date or within a reasonable time thereafter. Consideration will be given to those members of staff who have flexible working patterns for which interviews may have to be re-arranged. The interview arrangements will take into account accessibility requirements of candidates. Selection panels will consist of at least two members, including the line manager. External assessors may be used for some senior technical and professional posts. Interviews will be co-ordinated to ensure that the interview process is completed as swiftly as possible without unnecessary duplication of interviews. Any member of staff who is interviewed is expected to maintain confidentiality and not share the information, questions asked, and so on with any other candidates a breach of this may result in any offer of employment being withdrawn and potential disciplinary action. The Chair of the selection panel will also ensure that the conduct of the interview does not directly or indirectly discriminate against any individual candidate.

7.18

7.19

7.20

7.21 7.22

7.23 7.24

7.25

7.26

282

7.27

The Chair will record in writing the panels findings and the reasons for the decisions reached on each candidate. All offers of posts will be confirmed in writing by Human Resources when all interviews for that group of staff are completed. Internal candidates who are unsuccessful at interview will be offered postinterview feedback and counselling by a designated manager. The timing of this feedback should be considered sensitively. How ring fenced competition works in practice

7.28

7.29

Once slotting in arrangements have been confirmed then ring fenced competition will take place for staff identified as being at risk, before the posts are opened to internal competition. This may include staff at risk in lower pay bands being eligible to apply for a post one band higher than their substantive post. Human Resources advice must be sought. If individuals are displaced from their substantive post, there is no automatic right to a post that has been ring-fenced in the new structure. To be able to apply for a ring-fenced post the essential criteria of the person specification needs to be met, or is able to be met with a reasonable amount of training (normally within four months of commencement of the post).

7.30 7.31

8.
8.1

Protection of pay
Where an individual is appointed to a post at a lower salary, or there are differences in the contracted hours of work, pay protection as outlined in the Pay Protection policy of the South West Strategic Health Authority will apply. For large scale changes key members of staff from Human Resources and Payroll will be designated on leading this aspect of the advice to staff.

8.2

9.
9.1

Failure to match staff affected by the organisational change to available posts

In circumstances where the appointments process, described above, fails to match an employee affected by the organisational change to an available post the following arrangements will apply: staff who are not matched to posts in the new structure will be considered for any suitable alternative employment in line with the Redeployment policy and procedure; the individual will be consulted to identify scope for matching to suitable employment; staff at risk will, when they apply, receive priority consideration for interview for all posts at or below their current salary in the occupations agreed as suitable alternatives before these posts are externally advertised;

283

staff at risk will not be able to apply or be considered for posts in the next level of the structure until the first round of matching to that structure has been completed; any posts remaining vacant after the redeployment exercise has taken place will be subject to open competition; in exceptional circumstances where posts are newly created and it is believed that no current employee meets the person specification, open competition will take place in the first instance.

10.
10.1

Internal (open) competition

If no appointment is made or if there are no ring-fenced applicants, the post will be advertised in the internal vacancy bulletin and subject to open competition. Posts at this stage will be available to existing employees of South West Strategic Health Authority.

11.
11.1

Transfer of undertakings (protection of employment) regulations 2006 (TUPE)

The Transfer of Undertakings (Protection of Employment) Regulations (TUPE) protects employees terms and conditions of employment when a business is transferred from one owner to another. Employees of the previous owner when the business changes hands automatically become employees of the new employer on the same terms and conditions. Its as if their employment contracts had originally been made with the new employer. Their continuity of service and any other rights are all preserved.

284

Annex 3 Template Consultation Document The following standard document has been written to assist managers and Human Resources staff in the delivery of a consistent approach in accordance with the policy. Where it is necessary to amend the document to meet the requirements of an individual case advise must be sought from the Human Resources team.

Template consultation paper with guidance 1.

1.1

Introduction
This document explains the xxx Directorates proposal to XXXX. It is presented in the form of proposals and is intended as a consultation framework for employees potentially affected by the reorganisation. The process for managing any changes will be undertaken in line with current legislation and the Organisational Change policy and procedure and Redeployment policy and procedure of the South West Strategic Health Authority; these policies can be found on the South West Strategic Health Authority intranet or hard copies can be obtained through your Manager, Human Resources or your Trade Union representative. The Directorate will work closely with recognised Trade Unions and staff representatives throughout this process. Staff are encouraged to access Staff or Trade Union representatives for further information, advice and support if they wish.

1.2

1.3

2.
2.1

Background
Insert the economic and business climate that lead to the change.

3.
3.1

Existing arrangements/structure
Managers to explain existing arrangements

4.
4.1

The rationale for change

Identifying the case for change a clear rationale reflecting the potential impact on all areas.

5.
5.1

The options (if appropriate)

Respective advantages and disadvantages/ and strengths, weaknesses, opportunities and threat analysis (SWOT) if appropriate. Risk Assessment(s) to have been undertaken and incorporated

285

6.
6.1 6.2

The implications of the proposed change

Dependent on the circumstances of the proposed changes the following are examples of words to be used: Once the consultation process is concluded, staffing establishments and skill mix will be produced to identify specific posts in the new structure. (If able to share at this stage, incorporate proposed new reporting structure)

6.3

All reasonable steps will be taken to minimise the impact of organisational change. Apart from normal staff turnover, and holding of any suitable existing vacancies for those affected by the change, we will seek to maximise the opportunities for existing staff to apply for posts within the new structure, and support will be available with interview preparation and techniques. In order to ensure a fair and transparent process the Organisational Change policy and procedure of the South West Strategic Health Authority will be followed. Posts in the new structure will be ring fenced for those directly affected staff, and where suitable, slotting in arrangements will apply. Where there is more than one person for a job, there will be selection interviews. In the event where there are staff that cannot be accommodated in the structure, the South West Strategic Health Authority will seek to retain staff through redeployment, thereby minimising the risk of redundancy. Then, highlight specifics of this proposal . . . . . . . . Numbers of people affected Job Titles Skills mix considerations Any costings available at this stage

6.4

6.5

6.6

6.7

As part of the consultation process with staff, staff are invited to respond with their views and suggestions for further consideration on the proposals for reorganisation of xxxx. The impact on staff in the affected areas cannot be underestimated and the South West Strategic Health Authority will endeavour to facilitate the appropriate redeployment for all affected staff.

6.8

286

7.
7.1

Plan and timescales

We aim to consult with staff for a period of at least x days. (This needs to reflect the number of staff affected by the proposals depending on the nature of the proposals this might affect staff on the incoming and receiving wards/areas the minimum period is two weeks. For 20+ staff it should be thirty days, for 100+ staff it should be ninety days.)

7.2

Also confirm time for

Consultation feedback by Review of feedback by Date when final proposals will be confirmed Implementation plan taking into account the selection process for example.

8.
8.1

Comments and feedback

During the consultation period there will be the opportunity to meet again in groups and on an individual one to one basis so that you can tell us your views, make any comments and put forward suggestions. Consultation is undertaken when the aim of achieving full understanding for staff and facilitating their participation in the process towards reaching agreement on the proposal. Depending on the feedback, a revised Consultation paper may be issued for consideration. At the end of the process, taking in account the outcome of consultations with staff, the South West Strategic Health Authority will communicate an explanation of those options that are viable and why other options put forward are not suitable. The times for feedback meetings have been scheduled as follows: Group meetings : xxxx Individual sessions : xxxx You may also formally respond to the proposal(s) in writing to xxxx by xxxx. Name of Lead Manager Date

8.2

8.3

287

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Appendix 16

Pay Protection Policy

This appendix sets out the revised Pay Protection Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Pay Protection Policy 1.

1.1

Introduction
This policy outlines the short term protection of earnings and/or long term protection of basic wage or salary on downgrading and applies to any employee who, as a consequence or organisational change, (i) or (ii) or (iii) suffers a loss of protectable earnings (short term protection). suffers a reduction in basic hours worked within the standard working week (short term protection); is redeployed to a new post on a lower grade (long term protection);

1.2

The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action.

2.

Definitions
Short term protection

2.1

The protection of earnings following a reduction in contract hours or changes in working arrangements with a consequent loss of enhancements and allowances for example. Long term protection

2.2

The protection of basic salary following downgrading. Organisational change

2.3

Any structural or managerial change. Basic wage or salary

2.4

The weekly or monthly sum due in respect of basic hours worked by the employee concerned within the standard working week, but excluding the allowances in paragraph 12.

289

Protectable earnings 2.5 The basic wage or salary plus the allowances are given in paragraph 12. Earnings in the new post 2.6 The total of basic wage or salary in the new post plus earnings in respect of over time, shift work or other additional allowances or duties. Downgrading 2.7 When the new post, irrespective of its grade title, carries an hourly rate or a salary scale, at the maximum point, lower than that applying to the post previously held or lower than that of the personal grade held in the previous post. A more senior post 2.8 A post which carries an hourly rate or new salary scale with a maximum point, higher than that applying to the new post or any subsequent post to which an employee may have moved, or be requested to take up. Reckonable service 2.9 Total continuous NHS service but excluding any service which has been subject to a redundancy payment by the South West Strategic Health Authority, its predecessors or another NHS employer.

3. 3.1

Short term protection

An employee to whom this agreement applies is entitled to have certain earnings (protectable earnings) in the former post protected for a period of up to twelve months as set out in table 1 below. Table 1 Reckonable Service Protection Period (months) Two months Six months Nine months Twelve months Twenty four months

Less than twelve months More than one year but less than two years More than two years but less than five years More than five years but less than ten years More than ten years

290

3.2

Earnings in the new post will be offset against protectable earnings. If for any particular pay period the earnings in the new post exceed the protectable earnings, protection of earnings is extinguished and earnings in the new post are paid in full for that particular pay period. When calculating earnings in the new post the rates used for calculating payments in respect of over time, shift work or other additional duties shall be those applicable to the new post.

3.3

4.
4.1

Long term protection

An employee to whom this agreement applies who is moved from one post to another and who is downgraded as a result of the move is entitled to full protection of basic wage or salary, with benefit of any subsequent improvements or increments applying to the scale until: Table 2 Reckonable Service Protection Period No protection One year Two years Three years Four years Five years

Less than one year More than one year but less than two years More than two years but less than three years More than three years but less than four years More than four years but less than five years Five years or more

(a)

the period of protection expires as set out in table 2 above. In addition, a member of staff who has occupied a grade for four years or more at the time the protection is applied, the period of protection given in table 2 above will be extended by six months; the employee is appointed to a post in which the normal basic wage or salary is equal to or exceeds the protected basic wage or salary; the employee moves on their own application to a post with a basic wage or salary which is lower than that of the existing post; the employee retires.

(b) (c) (d) 4.2

Where an employee moves on their own application to a post where the basic wage or salary is higher than the existing post, but not as high as the former post, the protection shall continue for the period remaining as a result of 4.1 (a) or until 4.1 (b) (d) occur.

291

4.3

Any additional earnings derived from work in the new post will be remunerated at the rate appropriate to the new post.

5.
5.1

Interaction between short and long term protection

Where an employee has the right to long term protection and an initial concurrent right to short term protection; until the short term protection expires the employee shall be paid according to the conditions of whichever right is the more favourable to the employee. Thereafter payment is on the basis of the ongoing entitlement to long term protection. Details of protectable earnings are given in paragraph 12 of this policy.

6.
6.1

Protection of conditions of service, hours and annual leave

employees required to move to a new post will acquire the contracted hours appropriate to the new post. Annual leave and other terms and conditions will be protected with subsequent improvements whilst basic pay is protected.

7.
7.1

Entitlement to opt for terms and conditions of new post

Employees with an entitlement to long protection may, at any time, opt for the complete package of remuneration and conditions of service applicable to the new post. This option, once exercised, cannot be cancelled.

8.

Conditions
Short term protection

8.1

Short tern protection of earnings is conditional on the employee undertaking any overtime, shift work or other additional duties which may be required up to the level at which earnings in the new post equal the protected earnings. Short term protection of earnings is also conditional on the employee accepting any subsequent offer of another suitable post which attracts a basic wage or salary in excess of the basic wage or salary applying to the new post. Long term protection

8.2

8.3

Long term protection (where downgrading is involved) is also conditional on the employee undertaking to apply to a more senior position within the South West Strategic Health Authority, provided that it is suitable alternative employment. This undertaking will be deemed to have been accepted unless an employee advises their manager, in writing, within four weeks of the day on which the downgrading takes effect. If the employee notifies that this undertaking will not be given or subsequently refuses to apply for or accept a more senior post within the South West Strategic Health Authority then protection will case to apply, unless exceptionally, continued protection is agreed at the discretion of the South West Strategic Health Authority. Appeals

292

8.4

Where an individual considers that the interpretation and/or the application of this procedure is incorrect they are entitled to exercise their right under the Grievance policy of the South West Strategic Health Authority. Subsistence and travelling

8.5

Where an individual is required to travel further from home to base in their new post than their previous post they will be required to claim travelling expenses on a short term basis, as set out in the document setting out Excess Travel and Protection Arrangements. Subsequent change of post under organisational change

8.6

Each subsequent change of post due to organisational change is covered by this agreement and will attract protection in its own right.

9.
9.1

Part time staff

Where a part time employee is moved to a new post and downgraded and the hours in the new post are the same or fewer than before, long term protection entitlement is assessed on the basis of the actual hours worked in the new post paid at the hourly rate applicable to the previous post. If the hours in the new post exceed hours worked previously, long term protection entitlement is based on: Hours worked previously x rate applicable previously. The additional hours in the new post are paid at the rate applicable to the new post.

10.
10.1

Effect on pension
The NHS Pension Scheme allows staff with at least two years service to protect their benefits accrued if they suffer a reduction in their pensionable pay as a result of imposed organisational changes. Staff affected should write to the Pensions Officer in the Finance Department within three months of their pay going down. This applies equally to the loss of enhancements at the end of short term protection. Preserved benefits are indexed-linked until retirement. Confirmation of this arrangement may be read in the general pension guide which employees hold.

11.

Payments included in reckonable pay

11.1 The following payments must be a regular requirement of the job to be included in reckonable pay for protection purposes. The value of these payments for protection purposes shall be based on the average payments for the four months (seventeen weeks) prior to the date on which protection applies.

293

11.2

The following payments will constitute protectable earnings and will qualify for short term protection: shift duty; night duty; split duty; unsocial hours; stand by and on call; special duty payments; formal contractual regular roistered overtime.

11.3

The following payments will be excluded in the calculation of protection of the basic wage and salary: overtime; bonus and incentive payments; excess hours payments; domiciliary fee payment; acting up.

6.
6.3

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently with regards to pay protection; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves with regards to pay protection.

6.4

An equality impact assessment for this policy will be completed every three years. April 2010 April 2011 294

Policy Approved: Review By:

Appendix 17

Performance Improvement Policy

This appendix sets out the revised Performance Improvement Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Performance Improvement Policy 1.

1.1 1.2

Introduction
The policy aims to encourage all employees to achieve and maintain high standards of performance and that improvement is made when required. The policy aims to ensure that all managers adopt an appropriate and effective approach to matters of performance below an acceptable standard due to a lack of capability. All employees should be aware of the standards required of them as well as their professional codes of conduct. The policy requires that all managers provide their employees with the appropriate training and instruction to perform their duties effectively. All managers have a responsibility for setting realistic and achievable standards which provide a means of advising individual employees what standards of performance are expected of them and a means in which their achievement of these can be judged. The South West Strategic Health Authorities Appraisal provides a method by which realistic standards of achievement can be agreed, that are measurable both in terms of quality and quantity. The purpose of this policy is to ensure that all matters concerning work below an acceptable standard are dealt with in a fair, reasonable and consistent manner.

1.3

1.4

1.5

2.
2.1 2.2 2.3 2.4

Policy principles
This policy exists to help an employee achieve the standards of performance required. It is the responsibility of employees to familiarise themselves with standard of performance expected of them in their job role. In order to achieve this, managers must be accessible to their employees and set with them realistic and achievable standards of performance. In order to ensure that employees are appointed to a job role that is appropriate for their skill and/or experience, the Recruitment policy should be used.

295

2.5

It is the managers responsibility to ensure that all employees take part in a comprehensive induction programme on appointment to a new job role. This will comprise of a Corporate Induction together with a Directorate Local Induction. The latter will enable the manager and employee to discuss the requirements and standards expected within the job role and thus to identify any development needs the employee may have. The manager will then be responsible for addressing these development needs in the most appropriate manner. All employees should take part in an annual Appraisal with their manager. These should be a two way discussion that review past performance against the agreed standards, identify current realistic standards of achievement that are measurable both in terms of quality and quantity and identify future developments both within the current job role and future roles if applicable. The discussion at the annual Appraisal may lead to development needs being identified in order to enable the employee to be more effective in their current job role or to prepare them for a future job role. It is the managers responsibility to ensure that opportunities are made available to the employee in order that they might fulfil their development needs. On going reviews and discussion of performance in the job role should take place throughout the year. In the event of unacceptable performance being identified, the manager will speak with the employee as soon as the concerns arise. The South West Strategic Health Authority recognises that all employees have the right to: be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity); respond to any concerns regarding their performance; have appropriate support offered if they have a disability or if English is not their first language; confidentiality at all stages of the policy and procedure; receive clear, concise written documentation of each meeting which is jointly agreed with the manager; receive support from Human Resources at any time; appeal at any of the formal stages of the procedure.

2.6

2.7

2.8 2.9 2.10

296

3.
3.1

Scope of the policy

Work below an acceptable standard which is due to a genuine lack of capability that is due to lack of skill, knowledge, experience or aptitude should be handled under the Performance Improvement policy. In the event of an employee failing to reach the required standards for their job role as a result of health the Absence Management policy will be followed, with reference to the Health Problems and Disability in Employment section of the Health and Wellbeing policy. In the event of an employee failing to reach the required standards for their job as a result of misconduct or poor behaviour the Disciplinary policy and procedure will be followed. Managers need to distinguish between negligence and unacceptable performance; Guidance Note 1 provides some guidelines on how to make this distinction. There may also be issues of capability which straddle the boundary between competence and health for example in relation to alcohol or drug abuse or stress which can affect an employees capability within their job role. In these cases the issues may need to be managed under the Performance Improvement policy and in conjunction with the Alcohol and Drugs section of the Health and Wellbeing policy. The following policies should also be read in conjunction with the Managing Performance Improvement policy: Dignity at Work policy if the performance below an acceptable standard is due to bullying or harassment; Recruitment policy if the employee has been appointed to a job that is inappropriate for their skills and/or experience; if the employee has been appointed and reasonable adjustments have been met; all appropriate codes or conduct/rules for professional bodies.

3.2

3.3

3.4

3.5

4.
4.1

Methods of reviewing performance

It is the responsibility of managers and supervisors as part of their daily duties to identify instances of performance that does not meet the required standards. Problems should be raised appropriately by the manager as near to the occurrence as is reasonably practical, to enable the employee to respond. Managers may review an employees work performance in a number of ways which may include: day to day management review/supervision;

4.2

297

 4.3

regular one to one meetings (between the employee and manager); peer/colleague reviews; complaints, comments or compliments; annual appraisal.

In the event of unsatisfactory performance being identified for example: poor standards of work; recurring mistakes; non completion of tasks; not achieving agreed standards of performance; impact on the team/peers for example high absenteeism, turnover; complaints.

4.4

The manager may use the Managing Performance Improvement procedure where there are recurring instances of poor performance or an instance of gross incompetence has occurred.

5.
5.1

Overview of the procedure

The Managing Performance Improvement policy has the following stages: Stage Informal Conversations about performance below standards Informal Meeting First Formal Meeting Second Formal Meeting Action taken Training needs indentified and undertaken and/or standards of performance clarified Informal Performance Improvement Plan Formal Performance Improvement Plan Formal Performance Improvement Plan Performance Improvement Warning Third Formal Meeting Potential Dismissal

5.2 5.3

Annex 1 contains a flow chart that outlines the process. An employee should not normally be dismissed because of failure to perform to the required standards unless reviews and an opportunity to improve have been given. However, there may be exceptional circumstances where it may not be appropriate to follow the full process.

298

5.4

This would be due to serious/gross incompetence where it can be demonstrated that an employee cannot achieve acceptable levels of performance or where the lack of capability creates an immediate danger to other employees or members of the general public. In these situations it may be necessary to start the procedure at the third formal meeting and suspend the employee until the meeting can take place. Suspension should follow the procedure as set out in the Disciplinary policy and procedure.

6.

Managing performance improvement procedure

Informal Stage

6.1

The informal meeting will enable the manager to raise concerns with regard to the employees capability at the earliest opportunity and may be part of a daily one to one meeting or regular review meeting. As it is an informal meeting, it is not necessary for a Human Resources Representative to be present or a Trade Union representative or work colleague. However, if the employee wishes to arrange representation they may, with a minimal delay to the meeting. Guidance Note 2 explains the process to be followed during the informal meeting. As a result of the meeting a Performance Improvement Plan should be agreed that details the actions thats should be taken in order for the employees performance to reach a satisfactory standard. This may include training to be undertaken. The Performance Improvement Plan should also detail the agreed standards of performance to be reached within a suitable time period. These must be measurable in terms of quality and quantity. A record of the meeting will be made by the manager and sent, together with the Performance Improvement Plan, to the employee within seven working days of the meeting. During the review period the manager and employee should meet regularly that is monthly, to see if the performance is improving, objectives are being met and if any further support is needed. These informal meetings should be documented on the Performance Improvement Plan. If the performance improves during the review period and the manager believes that this improvement will be sustained, the manager may decide to take no further action. This will be confirmed in writing to the employee and Human Resources team. The Performance Improvement Plan will remain on the employees file for nine months. Any recurrence of the same poor performance may be dealt with at the Informal Stage.

6.2

6.3 6.4

6.5

6.6

6.7

6.8

299

6.9

If there is little or no change during the review period or performance deteriorates the manager may wish to review the Performance Improvement Plan during the review period. The decision may be taken to reduce the period and if at the end there is no improvement the employee should be invited, in writing, to attend the first formal meeting. Informal Meetings

6.10 6.11 6.12

The first and second formal meetings will follow the same process, see Guidance Note 3. The employee must be invited in writing, at least seven working days prior to the meeting taking place. The employee should be reminded of their right to be accompanied by a Trade Union representative or a work colleague (not acting in a legal capacity). As a result of the meeting a Formal Performance Improvement Plan should be agreed that details the actions thats should be taken in order for the employees performance to reach a satisfactory standard. This may include training to be undertaken. The Formal Performance Improvement Plan should also detail the agreed standards of performance to be reached within a suitable time period. These must be measurable in terms of quality and quantity. A record of the meeting will be made by the manager and sent, together with the Formal Performance Improvement Plan, to the employee within seven working days of the meeting. In the case of this being a second Formal Meeting, a Performance Improvement Warning will also be issued. A Performance Improvement Warning is a formal written warning which confirms to the employee that there is a shortfall in their performance. Guidance Note 4 contains further information with regard to Performance Improvement Warnings. During the review period the manager and employee should meet regularly that is monthly, to see if the performance is improving, objectives are being met and if any further support is needed. These informal meetings should be documented on the Formal Performance Improvement Plan. If the performance improves during the review period and the manager believes that this improvement will be sustained, the manager may decide to take no further action. This will be confirmed in writing to the employee and Human Resources team. The Formal Performance Improvement Plan will remain on the employees file for twelve months. Any recurrence of the same unsatisfactory performance may be dealt with at the Informal Stage.

6.13

6.14

6.15

6.16

6.17

6.18

300

6.19

If there is little or no change during the review period or performance deteriorates the manager may wish to review the Performance Improvement Plan during the review period. The decision may be taken to reduce the period and if at the end there is no improvement the employee should be invited, in writing, to attend the second formal meeting or in the case of it being a second formal meeting, the third formal meeting. Once the employee has reached the second formal meeting stage of the procedure, the manager will need to explore with the employee and the Human Resources team any redeployment opportunities. Redeployment would be to a job within the same or lower banding that better matches the employees skills and capability. The South West Strategic Health Authority is under no obligation to create a post. The Authority will continue to seek a suitable alternative post throughout the review period through the Redeployment Register. Third Formal Meetings

6.20

6.21

The employee must be invited in writing, at least seven working days prior to the meeting taking place; the letter must inform them that a potential outcome of the meeting could be dismissal. The employee should be reminded of their right to be accompanied by a Trade Union representative or a work colleague (not acting in a legal capacity). The meeting should be conducted by the appropriate Director, with both parties and a Human Resources representative. Guidance Note 5 explains the process to be followed during the third formal meeting. The Director will give consideration to the comments given by both parties. If the Director believes adequate improvement is possible by extending the assistance offered or the time scale agreed, then a further Formal Performance Improvement Plan will be agreed, with a review date and time. It must be made clear that failure by the employee to meet the required standard of performance in this time period is likely to result in dismissal. If the Director believes that the required level of performance has not been achieved and that all reasonable action, including sourcing suitable alternative employment, has been considered or if the employee has declined this; then the South West Strategic Health Authority will have no alternative but to dismiss the employee. The employee should be advised of the outcome of the third formal meeting verbally at the end of the meeting. A record of the meeting will be made by the manager and sent, together with the Formal Performance Improvement Plan if applicable, to the employee within seven working days of the meeting.

6.22

6.23 6.24 6.25 6.26

6.27

6.28

301

6.29

In the event of dismissal, the employee shall be given their appropriate notice or payment in lieu of notice and any outstanding holiday pay if applicable.

7.
7.1 7.2

Appeals
The employee has the right to appeal against any decision at any of the formal stages of the procedure. At each formal stage of the procedure, the employee will be informed of their right to appeal, who to appeal to and the time scales within which the appeal should be submitted.

8.
8.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when going through the Performance Improvement process; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in the application for, monitoring and recording performance;

8.2

An impact assessment for this policy will be completed every three years. April 2010 April 2012

Policy Approved: Review By:

302

Guidance Note 1 Distinguishing between negligence and performance below an acceptable standard
1. A clear distinction should be made between work below an acceptable standard which is due to negligence and that due to lack of ability, skill, knowledge, experience or aptitude. Negligence will normally involve some degree of personal culpability in that the employee is capable of doing the job, but the level of performance is not to the required standard due to lack of reasonable care or attention. These can be considered as wilful negligence and/or misconduct and should therefore be addressed using the Disciplinary policy and procedure; as the employee has the ability to perform to the required standard but is not exacting the principle of a duty of care. Performance below an acceptable standard which is due to a genuine lack of capability as a result of a lack of skill, knowledge or aptitude; should be handled under the Performance Improvement policy. A genuine lack of capability may be due to a number of factors for example: 5. promotion beyond the employees capability; underlying health issues; personal circumstances; appointment to a job that is inappropriate for the individuals skills and/or experience; development in job demands over the years or changes brought about by outside influences such as new technology, legislation; changes in work place environment; qualifications; bullying and harassment.

2.

3.

4.

There may be occasions when poor performance may highlight the need to use the Performance Improvement policy in conjunction with another policy for example Dignity at Work in the instance of bullying and harassment or abuse or the for example Health and Wellbeing policy in instances of health issues or disability.

303

304

Guidance Note 2 Guidelines for conducting an informal meeting

1. The manager should explain that they are meeting informally with the employee to discuss the concerns they have with the employees current level of performance. They should recap on the informal discussions they have previously had with the employee and explain why they have moved to the informal stage of the Managing Performance Improvement policy. The manager should establish if the employee has previously been managed under the policy or been issued with a Performance Improvement Plan. The manager should then review the employees performance over the previous months and establish when the performance deteriorated before investigating with the employee the possible reasons for the shortfall in their performance against the required standard. The standard of work expected from the employee should then be explained and the manager should ensure that the employee is clear about their duties and responsibilities as outlined in their job description. The manager and employee should then discuss any measures that may assist the employee in reaching the required standard of performance for example job shadowing, coaching, counselling and any other reasonable measures discussed and agreed. The manager should then discuss and agree with the employee the standard of performance that is expected from them and the time period over which they should be achieved. These may be recorded as objectives with a clear measure of both output and time. A review period should be agreed and regular interim reviews planned. The employee should be clear that failure to improve their standards of performance may lead to the formal stages of the policy and procedure. They should be issued with a copy of the policy.

2.

3. 4.

5.

6.

7.

8. 9. 10.

305

306

Guidance Note 3 Guidelines for conducting the first and second formal meetings
1. The manager should collate the relevant evidence that illustrates the fact that the required improvement has not been made since the last meeting. This could include: Observation records. Feedback from a coach. Complaints. Factual evidence, for example statistics, performance figures. The manager should remind the employee of their right to be represented, in the event of their not having a representative present. The manager should introduce those present; that is the employee, their representative and the manager. The manager should discuss the measures put in place at the previous stage of the policy and why is has been necessary to use the next stage of the procedure. They should explain the purpose of the meeting that is to discuss concerns with the employees performance and seek measures to improve this. The manager should clarify the requirements of the role and the standards expected of the employee and highlight their shortcomings; using the job description and any documentary evidence. The employee should be invited to give their views on the reasons for their continued failure to deliver to the required standards. The employee should be asked if there are any other measures that can be taken to support them in achieving a satisfactory level of performance. The employee may wish to explain any mitigating circumstances that may have contributed to them not performing satisfactorily in their role. The manager should then discuss and agree with the employee the standard of performance that is expected from them and the time period over which they should be achieved. These may be recorded as objectives with a clear measure of both output and time. These should form part of the Formal Performance Improvement Plan together with any measures that have been agreed to support the employee. A review period should be agreed and regular interim reviews planned.

2. 3. 4. 5. 6. 7. 8.

9. 10.

11. 12. 13. 14.

15.

307

16. 17.

The employee should be clear that failure to improve their standards of performance may lead to the next formal stage of the policy. In event of this being a second formal meeting, a Performance Improvement Warning should be issued verbally at the meeting. This will be confirmed in writing together with a record of the meeting and the Formal Performance Improvement Plan, within seven days of the meeting. The manager should arrange a meeting with the employee, their representative and a Human Resources representative to explore possible redeployment opportunities with the employee.

18.

308

Guidance Note 4 Guidelines on issuing a performance improvement warning

1. The manager may issue a Performance Improvement Warning during any of the formal stages of the policy but would normally do so at the end of a second formal meeting. A Performance Improvement Warning is a formal written warning which confirms to the employee that they are not achieving the required standard of performance and that an unsatisfactory outcome within the review period may result in dismissal. The employee will be notified verbally of this during the meeting and then it will be confirmed in writing in the form of a letter within seven days of the meeting. Performance Improvement Warnings should stay on the personal file for twelve months. In order to move to the third formal meeting the Performance Improvement Warning must be valid within twelve months of it being issued. Any written Performance Improvement Warning must be authorised by the Head of Human Resources or a delegated member of the Human Resources team before it is issued. The Human Resources team will be responsible for retaining the Warning on file for the agreed period, before removing it and informing the employee that it has been removed.

2.

3.

4.

5.

6.

7.

309

310

Guidance Note 5 Guidelines for conducting a Third Formal Meeting

1. The Director will introduce those present; the manager, employee, employees representative and the Human Resources representative. The Director should invite the manager to outline the steps that have been taken in the previous stages of the procedure, the outcomes and any evidence supporting those outcomes. The employee should then be invited to state any genuine mitigating circumstances they may have for failing to meet the required standards and also to give their opinion on the progress they have made; the level of support and training they have been given and any other relevant comments relating to the management of their performance. The Director will give consideration to the comments of both parties and may adjourn the meeting in order to reach their decision. The employee should be advised of the outcome of the third formal meeting verbally at the end of the meeting. If the Director believes adequate improvement is possible by the extending the assistance offered or the time scale agreed, then a further Formal Performance Improvement Plan will be agreed, with a review date and time. It must be made clear that failure by the employee to meet the required standard of performance in this time period is likely to result in dismissal. In this event the a record of the meeting will be made by the Director and sent, together with the Formal Performance Improvement Plan to the employee within seven working days of the meeting. If the Director believes that the required level of performance has not been achieved and that all reasonable action, including sourcing suitable alternative employment, has been considered or if the employee has declined this; then the South West Strategic Health Authority will have no alternative but to dismiss the employee. In the event of dismissal, notice of termination will be given in accordance with the employees Contract of Employment. This notice may be paid in lieu if it is felt to be in the best interest of the employee and the department. The reasons for the decision for dismissal will be confirmed in writing to the employee within seven calendar days together with the notification of their right to appeal, who to appeal to and the timescale within which to appeal. This would normally be to the Chief Executive within fourteen calendar days.

2.

3.

4.

5.

6.

7.

8.

9.

10.

311

312

Annex 1
Flow Chart of Managing Performance Improvement

Unsatisfactory performance is identified by Manager Informal meeting held with employee at which a Performance Improvement Plan is agreed and a review date set. Carry out monthly reviews. No further action, Performance Improvement Plan on file for nine months.

The necessary improvement has not been made. Employee invited to a first formal meeting, in writing at least seven days before the meeting.

Formal meeting held with employee and a representative, at which a Performance Improvement Plan is agreed and a review date set. Carry out monthly reviews. Review meeting held at which the Performance Improvement Plan is reviewed. The necessary improvement has been made. The necessary improvement has not been made. No further action. Performance Improvement Plan on file for twelve months.

Employee invited to a second formal meeting, in writing at least seven days before the meeting.

313

Formal meeting held with employee and a representative, at which a Formal Performance Improvement Plan is agreed & a review date set. Redeployment is discussed with the employee and Human Resources Team. Monthly reviews to be carried out. Performance Improvement Warning issued. Review meeting held at which the Formal Performance Improvement Plan is reviewed. The necessary improvement has been made. The necessary improvement has not been made. No further action. Formal Performance Improvement Plan on file for twelve months.

Employee invited to a third formal meeting, in writing at least seven days before the meeting.

Formal meeting held by Director with employee, representative and a Human Resources representative at which the Director can agree a Further Performance Improvement Plan or discuss redeployment or if redeployment not appropriate or declined, then dismiss the employee.

If Formal Improvement Plan, review date to be agreed; monthly reviews to be carried out. Formal meeting held by Director with employee, representative and an Human Resources representative at which if the employee has made the necessary improvement, no further action will be taken and the Formal Performance Improvement Plan will remain on file for twelve months. or if the necessary improvement plan has not been made, discuss redeployment or dismiss the employee.

314

Appendix 18

Professional Registration Policy

This appendix sets out the revised Professional Registration Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Professional Registration Policy 1.

1.1

Introduction
It is the policy of the South West Strategic Health Authority to ensure that all staff and independent contractors required to hold a professional qualification in order to practice their profession are appropriately registered with their professional regulatory body at all times. The South West Strategic Health Authority has responsibility to ensure that professional standards are met and maintained. Registration with the relevant professional regulatory body is a pre-requisite for employment with the South West Strategic Health Authority where possession of a professional (clinical and non-clinical) qualification is essential for the post. Where an individuals registration has lapsed they will no longer be eligible for employment with the South West Strategic Health Authority in their professional capacity. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. The registration details of individual employees will be entered onto their Electronic Staff Record and held in their personal file.

1.2 1.3

1.4

1.5

1.6

2.
2.1

Scope of the policy

The following professional groups of employees or independent contractors are required to hold professional registration: accountants; allied health professionals; dentists; health visitors; human resources; medical staff;

315

 2.2

midwives; nurses; opticians; pharmacists.

This policy should be read in conjunction with the following policies of the South West Strategic Health Authority. Data protection and Information and confidentiality policy; Dignity at Work policy; Disciplinary policy; Health and Wellbeing policy; Performance Improvement policy; Recruitment policy; Redeployment policy; Study Leave and Development policy.

3.
3.1

Responsibilities of employees
New employees will be required to provide evidence of their professional registration and qualifications prior to commencement with the South West Strategic Health Authority. It is the responsibility of employees to register with their professional regulatory body and provide evidence of their continuing professional development to ensure the registration is up to date. Copies of relevant documents will be placed on the personal file of the employee. Employees failing to provide such evidence will not be allowed to commence duties. Validity of all nursing qualifications will be confirmed directly with the Nursing and Midwifery Council prior to the start date and evidence will be required at the interview. Individual employees will ensure that their manager is provided with evidence of their registration and expiry date on renewal of registration. Where an employee is unable to renew their professional registration they must inform their manager immediately.

3.2

3.3

3.4 3.5

316

4.
4.1

Responsibility of independent contractors

It is the responsibility of the independent contractor to hold the required professional registration and any conditions attached to this to the South West Strategic Health Authority.

5.
5.1 5.2 5.3

Responsibilities of the manager

Directors are required to ensure locally that registration is renewed. They will monitor renewal of registration on a monthly basis. Directors are required to confirm the registration status of independent contractors required to hold professional registrations. Directors will issue a reminder to all staff, including those on long term absence, (career breaks, maternity leave for example) to renew their registration one month before their registration is due to lapse. For medical and dental staff, responsibility for ensuring registration lies with the Director of Public Health for the South West Strategic Health Authority. The Director of Workforce has responsibility for checking the registration status of the Director of Public Health. An electronic record of professional registrations will be kept and maintained by the Human Resources team through the use of the Electronic Staff Record database. The manager will obtain evidence of renewed registration and send a countersigned photocopy to the Human Resources team for retention on the personal file of the employee, and their electronic staff record. Other than when confirmation of registration is delayed by the Professional Regulatory Body, employees who fail to be registered will be prevented from practicing in a professional capacity until such time that evidence of registration is provided.

5.4

5.5

5.6

5.7

6.
6.1

Failure to provide proof of or renew professional registration

If proof of professional registration is not received, on or prior to the renewal date, the Director will meet the employee informing them that proof of renewal of their registration is required within five working days and they are on unpaid leave during this period. Alternatively, it may be possible for the employee to be utilised in another capacity during the intervening period. However, this shall be at the discretion of the manager and payment shall be at the rate for the role undertaken.

6.2

317

6.3

Failure of an employee, or independent contractor, to renew or comply with their professional registration may result in the decision to suspend them from duty and to invoke the Disciplinary policy, which may potentially result in the termination of an employees contract of employment or the termination of an independent contractors contract for service. Where an employee is unable to renew professional registration due to ill health or disability, the Health Problems and Disability in Employment section of the Health and Wellbeing policy will apply.

6.4

7.
7.1

Monitoring and review

It is the responsibility of the Human Resources team to: monitor and review this policy; conduct annual checks on employees and independent contractors registration with professional regulatory bodies to ensure compliance with this policy and actions that may be appropriate beyond it.

8.
8.1

Intended outcomes
The intended outcomes of this policy are: new employees provide evidence of their registrations prior to commencing employment with the South West Strategic Health Authority; existing employees maintain their professional registration; all employees remain competent to fulfil their professional responsibilities; employees who fail to renew registration are treated fairly.

8.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2013

318

Annex 1 Flow chart depicting the monitoring process for professional registration of clinical and non-clinical staff

Current registration with professional regulatory body essential for post

New Staff

Existing Staff

Human Resources confirms registration with regulatory body

Line manager undertakes monthly checks and issues reminder to staff

Registration details are stored on employees personal file and electronic staff record

Registration has been renewed

No registration has lapsed

Yes

Registration process subsequently managed as existing employee

Registration details are stored on employees personal file and electronic staff record

Employee given five days from expiry of registration to renew registration. During this period they will either be required to take unpaid leave or utilised in a different role and paid at an appropriate rate; or managed under the Health and Wellbeing Policy where disability has prevented renewal of professional registration.

Registration checks are conducted on annual basis

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Appendix 19

Redeployment Policy

This appendix sets out the revised Redeployment Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Redeployment Policy and Procedure 1.

1.1

Introduction
The South West Strategic Health Authority has a duty to the public to use its resources as effectively, but also to consider at every stage the welfare of its employees. The South West Strategic Health Authority is committed to retaining its workforce essential skills, knowledge and experience, and recognises the importance of maintaining continuity of employment of staff whose current post is no longer tenable including posts identified as at risk of redundancy. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. The purpose of this policy is to set out an understanding and a framework whereby staff whose posts have been identified at risk will be managed in an appropriate and sensitive manner. The South West Strategic Health Authority is committed to seeking suitable alternative employment for employees whose post is no longer tenable or at risk and aims to balance the needs of the organisation with the individuals circumstances. The Redeployment policy and procedure covers situations where an employees current post is no longer tenable or at risk of redundancy due to: organisational change; capability issues due to Ill health; capability issues relating to poor performance; some other substantial reason (for example change of post following agreed outcomes of bullying, harassment, disciplinary or grievance cases).

1.2

1.3

1.4

1.5

1.6

1.7 1.8

The Redeployment policy does not apply to employees who are looking for a career change or seeking to move to a different post for on their own volition. This policy should be read in conjunction with the following policies of the South West Strategic Health Authority: Absence Management policy;

321

Dignity at Work policy; Grievances policy; Health and Wellbeing policy; Organisational Change policy; Pay Protection policy; Performance Improvement policy; Study Leave and Development policy.

2.
2.1

Scope
This policy applies to all employees of the South West Strategic Health Authority.

3.
3.1

Key principles
The main principles of this policy are: to seek to retain the knowledge, skills and experience of employees by maintaining an up to date Redeployment Register of all employees whose posts are no longer tenable or at risk of redundancy; that employees will be placed on the Redeployment Register for a period of one month, prior to serving their notice period; to ensure that employees on the Redeployment Register are given prior consideration of vacancies; that employees will not gain promotion through the Redeployment Register. Employees on the Redeployment Register are able to apply for promotion through open competition. If successful they will be removed from the Redeployment Register; that employees must meet the essential criteria for vacant posts or will meet the essential criteria with the appropriate training and development (up to four months); to support the effective implementation of organisational change; that employees are informed of their right to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity) or colleague, at all stages of the Redeployment Procedure. (see Annex 1);

322

at the end of the period on the Redeployment Register, where no suitable alternative employment has been found, the employee will be managed under the policy which led to the decision to seek suitable alternative employment; that employees who express interest in a redeployment opportunity will be offered a four week trial. This may be extended up to six weeks by mutual agreement with the receiving manager and the employee; the trial period gives an employee and the receiving manager the opportunity to decide whether the new post is suitable; where more than one employee is matched to a post and offered a trial period, each employee will be objectively assessed against the essential criteria. In this circumstance, a Human Resources representative must be present at the final review meetings or interview process.

4.
4.1

Suitable alternative employment

In establishing the suitability of an alternative post, the following factors will be taken in consideration: Pay

4.2

Wherever possible employees will be offered the same grade of post based upon the employees knowledge and experience, skills and aptitude. Where this is not possible posts a grade lower will be offered and the pay protection arrangements may apply where the criteria in the Pay Protection policy is met. Location

4.2

A change in location will normally be considered suitable where it does not incur additional mileage from home to base. However, this cannot be guaranteed and if an employee accepts a post a greater distance away, excess mileage will be paid in accordance with the NHS Terms and Conditions of Service Handbook. Working environment

4.3

Any change in working environment will be taken into consideration. The South West Strategic Health Authority is committed to making reasonable adjustments for staff with a health complaint or physical disability. Hours of work

4.4

Wherever it is not possible to offer alternative employment on the same hours, the pay protection arrangements may apply where the criteria in the Pay Protection policy is met. In addition, employees individual personal circumstances will be taken into account when assessing the suitability of the hours.

323

Offers of suitable alternative employment 4.5 Employees who unreasonably refuse an offer of suitable alternative employment may lose any entitlement to redundancy pay. For example, refusing a job where the differences from their old job are negligible may be considered unreasonable.

5.
5.1

Manager responsibilities
The line manager has responsibility to ensure: Human Resources team is notified when an employees post has been identified as no longer tenable or at risk of redundancy; they identify and agree with the employee any suitable training and development that will assist the employee in finding suitable alternative employment; they formally write to the employee confirming the full details of the arrangements for redeployment, including the period for which they will remain on the Redeployment Register and any training and development agreed; they allow the employee reasonable time off to attend interviews during the period on the Redeployment Register; they confirm in writing details of all trial periods, including the date the trial period starts and ends; they inform Human resources of any subsequent developments or changes in an employees circumstances; they fund the salary cost of trial periods; they attend the final review meeting.

5.2

The receiving manager has responsibility to: give prior consideration to staff on the Redeployment Register and arrange for departmental visits; provide full and prompt information regarding the post to employees; obtain occupational health advice regarding reasonable workplace adjustments, where an employee has been placed on the Redeployment Register due to ill health. Wherever practicably possible, the adjustments must be made before the trial period commences; objectively assess the employee suitability for the post against the essential criteria at interview and during any trial period;

324

ensure the trial period is, as far as practicably possible, a fair representation of the job, and promptly identify any training and development needs of the employee; conduct weekly reviews with the employee during a trial period and make any reasonable adjustments; confirm outcome of weekly review meetings in writing and issue this promptly to the employee; update Human Resources of the weekly reviews during the trial period; a final review is undertaken at the end of the of the trial period.

6.
6.1

Responsibility of the Human Resources team

The Human Resources team has responsibility to: provide advice and support at meetings with the line manager of the employee whose post has been identified as no longer tenable or at risk of redundancy; maintain the Redeployment Register, including specific requirements of individuals; keep a record of all vacancies notified to individual employees, the employees decision, dates of trial periods, and outcome of final review meetings; identify suitable alternative employment opportunities by matching vacancies to the employees knowledge, skills and experience, and attributes, and ensuring consideration is given to staff at risk before vacancies are advertised; advise employees on the Redeployment Register of suitable vacancies, allowing five working days for them to express interest; notify the appropriate manager when a post is withheld from going to advert pending consideration of employment; progress the redeployment process with the individual and receiving line manager.

7.
7.1

Employee responsibilities
The employee has responsibility to: promptly provide a detailed, and accurate information throughout the redeployment process;

325

cooperate fully in the process for seeking suitable alternative employment, including attending informal interviews, undertaking any training and development that has been agreed, weekly review meetings, occupational health reviews where this is considered appropriate; inform their line manager and human resources of any change to their circumstances.

8.
8.1

Monitoring and review

It is the responsibility of the Human Resources team to: monitor and review this policy; conduct regular checks on the management of staff placed on the Redeployment Register to ensure complains with this policy and actions that may be appropriate beyond it.

9.
9.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves whilst on the redeployment register.

9.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2012

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Annex 1

Redeployment Procedure 1.
1.1

Ongoing management
At the end of the period on the Redeployment Register, where no suitable alternative employment has been found, the employee will be managed under the policy which led to the decision to seek suitable alternative employment. An employee is entitled to be accompanied by a Trade Union representative or work colleague (not acting in a legal capacity) at all meetings related to finding suitable alternative employment.

1.2

2.
2.1

Entry onto the Redeployment Register

Human Resources will place employees on the Redeployment Register whose posts have been identified as no longer tenable or at risk of redundancy. The line manager and a member of the Human Resources team will meet with the employee to inform them of the Redeployment policy and procedure and assist the completion of the Redeployment Personal Details form which can be found on the intranet. The line manager will write to the employee confirming details placed on the Redeployment Register, including start and end dates, the responsibilities of the employee, specific requirements including reasonable adjustments and training and development requirements agreed to. Human Resources will match vacancies to the skills, experience and knowledge of employees on the register. Human Resources will notify in writing all potentially suitable posts (including job description, person specification, Knowledge and Skills Framework outline and advert) to employees on the register and request that a decision is made within five working days of the notification. In ill health and disability cases, Human Resources will seek occupational health advice on the suitability of the post and work place adjustments. Human Resources will suspend the recruitment process until such time as the outcome of the offer is known and advise the recruiting manager of the situation. The employee will confirm in writing their decision as to whether they wish to proceed to informal interview or their reasons for rejecting the vacancy.

2.2

2.3

2.4 2.5

2.6

2.7

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3.
3.1

Informal interviews
Where the employee has expressed an interest in the post, Human Resources will arrange for an informal interview to take place wherever possible within five working days of the expression of interest. The line manager of the employee may be present at the informal interview. The purpose of the interview is to ensure the employees suitability for the post is objectively assessed against the essential criteria or would be able to meet the essential criteria within three months, if provided with suitable training and development needs. Where the employee meets the selection criteria from the Redeployment Personal Details form, an offer of a trial period will be made to the employee. The outcome of the informal interview will be confirmed in writing and include start and end dates of the trial period and any agreed training and development, date of the first review meeting, and any pay protection entitlement should the trial period be successful. Recruitment to the vacancy will be suspended during the duration of the trial period.

3.2

3.3

3.4

4.
4.1

Trial period
During the trial period, the employee will remain on the register and be notified of any other suitable vacancies. If the employee subsequently chooses to commence a trial period in a different post, they lose their entitlement to return to the former trial period, and the post will be advertised. Trial periods will normally last four weeks, although in exceptional circumstances can be extended beyond this. Weekly review meetings will be undertaken to review the employees progress and identify any additional support or action required. A final review meeting with the employee, their line manager, the recruiting manager and a member of the Human Resources team will take place in the final week of the trial period. If all parties are satisfied then employee will be redeployed into the post on a permanent basis. This offer will be confirmed in writing, including protection of pay and conditions of service. Where the post is not considered suitable, the objective reasons will be confirmed in writing to the employee and the post will be released to advert.

4.2 4.3 4.4

4.5

4.6

5.
5.1

Removal from the Redeployment Register

Employees will be removed from the redeployment register when a permanent offer of suitable alternative has been accepted or when the agreed period has come to an end.

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Appendix 20

Recruitment Policy

This appendix sets out the revised Recruitment Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Recruitment Policy

This policy had been updated in line with our processes and to match NHS Jobs recruitment process and the requirements of NHS employers, Counter Fraud and audit. This policy now incorporates: Disclosure policy; Employment of partners policy; Guidance on starting salaries Induction policy; Relocation expenses policy.

1.
1.1

Introduction
The recruitment process is often the first experience an individual has of the South West Strategic Health Authority. It is important, therefore, that the recruitment and selection process is as professional as possible and that it promotes a positive image of the South West Strategic Health Authority. In order to comply with NHS Employers, audit and counter fraud requirements the South West Strategic Health Authority has robust recruitment processes in place.

1.2

2.

Recruitment process
Identification of a post

2.1

As soon as a vacancy is identified, the manager should undertake an analysis of the post in order to: consider whether does the post really need to be filled; check with Finance that funding is still in place or if the establishment change policy applies; consider whether the job content has changed significantly; consider whether the job structure within the Directorate be should reviewed.

329

2.2

A Request to Recruit form and establishment change form, if required, should be completed with the appropriate signatures and sent to the Human Resources team along with an advert, job description, person specification and Knowledge and Skills Framework outline. Job description

2.3

Once the decision has been taken to fill the vacancy, the job description needs to be created or updated to ensure that it accurately reflects the nature of the work to be undertaken. Job descriptions are for guidance of the main duties of the post and need not be an exhaustive list of tasks; they therefore need to be concise, accurate and up-to-date. There is a standard template available for job descriptions. Person specification

2.4

The person specification is an objective description of the essential attributes required to carry out the job. In compiling the specification, the focus needs to be directly on the requirements of the job, including: a statement on the type of experience necessary; a statement on the skills, aptitudes or knowledge required; the level of competence required; previous specific job-related training; education and training requirements.

2.5

The format of the person specification sets out the headings under which the attributes of the ideal candidate, taken from the job description and job analysis, can be classified and distinguishes only the features that are essential, as these are essential to the performance of the job. To enable objective and measurable short-listing all criteria must be quantifiable, either by reference to personal records, particular known achievements, testing and/or at interview. Any criteria must be explicitly clear, objective and measurable. Job evaluation

2.6

2.7

2.8

All new job descriptions and person specifications will require evaluation by a panel to be matched to the correct Agenda for Change banding. Any amendments to existing job descriptions may require a job evaluation. All managers should seek advice from Human Resources.

330

Experience 2.9 When making decisions about the type and level of experience, it is important to consider what you require the successful candidate to be able to do in relation to skills and what you require them to know. Therefore experience can be broken down into two key elements: Skills 2.10 Skills may be broken down into the following areas shown in Table 1. Table 1: Categories of Skill Examples Skills attained through a professional qualification of comparable academic route. Importance of confidentiality, lines of communication (accountability), method or manner of communication, level of competency both orally and written, effective working relationships, dealing with conflict, role as a member of a team. Ability to exercise professional judgement appropriate to a given situation. Appraisal, supervision, performance management, deputising, gained through either practical experience or theoretical knowledge. Ability to undertake specific defined procedures or to use equipment/systems, such as requirement to have keyboard skills. Processing, analysing and reporting of information within organisational systems, such as Standing Financial Instructions. Ability to undertake research appropriate to role or understanding of evidence-based practice. Ability to understand and adhere to defined quality standards, such as patient care standards. Budget management, monitoring, resource allocation. skill requirements; knowledge requirements.

Category of Skill Professional Communication and interpersonal

Judgement and problem solving Management

Technical

Administrative

Research Customer care

Financial

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Knowledge 2.11 This statement should detail the type and level of knowledge appropriate to the duties of the job. In doing so, a distinction should be made between the skills you require and the knowledge an individual will need to underpin and further develop those skills. A template job description and person specification are shown at Annex 1.

2.12

3.
3.1

Advertising
Best practice in recruitment is to recruit solely on the basis of ability to do the job and to create a diverse and multi-talented workforce. Consequently, the aim of recruitment advertising is to attract sufficient numbers of suitably qualified candidates. Advertisements should, therefore, always be designed to ensure that they are tailored to the level of applicant targeted and every effort made to ensure that advertisements are clear, easily understood and comply with the Dignity at Work policy of the South West Strategic Health Authority. All vacancies will be advertised on NHS Jobs and will necessarily comply with the requirements of NHS Jobs systems and protocols. All adverts must comply with the nationally prescribed NHS Recruitment Advertising Guidelines issued in March 2000. This sets out a corporate style to be adopted throughout the NHS, which allows the use of the official NHS logo and recognised marks such as Investors in People and Improving Working Lives. All vacancies must be advertised internally as a minimum using NHS Jobs as the medium in order to comply with the Dignity at Work policy. In specific circumstances adverts may reflect whether applications are restricted to: internal employees only; the NHS South West.

3.2 3.3

3.4 3.5

3.6 3.7

No advert should be placed unless the Request to Recruit form has been fully completed and signed. Acting up arrangements may be made to cover vacant posts, long term sickness or other absence without advertisement and interview provided that the period of the acting up arrangement does not exceed a total of six months. The only exception to this will be for acting up arrangements to be extended as agreed by the Chief Executive. Any post which is to be filled permanently following acting up arrangements must follow the formal recruitment procedure outlined in this policy.

3.8

332

3.9

Staff who are subject to redundancy in their present post, or redeployment on medical or other management grounds, must be given prior consideration for any suitable post before the recruitment procedure is followed. Human Resources hold a comprehensive redeployment register. The South West Strategic Health Authority uses an advertising agency for placing advertisements in the required publication(s). The agency will provide proof documents prior to placement, which enables the presentation, content and detail of the advertisement to be assessed. Confirmation of agreement to advertise will be sought along with authorisation to proceed from the budget holder. The content of advertisements will vary according to the vacancy, but the following checklist gives items which must be included: NHS South West logo (external publications only); NHS Jobs post reference number (external only); job title and base; salary range and type of contract, including hours; duration of contract; brief description of main tasks and responsibilities; closing date; interview date, if available; contact name and details for further information regarding the vacancy;

3.10

3.11

4.
4.1

Post specific information

The Human Resources team must receive a job description, person specification and Knowledge and Skills Framework outline electronically with every recruitment request. NHS Jobs will contain all relevant information for each post. Additional information can be added via a link or uploaded document. Should applicants require assistance with the completion of their application form, they will be invited to contact the Human Resources team.

4.2 4.3

333

4.4

Successful applicants who have applied via NHS Jobs will be asked to sign a printed copy of their application form to confirm that the details recorded are correct and complete. In doing so the employee declares that if the details are found to be false or misleading this could result in prosecution and/or dismissal. Under no circumstances should an employee commence employment without a signed application form.

5.
5.1

Shortlisting
Applications will automatically be accepted if received by midnight on the specified closing date. Late applications will only be accepted in extenuating circumstances and must have the approval of the Head of Human Resources. Anonymised applications for posts advertised will be sent (electronically where requested) to the Shortlisting Panel on the working day following the closing date. It is recommended that a minimum of two appropriate staff members carry out the shortlisting process. On the Shortlisting Form enter only the criteria that you are able to assess from the application form. Shortlisting and selection must be based solely on the extent to which candidates fulfil the criteria for the post based on the job description/person specification no other factors should be taken into account, including previous knowledge of an individual or informal representations made by others. Reliance on facts is less likely to lead to an ill-informed decision and complaint of discrimination. Candidates who do not meet the minimum criteria should not be shortlisted for interview. Wherever possible, internal candidates should be given the opportunity of being interviewed, provided that they meet the shortlisting requirements. Disabled candidates who meet the essential criteria for the job must be shortlisted. All applicants will be notified if they are not shortlisted for interview. Every effort should be made to ensure there are at least ten clear working days between completed shortlists being returned to the Human Resources team and the interview date. It is the responsibility of the manager to arrange the interview venue and panel membership. For senior posts the manager is also responsible for arranging an external assessor who will participate in the shortlisting process and form part of the interview panel.

5.2

5.3 5.4

5.5

5.6 5.7

5.8 5.9

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5.10

If the interview includes a presentation or exercise, the manager should arrange the equipment required. The title of any presentation or exercise should be provided to the Human Resources team with the completed shortlist in order that shortlisted candidates can be advised in their invitation to interview.

6.
6.1

Interviews
The interview remains the most widely used selection tool. However, in order to be effective, the process requires adequate planning and due consideration should be given to the: Venue venue; timetable; date; assessment methods.

6.2

The appropriate setting for an interview must be considered and the following taken into account: location and accessibility of the room and its suitability to hold a private conversation; arrangement of furniture within the room; possibility of interruptions from visitors and telephone calls, which will intrude and impede the flow of the interview; equipment requirements for practical assessments.

Timetable 6.3 The amount of time required for each interview can be approximately determined and a gap of five to ten minutes allowed between each interview. Clearly, the level of appointment and numbers of the panel will be an indicator as to the appropriate length for each interview. Assessment methods 6.4 Certain posts may benefit from the incorporation of a practical assessment into the interview process. Methods include typing tests for secretarial staff and presentations for senior posts. They must relate to the requirements of the post. Further advice on assessment methods can be obtained from the Human Resources team.

6.5

335

Interview packs 6.6 Human Resources will provide each member of the interview panel with an interview pack, either electronic or paper as required. This will comprise of: 6.7 application forms; job description; person specification; Knowledge and Skills Framework; timetable; interview question form; interview score sheet; illegal interview questions; process for checking identity.

For completion at the end of the process, the Chair will also be provided with: an interview panel decision form; appointment offer form; IT set up form; salary scale information.

Interview panel membership 6.8 The interview panel should consist of at least two appropriate members of staff, preferably those that shortlisted the applications and provide an equal representation across gender and ethnic groups as far as practicably possible. Where a member of the interview panel personally knows a candidate the panel member should notify the other panel members and declare this on the interview score sheet. The panel member may remain on the panel but they should adhere to strict criteria in order to limit the potential to discriminate. Further guidance can be obtained from the Human Resources team. If the interview panel member is the manager of the candidate, or has supervised the candidate either currently or previously, no other information other than that provided on the application form or prior knowledge of the individual should come into play and have any bearing on the decisionmaking.

6.9

6.10

336

6.11

Panel members should normally be on a higher grade than the post to which they are interviewing. Notification of interviews

6.12

Shortlisted applicants will receive a written communication inviting them to attend for interview. Applicants will also be advised of the requirement to see documented evidence that they are legally entitled to work in the United Kingdom and documented evidence of their professional registration where appropriate. If the interview includes a presentation, the Human Resources team will advise candidates of the details in their invitation to interview including the equipment available to them. Pre interview

6.13

A designated administrator will meet the candidates, check and photocopy the original qualification certificates as stated on the application form and certify them as true copies of the original. These will be kept on the successful candidates personal file. It is recommended that all panel members meet prior to the commencement of the interviews to prepare suitable questions and plan how the interview will be conducted. Interviewers should work to a structure of questions based on the job description and person specification and each interviewer should identify the question(s) they will ask the candidates. The same questions need to be asked of all candidates and must be written down to ensure that no deviation occurs. Conducting the interview

6.14

6.15

6.16

Structured interviews will ensure that broadly the same areas are covered for all candidates. A structure will also aid the panel to more easily monitor the progress of the interview and to ensure that the discussion remains jobrelated. Adherence to a structure exposes gaps in the evidence collected which might otherwise be overlooked. Attention should be paid to the employment history of the applicant and any gaps scrutinised in order to establish justification for any breaks in employment. The opportunity should always be given to candidates to ask questions about the organisation and the job for which they are applying. Interviewers should endeavour to have the information to hand on any questions that are likely to be raised and the interview should be planned to ensure that there is sufficient time in which the applicant may ask them. Any notes recorded at the interview should be factual and objective. This evidence could be requested by a candidate at a later date in the event that the selection process is challenged.

6.17

6.18

6.19

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Post interview 6.20 After the interviews, panel members are required to complete the Interview Score Sheet clearly stating why a candidate was/was not selected for appointment. No collective discussion should take place prior to the completion of the Interview Score Sheet. Once the process has been completed and the collective discussion has taken place, the Chair should complete the Interview Panel Decision Form. It is good practice to give candidates feedback on their interview performance. A panel member may telephone candidates to advise them of the outcome of the interview and give feedback. The Human Resources team should also be advised which of the panel members will give this feedback.

6.21

7.

Clearance
Health clearance

7.1 7.2

The successful applicant will be asked to complete a confidential health questionnaire which will be forwarded to the Occupational Health Service. Sickness absence recorded on the reference forms of the successful candidate will be referenced against information submitted by the candidate on their statement of general health form. References

7.3

The purpose of a reference is to obtain in confidence factual information about a prospective employee. References are confidential documents and should be treated as such. The Human Resources team will take up a minimum of two references and send these to the Chair of the panel. A reference should provide confirmation of what has already been established at interview. The application form requests that one referee should be the current or most recent employer. If, for any reason, it is established that this is not the case, the situation must be followed up with the applicant immediately and an appropriate referee sought. Clarification should also be sought on any ambiguous statements contained within references. A telephone call to the referee will suffice as long as the content of the discussion is documented. A member of the interview panel is not precluded from giving a reference for a shortlisted candidate, however, it must be in writing (even if it is brief). When providing a reference in such circumstances, the panel member must ensure that the content of their reference relates only to the performance of the individual and focuses directly on the job related issues.

7.4

7.5

7.6

7.7

338

Criminal Records Bureau Clearance 7.8 Since 1 March 2002, criminal records checks, known as Disclosures have been carried out by an Executive Agency of the Home Office called the Criminal Records Bureau (CRB). The Disclosure service co-ordinates the information held on the Police National Computer (PNC) and on lists held by the Department of Health and the Department for Education and Employment. It offers an additional tool to use in the recruitment process that can reduce the risk of employing a person considered unsuitable to work with children, vulnerable adults or occupations set out in the Rehabilitation of Offenders Act 1974. Possession of a criminal record will not necessarily be a bar to employment. The decision to appoint or not is the responsibility of the Chair of the Interview Panel and will be taken following full consideration of the nature of the position applied for and the circumstances and background of an applicants offences, together with an overall assessment of an applicants application form, interview and references and the outcome of an Occupational Health Service assessment. All applicants for posts working exclusively or occasionally with children and/or young people under the age of eighteen or vulnerable adults will be required to provide a Criminal Records Bureau Enhanced Disclosure before an offer of employment will be considered, the cost of this will be covered by the South West Strategic Health Authority. In addition to criminal record information, an Enhanced Disclosure will disclose if the applicants name is included on the Protection of Children Act list and/or the Department for Education list of people considered unsuitable to work with children. The Enhanced Disclosure process allows the Chief Constable of the local Police force to disclose, separately from the main Disclosure, Police intelligence information which may be relevant to the employment decision. Intelligence information will not be disclosed, nor its existence revealed, to the applicant. Applicants for posts working in financial services may be required to provide a Standard Criminal Records Bureau Disclosure. If a Disclosure is required ensure that an open and measured discussion takes place, at interview or in a separate discussion, on the subject of any offences or other matter or other matter that might be relevant to the position. Failure to reveal either on the job application form or at interview, information that is directly relevant to the position sought could lead to the withdrawal of an offer of employment. In the event of a dispute relating to the content of a Disclosure, or the identity of an individual for whom a Disclosure has been received, the South West Strategic Health Authority will follow the Criminal Records Bureau Complaints Procedure, details of which can be obtained from the Human Resources team.

7.9

7.10

7.11

7.12

7.13 7.14

7.15

339

7.16

The South West Strategic Health Authority reserves the right to require an employee to provide a Criminal Records Bureau Disclosure at any time during their employment. The cost of obtaining a Disclosure will be borne by the South West Strategic Health Authority. Members of staff are asked to be vigilant at all times. Any concerns about the conduct or behaviour of another member of staff must be reported to their line manager immediately, so that an investigation can be conducted into the alleged conduct or behaviour. Any information disclosed will be treated with the utmost sensitivity. The Whistleblowing policy of the South West Strategic Health Authority may be used to raise concerns about the conduct and behaviour of any other member of staff. Disclosure information is only used for the specific purpose for which it was requested and for which the full consent of the applicant has been given. Timescales for processing disclosures will vary according to individual circumstances, but as a guide it will take approximately three weeks. In exceptional circumstances, employment can commence prior to the receipt of the Criminal Records Bureau report, if required. However, the recruiting manager takes responsibility to ensure that the person works under full supervision or, if this is not possible, they either do not come into contact with children or do not attend work until the Criminal Records Bureau report has been obtained. Should the South West Strategic Health Authority subsequently receive a Criminal Records Bureau disclosure that would have barred employment at the recruitment stage, the organisation may terminate this employment with immediate effect.

7.17

7.18 7.19 7.20

7.21

8.
8.1

Employment of partners and/or relatives

Ordinarily, the employment of partners or relatives in South West Strategic Health Authority should be of no significance but there are limited circumstances where managers should exercise caution. Where there is the possibility of partners or family members working in posts which have a direct line management relationship such that one would be involved in appointing, managing, counselling, appraising and/or disciplining the other, or where both would be members of a management group with corporate responsibilities, division of loyalties or conflicts of interest may occur. These circumstances should be avoided and the following procedures provide guidance.

8.2

340

Procedures 8.3 So as to avoid difficulties related to the employment of partners and/or relatives, the following procedures must apply: all posts must be advertised and filled through the Human Resource team; a member of an appointment panel must declare any relationship which they have with an applicant at interview; in the event that both parties will occupy senior positions in the South West Strategic Health Authority it would be highly desirable to sever a direct management relationship by altering accountability arrangements; Standing Financial Instructions must be followed in all instances where a contract is being considered which involves a relative or partner.

8.4

It must be clear that the requirements of the equal opportunities and sex discrimination legislation must be scrupulously observed and selection for appointment, training and promotion must not be affected by marital or family status. All employees must be treated fairly and the South West Strategic Health Authority must be seen as a fair employer with a high level of integrity.

8.5

9.
9.1

Employment offer
A verbal offer may be made by a manager following interview provided that it is made clear to the candidate that the offer is conditional and subject to the following conditions: verification of a minimum of 3 years previous employment; references and medical clearance satisfactory to the South West Strategic Health Authority; eligibility to work in the UK; proof of identity; proof of qualifications declared on your job application form; the South West Strategic Health Authority being satisfied of suitability for a position of trust.

9.2

All references will be retained on the successful applicants personal file. An individual should not commence employment unless satisfactory references covering a minimum of three years employment (or education) have been provided. Telephone references are not acceptable.

341

9.3

It is good practice for the interview panel chair to notify unsuccessful applicants by telephone and Human Resources will then confirm with an email via NHS Jobs. A conditional offer letter will be sent to the successful candidate who will be asked to confirm in writing their acceptance of the post. Candidates are advised that if they resign from their previous post before references, police checks and health clearance have been obtained, they do so at their own risk. The offer letter will be sent out within one working week of papers being received by the Human Resources team. Professional registration will be checked by the Human Resources team, usually prior to appointment. Evidence of professional registration checks will be retained on the employees personal file. If registration is not satisfactorily confirmed South West Strategic Health Authority may withdraw the offer of employment. The Chair will ensure all interview packs are returned to the Human Resources team, including those of the successful candidate. Human Resources will not be able to issue a conditional offer letter or request references without return of fully completed and signed: interview panel decision form; appointment offer form; IT set up form.

9.4

9.5

9.6

10.
10.1

Guidance on starting salaries (non-medical appointments)

If a manager wants to make an appointment on a salary above the minimum of the scale advertised, an award to incremental credit form must be completed by the recruiting manager and signed off by the relevant director and Human Resources. Internal transfers or staff transferring from elsewhere in the NHS

10.2

Staff transferring from one post to another in the same pay band within the NHS will enter the band on the same point as they were previously on. Confirmation of previous salary will be required and this should be confirmed by the manager having sight of the most recent pay slip at interview (copy to Human Resources). Staff who move to a lower pay band (whether voluntary or not) will enter the band at the point they would have reached if all their NHS service in an equivalent or higher pay band had been worked in the lower band.

10.3

342

10.4

Staff appointed under paragraphs 1.2 and 1.3 will retain their previous incremental date unless they have had a break from NHS employment of three months or more. Where staff have had a break of less than three months, their incremental date will be deferred by an equivalent number of days to the length of the break. Staff promoted within the NHS will enter the new pay band at the minimum or the first point of the new pay band that provides them with an increase in salary. Where necessary, individuals can be appointed temporarily to a higher pay band when a vacancy is unfilled (but being advertised) or when the post is being held open for someone to return (such as secondment, long-term sick leave or maternity leave). Usually, such temporary appointments will last for no more than six months, unless a longer duration is known from the outset, such as where the secondment has been agreed for twelve months. When deciding a starting salary for a returner to the NHS, breaks in service may be ignored when deciding the incremental point a person should be on, that is, the employee need not start again at the bottom of the scale if there is a break and any promotion may be calculated as if there was no break. In deciding whether to give incremental credit for all previous service, consideration should be given to the length of the break and whether the person has kept their continuous professional development up to date. Relevant experience outside the NHS should also be taken into account. Advice on what is relevant should be sought from the Human Resources team. Once a starting salary has been accepted and the contract signed, progression through the pay scale will be annually in line with the identified incremental date of the individual, under Agenda for Change Terms and Conditions.

10.5

10.6

10.7

10.8

New staff with no previous NHS employment

10.9 In general, new starters to the NHS should start on the bottom of the pay band and work their way up through the incremental scale. Giving incremental credit without demonstrated justification is contrary to the principles of fairness and equity that underpin these terms and conditions. It may also lead to discrimination or equal pay claims. However, in exceptional circumstances, new starters can be placed at a point above the bottom of the pay band.

10.10 In certain circumstances, managers may offer new entrants a salary above the minimum of the scale in order to recognise relevant experience at the same or greater level of responsibility gained outside of the NHS. A manager must be able to justify their decision, including the impact on: other staff already in post in their team; other staff within the South West Strategic Health Authority, outside of their immediate Directorate/department/team;

343

budgetary implications; consistency in the NHS South West.

10.11 Current salary should not be used alone as a way of determining a starting salary, but it could be a factor when deciding to take previous relevant experience into account. Appointing managers should point out the benefits of the whole remuneration package, including pension contributions, annual leave, flexible working, relocation expenses and so on. 10.12 Any decision to award incremental credit to a new employee without NHS experience must be authorised beforehand by the Human Resources team and, if necessary, the Director of that service. Managers will be required to provide written justification and supporting evidence to support their decision and a copy of this will be retained on the personal file of the employee. The attached authorisation form, including proof of current salary for example, most recent pay slip should be used in these circumstances. 10.13 Relevant experience should be verified through the application form and references. 10.14 In fairness to existing staff or those who have been internally promoted, care must be taken that incremental points in recognition of experience only recognise completed years of experience at the level of the pay band in question, and not below it.

11.
11.1

Additional procedures for dealing with high risk posts

Posts that are considered to be of high risk to the security of the South West Strategic Health Authority will attract additional recruitment and selection procedures. These procedures are in place to guard the South West Strategic Health Authority against collusion, corruption and fraud. Additional procedures will only be applied to posts that have the potential to place the South West Strategic Health Authority in a vulnerable position. Example of such posts include: Chair; Chief Executive; Directors.

11.2

11.3

Additional procedures will consist of: Criminal Records Bureau checks; additional references; rigorous questioning at interview.

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11.4

If it is established that the applicant is related to another member of staff in a high risk post, this does not necessarily mean the applicant cannot be appointed. However, as described in Section 8, procedures will need to be developed to ensure the risk of collusion, corruption or fraud is removed

12.
12.1

Feedback and complaints

All candidates, whether internal or external, will routinely be offered the opportunity to receive feedback. Therefore, the Chair of the interview panel should be prepared to provide such information. Feedback should always be constructive and conveyed in a positive manner. In addition, any applicant who feels unhappy with the way in which their interview was conducted, may write a letter of complaint either to the Chair of the interview panel or the Head of Human Resources.

12.2

13.

Offer of employment
Unconditional offer letter

13.1

Once all checks have been satisfactorily met, an unconditional offer letter will be issued along with a Statement of Main Terms and Conditions and Starter Form. Appointed candidates who have a health problem or disability will be appointed on the same terms and conditions as someone in the same role who does not have a health problem or disability, notwithstanding adjustments made by the South West Strategic Health Authority Personal file

13.2

13.3

The Human Resources team will set up a personal file as soon as possible after an offer of appointment has been made. Contract of employment

13.4

All employees of the South West Strategic Health Authority are entitled to receive a written statement of particulars of employment no later than two months after commencing work. Therefore, in order to comply with this legal requirement, new employees will be issued with a Statement of Terms and Conditions of Employment. The Human Resources team will ensure that one copy of the contract is signed by the employee and filed in the personal file. New starter documentation

13.5

On the new employees first day, the Starter Form should be completed by the employee and the manager if not already done so. This must be returned to Human Resources. The appropriate payroll documentation will be sent to Payroll, a copy of which will be placed in the personal file of the employee.

13.6

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13.7

The Starter Form must include the continuous NHS service date which Human resources will verify.

14.
14.1

Induction
Induction marks the beginning of the relationship between employer and employee and is of fundamental importance in setting standards and patterns of behaviour for the organisation. It requires a structured and committed approach to be successful. Every new member of staff and every individual that transfers job requires an induction. Some staff, such as individuals returning from a career break, people with disabilities, senior and non NHS Managers, will have special induction needs because the extent of their knowledge and experience will vary widely. In these circumstances, the Directorate of Workforce Development and the line manager should draw up a programme tailored to the needs of the individual. Responsibility for induction

14.2

14.3

Line managers have the primary responsibility for inducting members of their teams. As well as being the most appropriate people to deliver on the job training, participation in induction helps managers get to know and encourage the progress of new employees. The Staff Contact is a specially nominated colleague, chosen from the same work group as the new recruit who will act as a guide and adviser in the early stages of employment. The Staff Contact will deal with the introduction of other colleagues and the other items identified on the induction checklist.

14.4

15.
15.1

Induction procedure
Whilst induction training should be informal, it must follow a structured plan. A checklist will ensure that all the core issues are addressed. Managers should, however, tailor the induction to include their specific departmental requirements. The South West Strategic Health Authority recognises that the induction process begins during recruitment and selection, when contact is first made with potential employees. Therefore, when the job offer has been made and accepted, an induction programme should be drawn up for use during the early stages of the new recruits employment. The new employee should, in all but exceptional circumstances, be welcomed by their line manager at a specified time on the first day. The Staff Contact will also welcome the new employee.

15.2

15.3

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15.4

The appointing manager will meet on a voluntary basis with the employee in order to review the effectiveness of adjustments made to accommodate health problems or disabilities. If appropriate, changes in the effect of the health problem or disability would be discussed and any new adjustments which might be needed agreed. All new members of staff must complete the South West Strategic Health Authority Induction Process. New employees must comply with induction/training requirements within three months of commencing employment with the South West Strategic Health Authority. Induction pack and staff handbook

15.5

15.6

The Human Resources team will provide the line manager with a standard induction pack. However, it should be noted that the induction required for an employee will vary according to the nature and seniority of the post being filled. The forms included in the induction pack must be returned, signed, by the end of the first week. The employee will also receive a copy of the South West Strategic Health Authority Staff Handbook. This is a key element of the induction process and will be sent to the employee with their contract prior to joining. Checklist

15.7 15.8

15.9

Progress through the induction programme will be reviewed by the individual and line manager and, on satisfactory completion, the new employee will sign the checklist to confirm all elements have been understood. The line manager will also sign to confirm the induction programme has been fully completed. The checklist will then be kept in the personal file of the employee.

15.10 Whilst the induction programme should take approximately one month to complete, it is essential that Section A is carried out on the first day and that the signed sheet is returned to Human Resources. 15.11 Sections B and C should be returned to Human Resources after the first week and first month respectively. Corporate induction day 15.12 An invitation to attend the quarterly Corporate Induction day will be emailed to new members of staff. Line managers should ensure their staff are available to attend the entire day.

16.
16.1

Monitoring
The Human Resources team is responsible for monitoring the induction procedure to ensure that new employees are properly inducted into the organisation. 347

17.
17.1

Record keeping
The recruitment process should be accurately recorded and the information on all applicants treated as confidential and only accessible to those directly involved in the process. Records will be kept for one year. Should an Employment Tribunal result from the recruitment process, the South West Strategic Health Authority will be required to disclose documents used/obtained in the process of recruiting any individual.

18.
18.1

Monitoring and evaluation

The Human Resources team will undertake random sampling of candidates invited to attend for interview, in order to monitor and evaluate the effectiveness and implementation of this policy.

19.
19.1

Interview expenses
Interview expenses may be reimbursed in accordance with Agenda for Change travel and subsistence limits. Claim forms will be sent to all candidates who request them. Candidates may submit claim forms at the interview or send them in subsequently. Interview expenses forms should be returned to the Human Resources team.

20.
20.1 20.2

Relocation expenses
Expenses should be payable to employees who need to move home in order to take up employment with the South West Strategic Health Authority. The scope and level of assistance will be determined by the South West Strategic Health Authority, in consultation with the individual, prior to the post being accepted. Normally the assistance to be provided will conform to the list of expenses and benefits qualifying for exemption from Income Tax and National Insurance as allowed by HM Revenue and Customs. Additional expenses may be approved by the Chief Executive of the South West Strategic Health Authority in conjunction with the Chairman where there is a particular difficulty in recruitment. The application of this policy will satisfy the Dignity at Work policy of the South West Strategic Health Authority. The level of relocation expenses will be determined by reference to a move between comparable properties in the old and new areas of residence. Betterment should not be funded by the public purse. Normally, relocation expenses will be limited to 10,000 and in any circumstances the total reimbursement should not exceed 25,000. The South West Strategic Health Authority will require an employee to repay all or part of relocation expenses if the employee leaves the organisation within three years of the appointment that gave rise to their expense.

20.3

20.4 20.5

20.6

348

Eligibility 20.7 Relocation expenses will only be paid if an employee is required, by the distance or logistics of travel, to move home as a result of: 20.8 20.9 commencing permanent employment with the South West Strategic Health Authority; an organisation change; taking up a post which is regarded as suitable alternative employment for the purposes of excluding entitlement to redundancy.

Previous employment in the NHS is not required. Relocation expenses will be payable to staff joining the South West Strategic Health Authority in Agenda for Change Band 6 or above.

20.10 Relocation expenses will normally only be paid if the existing property is outside of a 45 mile radius of the new base. However, expenses may be paid if the logistics of travel are such that the travelling time from the home of the employee to their new base is in excess of one hour calculated at the usual time of travel. 20.11 Where an employee has to provide emergency on-call services which would require attendance at the normal base, discretion may be exercised for relocation expenses to be paid if the existing property is outside of a 25 mile radius or 30 minutes travelling time. Procedure 20.12 Where a successful candidate or existing employee meets the eligibility requirements above, the appointing manager will refer to their respective Director who is responsible for determining the level of support to be provided. 20.13 Where an appointing manager considers that discretion should be exercised then a case should be submitted to the Director of Workforce Development who will ensure that consideration is given by the Chief Executive in conjunction with the Chairman. 20.14 An employee must indicate, in writing, the need to claim relocation expenses prior to commencing employment and initiate the claim process within three months of taking up the appointment. Where an employee fails to give such indication in time the employee may not be eligible to claim. 20.15 When the Director agrees to the payment of relocation expenses, the Human Resources team will be informed and will provide the employee with the Relocation Expenses form.

349

20.16 Details of the Relocation Expenses Assistance which an individual may claim are set out at Annex 2. Annex 3 sets out details of the repayment of relocation expenses where an individual chooses to leave the employ of the South West Strategic Health Authority within three years of appointment. Monitoring of expenditure 20.17 The individual is required to submit receipts before any reimbursement can be made. 20.18 With the prior approval of the Director of Workforce Development, or nominated deputy, one advance that does not exceed 2,000 or 25% of the agreed expenses, may be made for an approved purpose. In this instance, receipts should be submitted retrospectively. Any advance paid will be included in the overall allowance. Taxation of relocation expenses 20.19 Relocation Expenses are regarded as part of earnings for Income Tax and National Insurance contributions purposes. Under this policy a contribution of up to 25,000 may be made. It should be noted that the first 8,000 of any payment is exempt from Income Tax and National Insurance contributions subject to HM Revenue and Customs conditions being satisfied.

21.
21.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all applicants will have been treated fairly and consistently when going through the recruitment and selection process; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all involved with the recruitment process have a clear understanding of the roles and responsibilities involved.

21.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2012

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Annex 1

South West Strategic Health Authority Job Description

Job title: Grade/Pay band Base: Responsible to: Accountable to: Managerially responsible for:

Post title of the manager the post holder reports to. Post title of the person the post holder is accountable to in respect of service/professional issues. Post titles of all posts that report directly to the post holder, and clearly indicate whether the employee supervises/manages/reviews these post holders as part of the Appraisal process.

Directorate: Job reference: Last update (insert date): Key relationships:

This section should list the individuals or bodies the post holder will come into contact with as part of their role including both internal and external relationships.

1.
1.1.

Job purpose
This section should clearly state the role of the post holder what they will do and the expected purpose (or outcome) and its principle activities (or input).

2.
2.1.

Organisational position
This section should show the Directorate organisation chart and identify the position of the post holder.

3.
3.1.

Role of directorate
This section should explain what service the Directorate provides and how it helps the organisation achieve its objectives.

4.
4.1.

Key result areas

This section should clearly identify the key areas of achievement for the post holder.

5.
5.1.

Communications and working relationships

This section should set out the: skills required of the post holder to communicate, establish and maintain relationships and gain the cooperation of others;

351

Annex 1

extent to which the post holder will be required to motivate, negotiate, persuade, make presentations, train others, empathise, communicate unpleasant news sensitively and provide counselling and reassurance; extent to which the post holder may have difficulty in exercising these skills.

6.
6.1.

Knowledge, training and experience

This section should set out the minimum knowledge, training and experience required to undertake the role satisfactorily. This includes theoretical and practical knowledge, professional, specialist or technical knowledge; and knowledge of policies, practices and procedures associated with the job. It should outline the educational level expected of the post holder as well as the equivalent level of knowledge required without undertaking a formal course of study (without stating the number of years required as this is discriminatory under age discrimination legislation), and the practical experience required to fulfil the job.

6.2.

7.
7.1.

Freedom to act, analysis and judgement

This section should set out the: post holders freedom to act and identify at what stage they would be expected to seek advice; analytical and judgemental skills required to fulfil the post holders responsibilities satisfactorily, including the extent to which the post holder will be expected to understand complex situations and information and use judgemental skills to formulate solutions to recommend/decide on the best course of action.

8.
8.1.

Planning and organisation

This section should set out the: planning and organisational requirements of the job, including the requirement to planning and organise service, departments, rotas, meetings, conferences and for strategic planning; degree of complexity and uncertainty involved in these activities should also be described.

352

Annex 1

9.
9.1.

Physical, mental, emotional and environmental demands of the job

This section should include the: nature, level, frequency and duration of physical effort required such as carrying, lifting, working in an awkward position for a sustained amount of time; the nature, level, frequency and duration of the mental effort required for the job, such as concentration, responding to unpredictable work patterns, interruptions and the need to meet deadlines; the scope of the emotional effort required of the post holder, including direct or indirect exposure to emotional or distressing circumstances, such as imparting unwelcome news to staff, disciplinary hearings, typing reports concerning child abuse; the level of IT/keyboard skills required; an explanation of the working environment such as open plan offices; the amount and nature of travelling required; the level of interruptions the post holder will experience and the extent to which this will require them to stop what they are doing and change to another task; the predictability of the workload and level of requests for help.

10.

Patient and client involvement

10.1. This section should outline the nature of patient/client contact the post holder will experience, this may range from incidental patient contact, to responsibility directly managing a whole service including employees who provide a direct patient/client care.

11.

Policy and service development

11.1. This section should set out: responsibilities of the post holder for the development and implementation of policy and/or services; nature of the responsibility and the extent and level of the post holders contribution to the relevant decision-making process, for instance making recommendations to decision makers;

353

Annex 1 extent to which the relevant policies or services relate to a function, department, directorate, organisation, or wider than this; degree to which the responsibility is shared with others.

12.

Finance and physical resources

12.1. This section should outline the: responsibility for financial resources - such as vouchers, cheques, invoice payment, budgets, revenues, invoice payment; and the nature of the responsibility - such as careful use, maintenance, budgetary and ordering responsibilities, the frequency with which it is exercised, the value of the responsibility and the extent to which it is shared with others; responsibility for physical assets, such as office equipment, tools and instruments, stocks and supplies.

13.

Systems, equipment and technology

13.1. This section should set out the: systems, equipment and machinery the post holder will be required to use; responsibilities of the post holder for information resources (paper based and computerised) and information systems (both hardware and software); nature of the post holders responsibility for security, processing and generating information, creation, updating and maintenance of information databases and systems.

14.

Research and development

14.1. This section should set out the extent and nature of informal and formal research and development activities required by the postholder underpinned by appropriate methodology and documentation.

15.

Most challenging parts of the job

15.1. This section should set out the most challenging and difficult parts of the job.

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Annex 1

16.

Health, safety and risk management

16.1. Under the Health and Safety at Work Act 1974, as an employee, you must take reasonable care for the health and safety of yourself and for other persons who may be affected by your acts or omissions at work. The Act also states that you must not intentionally or recklessly interfere with or misuse anything provided in the interests of health, safety and welfare. 16.2. You are also required to make yourself aware of, and must at all times comply with, the South West Strategic Health Authority Health and Safety policy and associated procedures; in particular, but not exclusively, those relating to fire regulations, office safety, moving and handling, visual display unit and first aid. You should follow the agreed safe working procedures and report incidents using the South West Strategic Health Authority Incident Reporting System. 16.3. You are required to inform your line manager of any safety issues that could affect you or others in the work place. You are responsible for your own health and safety and must co-operate with management at all times in achieving safer work processes and work places, and in particular where it can impact others. 16.4. You will be trained in the correct use of any equipment provided and are required to use the equipment when necessary and as instructed. It is your responsibility to ensure equipment is safe to use prior to its use. Any defects must be reported immediately to your line manager.

17.

Personal development review, training and personal development

17.1. You must take personal responsibility, in agreement with your line manager, for your own personal development and should take a proactive approach to your own personal development and to co-operate with the Knowledge and Skills Framework and Personal Development Review processes to ensure that competences, skills and knowledge consistently match the changing requirement of the post. 17.2. Each year personal objectives will be agreed with you. Performance in achieving these objectives will be discussed regularly and there will be an annual Appraisal. 17.3. A Personal Development Plan will be agreed with you and updated at least annually. 17.4. You must undertake all mandatory training required for the role, including equality and diversity, disability awareness, fire safety, health and safety, and manual handling.

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Annex 1

18.

Confidentiality

18.1. It is the responsibility of all employees to ensure the preservation of confidentiality, integrity and availability of data. In the discharge of your duties you may often be in possession of confidential or personal information. You must not disclose or discuss such information, unless with authorised parties/persons identified by the Chief Executive or another Senior Officer of the South West Strategic Health Authority. 18.2. Disclosure of any confidential information to any unauthorised third party will be considered a disciplinary offence which, depending upon the severity of the offence could result in the possibility of dismissal of the offender. This does not affect your rights under the Public Interest Disclosure Act (1998).

19.

Equality and diversity

19.1. All duties must be carried out in a manner that recognises and promotes the absolute commitment and duty of the South West Strategic Health Authority to achieve diversity and equal opportunities. 19.2. You must co-operate with all the policies and procedures designed to ensure equality of employment. Colleagues and visitors must be treated equally irrespective of gender, marital status, disability, religion, creed, colour, race, ethnic or national origin, sexual orientation or social background.

20.
20.1

Flexibility
This job description is designed to identify the principle responsibilities of the post only, and is subject to review in the light of the changing needs of the project. The post holder is required to be flexible in developing this role to respond to new and changing demands; The post holder is expected to take a proactive approach to his/her own development and to co-operate with the Knowledge and Skills Framework and personal development review processes to ensure that competences, skills and knowledge consistently match the changing requirement of the post.

20.2

21.

General duties

21.1. The post-holder is required to adhere to the policies and procedures of the South West Strategic Health Authority at all times.

22.

Review

22.1. This job description is designed to identify principle responsibilities only. The post holder is required to be flexible in developing the role in accordance with the agenda and priorities of the South West Strategic Health Authority. Any formal review of this job description will be undertaken in consultation with the post holder.

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Annex 2

South West Strategic Health Authority Person Specification

Essential Qualifications Outline the essential education and qualifications required for the role and the equivalent level of knowledge gained without undertaking a formal course of study. (Do not state the number of years experience required as this is discriminatory under age legislation.) This might also include specific training and course attendance. This should link to the NHS Knowledge and Skills Framework Foundation Outline. Do not state the number of years experience required as this is discriminatory under age legislation. This should link to the NHS Knowledge and Skills Framework 357 Desirable Method of Assessment Indicate the method by which the criterion will be assessed, such as: application form; proof of qualifications; interview; presentation; skills exercise; references.

Knowledge

This should link to the NHS Knowledge and Skills Framework Full Outline. This should link to the NHS Knowledge and Skills Framework Full Outline.

Experience

Annex 2 Foundation Outline This should link to the NHS Knowledge and Skills Framework Foundation Outline

Skills

This should link to the NHS Knowledge and Skills Framework Full Outline.

Job Description and Person Specification Agreement Job Holders Name: ................................................................................................ Job Holders Signature:......................................................... Date: ..................

Managers Name:.................................................................................................... Managers Signature:............................................................ Date: ..................

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Annex 3

Relocation expenses assistance 1.

1.1 1.2

Approved assistance payments

The sum total of assistance offered will not exceed 25,000 of which 8,000 may be subject to tax exemption. The expenses must be incurred by the applicant who must certify that they are not recoverable in full or part from any other source.

2.
2.1

Accommodation
Accommodation and living costs shall be allowed during an individuals search for accommodation at the rate set out under Night Allowances: First 30 nights of Annex N to the Agenda for Change: NHS terms and Conditions of Service Handbook. (Currently a maximum of 55 per night.) With prior agreement by the Director of Workforce Development, an additional payment of 25 per night may be paid for accommodating the partner of the individual and/or other dependents.

3.
3.1

Expenses connected with the sale of accommodation.

Expenses which may be claimed in respect of a sale of a property, subject to satisfactory receipts, include: legal fees and services including mortgage/loan redemption fees; Home Information Pack (HIP) where required by law; estate agents/auctioneers fees and services; advertising; disconnecting services, such as gas and electricity; continuing commitment in the old area, such as house insurance, but excluding mortgage payments, council tax, redirecting mail.

4.
4.1

Expenses connected with the purchase of a new home

Expenses which may be claimed related to the purchase of the new home, subject to satisfactory receipt, include: legal fees and services; loan arrangement costs and mortgage indemnity premiums; structural surveys and valuations;

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Annex 3 Stamp Duty and Land Registry fees; connection fees for services.

5.
5.1

Removal and storage of furniture

Removal and storage may include any reasonable costs including: removal of furniture and effects from the old to the new home, including packing and unpacking; storage of furniture and effects for up to a maximum of six months; insurance of goods in transit and storage; hire of suitable vehicle for up to three days where a removal company is not used.

5.2

Where a removal company is used three quotations should be obtained and produced; the lowest of the three quotes should be accepted. Where a vehicle is hired the applicant should be able to provide evidence that it was the lowest cost option.

6.
6.1

Return travel to the old home

An employee may claim travel expenses to return to the old home: at weekends where the family is still resident in the old home; not more frequently than monthly where the family has moved to the new area; to supervise the removal from the old home; travel expenses will be reimbursed at either second class rail fare, public transport mileage rate or lease car mileage rate, whichever is appropriate.

7.
7.1

Leave for supervising a move

An employee may be given up to two days paid leave to supervise a move either out of or in to a property.

8.
8.1

Miscellaneous expenses
The South West Strategic Health Authority may make a payment of up to 500 for the cost of fitting carpets, curtains, television aerials and such like, but not the purchase cost of these items, where the goods in the old home are unsuitable for installation in the new home. Receipts will be required for any individual expenditure over 50.

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Annex 3

9.
9.1

Betterment
For the purpose of calculating expenses under this policy the property being purchased in the new area should be of a similar standard to that being sold in the old area. If the type of house in the new area is deemed to be of greater notional value than the house in the old area (such as a four bedroom detached house replacing a three bedroom semi-detached) expenses will be reduced in proportion to the selling price of the old property. Where sale has not taken place at the time of the purchase of the new house a notional assessment will be made to the value of the property being sold. The employee will be advised of any adjustment to the expenses allowed.

9.2

10.
10.1

Taxation of relocation expenses

The allowance payable for relocation expenses within this policy are considered to be within the exemptions allowed by the HM Revenue and Customs up to a limit of 8,000. However, any matters of taxation are for decision between the employee and the HM Revenue and Customs. To be eligible for tax relief the relocation expenses must be incurred, or the benefits provided, before the end of the tax year following the one in which the employee starts the new job. A tax year runs from 6 April in one year to 5 April in the next. Appointing offices should be aware that an appointment made between the 1 to 4 April will constitute an appointment within one tax year.

10.2

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Annex 3

South West Strategic Health Authority Relocation expenses agreement 1.

1.1

Termination of employment
Where an individual who has received Relocation Expenses under this policy leaves the South West Strategic Health Authority, whether by resignation or disciplinary action, within three years of the date of commencement of employment, the employee shall be required to: notify the South West Strategic Health Authority of the intention to leave as soon as possible or at least in accordance with the contractual period of notice; repay to the South West Strategic Health Authority a percentage of the said Relocation Expenses on the basis as detailed below: Leaving within and up to 1 year 2 years 3 years Amount to be Repaid 90% of expenses to be repaid 60% of expenses to be repaid 30% of expenses to be repaid

1.2

Where termination of employment from the South West Strategic Health Authority results from compulsory redundancy, or redeployment to avoid compulsory redundancy, the Authority may, at its discretion, forgo any claim to repayment of relocation expenses.

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Appendix 21

Representation at Work

This appendix sets out the revised Representation at Work Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Representation at Work Policy 1.

1.1

Introduction
The South West Strategic Health Authority recognises all Trade Unions registered with the Trade Union Congress and professional organisations to which members of staff belong as staff representatives. In the event of staff who are members of representative bodies being transferred to the employment of South West Strategic Health Authority under the provisions of the Transfer of Undertakings (Protection of Employment) Regulations 1981 (as amended), Trade Unions recognition rights will be preserved in accordance with the Regulations. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action.

1.2

1.3

2.
2.1

General principles and scope of policy

The South West Strategic Health Authority and the representative organisations have a common objective in ensuring the continuing provision of efficient, high quality treatment and/or care to patients within the catchment area of the South West Strategic Health Authority. All sides recognise that pursuit of this common objective under this policy shall be by: negotiation for the purpose of reaching agreement and avoiding disputes. The scope of such negotiation shall be those areas defined in Section 178 of the Trade Union and Labour Relations (Consolidation) Act 1992; consultation: * the exchange of views based on the general principle that the mere exchange of information is not consultation. Consultation involves an opportunity to influence decisions and their application; in particular, consultation will cover: consequent operational decisions, especially those likely to affect the job prospects or job security of particular groups or occupations;

2.2

363

all aspects of the immediate job environment and the employment relationship between the South West Strategic Health Authority and its employees;

information by which management and staff representatives agree to ensure effective dialogue by supporting systems of communications employed within the South West Strategic Health Authority.

2.3

Representative bodies recognise the responsibility of management to plan, organise and manage the activities of the South West Strategic Health Authority according to the objectives set by the South West Strategic Health Authority and associated health and social care organisations. The South West Strategic Health Authority recognises the responsibility of the staff representatives to represent the interests of their members employed by the South West Strategic Health Authority and to work for improved employment and working conditions. The South West Strategic Health Authority considers that the pursuit of sound employee relations is facilitated by its employees being members of representative bodies. All sides agree that it is in their mutual interest to observe sound negotiating and consultative procedures by which all issues arising between them can be considered and resolved. In the event of a dispute (collective grievance) being raised by one or more representative bodies and a resolution is not achieved through the South West Strategic Health Authority Grievance policy, the matter may be referred to the Advisory, Conciliation and Arbitrary Service (ACAS) for conciliation by either side or for arbitration. In keeping with the Grievance policy of the South West Strategic Health Authority, the status quo shall apply until the above provisions are exhausted.

2.4

2.5

2.6

2.7

2.8

3.
3.1

Representation
The South West Strategic Health Authority recognises the right of representative bodies to elect representatives to act as lead bodies on their behalf in accordance with this policy. Representative bodies agree to provide representatives with written credentials and notify management of those representatives and their constituencies.

3.2

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4.
4.1 4.2

Consultation and negotiating procedures

The agreed constitution of the South West Strategic Health Authority Joint Management and Staff Committee is attached as Annex 1. The South West Strategic Health Authority Joint Management and Staff Committee may, from time to time, establish working parties to deal with matters of specific interest to a particular group of employees. The terms of reference and level of authority of such working parties will be determined by the South West Strategic Health Authority Joint Management and Staff Committee.

5.
5.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently and have a right to representation at work; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities of Trade Union representation in terms of the work place

5.2

An impact assessment for this policy will be completed every three years. Policy Approved : Review By: April 2010 April 2012

365

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Annex 1

South West Strategic Health Authority Joint Management and Staff Committee Constitution 1.
1.1

Title of the Committee

The Committee will be called the Joint Management and Staff Committee (the Committee).

2.
2.1

Terms of reference
The aims of the Committee are: to promote effective communications within the Strategic Health Authority; to ensure that our staff are able to contribute to the formation of new employment policies and working practices; to promote recognition that all our staff have a mutual interest in ensuring the Strategic Health Authority supports the delivery of appropriate health care to the South West population.

2.2

The Committee may discuss the following matters: health and safety (but not replace a formal Health and Safety Committee); Human Resources policies; working practices; the business activities of the Strategic Health Authority as outlined in the Business Plan or any matters arising from this. In such matters the Committee will be consultative.

2.3

In fulfilling the above aims it is accepted that: working parties may be set up as required, on a short-term or continuing basis, although any agreements reached by a working party are subject to ratification by the full Committee; issues relating to individual members of staff, particularly counselling, disciplinary matters or individual grievances, will be dealt with through the use of agreed policies and procedures and not within the Committee; any issues which only affect a specific Directorate will first be addressed with the appropriate Director;

367

issues relating to local pay and conditions of employment will not be dealt with by the Committee; the Committee will not have the authority to make budgetary decisions; where the Strategic Health Authority is already obliged or empowered to consult its employees and Trade Union representatives, whether under a discretionary, contractual or statutory regime then it reserves the right to deal with such matters exclusively under that regime and not as part of the terms of reference of the Committee. Examples of the types of cases include consultation in relation to: business transfers under Transfer of Undertakings (Protection of Employment) Regulations 1981; redundancies, whether collective, in accordance with the Trade Union and Labour Relations (Consolidation) Act 1992, or individual; health and safety issues; pensions issues.

3.
3.1

Membership
The Committee will be composed of elected members of staff representing all Directorates of the South West Strategic Health Authority and the Severn and Peninsula Deaneries. Two employees will be elected from each Directorate a representative and deputy representative. Staff representatives

3.2

A nominations process has taken place to enable staff to nominate and elect Staff Representatives for each Directorate and Deanery to sit on the Committee. The Strategic Health Authority will encourage, as much as is reasonably possible, that coverage includes a mix of full and part time employees from both the headquarters and satellite sites. If the Staff Representatives are also Trade Union members their attendance will be in their role as a member of staff, not a Trades Union representative. If a Trade Union representative wishes to attend a Committee meeting they will provide notice to the Committee Secretary of their intention to do so at least three working days in advance of the meeting.

3.3

368

3.4

Staff Representatives are entitled to take reasonable time off during working hours to attend meetings to enable them to perform their roles as Representatives, and to be paid for this time. However, such arrangements should be agreed and discussed with the manager of individual employees. Each Staff representative will initially be elected for a period of one year. At the end of the years term, the Committee will review extending the term of office. This provides a sense of continuity and allows relationships and experience to develop. Arrangements for reelection will comprise the same format as the originating nominations and election process, and will ideally be staggered to allow for continuity of the Committee. Employees will be entitled to be nominated for re-election. Management representatives

3.5

3.6

Management representation will consist of: the Director of Communications and Corporate Services (Chair); the Director of Workforce Development; a member of the Human Resources team; other managers co-opted as required.

4.
4.1

Confidentiality
The Committee will be an open forum. However, matters discussed at Committee meetings may (rarely) be sensitive or confidential in nature, therefore Members are reminded of their agreement to their general contractual duty of confidentiality. Broadly speaking, however, the assumption should be that Staff Representatives should not be bound by a confidentiality obligation unless the Chair explicitly asks for it. Any breach of confidentiality will be dealt with in accordance with the South West Strategic Health Authority Disciplinary procedure and could ultimately result in loss of office. The South West Strategic Health Authority also reserves the right to undertake such legal action as is necessary where the misuse (including without limit disclosure of information) damages the South West Strategic Health Authority. However, no action will be taken where the Staff Side Representative reasonably believes the disclosure of confidential information to be a protected disclosure within the meaning given to that expressed by Section 43a of the Employment Rights Act 1996.

4.2

369

4.3

There will also be a clear understanding about the position of any external parties invited to Committee meetings such as Trade Union Representatives or consultants/representatives. It is important that all parties understand what information they need to treat as confidential and why.

5.
5.1

Communications
Meetings will be held bi-monthly but this period may be varied at the request of a Representative subject to the approval of the Chair. Items for the agenda should be submitted ten working days before the meeting and the agenda should be published five working days in advance of the meeting. Reporting back and seeking opinion about what happens in Committee meetings should usually be the responsibility of Staff Representatives at Directorate or team meetings. However, management should also help disseminate the information from Committee meetings to the Strategic Health Authority employees. Representatives should report back to employees as soon as possible. Any delay in reporting back could lead to frustration and allow scope for rumours to develop in place of hard information. Formal minutes should be prepared by the Committee Secretary within seven working days, distributed to the Committee Representatives by email for onward circulation. The minutes should also be made available electronically on the intranet, on notice boards and in the Staff Room. The Chair of the next Committee meeting should sign off the minutes. Minutes will also be circulated to the Senior Management Team for information.

5.2

5.3

5.4

6.
6.1

Constitution
The Constitution will be agreed in partnership between management and staff representatives. It will be ratified at the first meeting of the Committee, and reviewed on an annual basis.

Staff Representative Signature: Chair Signature: ..

Date: Date:

370

Appendix 22

Retirement Policy

This appendix sets out the revised Retirement Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Retirement Policy 1.

1.1

Introduction
The Employment Equality (Age) Regulations 2006 came into effect on the 1 October 2006 and employees approaching 65 are entitled to be offered the chance to continue working on after the date of their 65th birthday. Every member of staff must be informed between six to twelve months before they reach their intended retirement date they have the right to request to continue working, and must have an interview with their line manager to discuss this (See Annex 1). The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action.

1.2

2.
2.1

Scope
This policy applies to all employees of the South West Strategic Health Authority.

3.
3.1 3.2 3.3

Retirement age
The Default Retirement Age is 65 years. Staff may be able to access their NHS pension form the age of 60, dependent on the pension scheme to which they contribute. Some nurses, midwives, health visitors, occupational health nurses and physiotherapists are able to retire on full benefits from age 55, provided that their last 5 years membership is in one of these jobs and that they were members of the scheme prior to 6 March 1995. Some men in the jobs referred to in section 3.3 can also retire from age 55, but their benefits are only based on membership from 17 May 1990. Benefits for membership before that date will not be paid until age 60 unless they choose to take early retirement benefits. All members can choose to retire early from age 50 years, but benefits will be actuarially reduced to cover the extra cost of being paid for longer. This reduction also applies to those staff identified in sections 3.3 and 3.4 who retire before the age of 55 years. Acceptance of voluntary early retirement is not guaranteed.

3.4

3.5

371

3.6

For Medical and Dental Staff this policy is modified by paragraph 200 of the Terms and Conditions of Service for Hospital Medical and Dental Staff (England and Wales) and paragraph 200 of the Terms and Conditions of Service for Doctors in Public Health Medicine (England & Wales). Details held with NHS Employers. Nothing in this policy detracts from the right of individuals to take early retirement under the provision of the NHS Superannuation Scheme. Nothing in this policy shall inhibit the freedom of staff to choose to retire earlier than the retirement ages stipulated. Early retirement on health grounds or organisational change will operate in appropriate cases in accordance with current terms and conditions of service.

3.7 3.8 3.9

4.
4.1

Flexible retirement options

there are a number of flexible retirement options available to staff which include: Winding Down Working fewer hours in an existing post. There is a general misconception that moving into part time work in the years leading up to retirement may reduce eventual pension. However, pensions for part time staff are actually calculated on the whole time equivalent salary, so moving from full time to part time work, rather than retiring, should not reduce the level pension although it will reduce the level of service. Stepping Down Defer retirement by stepping down to a less demanding, lower graded (paid) post. Subject to the Trusts agreement, pension rights will be preserved at the previous higher level. Working when needed Retirement, but remaining available to work through registering for bank work or by advising availability for work during peak periods.

4.2

Staff considering flexible retirement options should discuss these in the first instance with their Head of Department. Such requests will be considered in light of service and organisational requirements. Staff are also advised to contact the Trusts Pension Officer to determine the implications of flexible retirement on their pension. The most popular flexible retirement option is where a member of staff retires, releasing their pension and lump sum and subsequently returns to work. 372

4.3

4.4

Staff who retire under normal age provisions (60 or 65) must have a break in service of 24 hours and cannot work more than sixteen hours per week for the first calendar month following retirement. There is no limit in what a person can earn if they return to work following normal age retirement. Where a member of staff pursues voluntary early retirement and takes an actuarially reduced pension or has Mental Health Officer status and retires at age 55, the provisions in 4.4 above apply and in addition the employees combined pension and post retirement earnings must not be greater than their salary upon retirement. Where this occurs, the pension is reduced to bring the income down to the required level.

4.5

5.
5.1

Retirement function/party and gratuity

For employees with ten years or more service with the South West Strategic Health Authority or its predecessor organisations, an amount of 3.00 per year up to a maximum of 80 will be offered towards a retirement function or party. This sum may only be used for the specified purpose and cannot be given to the employee or used as a contribution towards a gift or present. All requests for retirement function or party funding must be made in writing by the immediate line manager/Director of the retiring employee. All requests must be made at least four weeks before the retirement function or party to allow sufficient time for the catering arrangements. The line manager/Director will approve the charging of the cost of the retirement party to their budget with the caterers. All written requests for funds must include the name of the employee, grade, Directorate, starting and termination dates, together with any indication of breaks in service. If the employee expresses a wish not to have a retirement function or party, a request for funds should not be made.

5.2

5.3 5.4 5.5 5.6

5.7

Retirement gratuity 5.8 Employees of the South West Strategic Health Authority who have completed twenty years or more of continuous service with the NHS may receive a gratuity of 10 per completed year of service (pro rata for part-time staff) up to a maximum of 250. Requests for a staff gratuity should be made using the appropriate form found on the intranet which should be completed by the immediate line manager/Director of the employee and sent to the Human Resources team.

5.9

373

5.10

The retirement gratuity may be used to purchase or contribute towards a gift or a cheque can be made payable to the retiring member of staff. (Cheques payable to retiring staff are subject to tax by the Inland Revenue). The Staff Retirement Gratuity Form (found on the intranet) must be completed and submitted to the Human Resources team at least four weeks before the date of retirement.

5.11

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when requesting flexible retirement options; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in the supporting and managing flexible retirement.

6.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2011

Policy Approved: Review By:

374

Annex 1

1.

Retirement procedure
Duty to inform the employee:

1.1

Every six months the Human Resources team will send Directors a list of staff who are due to reach the intended retirement date of 65 within the next twelve months. Managers have a duty to write to each individual at least six months prior to their 65th birthday, to advise them of their intended retirement date and arrange to meet with the individual to discuss whether or not they wish to work beyond 65 years of age (template letters are available on the intranet). Please note the employee can be accompanied at this meeting by a Trade Union representative or work colleague (not acting in a legal capacity). Working beyond 65 (intended retirement date) and 67 (extended retirement date)

1.2

1.3

Where an employee wishes to work beyond 65 the manager and employee must discuss the employees request between three and six months before the Intended Retirement Date. An employee who is allowed an extension to their age of retirement may be offered or may request an extension of service on a modified contract, for example, for fixed period of time or indefinitely. The Manager needs to confirm in writing to the individual the details and terms of the post within fourteen days of the meeting (letter available on the intranet) with a copy to the Human Resources team and appropriate paperwork to Payroll. The request by the employee is to continue working under the same terms and conditions before the retirement date. If the employee requests a different working pattern, less hours, less responsibility the manager should consider this however; there is no obligation for either the employee or the manager to accept the proposals. If the employee voluntarily requests and accepts a job of less responsibility, pay protection will not be applicable. Refusal to work beyond 65 (intended retirement age), 67 (extended retirement age)

1.4

1.5

1.6

If the Manager decides not to fully accept the request (for example the employee has requested to continue working indefinitely but decides that the employee can continue working only for a fixed period of time) they must write to the employee within fourteen days of the meeting (letter available on the intranet) setting out the reasons for this.

375

1.7

If the Manager decides to refuse the request outright the decision must be confirmed to the employee setting out the reasons for this and giving a date when their employment will be terminated (letter available on the intranet). Employees will have the right of appeal against either decision using the Grievance policy and procedure of the South West Strategic Health Authority. Please note that if the manager has agreed to allow the employee to continue working for a fixed period of time, when the employee reaches 67 years of age (extended retirement age) this process must be followed a second time.

1.8

1.9

2.
2.1

Returning to work
If an employee retires from the South West Strategic Health Authority and subsequently wishes to return the manager must go through the vacancy approval process for the post. Current NHS pension arrangements indicate that employees who are retiring on an NHS pension must have a minimum break of twenty four hours and must not work for more than sixteen hours per week for the first month after retiring. Someone who is age 60 or over who returns to work will not have their pension reduced no matter how may hours they work or how much salary they earn, provided that they adhere to the above. A person under age 60 who returns to work may have their pension reduced or suspended if the sum of their pensionable earning in their new post plus their pension is greater than their previous pensionable earnings. This is also provided they adhere to the above. Once you have taken an early pension, you can not rejoin the scheme if you rejoin the NHS, unless you retired because of ill health and you return to work in the NHS before you reach age 50.

2.2

2.3

2.4

2.5

376

Appendix 23

Secondary Employment

This appendix sets out the revised Secondary Employment Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Secondary Employment Policy 1.

1.1

Introduction
Whilst the Strategic Health Authority recognises that staff may engage in employment in addition to their post with the Authority, it is important that other work or activities do not adversely affect the employees performance or attendance, or break the terms of the European Working Time Regulations. Therefore you must notify Human Resources of all other employment which you undertake.

2.
2.1

Policy
This policy applies to all employees and prospective employees to whom a job offer has been made, of the South West Strategic Health Authority. The policy also applies to staff seconded to the Health Authority even if a declaration has been made to the substantive employer. In this policy the term Secondary Employment covers paid employment outside the Authority including private practice; unpaid employment and/or voluntary work; self employment including franchise working; bank/agency/locum work.

2.2

2.3

The purpose of the policy is to: ensure that employees do not engage in other work that may conflict with or affect their performance or attendance under their Contract of Employment with the Authority; prevent employees contravening legislation on working time, including total hours worked, breaks between shifts and annual leave; ensure that employees who are seconded full time to the South West Strategic Health Authority comply with this policy during the secondment; where employees are seconded part-time to the Strategic Health Authority and retain work with their secondary employer then the above principles will be applicable to both parts of the employment arrangement.

377

2.4

Some employees will have Contracts of Employment which may contain more specific provisions about secondary employment. In such cases these will apply in addition to the provisions of this policy.

3.
3.1

Procedure
The Human Resources team will forward a copy of the Secondary Employment policy to all appointees together with a copy of the Declaration of Staff Interests form which can also be found on the Human Resources Intranet site. Appointees will be asked to disclose any existing secondary employment which will continue after commencing employment with the Authority including paid or voluntary work by completing and returning the pro-forma. The returned form will be forwarded to the line manager if there is any positive disclosure. The line manager should consider if the secondary employment needs to be discussed with the appointee and if any parameters need to be established and discussed with the appointee to ensure that there is no adverse impact on/implication for the main job. The outcome of any said discussion will be recorded on the pro-forma and sent to the Human Resources team for retention on the personal file. Managers should take a balanced view of the diverse needs of individuals against those of the business during these discussions. Where a person has disclosed that they will continue with secondary employment the Human Resources team will inform Occupational Health to ensure that there are no health implications. Post appointment

3.2

3.3

3.4 3.5

3.6 3.7

Where an employee is considering taking up secondary work they must advise their line manager by completing the Notification pro-forma. On receipt of the pro-forma the manager should meet with the employee to discuss the proposed secondary employment and potential impact on their current employment, performance and/or attendance. The meeting should take place within a mutually agreed time period. The manager should consider all the factors and decide if the secondary employment is likely to be detrimental or not. A decision should be made and conveyed to the employee in writing within fourteen days of the discussion. The pro-forma should be duly completed and sent to the Human Resources team for retention on the personal file.

3.8

3.9

378

3.10 3.11

If a request for secondary employment is refused the employee may use the Authoritys Grievance Procedure if dissatisfied. It is the responsibility of the employee to notify the line manager if the secondary employment ceases or changes, such as an increase in hours or greater responsibility.

4.

Employee responsibilities
Sickness

4.1

Employees should normally refrain from their secondary employment if they are on sick leave from the Authority. This includes any work during which would normally be off duty periods unless specifically authorised by your line manager. If the employee does not think the secondary employment would be detrimental to their health and recovery they should seek advice from the Human Resources team which will confirm any decision with the line manager before advising the employee. Working time regulations

4.2

Employees must ensure that their total working hours do not exceed the limits and that they comply with the required rest periods within the Working Time Regulations. (go to www.direct.giv.uk/employment/employees/workinghoursandtimeoff ) The working time regulations are Health and Safety legislation and designed to ensure no-one works when they are too tired to do so safely. Staff should also consider the implications of travelling, particularly driving, when tired. Where there is evidence of a breach of the Working Time Regulations the matter will be investigated in accordance with the Authoritys Disciplinary procedure as such a breach would be regarded as misconduct. Attendance/time keeping

4.3

Any adverse impact on attendance and/or time keeping attributed to secondary employment will be investigated under the Authoritys Disciplinary procedure.

379

Capability/performance 4.4 As part of their role, all managers should monitor the performance of their staff regularly, if the performance of a member of staff falls below the acceptable standards the manager needs to investigate this. Performance issues can arise from a number of reasons such as ill health. However, if it is found that the adverse impact on performance is as a direct result of secondary employment the manager should take appropriate action under the terms of the Authoritys performance / disciplinary procedures. Private practice/fee paying services 4.5 Medical staff must adhere to the conditions set out under their terms and conditions of employment with regard to private practice (excluding work undertaken under contract as a General Practitioner) and fee paying services.

5.
5.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will be treated fairly and consistently with regard to secondary employment; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in managing secondary employment.

5.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2013

380

Appendix 24

Secondment Policy

This appendix sets out the revised Secondment Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Secondment Policy 1.

1.1

Introduction
The South West Strategic Health Authority is committed to developing strategies that enable the successful recruitment, retention and development of staff. Secondments can provide employees with wider opportunity for their personal and career development. The purpose of this policy is to provide a framework which ensures secondment opportunities are fair and effective, as well as meet the needs of the individual and the South West Strategic Health Authority. The South West Strategic Health Authority aims to promote equality and diversity, and value the benefits that this brings. It is the intention of this policy to ensure that all staff are treated fairly and equitably and have equal access to personal and career development opportunities.

1.2 1.3

1.4 1.5

2.
2.1

Scope
This policy applies to all employees of the South West Strategic Health Authority.

3.
3.1

Definition
One definition of a secondment may be the temporary loan or attachment from or to another organisation or a different department or directorate of the South West Strategic Health Authority for a specific purpose and for a defined period. The key element of a secondment is that there is no change in employment status during the secondment. The secondees contract of employment remains unaffected, they remain an employee of the seconding organisation, and will return to their original post with the seconding organisation at the termination of the secondment. The Host organisation takes on no employment liability for the secondee at the termination of the secondment. The secondment agreement will set out the specific local terms and conditions of the secondees time with the Host, in other words they will be managed in line with their terms and conditions of employment. Thus any grievance, performance issues, attendance or disciplinary action for example will be managed in accordance with the employers policies.

3.2

3.3

381

4.
4.1

Principles
A secondment can be initiated either by an employee or by their manager. However, there is no absolute right for any employee to be seconded from their post to another post either within the South West Strategic Health Authority itself or to another employer within or outside the NHS. Secondment requests will be considered in line with business needs and may be refused on that basis. The duration of a secondment must form part of the agreement between the employee, Host and Employer. A secondment must have an end date, and would normally last for a maximum of three years. Secondments can be extended with the express authority of each party. Secondees to South West Strategic Health Authority should all complete Pre-employment Health Questionnaire, and Statement of Health forms with a view to identifying any reasonable workplace adjustments that should be considered. A risk assessment should be carried out for each secondee at the commencement of their secondment. Risk Assessment forms should be provided to the prospective line manager at the organisation seconded to, if not South West Strategic Health Authority.

4.2 4.3

4.4

4.5

5.
5.1

Application
All secondments to, or released from, the South West Strategic Health Authority must be approved by the relevant line manager, Director and the Chief Executive or nominated deputy. Detailed arrangements must be agreed between the original manager, the new manager and the employee. A Notification of Secondment Arrangements form should be completed and returned to the Human Resource team. The terms and conditions of the secondment (the Secondment Agreement) will be confirmed in writing by the Human Resources team and signed by the Employer Manager, Host Manager and the employee, with a copy to each party, including the personnel file of the employee. The secondment may be on the same grade/terms/conditions/hours or some/all of these may be amended. These must be agreed with the two managers and the employee, and will form part of the terms and conditions of the secondment.

5.2

5.3

5.4

382

5.5

Where an employee is seconded from the South West Strategic Health Authority they will normally return to their substantive post. In the event of an organisational change occurring this will be dealt with in line with normal procedures of the South West Strategic Health Authority.

6.
6.1 6.2

Pay arrangements
Payroll costs and expenses will normally be reclaimed from the organisation the employee has been seconded to. Expenses incurred by secondees in the performance of their duties such as travel will normally be claimed to their employer, using their employers normal expenses procedures. Expenses should be authorised by the employer in the usual way, unless stipulated otherwise There must be a clear understanding and agreement of the position regarding pay awards, annual increments and the original incremental date during the period of secondment. This should be clarified in the Notification of Secondment Arrangements form and the Secondment Agreement itself.

6.3

7.
7.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all managers and secondees have a detailed understanding of the arrangements surrounding secondments; all employees will have been treated fairly and consistently throughout the secondment process; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority.

7.2

An impact assessment for this policy will be completed every three years.

Policy Approved : Review by :

April 2010 April 2013

383

384

Appendix 25

Staff Involvement and Internal Communications Policy

This appendix sets out the revised Staff Involvement and Internal Communications Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Staff Involvement and Internal Communications Policy 1.
1.1

Introduction
The South West Strategic Health Authority is committed to excellence in the area of communication and staff involvement in line with the principles embodied within the NHS Constitution and Staff Charter which can be found on the intranet. The South West Strategic Health Authority is committed to continuing to develop a culture in which staff and their representatives are informed about, and are involved in, decisions that affect them and the services they deliver. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. By involving staff it enables the South West Strategic Health Authority to: develop an effective two-way communication process; educate staff more fully about the nature of the organisation and the services in which they work; raise awareness of the issues facing particular services, the South West Strategic Health Authority and the NHS as a whole; listen to the concerns of the staff; engage staff to generate ideas and to draw on their knowledge, ideas and expertise to develop services for the future.

1.2

1.3

1.4

2.
2.1

Values
The South West Strategic Health Authority believes that there are significant benefits for all parties in achieving an involving, open and honest culture in the workplace. The South West Strategic Health Authority believes that the following values are key and underpin the approach to staff involvement: the development of strong relationships between staff and management; consultation with staff and their representatives in a timely manner about decisions that affect them and the services they deliver; 385

2.2

to listen and give feedback to staff and their elected representatives; the commitment of time and resources to develop an involving culture; raising awareness of all staff that the philosophy of staff involvement will have a significant impact on management and employment practices and on service delivery.

3.
3.1

Definitions
For the purpose of this policy, communication and staff involvement means: a partnership characterised by openness and transparency; the taking place of two-way communication; an informed workforce who understands the issues facing the NHS and their impact from different perspectives; a healthier, better motivated workforce; the ability to manage change effectively; the ability to engage in innovative work.

4.
4.1 4.2

Procedural implications
Non-Executive Members are to be included in the induction process. All matters of strategic and operational significance will be communicated to recognised staff representatives through the Joint Management and Staff Committee. Minutes from the Joint Management and Staff Committee meetings will be circulated throughout the South West Strategic Health Authority. Information about the South West Strategic Health Authority will be provided through appropriate methods of communication, including team briefings, electronic, newsletters. The maximum use of technology will be made to improve communication in line with the Information Technology policy and Guidelines. This will include effective use of e-mail and the intranet site of the South West Strategic Health Authority. Information on a more informal basis will be provided through line managers or via staff notice boards, where staff can also make contributions.

4.3 4.4

4.5

4.6

386

4.7 4.8 4.9

The South West Strategic Health Authority will strongly support the Joint Management and Staff Committee. The Joint Management and Staff Committee meetings will be used to share information and seek views and opinions on important issues. The Health and Safety Committee will ensure there is representation from staff and health and safety issues will be discussed openly.

5.
5.1

Responsibilities
Everyone in the organisation has a role to play in developing the involving culture. Chief Executive

5.2 5.3

To be committed to the philosophy of communication and staff involvement throughout the South West Strategic Health Authority. To ensure that the Staff Involvement and Internal Communication policy is implemented and that audit is carried out through the annual staff survey. Director of Workforce Development

5.4

To evaluate the progress of the South West Strategic Health Authority and work collaboratively with the other parties to develop ideas as to how to build on existing practice. To implement and evaluate the results of the annual Staff Survey. Line managers

5.5

5.6

To take steps to inform and consult employees and their representatives in a timely manner on issues affecting staff and the services in which they work. To conduct regular staff meetings. To carry out annual Appraisals. To ensure distribution and access to: team Brief; other relevant information and newsletters.

5.7 5.8 5.9

5.10

To actively support the development of the involving culture of the South West Strategic Health Authority by promoting the principles of this policy.

387

5.11

To ensure that any person who has a disability, which could affect communication, is not discriminated against or put at any disadvantage. Each circumstance needs to be individually assessed and action taken to optimise communication and involvement. To ensure regular meetings with individual staff members to improve communication. Frequency to be agreed between the manager and staff member. To have an open door policy for all staff. Employees

5.12

5.13

5.14

To participate positively, and co-operate fully, in the opportunities that are presented to offer opinions and views on the development of services and employment issues. To work co-operatively and positively with colleagues and managers to resolve problems and reconcile competing needs. Joint Management and Staff Committee Representatives

5.15

5.16 5.17 5.18

To consult and share information with staff on a regular basis. To support the implementation of joint decisions and agreements. To work in partnership with other Joint Management and Staff Committee representatives to ensure a coherent input into the processes of the South West Strategic Health Authority. Chair of Joint Management and Staff Committee Representatives

5.19 5.20

To provide effective leadership for members of the Joint Management and Staff Committee. To ensure that all points of view are aired within the Joint Management and Staff Committee and passed on to management or back to staff, and to bring to management/staffs urgent attention any likely problems and to ensure fast and effective response/resolution.

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently with regards to involvement and communications; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority;

388

a review of the policy will be completed every three years by the Director of Workforce Development and the Director of Communications and Corporate Services and recommendations for improved practice will be made and implemented.

6.2

An impact assessment for this policy will be completed every three years. Policy Approved: Review By: April 2010 April 2013

389

390

Appendix 26

Study Leave and Development Policy

This appendix sets out the revised Study Leave and Development Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Study Leave and Development Policy 1.
1.1 1.2

Introduction
The South West Strategic Health Authority is committed to the training, education and development of its employees. The South West Strategic Health Authority believe that in supporting our employees to make the most of their learning opportunities and develop their personal and professional career potential; we will deliver our aim of improving services for patients in the South West and healthcare standards that surpass national targets and rank alongside the very best in Europe. It is expected that training, education and development needs of individuals will be identified as part of the annual appraisal process which will be set out in a Personal Development Plan linked to the employees work. Any enquiries with regard to Study leave and/or Development Funding must be discussed with the employees line manager who, in turn, may contact the Human Resources team for advice. Study leave requests must be discussed at least four weeks in advance with the employees line manager. On agreement, the line manager will record and authorise the study leave on the annual leave card prior to the study leave being taken as well as confirming the availability of funding with the appropriate budgetary authority. Financial constraints may prevent the South West Strategic Health Authority from meeting the development needs of all employees at the time of the request. In the event of demand exceeding funding, development needs will be prioritised by category (see table 1) with those in category one being funded first.

1.3

1.4

1.5

1.6

2.
2.1

Entitlement
Study Leave can be any training and development activity that requires an individual to be absent from their normal place of work. This can include: conferences; internal and external courses; e-learning; secondments; 391

 2.2

workshops; formal assessment (for example examinations); shadowing; job rotations (this list is not exhaustive).

Applications for Study Leave will be considered by category as detailed in Table 1. Table 1: Category of study Study Leave 100% Negotiated by the line manager with the expectation that individuals will commit to home study where appropriate. Negotiated by the line manager with the expectation that individuals will commit to home study where appropriate

Level 1. 2.

3.

Funding Mandatory/statutory/essential 100% for job role Development or education 100% that has been agreed as part of a personal development plan to enhance current role or to meet changes in role through promotion or redeployment. Development/education 50 80% agreed as part of the Negotiated by personal development plan the line to enhance future career manager and development within the employee current role/profession. Managers may consider both funding and study leave or funding but not time off or time off, not funding. Development/education agreed as part of personal development plan but not directly linked to current career or job role but will enhance career prospects.

4.

None

Negotiated by the line manager with the expectation that individuals will commit to home study where appropriate

3.
3.1

Leave and development

In the case of work based learning activities it may be that the employee is not absent from their normal work but needs time to participate in the learning activity on the job for example National Vocational Qualifications.

392

3.2

In order to apply for study leave an employee would normally have been employed for a year and have completed an annual appraisal together with a Personal Development Plan in which their development opportunity has been identified. An employee, who joins the South West Strategic Health Authority part way through the appraisal year, will be able to apply for study leave if a development opportunity is identified by their line manager and themselves a part of a formal review process for example, during their Induction period. Part time employees will be entitled to apply for study leave that is pro rata to their normal working hours. Travel expenses and subsistence allowances will be at Public Transport rates. Employees taking study leave should first make use of all internal resources for example intranet, internet, journals and so on. If books or other materials are required the employee may be required to pay for them. If the South West Strategic Health Authority agrees to fund books (to a maximum of 50 per year) they will be the property of the South West Strategic Health Authority and on completion of study should be returned for inclusion in South West Strategic Health Authority resources.

3.3

3.4 3.5 3.6

4.
4.1

Responsibilities of employees
The responsibilities of the employees include the need to: prepare for their annual appraisal in advance; prepare and agree a Personal Development Plan together with their line manager; complete an application form for Study Leave and/or Development Funding which can be found on the intranet; attend all supported study leave events and learning experiences; any non attendance including annual leave, must be discussed in advance with the line manager/course provider; report sickness absence to the nominated person as normal and to the Course Leader; coach or mentor; complete the course or learning experience and submit all required written assignments and practical competencies; failure to do this may result in further study leave being withdrawn;

393

discuss with their line manager and Course Leader, coach or mentor progress including if you are experiencing any difficulties in completing the academic requirements of the course; inform their line manager of the outcome of the course or learning experience, including results and provide evidence of this (for example a certificate); complete an Study Leave and Funding for Development evaluation form together with their line manager which can be found on the intranet; share learning with peers as appropriate and apply in practice; ensure, if a professional, they meet the continuing professional requirements of their professional body; commit where the level of study is either over a twelve month period or costs over 1000, by signing the Study Leave and Funding for Development Learning agreement form which can be found on the intranet to repay the course fees should they voluntarily leave the South West Strategic Health Authority either during study or within twelve months of completing their study.

5.
5.1

Responsibilities of employers
The responsibilities of the employers include the need to: carry out one to one reviews with employees on a monthly basis; conduct annual appraisal and development reviews with employees; ensure that the objectives set are recorded; at regular one to one meetings review progress and identify any need for additional support or guidance; complete an application form for Study Leave and/or Development funding which can be found on the intranet; ensure that on the job study leave is provided for work based learning; support employees in transference of learning in to practice; evaluate the course once completed and review how learning can be shared with colleagues as appropriate; complete the annual leave card when study leave is taken;

394

complete and update training record cards; ensure that the agreed funding is available and invoices are processed in a timely manner; ensure that reasonable adjustments are taken into account and /or addressed in order to assist in your employees learning experience (please refer to the Health Problems and Disability in Employment section in the Health and Wellbeing policy); ensure that authorisation to access opportunities to study and your funding decisions are based on the criteria outlined in Table 1. Decisions to fund individuals should not be based on age, length of service or the potential of a pending retirement, nor gender or ethnicity; ensure that decisions for approval/non approval are documented and kept on file.

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when requesting Study Leave and Funding for Development; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in the application for, monitoring and recording of study leave and funding.

6.2

An impact assessment for this policy will be completed every three years. April 2010 April 2012

Policy Approved: Review By:

395

396

Appendix 27

Travelling and Subsistence Policy

This appendix sets out the revised Travelling and Subsistence Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Travelling and Subsistence Policy 1.

1.1

Introduction
This policy sets out the travelling and subsistence rates paid to all staff of the South West Strategic Health Authority, including the Chairman and Non-Executive Members. These allowances have either been approved by the Secretary of State, or agreed under the NHS Terms and Conditions of Service Handbook or by local agreement. The Travelling and Subsistence policy is necessary to ensure: payment of allowances are managed effectively; all claims are submitted promptly and are properly authorised; all staff, including the Chairman and Non-Executive Members, do not receive any allowances to which they have no entitlement; records of the various payments are adequately maintained; the South West Strategic Health Authority complies with all statutory legislation and submits necessary returns promptly; the South West Strategic Health Authority meets the requirements of both statutory and internal auditors.

1.2

1.3

2.
2.1

Responsibilities of employees
When claiming for mileage for car journeys, it is the legal duty of each employee driving the vehicle to hold valid motor insurance which covers business use, a current driving licence and MOT certificate where applicable. Employees will need to provide a copy of their driving license, motor insurance, MOT (where applicable) and vehicle registration document on an annual basis for auditing purposes. All claims must be an accurate record of official business expenses incurred. Any falsified expenses or subsistence claims will be managed under the Disciplinary policy and could potentially result in dismissal for gross misconduct and prosecution. Employees are therefore advised to familiarise themselves with their responsibilities under the following organisational documents and policies, all of which are available on the intranet:

2.2

397

Standards of Business Conduct for NHS Staff; South West Strategic Health Authority Standing Orders; South West Strategic Health Authority Standing Financial Instructions; Disciplinary policy of the South West Strategic Health Authority; Hospitality Expenses policy of the South West Strategic Health Authority; Mobile Phone policy of the South West Strategic Health Authority; Guide to Expenses and Allowance Rates for Employees of South West Strategic Health Authority.

3.
3.1

Travelling allowances
These are paid in accordance with the NHS Terms and Conditions of Service under the following categories: use of lease car; use of private car; public transport (rail, bus, air, taxi).

Lease car users 3.2 Staff entitled to a lease car under the Lease Car policy of the South West Strategic Health Authority are eligible to claim reimbursement of fuel costs for all mileage travelled in connection with the business of the South West Strategic Health Authority. Claims for reimbursement of these allowances must be authorised and submitted for payment within three calendar months or they will not be paid. In extenuating circumstances, this three calendar month rule can be relaxed but approval must be obtained from the Director of Finance and Performance. Private car users 3.4 Staff who are ineligible for a lease car are classified as a private car user. Under this classification staff will be entitled to a mileage allowance which is dependent on the engine capacity and the total annual official business miles.

3.3

398

3.5

Claims for reimbursement of these allowances must be authorised and submitted for payment within three calendar months or they will not be paid. In extenuating circumstances this three calendar month rule can be relaxed but approval must be obtained from the Director of Finance and Performance. Staff driving a vehicle for official business must hold a valid driving licence, motor insurance which covers business use, and MOT certificate if required. Public transport

3.6

3.7 3.8

This refers to travel on official journeys by means other than a lease or private car. If staff intend to travel by train they should contact their Directors Personal Assistant or member of staff with delegated authority, who will arrange the purchase of the ticket prior to the journey. The ticket will normally be for second class travel. In exceptional circumstances the Chief Executive or Director of Finance and Performance may authorise first class travel. Claims for travel by other public services (including car parking) must be authorised and submitted for payment within three calendar months or they will not be paid. In extenuating circumstances, this three calendar month rule can be relaxed but approval must be obtained from the Director of Finance and Performance. Receipts must be attached to the claim. Claims must be made on a separate form for each month, photocopied and submitted double sided and be completed correctly as Payroll will return incorrect claims. The South West Strategic Health Authority reserves the right not to reimburse staff travel if no receipt or proof of payment is submitted attached with the claim, unless it clearly states that no receipt is required for this allowance.

3.9

3.10

4.
4.1

Subsistence allowance
These are paid in accordance with the NHS Terms and Conditions of Service and claims can be made when: an employee stays overnight in an hotel, guest house or other commercial accommodation; an employee stays for short overnight periods with friends or relatives or in caravan accommodation; travelling overnight in a sleeping berth (rail or boat); travel costs are incurred for short term temporary absence;

399

an employee has to stay away in the same location for over thirty nights; an employee spends more on meals than they would have spent at their headquarters and has to travel more than five miles from headquarters when on business.

4.2

The terms and current amounts which can be claimed are as follows. Short overnight stay in hotel

4.3

The actual receipted cost of bed and breakfast is up to a normal maximum limit of 55 per night plus a meal allowance of 20 per night to cover the cost of a main evening meal and one other daytime meal (where meals are not provided). No reimbursement will be made for any alcoholic drinks purchased. This will be reviewed again by April 2011. When a short overnight stay in a hotel in a large city is required, the maximum limit is increased to 120 per night plus (or a value deemed reasonable by the relevant Director or delegated authority) a meal allowance of 20 per night. This will be reviewed again by April 2011. Where the rates available through approved agents, taking into account published government rates, and the business in a genuine reason which must be stated on the claim, additional assistance may be granted at the discretion of the Chief Executive or Director of Finance and Performance. Short overnight stay in non-commercial accommodation

4.4

4.5

4.6

A flat rate of 25 is payable for short overnight periods with friends or relatives when away on South West Strategic Health Authority business. No receipts are required for this allowance. An employee who is staying in accommodation provided free shall be entitled to claim an allowance up to 20 per day to cover meals not provided free of charge. No receipts are required for this allowance. When accommodation and meals are provided free of charge an incidental expense allowance of 4.20 per day will be payable. This is subject to tax and national insurance deduction. No receipts are required for this allowance. Travelling overnight in a sleeping berth

4.7

4.8

4.9

The cost of a sleeping berth and meals, excluding alcoholic drinks, will be reimbursed subject to the production of receipts. Short term temporary absence travel costs

400

4.10

The cost of travelling between the hotel and temporary place of work will be separately reimbursed on an actual cost basis. Long term overnight stays

4.11

A maximum amount of either 35 or 25 per night is allowed, depending on the personal circumstances of the claimant. Further details are given in NHS Terms and Conditions of Service Handbook which can be found on the intranet. Day meals subsistence allowance

4.12

A lunch allowance of 5 if more than five hours away from the office including the lunch time between 12.00 noon and 2.00 pm, if a meal is not provided free of charge. A receipt is not required for this allowance. An evening meal allowance of 15 when away from base for more than ten hours and unable to return to base or home before 7.00 pm, if a meal is not provided free of charge. A receipt is not required for this allowance. There may be some circumstances when an employee could qualify for both allowances. The NHS Terms and Conditions of Service Handbook sets out these circumstances. An allowance of 3.25 when an employee is required to work late at night. This will be subject to tax and national insurance deductions. Excess travelling allowances

4.13

4.14

4.15

4.16

These are payable to those staff who incur additional travelling costs when required to change their headquarters. These allowances will be subject to tax and national insurance deductions. The excess shall be calculated on the basis of bus or second class rail fares, or public transport rate/lease car mileage rates and is payable for a period of four years. Hotel facilities

4.17

4.18 4.19 4.20

There will be occasions, because of work commitments, when staff will be offered or expected to stay overnight in hotel accommodation. The South West Strategic Health Authority will be responsible for paying the full cost of the accommodation. All control of this arrangement will be the responsibility of the appropriate Director (or delegated authority) who must countersign the claim form.

401

Business expenses of the Chief Executive 4.21 The Chief Executive will be entitled to use a bankers card to settle business expenses incurred solely on South West Strategic Health Authority business. A schedule will be prepared by listing all items of expenditure and accompanied by receipts for approval by the Chairman. The Director of Finance and Performance will then ensure that the schedule is checked against the imprest bank statement. Telephone calls/rental 4.24 Staff who are regularly required to be on-call in evenings and weekends and hence need to be contactable by telephone are entitled to a refund of their telephone line rental. This sum will be refunded on the submission of a relevant telephone bill. In other cases it may be necessary for an employee to make a business call on their private telephone. An itemised telephone bill should be submitted with the claim form. An employee issued with a business mobile phone is required to sign a declaration as to whether or not it is being used for making or receiving private calls. If it is, the employee is liable to pay the total cost of these calls (including VAT). An account is sent to the South West Strategic Health Authority on a monthly basis which has to be settled within fourteen days. The individual employee must sign the account as being correct, identifying any private calls. The account will then need to be authorised by the line manager of the claimant. The cost incurred for repairs resulting from misuse of the telephone will have to be paid for by the individual. A mobile telephone is available on an ad hoc basis to any member of staff who is away from headquarters on South West Strategic Health Authority business or is required to work late. The Directorate of Finance and Performance will issue a telephone in such circumstances.

4.22 4.23

4.25

4.26

4.27

4.28 4.29

5.
5.1

Authorising travel and subsistence claims

Fully completed claim forms must be approved for payment by the authorised budgetary signatory before being submitted to Payroll by the fourth day of the month, if they are to be included with the salary for that month. Claims received after this date may not be paid until the following months salary payment.

402

5.2

Incorrectly completed claims should not be signed by the authorised budgetary signatory of the claimant but returned to the individual for correct completion prior to authorisation. Authorised signatories need to be aware of the importance of scrutinising all claims prior to authorisation to assure themselves that the claims are legitimate and that the claimant holds a current driving licence and MOT certificate and valid motor insurance which covers them to use their vehicle for business purposes. Claims for reimbursement of these allowances must be authorised and submitted for payment within three calendar months or they will not be paid. In extenuating circumstances this three calendar month rule can be relaxed but approval must be obtained from the Director of Finance and Performance. A separate form must be submitted for each calendar month in which expenses have been incurred. The Chairman will authorise the claims from the Chief Executive. The Chief Executive will authorise claims from the Chairman and Directors. The Directors (or delegated authority) and line managers will approve all claims from staff who are directly accountable to them. The Secretariat Manager will authorise the claims from Non-Executive Directors.

5.3

5.4

5.5

5.6

6.
6.1

Travel and subsistence for the Chairman and nonExecutive Directors

The allowances payable to the Chairman and Non-Executive Directors are determined by the Secretary of State for Health. They comprise: travelling allowances; overnight absence allowance; day subsistence allowance.

Travel allowances 6.2 The Chairman and Non-Executive Directors are entitled to claim a mileage allowance which is dependent on the engine capacity and the total annual miles necessary to travel in the course of their duties. The mileage allowance claimed when travelling to and from the place where the duties of the post are normally performed are taxable. Special arrangements have been agreed with the Inland Revenue whereby the Chairman and Non-Executive Directors can elect to have these expenses tax-free. Any income tax that becomes liable is paid by South West Strategic Health Authority.

6.3 6.4

403

Overnight absence and day subsistence 6.5 The Chairman and Non-Executive Directors are entitled to claim these allowances up to the current agreed limits for expenditure actually incurred in the course of their duties. Any subsistence claimed when no refreshments are provided are taxable if they relate to days attending the place where the duties of the post are performed. Special arrangements have been agreed with the Inland Revenue whereby the Chairman and Non-Executive Directors can elect to have these expenses tax-free. Any income tax that becomes liable is paid by South West Strategic Health Authority.

6.6

6.7

7.
7.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently when requesting and claiming for travel and subsistence; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves in requesting and claiming for travel and subsistence.

7.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2011

Policy Approved: Review By:

404

Appendix 28

Valuing Diversity Policy

This appendix sets out the revised Valuing Diversity Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Valuing Diversity Policy 1.

1.1 1.2

Introduction
The South West Strategic Health Authority recognises the benefit of a diverse workforce and values each employee as an individual. People are not alike and everyone is different. Diversity therefore consists of visible and non-visible factors, which include personal characteristics such as background, culture, personality and work-style as well as the characteristics that are protected under discrimination legislation in terms of race, disability, gender, religion and belief, sexual orientation and age. Harnessing these differences will create a productive environment in which everybody feels valued, their talents are fully utilised and organisational goals are met. Diversity is about ensuring that all employees have the opportunity to maximise their potential and enhance their self-development and their contribution to the organisation. It recognises that people from different backgrounds can bring fresh ideas and perceptions, which can make the way work is done more efficient and deliver services better. Managing diversity successfully will help the Strategic Health Authority to nurture creativity and innovation and thereby to tap hidden capacity for growth and improved effectiveness. The Strategic Health Authority is committed to ensuring that all staff will be treated in accordance with the above ethos and principles and will promote the positive management of diversity, a work/life balance, and the provision of equality of opportunity that is free from discrimination, victimisation or harassment.

1.3

1.4

1.5

1.6

2.
2.1

Scope
This policy applies to all staff and is consistent with service aims and current legal requirements. The content of this policy influences all employment and working practices within the South West Strategic Health Authority and should therefore be read in conjunction with the following policies: Dignity at Work policy; Family Friendly policy; Flexible Working policy; Leave Entitlement policy;

405

Recruitment policy; Work Experience policy.

3.
3.1 3.2

The aims of valuing diversity

The South West Strategic Health Authority aims to provide a professional and effective service underpinned by dignity and respect for all. Within this context, the South West Strategic Health Authority is committed to developing a workforce which is valued and whose diversity reflects, as far as possible, the community served. The South West Strategic Health Authority believes that this contributes to delivery of the best possible healthcare services to local people. To support this, the South West Strategic Health Authority aims to be a place where people want to work and to be a leader in best employment practice. This will be achieved by building on the current legal framework in equal opportunities by the establishment of good practice, ensuring all who work or apply to work at the South West Strategic Health Authority are treated fairly and valued equally. All conditions of service and job requirements should therefore fit with both the needs of the service and those working within it, enabling all staff to achieve their full potential in an environment characterised by dignity and mutual respect. The South West Strategic Health Authority is working towards equality of opportunity by viewing diversity positively and in recognising that everyone is different, valuing equally the unique contribution that individual experience, knowledge and skills can make. In summary, this policy will ensure that the South West Strategic Health Authority will: demonstrate a commitment to the NHS equality agenda; make full use of the talents and diversity of all the workforce; ensure equal access to opportunities for everyone; ensure staff are treated with dignity and respect; ensure employment policies and procedures promote good and lawful practice attract and retain new recruits of the highest calibre, recruited fairly and on their ability to do the job.

3.3 3.4

3.5

3.6

3.7

406

4.
4.1

Fair recruitment
The South West Strategic Health Authority will show its commitment to positive diversity and equality in practice through the implementation of the Recruitment and Selection Policy which incorporates best practice for recruitment.

5.
5.1

Improving working lives

The South West Strategic Health Authority recognises that being able to work flexibly, take career breaks, job share and have access to support for dependants are important for equality and managing the different personal circumstances and needs of staff.

6.
6.1

Training and development

To provide the highest quality services possible, the South West Strategic Health Authority will aim to develop a committed and highly motivated workforce. This involves continually improving communications throughout the organisation, providing training and development for staff at all levels and management leadership that encourages staff involvement.

7.
7.1

Positive action to equalise opportunities

The South West Strategic Health Authority is committed to ensuring the effective management of diversity. Positive action is one measure which will be taken where appropriate. In order to facilitate this there may be opportunities to help individuals access available opportunities by, for example, encouraging applications from those under-represented groups. It can also mean removing requirements which do not affect ability to do the job but which may disadvantage some people. It is particularly important to ensure that jobs are open to all at every level and in every type of work within the organisation. The South West Strategic Health Authority policy on disability sets out the support provided to those with a disability.

8.
8.1

Implementing the Valuing Diversity policy dealing with discrimination

The South West Strategic Health Authority is committed to dealing sensitively, firmly and effectively with all complaints of discrimination, victimisation or harassment in accordance with the Dignity at Work policy.

407

8.2

It is important to understand the types of possible discrimination as part of the implementation of this policy. The main types of discrimination are: Direct discrimination takes place when a person or group of people is treated less favourably than other people in the same or similar circumstances. For example, choosing not to employ people who meet the requirements for the job because of the colour of their skin or because they are married with children would constitute direct discrimination;

Indirect discrimination takes place when a requirement or condition has the effect of discriminating unfairly and unjustifiably between one group or individual and another. Particular attention must be given to avoiding this form of discrimination. For example, standard entry qualifications applied automatically across a wide range of jobs may lead to a situation where applicants are asked to meet requirements which are not relevant to the needs of the job. Insisting on higher language standards than are necessary for safe and effective job performance would tend to disqualify people for whom English is not their first language. Insisting on an unnecessary physical requirement could discriminate against one sex in favour of another or against someone with a disability;

Institutional discrimination takes place when established policies, practices and procedures within an organisation have discriminatory effects, whether intentional or not. For example, allowing an organisational culture to develop which tolerates remarks which may be of detriment to particular individuals. When policies and procedures are introduced or reviewed consideration needs to be given to this possibility.

9.

Responsibilities for valuing diversity

Responsibilities of all staff

9.1

We all have a responsibility to work towards valuing diversity and equality of opportunity in the South West Strategic Health Authority and to promote the values incorporated within this policy, through managing and training and good practice, as outlined in this policy. Responsibility of the Board

9.2

The South West Strategic Health Authority Board has primary legal and moral responsibility for ensuring that it and its employees do not discriminate on any matters detailed in this policy. The Senior Management Team also has a role to develop positive policies to promote diversity and equal opportunity in employment.

408

10.
10.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will have been treated fairly and consistently in terms of their own diversity; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of the roles and responsibilities for line managers and themselves with regards to valuing diversity.

10.2

An impact assessment for this policy will be completed every three years. April 2010 April 2011

Policy Approved: Review By:

409

410

Appendix 29

Whistleblowing Policy

This appendix sets out the revised Whistleblowing Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Whistleblowing Policy 1.

1.1

Introduction
All of us at some time or other have concerns about what is happening at work. Usually these are easily resolved. However, when the concern feels serious because its about a possible danger, professional misconduct or financial mispractice that might affect patients, colleagues, or the South West Strategic Health Authority itself, it can be difficult to know what to do. You may be worried about raising such an issue and may think it best to keep it to yourself, perhaps feeling its none of your business or that its only a suspicion. You may feel that raising the matter would be disloyal to colleagues, to managers or to the organisation. You may have said something but found that you have spoken to the wrong person or raised the issue in the wrong way and are not sure what to do next. The Board of the South West Strategic Health Authority is committed to running the organisation in the best way possible and to do so we need your help. We have introduced this policy to reassure you that it is safe and acceptable to speak up and enable you to raise any concern you may have at an early stage in the right way. Rather than wait for proof, we would prefer you to raise the matter when it is still a concern. This policy applies to all those who work for us; whether full-time or part-time, employed through an agency, as a volunteer or in a self-employed capacity. If you have concerns which you think we should know about or look into, please use this procedure. If, however, you wish to make a complaint about your employment or how you have been treated, please use the grievance policy or bullying/harassment policy which you can get from your manager or the Human Resources team. (If you have a concern about financial misconduct or fraud, please see our Counter-Fraud Policy). This Whistleblowing Policy is primarily for concerns where the interests of others or of the organisation itself are at risk. If in doubt raise it!

1.2

1.3

1.4 1.5

2.
2.1

Your safety
The South West Strategic Health Authority, Senior Managers and trade unions are committed to this policy. If you raise a genuine concern under this policy, you will not be at risk of losing your job or suffering any form of retribution as a result. Provided you are acting in good faith (effectively this means honestly), it does not matter if you are mistaken or there is an innocent explanation for your concerns. So please do not think we will ask you to prove it. Of course we do not extend this assurance to someone who maliciously raises a matter they know is untrue. 411

3.
3.1

Staff confidence
The South West Strategic Health Authority will not tolerate the harassment or victimisation of anyone raising a genuine concern in good faith. However, it is recognised that staff may nonetheless want to raise a concern in confidence under this policy. If this is the case, please say so at the outset. If you ask us not to disclose your identity, we will not do so without your consent unless required by law. You should understand that there may be times when we are unable to resolve a concern without revealing your identity, for example where your personal evidence is essential. In such cases, we will discuss with you whether and how the matter can best proceed. Please remember that if you do not tell us who you are it will be much more difficult for us to look into the matter. We will not be able to protect your position or give you feedback. Accordingly you should not assume we can provide the assurances we offer in the same way if you report a concern anonymously. With these assurances, we hope you will raise your concern openly.

3.2

3.3

4.
4.1

How to raise a concern

If you are unsure about raising a concern at any stage you can get independent advice from your trade union representative or Public Concern at Work (see contact details under Independent Advice). Please remember that you do not need to have firm evidence before raising a concern. However, we do ask you to explain as fully as you can the information and circumstances that gave rise to your concern. Step one

4.2

4.3

If you have a concern about a risk, malpractice or wrongdoing at work, we hope you will feel able to raise it first with your line manager or lead clinician. This may be done verbally or in writing. Staff may wish to speak to a trades union or another staff organisation representative. Staff representatives can assist in the initial stage and, if necessary, report the issue to other levels of the organisation. Step two

4.4

If you feel unable to raise the matter with your line manager or lead clinician, for whatever reason, please raise the matter with: Head of Human Resources, Sue Taylor on extension: 1125; Associate Director of Human Resources, Steven Keith on extension: 1129; Interim Director of Workforce, John Bewick on extension 1268;

412

 4.5 4.6 4.7

Director of Finance and Performance, Bill Shields on extension: 1355.

These people have been given special responsibility and training in dealing with whistleblowing concerns. If you want to raise the matter in confidence, please say so at the outset so that appropriate management arrangements can be made. The senior staff shown in 4.3 will advise the member of staff what action is being taken. Step three

4.8

If these channels are followed and a member of staff still has concerns, or they feel the matter is so serious they cannot discuss it with any of the above, they should contact Sir Ian Carruthers OBE, or Charles Howeson. Contact details are in Table 1. Table 1: Contact details Telephone Ext. 1303 Email Ian.carruthers@southwest.nhs.uk

Name Sir Ian Carruthers OBE Charles Howeson

Position Chief Executive of the South West Strategic Health Authority Chair of South West Strategic Health Authority

Ext. 1301

Charles.howeson@southwest.nhs.uk

4.8

The South West Strategic Health Authority recognises its accountability within the NHS. In light of this you can contact: NHS Counter Fraud Line on 0800 028 40 60 if your concern is about financial malpractice; Department of Health (Customer Service Centre, Department of Health, Richmond House, 79 Whitehall, London SW1A 2NS; Email: dhmail@dh.gsi.gov.uk; Telephone: 0207 210 4850.

Independent advice 4.9 Any staff unsure of whether or not to use this procedure or who want independent advice at any stage should contact their local trades union or professional body representative or the independent whistleblowing charity Public Concern at Work on 0207 404 6609 or by email at helpline@pcaw.co.uk. Their lawyers can talk you through your options and help you raise a concern about malpractice or wrongdoing at work.

413

4.10

Information on the current local trade union or professional body representatives can be obtained from the Human Resources team.

5.
5.1

How we will handle the matter

Once you have told us of your concern, we will assess it and consider what action may be appropriate. This may involve an informal review, an internal inquiry or a more formal investigation. We will tell you who will be handling the matter, how you can contact them, and what further assistance we may need from you. If you ask, we will write to you summarising your concern and setting out how we propose to handle it and provide a timeframe for feedback. If we have misunderstood the concern or there is any information missing please let us know. When you raise the concern it would be helpful to know how you think the matter best be resolved. If you have any personal interest in the matter, we do ask that you tell us from the outset. If we think your concern falls more properly within our grievance, bullying and harassment or other relevant procedure, we will let you know. Whenever possible, we will give you feedback on the outcome of any investigation. Please note, however, that we may not be able to tell you about the precise actions we take where this would infringe a duty of confidence we owe to another person. Whilst we cannot guarantee that we will respond to all matters in the way that you might wish, we will strive to handle the matter fairly and properly. By using this policy you will help us achieve this.

5.2

5.3

5.4

6.
6.1

External contacts
While we hope this policy gives you the reassurance you need to raise your concern internally with us, we recognise that there may be circumstances where you can properly report a concern to an outside body. In fact, we would rather you raised a matter with the appropriate regulator such as the Care Quality Commission, the Independent Regulator of NHS Foundation Trusts (Monitor), your professional regulator, the Audit Commission or the National Patient Safety Agency than not at all. Your union or Public Concern at Work will be able to advise you on such an option if you wish.

7.
7.1

Monitoring
The South West Strategic Health Authority will annually, on a completely anonymous and confidential basis, receive information on all reports which have been received under this policy. The purpose of this review will be to ensure that the policy is working effectively and that issues raised are being dealt with in an appropriate and timely manner. The South West Strategic Health Authority Board will also be seeking reassurance that no form of harassment or other disadvantage has been taken against staff who have raised matters under this policy in good faith.

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8.
8.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees will understand the process of raising a concern if the need arises; the needs of individuals are balanced with the overall requirements of the South West Strategic Health Authority; all employees have a clear understanding of their roles and responsibilities with regards to whistleblowing.

8.2

An equality impact assessment for this policy will be completed every three years.

This policy has been drawn up in consultation with (the Joint Management and Staff Committee and Public Concern at Work. The South West Strategic Health Authority will review the policy regularly and welcomes your comments.

Policy Approved: Review By:

April 2010 April 2013

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Appendix 30

Work Experience Policy

This appendix sets out the revised Work Experience Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Work Experience Policy 1.

1.1

Introduction
The South West Strategic Health Authority promotes a positive attitude towards work experience. To achieve a useful experience for both the work experience candidate and South West Strategic Health Authority the following guidelines have been produced. In addition to work experience placements, the South West Strategic Health Authority is keen to arrange customised visit days for individuals or small groups who would like to gain information on a specific department, role or job. Work experience provides candidates with the skills and attitudes needed by a progressive NHS organisation. It addition, a positive work experience may lead to attracting high calibre of employment candidates in the future. The South West Strategic Health Authority aims to promote equality and diversity, and value the benefits that this brings. It is our aim to ensure that all work experience candidates feel valued and treated fairly and equitable.

1.2

1.3

1.4

2.
2.1

Definitions
For the purposes of this policy, work experience is defined as a placement including internship on the premises of the South West Strategic Health Authority in which a candidate carries out a particular task, duty or range of tasks or duties more or less as would an employee under the direct supervision. A candidate is defined as an individual aged 14 or over.

2.2

3.
3.1 3.2

Pre-placement requirements
All potential work experience placements or customised visit days should be discussed with the Human Resources team. In the event of the candidate being aged under 16, their supervisor and/or mentor at the South West Strategic Health Authority must be registered with the Independent Safeguarding Authority and hold a satisfactory enhanced CRB Disclosure as required by the Vetting and Barring Scheme. All applications for work experience must be made in writing together with a Curriculum Vitae and a statement from the candidate on what they would like to achieve from the work experience and what benefits it will provide. A letter of support from a professional person, for example, a tutor or previous employer, is also required.

3.3

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3.4 3.5 3.6

It is recommended that candidates be interviewed before a placement is confirmed. Occupational Health clearance must be obtained, in order to identify any reasonable work place adjustments required. Details of the work experience placement, candidate and correspondence relating to the placement should be submitted to the Head of Human Resources prior to commencement of the placement.

4.
4.1

Managerial responsibilities
The responsibilities of the manager are to: ensure the work experience candidate receives a structured induction. This should include elements on health and safety, fire procedures and an introduction to the Human Resources team; ensure that reasonable work place adjustments are which balance the needs of the business with the needs of the individual (for example disability or candidates where English is a second language); ensure that appropriate action is taken in the event of an accident and that an accident form is completed; allocate an appropriate mentor who should be available throughout the placement and ensure that adequate supervision is provided; be responsible for completing any evaluations of the placement; arrange and undertake regular and a final review so as to ensure that the work experience individual has benefited from the placement.

5.
5.1

Candidate responsibilities
The work experience candidate needs to inform their mentor, as soon as possible, of any concerns they may have regarding any element of their placement. All work experience candidates are expected to: have clear, written learning goals; willing to negotiate their learning requirements in a responsible and reasonable manner; be punctual.

5.2

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5.2

The work experience candidate will be asked to complete a short write-up of their placement at the end of the placement which should indicate what they have learned or gained from their experience at the South West Strategic Health Authority.

6.
6.1

Intended outcomes
The intended outcomes of this policy are: all work experience individuals gain a positive image of the South West Strategic Health Authority as a good employer; all individuals receive a structured induction; all work experience individuals benefit from their placements.

6.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2011

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Appendix 31

Adverse Incident Policy

This appendix sets out the revised Adverse Incident Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Adverse Incident Reporting Policy 1.

1.1

Introduction
The South West Strategic Health Authority is committed to ensuring: the health, safety and welfare of its staff, visitors and contractors; the security and safety of its assets; security of its data and records; business continuity; the Reputation of the organisation its upheld and quality is consistent.

1.2

The South West Strategic Health Authority will therefore ensure that incidents are treated as an opportunity to learn and will endeavour to ensure that all staff are aware of this incident reporting policy and report incidents appropriately The South West Strategic Health Authority is committed to the fair and consistent treatment of staff, volunteers and contractors regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. This document sets out the procedure for recording, reporting, investigating, monitoring and learning from adverse or near miss events. It should be read in conjunction with the Risk Management Strategy and policy, and the Health and Safety policy.

1.3

1.4

2.

Definitions
Incident

2.1

Any event or circumstance that could have, or did, lead to unintended or unexpected harm, loss or damage. Adverse incident

2.2

An incident which lead to unintended / unexpected harm, loss or damage. Near miss

2.3

An incident that did not lead to harm, loss or damage but had serious potential to do so.

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3.

Responsibilities
Staff responsibilities

3.1

All staff, under the requirements of this policy are responsible to report any adverse incident or near miss which they have been involved in or have witnessed. Incidents must be reported by completing the South West Strategic Health Authority Incident Report form (Annex 1). These forms can be downloaded from the forms section of the South West Strategic Health Authority intranet site. Completed Incident Report forms should be sent to the Director of Communications and Corporate Services no more than ten working days after the incident. If any supplementary information has been collected (for example photographs of the scene, witness statements) this should be sent with the Incident Report form. Copies of the form can be taken for a member of staffs own records if required. In the event that an incident has caused an injury to a member of staff, visitor or contractor the person in charge at the time of the incident must ensure that the injuries and details of the person affected are also recorded in the Accident Book, which is located in the reception area of the South West House Building. This should be completed in addition to an Incident Report form. For any employees working in areas outside of the main South West Strategic Health Authority Building (Deanerys) an accident book should be used in these areas to record injuries. Incidents and injuries, which occur in the Deanerys, should be reported and recorded by using the Strategic Health Authority incident reporting form. Managers responsibilities

3.2

3.3

3.4

3.5

In addition to the responsibilities set out in 3.1, all managers must ensure immediate action is taken to prevent recurrence where appropriate; if the consequence of the incident appears to be orange or red, report incident immediately to Director of Communications and Corporate Services; staff receive medical attention as appropriate; incident forms are completed and submitted; staff receive feedback on action taken; respond to recommendations / instructions following a review of the incident;

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Director of Communications and Corporate Services 3.6 The Director of Communications and Corporate Services has overall responsibility for the incident reporting process and ensures processes are in place to effectively deliver the following objectives: incident Report Forms are available to all staff; new staff are instructed in the incident reporting process; existing staff are kept up to date with policy requirements; incident Reporting Forms are kept for a minimum of three years and are stored in a safe place and summaries are recorded onto an electronic database; the Incident Reporting Policy is kept up to date and effective; RIDDOR reports to the Health and Safety Executive are reported within the prescribed time frames.

3.7

On receiving completed Incident Reporting Forms the Director of Communications and Corporate Services will ensure processes are in place to carry out the following requirements: a consequence score is assigned. This will ensure that the severity of the incident is ascertained and action can be taken promptly as required (see Annex 1); incidents are investigated so far as is reasonably practicable: all Incidents of a consequence score of 3, 4 or 5 are investigated and action plans are produced and monitored to ensure lessons are learnt; incidents of a lower consequence (1 and 2) are monitored for trends; near miss incidents (consequence 0) are assessed to identify any significance.

lessons are learnt and any staff involved are given feedback as appropriate; the Director of Communications and Corporate Services is responsible for ensuring incidents are reviewed and action plans are carried out as appropriate.

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Risk monitors 3.8 Risk monitors have received extended training in incident investigation and management and will assist managers and the Director of Communications and Corporate Services. Specifically, the Risk Monitors can assist with encouraging staff to report incidents; assisting in incident investigations; providing knowledge and support to managers on risk assessment; carrying out audits of the Incident reporting process and feeding back to the Director of Communications and Corporate Services.

3.9

4.
4.1

Reporting and monitoring requirements

Health and Safety related incidents (including for example fire, security, ergonomics or injury) are reported to the Joint Management Staff Committee for consideration and action as necessary. This may include requesting risk assessments are carried out in those areas where incidents have occurred. The Director of Communications and Corporate Services will ensure this data is available for the Joint Management Staff Committee to review. The Director of Communications and Corporate Services is responsible for ensuring incidents are reviewed at these committees.

4.2

5.
5.1

External reporting requirements

Under the requirements of the Reporting of Injuries Diseases and Dangerous Occurrences Regulations (RIDDOR) any injury (major injury or injury which prevented an employee working for more than three days after the incident), dangerous occurrence or disease will be reported by the South West Strategic Health Authority to the Health and Safety Executive (HSE). The Director of Communications and Corporate Services will carry this out with the support from the South West Strategic Health Authoritys Competent Health and Safety Advisor as appropriate. Any external reports to the Health and Safety Executive will be reported to the Joint Management Staff Committee.

5.2

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all staff are aware of their responsibility to report incidents and near misses;

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all adverse incidents / near misses will be recorded on an adverse incident report and near miss report form so that actions can be carried out to eliminate, control or reduce the risk; all red and orange incidents will be investigated for purposes of learning; the external reporting requirements (RIDDOR) are carried out in accordance with Health and Safety Legislation.

6.2

An impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy Approved: Review By:

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Annex 1 Risk and consequence scoring matrices

Consequence scores are attributed to incidents to understand the significance of the incident Consequence Score
Score Descriptor Physical / psychological harm to staff, visitor or member of the public 1 Insignificant No time off work 2 Minor Less than 3 days off work 3 Moderate 3 15 days off work (RIDDOR reportable) Moderate injury requiring professional intervention Non compliance with national standards 4 Major Less than 15 days off work Major injury or long term incapacity 5 Catastrophe Unable to return to work Death or major permanent incapacity Non compliance with national standards with serious risks to safety

Minor injury requiring minimal intervention Potential failure to meet standards

Minor injury requiring intervention

Quality and best practice

Non compliance with internal standards

Barely noticeable reduction in quality Objectives / business interruptions Loss / interruption of service for less than 1 hour Single loss / capital spend more than 10,000 Rumours

Minor reduction in quality

Finance / adverse publicity / reputation risk

Loss / interruption of service between 1 to 24 hours Single loss / capital spend more than 100,000 Local media short term

Reduction in scope or quality requiring approval Loss / interruption of service between 1 and 7 days Single loss / capital spend more than 500,000 Local media long term

Non compliance with national standards with significant risks to visitors or staff Secondary objective not met

Key objective not met

Loss / interruption of service more than 1 week Single loss / capital spend more than 1m National media less than 3 days

Permanent loss of service / facility Single loss / capital spend more than 3m National media more than 3 days Public inquiry

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Likelihood score
Likelihood scores are used to determine likelihood or frequency the incident is most likely to occur 1 Rare Not expected to occur for years Less than 1% 2 Unlikely Expected to occur at least annually 15% 3 Possible 5 Almost certain Expected to Expected to Expected to occur at occur at occur at least weekly least weekly least daily 6 20% 21 50% More than 50% 4 Likely

Descriptor Frequency

Probability

Risk score
Use the consequence score and multiply with the likelihood score to identify the overall risk score Most likely consequences (if in doubt grade up, not down) 2 3 4 Minor Moderate Major 2 3 4

Likelihood

1 Insignificant 1

5 Catastrophic 5

1 Rare

2 Unlikely

10

3 Possible

12

15

4 Likely 5 Almost Certain

12

16

20

10

15

20

25

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Annex 2

Risk treatment and action required

Risk Status Further Action Required Inform all appropriate stakeholders Low Record on central database; Range 16 Discuss whether any further action should be taken to reduce risk Acceptable risk Maintain paper records

As above plus : Moderate Range 7 11 Unacceptable risk Report to Senior Management Team Review at appropriate Committee identifying options and monitoring action plans

As above plus : High Range 12 25 Significant unacceptable risk Report to Board identifying options and monitoring action plans

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Annex 3

Adverse Incident and Near Miss Reporting Process

Adverse Incident / Near Miss Occurs

Incident Form is completed by Member of Staff or Person in Charge at the Time of the Incident

Any necessary Action is taken to Prevent Reoccurrence

Manager Considers Severity of Incident Suspect Red / Orange Incident? Report by phone or email to Director

Completed Adverse Incident form is sent to Director of Communications and Corporate Services within 10 days

Part 2 of the Form is Completed by the Director of Communications and Corporate Services and information is logged onto Incident Spreadsheet

RIDDOR report as necessary

Incidents are reviewed at the Risk Monitors Safety Meeting

Feedback to staff

Safety incidents are reported to the South West Strategic Health Authority Joint Management and Staff Side Committee

Annual review of incident reporting process effectiveness

Annual Safety Report to the Board

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Appendix 32

Fire Safety Policy

This appendix sets out the revised Fire Safety Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Fire Safety Policy 1.

1.1 1.2

Scope
This policy encompasses the management of the fire safety in South West House. The aim of the South West Strategic Health Authority is to ensure, as far as possible, that outbreaks of fire do not occur. If an outbreak cannot be prevented it must be rapidly detected, effectively contained and quickly extinguished without risk to staff, clients or visitors. A commitment to be aware of fire precautions is a basic duty of all staff and an essential obligation for everyone with management responsibility. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff, volunteers and contractors regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action.

1.3

2.
2.1

Objectives of the policy

The objectives of the policy are: to ensure that all appropriate fire safety measures are provided to maintain a safe environment for staff and visitors. to ensure that all staff are trained and accept responsibility for fire safety. All staff must be competent to manage fire safety within their area of work. to ensure that all staff are aware of the action to take in the event of a fire or suspected fire. to ensure that the Strategic Health Authority is compliant with all relevant Fire Safety Legislation and appropriate guidance and approved codes of practice.

3.
3.1 3.2

Purpose
All NHS organisations are required to provide a clearly defined Fire Safety Policy. This policy must comply with the Firecode, an NHS guidance document outlining the fire risks associated with healthcare provision and identifying a framework of precautionary measures.

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3.3

The South West Strategic Health Authority Fire Safety Policy and associated Fire Safety Procedures are based on the framework recommended as representing best practice by Health Technical Memorandum HTM 05-01 Managing Healthcare Fire Safety, published by the Department of Health. HTM 05-01, which follows the principles of BS5588-12: 2004 requires those responsible for Fire Safety within healthcare premises in England to: comply with prevailing legislation; implement fire precautions through a risk managed approach; comply with monitoring and reporting mechanisms appropriate to the management of fire safety; develop partnership initiatives with other agencies and bodies in the provision of fire safety.

3.4

The South West Strategic Health Authority Fire Safety Policy and Fire Safety Procedures sets out the requirements to enable the Strategic Health Authority to identify the principle roles and responsibilities of management and employees to achieve compliance with the legislation and best practice.

4.
4.1

Policy statement
South West Strategic Health Authority recognises and accepts its obligations relating to the management of fire prevention and fire safety, so far as is reasonably practicable. As such it is the intention of the Strategic Health Authority to minimise: the incidence of fire throughout South West House; the impact from Fire on life safety, delivery of service, the environment and property.

4.2

This policy will be implemented across the Strategic Health Authority and is intended to safeguard all who have access to South West House, including, employees, visitors and contractors. This policy should be read in conjunction with related policies including Health and Safety policy, and Disciplinary rules and procedures.

4.3

5.

Roles and responsibilities

The Chief Executive

5.1

The Chief Executive is responsible for ensuring that the Strategic Health Authority complies with current fire safety legislation and the implementation of Firecode Guidance in South West House.

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5.2

The Chief Executive will nominate a Board level Director who will be accountable to the Chief Executive for all fire safety issues. The Director will be the Director of Communications and Corporate Services. It will be the responsibility of the Chief Executive in conjunction with the Director of Communications and Corporate Services to ensure: the Strategic Health Authority has an effective Fire Safety Management System; an audit of Fire Precautions is undertaken to advise the Senior Management Team of the Strategic Health Authority on the current state of fire safety within South West House; an annual statement of Fire Safety, required by the Department of Health, confirming that all premises which the Strategic Health Authority owns or occupies, have had risk assessments undertaken in compliance with the Regulatory Reform (Fire Safety) Order 2005, is submitted to the Department of Health Estates and Facilities Management Information Centre on time.

The Director of Communications and Corporate Services 5.3 The Director of Communications and Corporate Services, nominated by the Chief Executive, is delegated to take formal responsibility and play an active role in managing Fire Safety: ensuring that the Chief Executive and the Board are given the appropriate reassurances that the requirements of fire safety legislation and the objectives of Firecode are being met; ensuring that Fire Safety Policies are uniformly and correctly applied; ensuring that where fire safety knowledge has been identified or specific groups or individuals, such as training, information and instruction is provided and applied; determining the appropriate level of management knowledge within the Strategic Health Authority to manage the fire safety obligations.

The Building Facilities Manager 5.4 The Building Facilities Manager is responsible to the Director of Communications and Corporate Services for advising senior management and others on professional and technical issues and for monitoring the standards of fire safety in South West House. The Building Facilities Manager is responsible for: an awareness of fire safety features and their purpose; liaison with the fire safety advisory service of the Department of Health;

5.5

435

fire safety risks particular to the organisation; requirements for disabled staff and visitors related to fire procedures; advising on compliance with legislation; development and implementation of the organisations Fire Safety Policy; reviewing the Fire Safety Policy of the Strategic Health Authority at regular intervals to ensure that any recommendations or changes are brought to the Joint Management Staff Committee for agreement; development and delivery of an effective training programme; the reporting of fire incidents in accordance with current practice; liaison with enforcing authorities; liaison with fire wardens in each Directorate; monitoring of inspection and maintenance of fire safety systems.

Fire Wardens 5.6 5.7 Fire Wardens should be appointed in all Directorates to provide local leadership and direction in Fire Safety matters. The Fire Warden should: act as a focal point on fire safety issues for local staff; organise and assist in the fire safety regime within local areas; raise issues regarding local area fire safety with local management; assist with coordination of the response to an incident within the immediate vicinity; be responsible for the roll call during an incident; be trained to tackle fire with first aid fire fighting equipment where appropriate; support the Building Facilities Manager on fire safety issues and undertaking fire safety inspections; participate in the fire warden training and apply the information to the workplace.

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General duties and responsibilities of all staff 5.8 All employees of the South West Strategic Health Authority have a duty to ensure that they comply with the Fire Safety arrangements and procedures at their workplace and that they do not commit acts which could lead to an outbreak of fire. All employees have a duty under the Health and Safety at Work Act to take reasonable care of their own health and safety at work and of other persons who may be affected by their acts or omissions. All employees are required to attend a class based fire safety training session every three years and undertake refresher courses on line every year. All employees of the South West Strategic Health Authority have duty to cooperate with South West Strategic Health Authority and report hazards. Staff shall not recklessly interfere with anything provided in the interests of health and Safety.

5.9 5.10 5.11

6.
6.1

South West House

The Directorate of Communications and Corporate Services has overall responsibility for ensuring that the following areas of Fire Safety infrastructure are maintained in accordance with the Fire Safety Policy of the Strategic Health Authority. All outside contactors working at South West House must comply with the policies of the Strategic Health Authority. All contracts for construction works, equipment supplied and works completed at South West House, will comply with the policies of the Strategic Health Authority. All mandatory and advisory signage in respect of Fire Safety shall conform to the current British Standard/HTM. Signage should be replaced, where necessary, when premises are refurbished or redecorated. The maintenance of fire-fighting equipment shall be carried out in accordance with BS5306: Parts 1 and 3 1985. Records of all works undertaken shall be maintained for each appliance. Fire plans will be maintained of South West House. The plan will indicate the positions of the following Fire Safety infrastructure: the location of essential elements of fire detection and fire alarm systems, including health and smoke detector call points, sounders, visual indicators, alarm and indicator panels. the location of each addressable element of an addressable analogue fire system. the location and position of compartment and sub-compartment walls and floors indicating their periods of fire resistance. 437

6.2 6.3

6.4

6.5

6.6

 6.7

the location of all fire-resting doors indicating their periods of fire resistance. the location of all final exit doors indicating their type of security device. the location and type of first aid fire-fighting equipment. the location of the fire services access to the fire hydrants and by-pass valves at South West House. the location of known hazards and risk including the boiler and server rooms.

A programme of planned preventative maintenance shall be undertaken to help ensure that the fire safety infrastructure remains in a fully serviceable and operational condition. All records must be retained for a minimum of 11 years. The inspection and testing of fire alarm systems will be undertaken on a weekly, quarterly and annual test-basis in accordance with BS5839: Part 1 and HTM82. The fire integrity of all designated firewalls and cavity barriers will be maintained to the standards specified in the fire plans. The inspection of fire doors and final exit doors will be undertaken at 6 monthly periods in accordance with BS8241. All automatic fire suppression systems will be maintained in accordance with the manufacturers instruction. All fixed electrical equipment will be subject to periodic inspections in accordance with BS7671. All portable electrical equipment will be inspected and tested in accordance with BS5266. All works/repairs will be monitored and actioned using a valid work permit system. Any special works involving isolation or disabling of any fire detection/monitoring equipment shall not be carried out without a valid permit issued by the Building Facilities Manager.

6.8

6.9 6.10 6.11 6.12 6.13 6.14

7.
7.1

Fire Policy Monitoring

The Building Facilities Manager shall ensure the following are in place: fire risk assessment and an action plan completed and reviewed at least annually; all fire fighting and monitoring equipment is maintained by a competent contractor. (currently ADT);

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conduct and carry out six monthly fire evacuation test and complete an action plan and monitoring record as required; ensure the appropriate number of fire wardens are trained and in place in accordance with the fire risk assessment; carry out weekly fire inspections of the premises both internally and externally; liaise with and establish links with the Devon and Somerset Fire Service; collate and action incident and investigations and risk assessment reviews including any information provided by the department fire wardens, and complete an action plan; collate and set up log book of all risk assessments; maintain log of reports/information from fire wardens; liaise with the Joint Managing Committee to change or amend any policy or risk details.

8.
8.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees are aware of their responsibilities regarding fire safety; appropriate training of staff and wardens is provided; incidents are reported to the Joint Management Staff Committee.

8.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy approved: Review by:

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Appendix 33

Health and Safety Policy

This appendix sets out the revised Health and Safety Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Health and Safety Policy

1.
1.1

Statement of intent
The South West Strategic Health Authority is committed to providing a safe and healthy environment for its staff, visitors and contractors, so far as is reasonably practicable, and recognises its legal and moral duties to staff, visitors and contractors. The Strategic Health Authority will do all that is reasonably practicable to ensure their health, safety and welfare whilst accessing the organisation. This policy is the South West Strategic Health Authoritys overarching Health and Safety policy, which sets out the duties of the directors, managers and staff in achieving compliance with legislation. Policies relating to specific safety legislation such as Fire, Stress and Display Screen Equipment for example, all give detailed instructions on requirements and can be found on the Intranet site of the South West Strategic Health Authority. The South West Strategic Health Authority is committed to the fair and consistent treatment of staff, volunteers and contractors regardless of their sex/gender, sexual orientation, religion or religious beliefs, race, age, or disability. Where evidence of inequality or adverse effect is found the South West Strategic Health Authority will take appropriate action. This policy should be read in conjunction with the Risk Management Strategy, Incident Reporting policy and all relevant specialist health and safety policies.

1.2

1.3

1.4

2.
2.1

Policy statement
South West Strategic Health Authority will do all that is reasonably practicable to prevent injury or loss to any person by fully accepting and acting effectively upon the following responsibilities: comply with the Health and Safety at Work Act 1974 and all other relevant Health and Safety Legislation; set out clear lines of accountability for the management of health and safety; ensure suitable and sufficient risk assessments are undertaken, and that any action plans made as a result are acted upon within an acceptable time period, so far as is reasonably practicable;

441

provide all employees with suitable and sufficient information, instruction, training and supervision so as to ensure all staff are competent to work safely and are clear as to their legal responsibilities for health, safety and welfare at work; provide and maintain the premises and all items of plant and machinery so as to ensure that it is safe and without risk to health; where applicable, select and provide suitable and sufficient personal protective equipment necessary for work activities, ensure that staff are trained in its use and that personal protective equipment is maintained and stored appropriately; design and implement effective procedures for fire and other catastrophes, ensuring, through practice drills, persons recognise the signal to evacuate the premises and understand how to proceed when the signal is given; provide adequate financial and physical resources for the implementation of this policy content; keep adequate records of accidents and incidents and monitor in accordance with the South West Strategic Health Authoritys Incident Reporting policy; provide competent occupational health services, which will be available to all employees where necessary; ensure that systems are in place to ensure any member of staff returning to work, following an injury or ill health resulting from work activities, is supported and is safely integrated back to work; appoint competent persons to assist and advise in the measures necessary to comply with the requirements of all relevant legal duties; ensure that co-operation and co-ordination is achieved between employers when contractors are working on the South West Strategic Health Authority premises.

3.
3.1

Responsibilities
Overall accountability for ensuring compliance with Health and Safety Legislation rests with the Chief Executive of the South West Strategic Health Authority. The Chief Executive of the South West Strategic Health Authority delegates responsibility to the Director of Communications and Corporate Services who is responsible for devising and implementing effective processes to manage and improve health and safety provision.

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3.2

Director of Communications and Corporate Services has overall responsible for providing effective systems and procedures to ensure the suitable and sufficient management of health and safety is achievable across the South West Strategic Health Authority. Specifically the Director of Communications and Corporate Services will: ensure policies are up to date and remain effective; ensure effective process are in place for the identification of hazards and that these identified risks are acting upon so far as is reasonably practicable; organise and ensure the delivery of suitable and sufficient training for all employees; inform the Board of any significant health and safety risks which could impact upon an employee and / or the organisation; disseminate health and safety information and instruction in the form of circulars, safety alert bulletins and updated policies and procedures; ensure that relevant health and safety forums and committees are in place; ensure staff have access to relevant Occupational health advice and support when necessary; ensure competent health and safety advice is available as required; report RIDDOR injuries, diseases or dangerous occurrences to the Health and Safety Executive as required under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations.

Directors 3.3 The responsibility for the implementation of the Health and Safety policy within the Directorates rests with each Director. Each Director will: be aware of the Managers requirements with the specific Health and Safety policies; ensure each Directorate has at least one trained Workplace Risk Monitor; gain assurance that all staff within the Directorate have all received appropriate training; disseminate all safety relevant information; respond to audit outcomes and develop action plans to address any deficiencies;

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ensure that financial resources are available to address safety concerns so far as is reasonably practicable; ensure that systems are in place and effective for return to work of any staff member returning from work relating injury or ill health.

All managers 3.4 Managers are key to ensuring the operational delivery of the Health and Safety Policies and will: be fully aware of the managers responsibilities set out in Health and Safety policies; ensure all staff are aware of their responsibilities set out in Health and Safety policies; ensure all employees receive appropriate training including induction for new staff and mandatory training for existing staff; carry out risk assessments and develop action plans to address and risks so far as is reasonably practicable; ensure all staff are aware of how to report hazards (incident reporting and risk assessment); report any RIDDOR injuries, diseases or dangerous occurrences to the Director of Communications and Corporate Services; assist with incident investigations according to the requirements of the incident reporting policy; participate in any South West Strategic Health Authority health and safety audit programme; fully support the role of the Directorate Workplace Risk Monitor and respond appropriately to recommendations; cascade any safety information or bulletins to employees as necessary; ensure that risk assessments are carried out to ensure the safe return to work of any staff member returning from work relating injury or ill health; refer staff to Occupational health service as necessary; allocate reasonable funds and resources to ensure the safety and welfare of staff;

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All employees 3.5 Under the requirements of the Health and Safety at Work Act, 1974 all employees have specific responsibilities: to report to their manager or supervisor any incident / accident / untoward occurrence / near miss or potential risk which has or may, lead to loss, injury or damage, using the Incident Reporting form, according to the Incident Reporting policy report any defect in equipment to manager ensuring that any equipment is removed from service and made safe before any further use; use all personal protective equipment provided in the interests of health and safety, and ensure that it is kept safe and free from damage; attend all relevant Health and Safety training as required; co-operate with managers to ensure that safety measures, systems and policies are followed appropriately and report if, for any reason, safety measures cannot be followed; raise concerns if any Health and Safety information, instruction and training is not understood; co-operate with any investigation being undertaken as a result of an accident/incident which has affected staff, visitors or contractors; participate in the undertaking of risk assessments; be aware that reckless interference with items provided in the interest of Health and Safety will not be tolerated and is an offence under the Health and Safety at Work Act 1974; take reasonable care while at work for the health and safety of yourself and any other person that could be affected by your actions; support the Workplace Risk Monitors in the monthly workplace assessment process;

Workplace risk monitors 3.6 Each Directorate will ensure that there is a trained Workplace Risk Monitor. The Risk Monitor is responsible for: carrying out monthly workplace assessments and reporting results to the Director; identifying hazards and assisting managers with risk assessments;

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assisting with incident investigations; raising awareness of risk issues; supporting staff to report incidents; attending relevant meetings and training updates.

Competent health and safety advice 3.7 The South West Strategic Health Authority have access to competent advice on all health and safety matters. This advice is currently sought from the Risk Management Department at Taunton and Somerset NHS Foundation Trust (01823 342489). Any person employed by the South West Strategic Health Authority can access this advice as necessary.

4.
4.1

Safety arrangements
The South West Strategic Health Authority has developed systems, tools and reporting processes to ensure the health, safety and welfare of staff, visitors and contractors. These arrangements are detailed below. More specific guidance on specific safety subjects may be found in supporting specialist health and safety policies (for example the Display Screen Equipment policy). Risk assessment

4.2

Risk Assessment is a legal requirement under the Management of Health and Safety at Work Regulations. Any hazard, which poses a significant risk to staff, visitor or contractor, must be formally documented using the South West Strategic Health Authoritys standard Risk Assessment Form which can be found on the intranet. In addition, specialist risk assessment tools such as the Stress Risk Assessment tool and Display Screen Equipment self assessment tools are all available assist in the assessment of risk. These forms are all available on the intranet on the Human Resources pages. All staff should be made aware of, and have open access to, risk assessments relevant to the daily tasks they perform. Staff must follow all actions and guidance given within the assessment. Any action plans made as a result of a risk assessment should be completed as soon as is reasonably practicable. Risk assessments must be reviewed and updated as necessary in response to any incident that poses a significant risk to staff, visitors or contractors. Use of generic risk assessments should be avoided. Generic risk assessment (typically the sharing of risk assessments between departments) can lead to unsuitable assessment of the risks. All risk assessment must be specific to the staff member or service they are pertaining to.

4.3

4.4

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Risk register 4.5 The South West Strategic Health Authority has a risk register that includes details of all risks identified from any source including health and safety related risks. All risk assessments carried out by an employee of the South West Strategic Health Authority should be submitted to their manager. Any risk assessments containing personal staff information should not be added to the register. A log of all risk assessments is maintained in reception to allow a clear view of the priorities for the organisation. Risk assessments are scored and are included in the Risk Register for the organisation as appropriate. See the South West Strategic Health Authoritys Risk Management Strategy for more information on the Risk Register process. Workplace assessments and inspections 4.7 Risk Monitors carry out monthly inspections and assessments of the workplace incorporate all aspects of Risk Management including Health and Safety and manual handling issues. Risk inspections occur on a monthly basis and findings must be documented and reported to the manager. Inspections must be tailored to individual departmental needs and should reflect the associated risks. Action should be taken as necessary to reduce any risks to the lowest level reasonably practicable. Any risks identified should be added to the risk assessment log as appropriate. In additional to the in-house monthly assessments and annual audit, the Health and Safety Executive (HSE) have the legal power of warrant to inspect any area of South West Strategic Health Authority without notice or permission at any time. Health and safety training 4.9 The South West Strategic Health Authority will ensure that all staff appropriate health and safety training on induction and thereafter on mandatory training. Further advice for managers on training requirements can be sought from the Directorate of Communication and Corporate Services. Incident reporting 4.10 Employees are required by law to report hazards. Incident reporting allows the South West Strategic Health Authority to identify potential risks, and to learn from incidents to prevent a reoccurrence. All health and safety related accidents or incidents should be reported in the same way as all other incidents; by using the standard South West Strategic Health Authority Incident Report form and investigation process thereafter. Specific details on the incident reporting process can be found within the South West Strategic Health Authority Incident Reporting policy.

4.6

4.8

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4.11 4.12

South West Strategic Health Authority Joint Management and Staff Health and Safety Committee is the Health and safety committee for the organisation. The Health and Safety committee will ensure that health and safety matters raised by staff and Risk Monitors are discussed and actioned so far as is reasonably practicable. This will include any heath and safety related incidents reported by staff.

5.
5.1

Policy review
The Health and Safety Committee, in conjunction with the competent Health and Safety Advisor shall review the Health and Safety Policy every three years unless a significant change occurs.

6.
6.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees are aware of their responsibility to report heath and safety incidents; the organisation is aware of the potential areas of risk and actively manages them to minimise their impact; internal reporting of health and safety issues are routinely made to the Joint Management Staff Committee; the external reporting requirements (RIDDOR) are carried out in accordance with the policy.

6.2

An equality impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy Approved: Review By:

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Appendix 34

Lone Workers Policy

This appendix sets out the revised Lone Workers Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Lone Workers Policy 1.

1.1

Introduction and aim

South West Strategic Health Authority is committed to ensuring the Health, Safety and Welfare of its staff. In accordance with the Health and Safety at Work Act 1974 and the Management of Health and Safety at Work Regulations 1999, the Strategic Health Authority will ensure that all that is reasonably practicable to do, is done to ensure the safety and well being of its employees who are defined as a lone worker. The South West Strategic Health Authority recognises that due to the nature of its activities, some staff are required to work alone. The South West Strategic Health Authority will do all that is reasonably practicable to assess the risks to these staff and reduce risks to the lowest level possible. This policy is applicable to any employee, volunteer or contractor who may be considered a lone worker whilst undertaking work prescribed by the South West Strategic Health Authority. This policy should be read in conjunction with the Risk Management Strategy, Incident Reporting policy, Health and Safety policy, Security policy, Mandatory Training policy, Induction policy and the Violence and Aggression policy.

1.2 1.3

1.4

1.5

2.
2.1

Definitions
Lone Workers are those who work by themselves without close or direct supervision such as: 2.1.1 Staff in fixed establishments where: only one member of staff works in the area; staff work separately from others; staff work outside of normal hours.

2.1.2 Mobile Lone Workers working away from their base and where their work may be carried out in: other NHS organisations or businesses premises; working at home; working whilst travelling around NHS South West or elsewhere in the UK.

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2.2

It is acknowledged that any member of staff may spend a limited amount of their time working Alone. Effective local procedures in these circumstances should be put into place.

3.
3.1

Responsibilities
To ensure responsibilities are met, the Chief Executive delegates responsibilities to the Director of Communications and Corporate Services. Director of Communications and Corporate Services gain assurance on behalf of Directorates that they are doing all that is reasonably practicable to protect the health, safety and welfare of Lone Workers; ensure an effective incident reporting and review procedure is in place (see Trusts incident reporting policy); ensure that the Risk Register process is effective (See Risk Management Strategy).

Managers and supervisors 3.2 Any person who is responsible for the management of staff who are defined as a lone worker must: ensure that suitable and sufficient Risk Assessments are carried out; design and implement safe systems of work and regularly review the systems effectiveness, providing equipment where necessary; ensure procedures are in place to investigate any incident involving a Lone Worker and that support is offered to the employee following any incident; ensure that action plans developed as a result of risk assessments/ incidents are carried out and are effective; ensure that all staff defined as lone workers are aware of the Lone Worker policy; ensure the lone worker attends the appropriate training (see the Mandatory Training policy)

Lone Workers 3.3 Any employee who is deemed a Lone Worker must: ensure that any items provided for them in the interested of Health, Safety or Welfare and South West Strategic Health Authority are used, stored and maintained appropriately;

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report incidents in line with the Strategic Health Authority Incident Reporting policy; ensure that they cooperate with their manager particularly with regards systems that have been set up to reduce the risks of working alone; report any system errors or concerns regarding the Lone Worker safe systems of work; undertake any training or instruction required; take reasonable care of themselves and any other person who may be affected by their actions; assist managers and the team in carrying out risk assessments and developing safe systems of work.

Staff Occupational Health Department provide counselling support for any Lone Worker who requires it after any incident which has affected their Health, Safety or Welfare.

Organisational arrangements the South West Strategic Health Authority is committed to providing a safe and healthy workplace for its staff, visitors and contractors. Arrangements are in place to ensure this can happen.

4.
4.1

Risk assessment
All managers must ensure that risk assessments have been undertaken to identify the risk to any Lone Workers working at or for the South West Strategic Health Authority. Under no circumstances must generic risk assessments be used when assessing the risk to Lone Workers. All lone worker risk assessments must be carried out with knowledge of the role and must be specific to each team or individual carrying out that role. The first step in the risk assessment process is to create a list of all people within a Directorate who work alone. Once this is compiled an additional list is needed to identify all the tasks they perform and the risks involved with each task. For example: do they have sole responsibility for large sums of money or expensive equipment? do they carry, or are the public likely to believe they carry, drugs? does their job involve giving bad news to people? does the job involve going into strangers houses?

4.2

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 4.3

will the job/ task put the employee into a hazardous environment (for example plant rooms or roof)

Following this, it is necessary to ask if the risk can be eliminated can the task be eliminated all together? If the task cannot be eliminated, a safe system of work must be designed to ensure that task can be undertaken as safely as possible. Any systems, which are put into place to reduce the risk, must be reviewed and evaluated to ensure they are working suitably. If a risk assessment is required the following components must be considered (lists are not exhaustive) Site based Lone Workers safe access, entrance and exit; risk or verbal or physical abuse; safety of equipment for individual use; channels of communication in an emergency; security and security arrangements.

4.4

Mobile Lone Workers 4.5 travelling; reporting and recording arrangements / appointments; communications and traceability; personal safety/ security.

If potential risks are identified, suitable safeguards must be put in place before personal contact is made. Their precise nature will depend on the situation, but any of the following may be appropriate: arrange for meetings to be held at the South West Strategic Health Authority or other suitable premises; allocate two members of staff to make a visit; arrange for a reliable relative to be present, if, for example, an employee might be vulnerable to sexual harassment or allegations of it.

4.6

It is essential for staff safety that people working alone and away from the office can be located by their work team. To facilitate this, the following systems should be considered.

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up-to-date records of the make, colour and registration number of vehicles being used should be maintained; a readily-available system to track staff visits should be in place, and the information updated as required; procedures for checking out and in should be robust. These should include agreed return and/or ring-in times. If staff expects to finish outside normal office hours, arrangements for checking in should be considered. The relevant Directorate must be fully aware of these arrangements; following a risk assessment, some Directorates may decide that mobile phones should be provided.

5.
5.1

Incident reporting process

The incident reporting process must be followed in the event of any adverse incident or near miss. This is to ensure that managers have an opportunity to learn from incidents and to rectify any gaps in the safe system of work. Near miss reporting (something could have happened, but didnt) is vital to ensure that potential future incidents are prevented. Any situation where staff feel threatened or vulnerable must be reported. Incidents will be reported to the Joint Management Staff Committee on a regular basis.

5.2

6.
6.1 6.2

Training
Managers should review the Mandatory Training policy to identify the training requirements for the employee. The Induction policy should be referred to when considering inducting new staff.

7.
7.1

Support for staff

Occupational Health has counselling facilities available for any member of staff who needs it. If a Lone Worker has been involved in an incident for which they may require support from a counsellor, managers must make a referral to occupational health as soon as possible. Staff are also welcome to make a self referral.

8.
8.1 8.2

Monitoring/review
The Joint Management and Staff Committee will monitor the effectiveness of this policy by monitoring numbers of Lone Worker reported incidents Once per annum they will commission an audit to identify if Lone Worker Risk Assessments have been undertake in accordance with this policy. This will include reviewing a sample of lone worker safety arrangements in each

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Directorate. The results of this audit will inform a Strategic Health Authority wide action plan. 8.3 This policy will be reviewed in three years, or earlier if there are any significant changes to guidance or practice.

9.
9.1

References
Working Alone: Controlling the Risks of Solitary Work, Health and Safety Executive Publication, 1998.

10.
10.1

Intended outcomes
The intended outcomes of this policy are to ensure that: the health and safety risks to lone workers are assessed and reduced to the lowest possible level.

10.2

An equality impact assessment for this policy will be completed every three years.

Policy Approved: Review By:

April 2010 April 2013

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Appendix 35

Zero Tolerance Policy

This appendix sets out the revised Zero Tolerance Policy for the South West Strategic Health Authority.

South West Strategic Health Authority Zero Tolerance Policy 1.

1.1

Policy
In accordance with its responsibilities for the health, safety and welfare of all its employees, the South West Strategic Health Authority will take all reasonably practicable steps to prevent, control and eliminate violence and aggression at work. The South West Strategic Health Authority will not tolerate violence and aggression in any form against its employees. The South West Strategic Health Authority will, therefore, adopt a number of actions to facilitate this. These may range from withholding admittance into a building, to supporting employees who want to take legal action against the perpetrators of violence.

1.2

2.
2.1

Definition
In accordance with Health Service Circular 1999/129, violence is defined as: any incident where employees are either verbally or physically abused, threatened or assaulted (including any application of force), in circumstances related to their work where there is an explicit or implicit challenge to their safety, well-being or health. Work-related violence includes any harm or damage occurring to any persons or property such that a risk to others exists or may exist; the carrying, concealment or use of offensive weapons and any threats of violence, aggression or racial harassment which may be face-to-face, written, via the telephone or via e-mail.

2.2

3.
3.1

Aims and objectives

The aim of this policy is to protect employees and others from work-related violence. In doing so, this policy will: contribute to staff morale, reduced absenteeism, and provide the best possible environment for the delivery of services; ensure that the best possible support is provided to staff who have been involved in violent or aggressive incidents; confirm the responsibilities of employees at all levels, to minimise the risk of violence; support the identification of training needs and the provision of training, enabling employees to carry out their duties in the safest possible manner and environment;

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ensure the risks of violence are properly identified and assessed, and that suitable local procedures and control measures are introduced.

4.
4.1

Responsibilities
The responsibilities of the Chief Executive and Directors are as follows: ensure that appropriate arrangements operate within the South West Strategic Health Authority for reducing the risk of violence to the lowest level that is reasonably practicable and for periodically reviewing the effectiveness of this policy; ensure appropriate support is provided to employees following incidents of violence and aggression; support the principle of employees giving statements to the police and appearing as witnesses in court; ensure that all reported incidents are investigated fully in accordance with the South West Strategic Health Authority reporting procedures; ensure that when a violent incident cannot be contained by South West Strategic Health Authority resources, the senior person attending the incident will make a decision to call the police. If the police are called to attend, the Chief Executive must be informed as soon as possible.

4.2

The responsibilities of employees are to: be aware of and follow local procedures designed to reduce the risk of violence and aggression; undergo training that has been identified as necessary in order to follow the incident reporting procedures; notify their line manager or appropriate member of staff immediately in the event of an incident of violence or aggression and ensure that an incident form is completed.

5.
5.1

Incident reporting
In order to respond appropriately and learn more about the occurrences and circumstances in which violence and aggression occurs, it is essential that all instances of violence and aggression be recorded using the Adverse Incident and Near Miss Reporting form in the Adverse Incident Reporting policy. The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 apply to some violent incidents and the Health and Safety Executive (HSE) procedures for RIDDOR reporting must be followed in such cases.

5.2

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5.3

Where criminal injuries have occurred, it is important that the incident be properly and formally reported to the police at the earliest possible opportunity. Where the individual decides to pursue a claim under the Criminal Injuries Compensation Scheme, they will be offered the appropriate support by their line manager.

6.
6.1

Support
It is essential that employees involved in a violent incident receive adequate support including immediate medical assistance and/or referral to an appropriate clinician. The line manager should facilitate the most appropriate support which may range from some quiet time for emotions to subside, an assessment as to whether the individual should be sent home, or more formal support. The following sources of support could be considered: Occupational Health Service, including counselling services; line manager; friend or colleague; trades union; staff side representative.

7.
7.1

Intended outcomes
The intended outcomes of this policy are to ensure that: all employees aware of the Zero Tolerance policy and how to report incidents; appropriate support is provided to all employees involved in violent or aggressive incident; all violent or aggressive incidents are reported and investigated.

7.2

An impact assessment for this policy will be completed every three years. April 2010 April 2013

Policy Approved: Review By:

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