Disciplinary Policy And Procedure - the Royal Cornwall Hospitals ...

Peninsula Community Health
DISCIPLINARY POLICY & PROCEDURE
Title:
Disciplinary Policy & Procedure
Procedural Document Type:
Policy
Reference:
HRP01
CQC Outcome: 13
Version: 1.1
Approved by: JPC (31.07.12)
Ratified by:
CQSC
Date ratified: 16.10.12
Name of originator/author:
John Shipwright
Name of responsible team:
Human Resources
Review Frequency:
3 Years
Review Date: July 2015
Target Audience:
Line Managers and all employees
Executive Signature (Hard Copy Only):
Registered in England and Wales No: 7564579
Registered office: Peninsula Community Health CIC,
Sedgemoor Centre, Priory Road, St Austell PL25 5AS
www.peninsulacommunityhealth.co.uk
Quality care, closer to you
Peninsula Community Health is a not for profit
Community Interest Company responsible for
providing NHS adult community health
services
in Cornwall and the Isles of Scilly

Contents
Section
Page
1. Introduction 6
2. Definitions 6
3. Duties 6
4. The Development and Management of Procedural Documents 6
4.1 Introduction 6
4.2 Scope of the Policy 8
4.3 Informal Stage 8
4.4 The Formal Disciplinary Procedure 10
4.5 Right to be Accompanied 7
4.6 Step 1 – Assessing the Issue 11
4.7 Step 2 – Informing the Employee 12
4.8 Suspension from or Restriction of Duty 12
4.9 Step 3 – Investigation 14
4.10 Step 4 – The Disciplinary Hearing 16
4.11 Step 5 – Disciplinary Action/Outcomes 17
4.12 Content of Written Warnings 18
4.13 Dismissal With Notice 19
4.14 Dismissal Without Notice (Summary Dismissal) 20
4.15 Step 6 – Appeal 20
4.16
4.17
Action in the Event of Police Enquiries, Legal or Professional
Proceedings External to PCH’s Activities
Action in the Event of Police Enquiries, Legal or Professional
Proceedings relating to an Employee’s Employment (Parallel
Sanctions)
21
22
4.18 Action in the Event of Suspected Fraud or Corruption 22
4.19 Co-operation by Employees 23
4.20 Overlapping Grievance and Disciplinary Cases 23
4.21 Procedure where an Employee has left PCH 24
4.22 Provision of Information to Statutory and Professional Bodies 24
4.23 Confidentiality 24
4.24 Records and Notes 24
5. Risk Management Strategy Implementation 25
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5.1 Implementation and Dissemination 25
5.2 Training and Support 25
5.3 Document Control and Archiving 25
5.4 Equality Impact Assessment 26
6. Process for Monitoring Effective Implementation 26
7. Associated Documentation 26
8. References 26
APPENDICES
Appendix
A
Appendix
B
Appendix
C
Appendix
D
Appendix
E
Appendix
F
Appendix
J
Handling Discipline – An Overview Flowchart 27
Disciplinary Rules 28
The Informal Stage – Guidance 31
Authority to take action under the Disciplinary Policy 33
Disciplinary Hearing Procedure 34
Appeal Procedure 37
Equality Impact Assessment 39
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Please Note the Intention of this Document
This policy outlines the process and procedure for addressing misconduct within Peninsula
Community Health (herein after called ‘PCH’). It is intended to provide a fair and consistent
approach to dealing with disciplinary matters and to meet legal requirements in this area.
Review and Amendment Log
Version No Type of Change Date Description of change
1 PCH Template 11/07/12 Change of template only
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1. Introduction
1.1 This policy outlines the process and procedure for addressing misconduct within Peninsula
Community Health (herein after called ‘PCH’). It is intended to provide a fair and consistent
approach to dealing with disciplinary matters and to meet legal requirements in this area.
1.2 It is the policy of PCH that all employees are informed and encouraged to achieve and
maintain high standards of conduct and job performance and to provide a fair and
consistent method of dealing with problems that employees have in meeting these
standards. In order to achieve the objectives of PCH, there must be a working environment
that is safe, fair and ensures that standards are achievable, within the allocated workload.
2. Definitions
2.1 Capability relates to the skills, aptitudes and mental or physical qualities required to perform
a particular job of work. Lack of capability means being unable to maintain the standard of
performance required to fulfil the duties and job description of the post.
2.2 Manager means line manager, team leader, supervisor or other term which relates to
management of staff.
2.3 Appeals - For a copy of the Disciplinary Appeals Procedure please see Appendix 6
attached.
3. Duties
3.1 The policy applies to all employees except that cases which solely involve allegations of
Personal Misconduct against Medical and Dental Staff will be dealt with in accordance with
this disciplinary procedure only after the procedure for investigating allegations of Personal
Misconduct under the separate procedural arrangements for Medical and Dental Staff has
been completed.
4. The Development and Management of Procedural Documents
4.1 Introduction
4.1.1 A flowchart of the procedure is available at Appendix A.
4.1.2 It is PCH’s policy to promote good employee relations to contribute to the overall
effectiveness of the organisation. Within this general approach it is necessary to have a fair
and effective disciplinary procedure that is regularly reviewed to take account of new
legislation and national guidance. The Disciplinary Policy and Procedure follows the ACAS
Code of Practice on disciplinary and grievance procedures and should not be viewed
primarily as a means of imposing sanctions. It is also designed to emphasise and
encourage improvements in individual conduct.
Registered in England and Wales No: 7564579
Registered office: Peninsula Community Health CIC,
Sedgemoor Centre, Priory Road, St Austell PL25 5AS
www.peninsulacommunityhealth.co.uk
Quality care, closer to you
Peninsula Community Health is a not for profit
Community Interest Company responsible for
providing NHS adult community health
services
in Cornwall and the Isles of Scilly

4.1.3 Managers are encouraged to maintain an open policy on communication and consultation,
and should seek to raise and settle any problems and concerns as soon as possible and in
a timely manner.
4.1.4 Managers are encouraged to deal with cases of minor misconduct or unsatisfactory
performance informally. A quiet word is often all that is required to improve an employee’s
performance. A brief note should be made of the issue discussed and placed on the
employee’s personal file. Many problems can be raised and settled during the course of
everyday working relationships. This can help in the prevention or resolution of potential
disciplinary issues as soon as possible.
4.1.5 However, there will be situations where matters are more serious or where an informal
approach has been tried but is not working. In such cases managers should reasonably
and fairly apply the appropriate procedures under this policy by taking formal action. No
disciplinary action will be taken against an employee until the case has been fully
investigated.
4.1.6 A Trade Union representative or current work colleague who is neither a family member nor
acting in a legal capacity may accompany the employee at all meetings under the formal
procedures.
4.1.7 When an alleged act of misconduct is believed to have been committed by an employee
who is an accredited representative of a Trade Union recognised by PCH (e.g. elected shop
steward or departmental representative) no action under the procedure, other than
precautionary suspension where serious misconduct is being investigated, will be taken until
the case has been discussed with a full time officer of the Trade Union.
4.1.8 PCH will ensure that managers and employees are fully aware of:
The types of misconduct that will lead to disciplinary action and the agreed
procedure.
The penalties relating to misconduct and the type of circumstances that may lead to
summary dismissal.
The rights of appeal against disciplinary action available to employees.
The rights of employees to be accompanied by a work colleague, or an official of a
staff association recognised under the Agenda for Change agreement, or an official
of any trade-union and who is not a family member or acting in a legal capacity
4.1.9 The time periods applicable at the various stages of the procedures contained in this
document vary dependent on the action being undertaken or the anticipated outcome.
Specific time periods are, therefore, given in each of the sections or procedural points.
However, all time periods referred to may be varied by agreement and where it is
reasonable to do so.
4.1.10 In line with PCH’s commitment to equality, diversity and human rights in the workplace, this
policy is designed to ensure that no person, or group of persons, is discriminated against on
the grounds of ethnic origin, race, disability, gender, marital or partnership status, age,
religion, belief, sexual orientation or transgender status when it is applied. In addition, PCH
will provide any reasonable adjustments for disabled employees affected by this procedure.
In accordance with the Disability Discrimination Act 1995, the Disability Discrimination Act
2005 and any subsequent legislation.
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4.2 Scope of the Policy
4.2.1 The Disciplinary Policy applies to all cases where there may be a breach of PCH’s
standards including misconduct (See Appendix B). As well as being explained further in
this policy, the standards are set out in other organisational policies and procedures
including the Code of Conduct as set out in section 5 above.
4.2.2 Where staff are also required to be members of a professional body that has professional
standards of capability, conduct and competence, they must also adhere to these
standards.
4.2.3 Issues relating to poor performance will be considered under PCH’s Capability Policy &
Procedure.
4.2.4 Issues relating to suspected/detected cases of fraud or corruption should be referred to the
Local Counter Fraud Specialist in accordance with PCH’s Counter Fraud Policy.
4.2.5 This policy applies to all staff employed under a contract of employment with PCH. The
policy applies to individuals engaged on a ‘bank’ or ‘as and when’ basis with the exception
of suspension from work in which case this would be unpaid.
4.2.6 For medical staff employed by PCH, cases which involve the Professional Conduct or
Professional Competence of Medical and Dental Staff must be dealt with in accordance with
PCH’s Policy for Maintaining High Professional Standards for Medical and Dental Staff.
Cases which solely involve allegations of Personal Misconduct against Medical and Dental
Staff will be dealt with in accordance with this disciplinary procedure only after the
procedure for investigating allegations of Personal Misconduct referred to in PCH’s Policy
for Maintaining High Professional Standards for Medical and Dental Staff has been
completed.
4.3 Informal Stage
4.3.1 On most occasions, it will not be appropriate for managers to use the formal disciplinary
procedure on the first occasion of minor misconduct by an employee.
4.3.2 Minor misconduct is where an employee has behaved inappropriately or the correct
procedure or standard has not been adhered to and there are only minimal consequences.
4.3.3 At the informal stage, managers are expected to meet the employee concerned and discuss
with them in private how, or in what way, the expected standard of conduct is not being met.
The aim of the meeting should be to agree joint standards and plan improvement over an
agreed timescale where appropriate.
4.3.4 The manager, should give the employee an opportunity to offer an explanation and should
also try and find out if there is any underlying difficulty such as a domestic or health
problem.
4.3.5 The manager may decide that simply speaking to the employee about the problem will be
sufficient to get the message across and make a file note of the conversation which will be
placed on the P-File OR
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To speak to the employee and give a verbal but recorded informal warning. Although this
appears to be a contradiction in terms, its use as a suitable corrective measure is well
established. The employee is told that a formal written warning will not be issued but a note
will be kept that an interview was necessary and a specified improvement is sought. This
low-level warning is still within the informal stage of the disciplinary procedure.
4.3.5 In either case, the employee must be told:
That they have not behaved appropriately or to the standard required;
How it will be reviewed and over what period.
That the probable consequences of a further breach of discipline will be to start the
formal disciplinary procedure.
4.3.6 Informal discussions on a one to one basis do not confer the right to be accompanied.
Whilst there is no entitlement to be accompanied, this may be accommodated by agreement
where this may assist in a better understanding of an issue and bringing it to a conclusion.
4.3.7 Informal meetings to discuss issues are not disciplinary hearings. However if it becomes
clear during the course of a meeting that disciplinary action may be necessary, the meeting
should be ended and a decision taken with regard to the formal disciplinary procedure (see
section 7.5 below). If it becomes clear during the course of discussion that the issue is one
of poor performance rather than misconduct, then PCH’s Capability Procedure should be
followed.
4.3.8 Managers should make a record of the meeting and place a copy on the personal file. A
copy should also be given to the employee. Such notes must be clearly marked “informal
discussion” and identify the date of the discussion and the names of parties to it. Such
informal notes may not be used in any future formal disciplinary process where there is no
link between the formal issue being investigated and the matter that was dealt with
informally. Any queries about this should be discussed with a member of the Human
Resources department.
4.3.9 Where informal discussion fails to address the issue, or it involves more serious incidents, it
will be appropriate to follow the formal disciplinary procedure.
Further guidance on the informal stage is provided as Appendix C.
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4.4 The Formal Disciplinary Procedure
4.4.1 This section describes the formal procedure that should be followed when a serious incident
arises or the informal stage has failed to address an issue. The six steps outlined below
would form the normal process although may be subject to variation where appropriate; for
example where a confidential investigation is required for a potential criminal offence.
Step 1: the manager assesses whether the issue requires investigation and the degree of
investigation necessary. The manager should inform the HR Department at an early stage
and if necessary should seek advice.
Step 2: the employee is informed of the process for investigation where appropriate and
may be suspended from work, depending on the seriousness of the alleged offence.
Step 3: an investigation is undertaken where required following the terms of reference
provided by the manager.
Step 4: if the investigation indicates disciplinary action should be considered, a disciplinary
hearing is held and action determined.
Step 5: the employee is advised of the outcome of the disciplinary hearing including any
formal disciplinary action and the right of appeal.
Step 6: the employee may appeal against any formal disciplinary action.
4.5 Right to be Accompanied
4.5.1 An employee is entitled to be accompanied to all meetings held under the formal stages of
this procedure including investigatory meetings. The chosen accompanying person may be
a current work colleague, or an official of a staff association recognised under the Agenda
for Change agreement, or an official of any trade-union and who is not a family member nor
acting in a legal capacity.
4.5.2 It may not be reasonable for an employee to insist on being accompanied by someone from
a remote geographical location if someone suitable and willing was available nearer.
4.5.3 A Trade Union representative or work colleague who accompanies an employee is able to:
address any formal meeting to put and sum up the employee’s case;
respond on behalf of the employee to any views expressed at the meeting;
confer with the employee during the meeting;
ask questions of witnesses on the employee’s behalf during any disciplinary hearing.
4.5.4 The Trade Union representative or work colleague does not, however, have the right to
answer questions on the employee’s behalf, address the meeting if the employee does not
wish them to or prevent the employee from explaining their case.
4.5.5 Managers are encouraged to engage with the Trade Union representative or work colleague
to assist in a mutual understanding of the nature of the disciplinary issue and the outcomes.
Disciplinary Policy Page 9 of 42

4.6 Step 1 – Assessing the issue
4.6.1 Upon being made aware of a potential disciplinary issue a manager must immediately
consider the nature of the alleged matter and what investigation may be necessary to
establish the relevant facts.
4.6.2 The manager may need to seek advice from his or their own manager, Human Resources,
the Local Security Management Specialist, Counter Fraud, or other professional lead in
determining the potential seriousness of an issue. In cases where fraud or corruption is
suspected, the Director of Finance and the Local Counter Fraud Specialist must be
informed at the earliest opportunity. Confidentiality should be maintained however by only
seeking advice from those individuals necessary so that the ability to carry out a thorough
investigation is not compromised.
4.6.3 Depending on the nature of the issue, at this stage the employee may not be aware of the
matter. The manager will need to assess whether the employee is advised of the issue at
this stage. Whilst it should be normal practice to inform the employee there may be
occasions where it is not advisable to do so e.g. where the allegations are particularly
sensitive or unclear, or outside agencies are involved (e.g. Police, Counter Fraud). In such
cases advice must be sought from a member of the Human Resources department.
4.6.4 The nature and extent of any investigation will depend on the seriousness and complexity of
the matter. Any investigation should be proportionate, balanced and unbiased, and look to
examine all the evidence.
4.6.5 Where the matter is less serious and the facts are readily established and/or not in dispute it
may not be necessary to hold an investigatory meeting. In such cases a manager may
move to a disciplinary hearing but must ensure that the employee is properly informed.
4.6.6 The manager may at this step conclude that formal action is not appropriate although they
should consider if any alternative actions should be taken such as counselling or other
informal support. If the employee is already aware of the issue they should be informed of
this outcome and a note of this placed on their personal file.
4.6.7 Where an employee has readily admitted to an indiscretion/misconduct the manager should
still assess the issue before deciding what action to take. This is to ensure that a proper
and fair consideration of the nature of the offence is made and the appropriate process then
followed to address the issue that protects the rights of the employee and PCH. The
options that the manager may consider are:
4.6.8 If the issue is less serious and, taking into consideration all of the relevant facts, is unlikely
to merit any formal warning, dealing with it under the informal procedure outlined in section
7.4 above and Appendix C i.e. discuss the issue with the individual and make a file note of
the outcome of that discussion; or
4.6.9 If the issue is more serious and merits formal consideration, assess the need for an
investigation;
Disciplinary Policy Page 10 of 42

4.6.10 As stated above, if the facts are not in dispute or un-contentious it may be appropriate to
move immediately to a formal hearing. With the agreement of the individual this could be
done at relatively short notice but it is important to ensure the employee’s entitlement to be
accompanied by a Trade Union representative or work colleague who is neither a family
member nor acting in a legal capacity is confirmed and the employee understands the
implications;
4.6.11 The formal hearing should be conducted in accordance with the principles set out in
Appendix E but it is recognised that the process may be shortened by mutual consent.
Where there is any doubt the standard procedure should be followed;
4.6.12 In other circumstances it may be appropriate for a manager to still arrange for investigation
in accordance with Step 3 of the formal disciplinary procedure to ensure that the full facts
are established and available at any formal disciplinary hearing, for example where the
employee has admitted to an allegation but it would be appropriate to interview witnesses to
establish the extent of the issue. This option would ensure that the issue is properly
considered and an appropriate formal sanction applied;
4.6.13 In any cases where there is potential to vary by mutual consent the disciplinary procedure,
the manager should seek advice from the Human Resources department.
4.7 Step 2 – Informing the Employee
4.7.1 Employees who are the subject of an investigation should be made aware of this as soon as
is possible and practicable. However, there may be exceptional circumstances where it is
not advisable to inform the employee e.g. where the allegations are particularly sensitive or
unclear, or outside agencies are involved (e.g. when the matter is being investigated by the
Police or the Local Counter Fraud Specialist).
4.7.2 Ideally the manager will inform the individual in person of the allegation and must then
follow this up in writing to the employee. This follow up letter should include:
Confirmation of the nature of the allegation
Relevant details about the investigation that will be undertaken
The employee’s right to be accompanied by a Trade Union representative or a
current work colleague who is neither a family member nor acting in a legal capacity
to all meetings relating to the issue.
4.7.3 If the employee is being suspended or their duties restricted in any way as a result of the
allegation and investigation this should also be confirmed in writing (see below for further
information about suspension and restriction of duties).
4.8 Suspension from or restriction of duty
4.8.1 There may be instances where suspension from work or restriction of duty is necessary
while investigations are carried out. For example where relationships have broken down,
where gross misconduct is alleged or where there are risks to a full and fair investigation
being possible. Suspension should only be used where there is no alternative. This
includes where there is a concern that evidence will or has been tampered with or
destroyed, or where witnesses are at risk of being pressurised.
Disciplinary Policy Page 11 of 42

4.8.2 In some circumstances, a search of a persons work area or locations may be necessary.
Where such property or locations may include personal items belonging to staff under
investigation, the employee should be invited to remove all personal property from the area
under supervision and their compliance and agreement to this should be suitably recorded
and signed by the employee. It must be ensured that any search is restricted to that which
is the property of PCH. The following points should be documented for consideration:
searches of work areas should be supervised by more than one member of staff
other than the staff member under investigation;
an inventory of all items taken and verified by both parties;
any removed items to be recorded by the ‘owner’;
4.8.3 Suspension or restriction of duty can be considered at any time of the disciplinary
investigatory process where, for reasons stated above, it might appear necessary.
Suspension or restriction of duty itself is not a disciplinary action.
4.8.4 Any suspension or restriction of duty must be made by an appropriate senior manager with
advice from Human Resources. It is important that, regardless of whether the employee is
suspended or their duties restricted, the rationale behind such a decision is documented by
the manager and retained with the case file.
4.8.5 Where it can be accommodated and the employee agrees to this, alternatives to suspension
must always be considered e.g. temporary redeployment or shift changes. The employee
would be entitled to appropriate protection of earnings and/or excess travel costs in this
instance but this should not influence the decision to consider appropriate alternatives to
suspension.
4.8.6 When considering exclusion from work for doctors or dentists, reference must be made to
the “Restriction of Practice and Exclusion from Work Directions (2003)” that applies to
Medical and Dental staff. Any potential suspension of a doctor must be discussed first with
the appropriate Medical Director.
4.8.7 Suspension from duty is not an assumption of guilt and is not considered a disciplinary
action. The employee will be personally informed of the decision to suspend them by their
line manager or person acting with delegated authority. Any decision to suspend shall be
confirmed in writing within 2 working days and shall be on full pay. Where a member of
Contingent Workforce is suspended, suspension is unpaid.
4.8.8 Suspension or restriction of duty should not normally be for a period exceeding 20 working
days. Periods of suspension or restriction exceeding 20 working days shall be reviewed by
the manager, Human Resources Manager and trade union representative (when applicable)
at mutually agreed intervals. In all cases, the individual shall be notified in writing of the
reasons for the extended period and have a right to appeal against its continuance.
4.8.9 Circumstances where a suspension or restriction period of more than 20 working days might
be required may include cases involving police enquiries or where legal proceedings are
pending, or where a formal committee of enquiry has been or is about to be established,
otherwise the manager who has commissioned the investigation must make every
reasonable effort to ensure the process is managed within the timeframe agreed.
Disciplinary Policy Page 12 of 42

4.8.10 During suspension, an employee will continue to have the right of access to the
Occupational Health Department, through self-referral to PCH’s personal counselling
service and other support facilities that are available through staff organisations e.g.
Trade Unions or professional bodies. The terms of suspension will clarify other access to
the organisations’ premises balancing the need to ensure an appropriate and fair
investigation with the rights of the suspended employee and the potential for them to have
to access the organisations’ premises as a service user.
4.8.11 Where an employee is suspended or duties restricted the manager must ensure the
Payroll Department is notified through the appropriate means. Staff who are suspended
from duty should suffer no financial detriment.
4.8.12 An employee may request to take annual leave whilst on suspension. This will apply
where the employee would not be available for work if the suspension were lifted or to
attend any meeting etc. as part of the disciplinary process, for example if they are away
from home. Any annual leave requested and taken should be recorded as such on the
employee’s annual leave record and with Payroll.
4.8.13 An employee who becomes sick during a period of suspension will be entitled to sick pay
provisions subject to the normal notification procedures. Sick leave will override
suspension from duty.
4.9 Step 3 – Investigation
4.9.1 In many cases, the full facts of an alleged incident relating to unacceptable conduct will not
be immediately apparent. Indeed, it may not be clear whether the alleged incident is
serious enough to warrant formal disciplinary action. In these situations, the line manager
will identify an investigating officer. Ideally, the investigating officer should be familiar with
the type of problem/area of work, or have some responsibility for the staff concerned. It is
essential that the investigating officer is provided with reasonable time from their other
responsibilities to complete the investigation within a reasonable and agreed time period.
The investigation should be completed without delay and within 20 working days apart from
in exceptional circumstances. For more complex cases it may be appropriate to appoint
more than one investigating officer and/or consider an external investigating officer;
however again the manager must ensure both investigating officers are available and
competent to complete the investigation in the agreed timeframe.
4.9.2 The investigating officer should not have been directly or indirectly involved in the alleged
incident. It should also be noted that an investigating officer cannot subsequently be a
member of the disciplinary panel in the event that a formal hearing is required.
4.9.3 The investigating officer will be responsible for ascertaining the full facts of the case and for
providing a report to the manager concerned. The investigating officer may seek advice
from the relevant HR Manager, particularly in respect of any policy issues.
4.9.4 Where an investigatory meeting is held the investigating officer will give the employee
advance warning and time to prepare.
4.9.5 In cases where an incident involves, or was witnessed by, a number of employees and/or
other relevant persons, this is likely to involve obtaining statements from each individual
employee. Any witnesses may wish to confidentially discuss this matter with, and/or be
accompanied by an official of a staff association recognised under the Agenda for Change
agreement or an official of any trade union or work colleague who is not a family member or
acting in a legal capacity.
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4.9.6 The investigating officer will present their findings in a report outlining:
the full circumstances of the case;
the findings;
and making a recommendation on whether or not it is necessary or appropriate to
apply the formal disciplinary procedure (but not to make any recommendation on
what formal action should be applied).
4.9.7 The report and any statements submitted with the report will be part of the submission if a
decision is made to follow the disciplinary procedure and will be provided to the member of
staff in question. There may be instances where some information is withheld, for example
to protect the identity of witnesses where this is deemed appropriate.
4.9.8 Based on the report submitted, the line manager will make a decision on whether a formal
disciplinary hearing needs to be called. At this stage, other options may include:
no disciplinary action to be taken;
handling it informally; or
handling it through PCH’s Capability Procedure;
making appropriate recommendations e.g. mediation, training, review of procedures.
4.9.9 In any event, this decision should be made following referral to the disciplinary rules
(Appendix B) and after advice from Human Resources. The employee will be advised in
writing of the option to be applied and a written note made and placed on the employee’s
personal file.
4.9.10 The length of time taken to complete the investigation will depend on the nature of the
allegation or incident but should be carried out and completed within a reasonable period of
time. On commencement of the investigation, the commissioning manager should give the
employee an indication of how long they expect the investigation to take, based on the
complexity of the issues.
4.9.11 If the investigation is likely to require further time the manager should inform the employee
(and where appropriate any Trade Union representative) and review the timescales.
4.9.12 There is nothing to prevent an investigating officer from stopping an investigation early if
s/he quickly establishes that there is no case to answer. In these circumstances the
employee’s manager should be informed immediately and a meeting set up with the
employee and his/her Trade Union representative or work colleague. The employee should
be provided with a full explanation and this should be confirmed in writing within 5 working
days of the meeting.
4.9.13 Should the matter involve fraud then the Counter Fraud Service will be involved. Their
investigation will be conducted in line with the relevant legislation applicable to criminal
investigations. Disclosure of information for disciplinary purposes will be in accordance with
the data protection rights of the subject of the investigation and also those of third parties.
Information from an Interview Under Caution (IUC) will not be disclosed unless express
consent has been given or there are overriding public interest issues such as patient safety
concerns (exceptional cases).
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4.9.14 If, on receipt of the completed investigation report, the employee’s manager considers that
on the balance of probabilities there is a case to be answered, a disciplinary hearing will
be convened.
4.10 Step 4 – The Disciplinary Hearing
4.10.1 The disciplinary hearing will be held without unreasonable delay, while allowing the
employee reasonable time to prepare their case, and within 15 working days of the
decision to proceed to hearing unless there are exceptional circumstances.
4.10.2 The employee shall be given not less than 10 working days written notice of the hearing,
told of the purpose of the meeting and the allegation(s) in writing together with any
documents, written statements, or other written evidence, that will be referred to during the
hearing. The employee will also be reminded of their right to be accompanied at the
hearing by a work colleague, or an official of a staff association recognised under the
Agenda for Change agreement, or an official of any trade-union and who is not a family
member or acting in a legal capacity.
4.10.3 The employee or his/her representative shall advise the signatory of the letter advising of
the hearing of the names of any witnesses that he/she shall be calling and provide copies
of any written evidence to which they will refer, not later than 5 working days before the
hearing. If for a good cause the hearing is postponed, it will be adjourned to a later date,
subject to the agreement of both parties. It is good practice to prepare sufficient copies of
indexed documents for ease of reference during the hearing.
4.10.4 If the employee is repeatedly unwilling or unable to attend a hearing under the disciplinary
procedure, the Panel chair in consultation with HR will consider all of the relevant facts
before deciding whether or not it would be reasonable to proceed in the employee’s
absence.
4.10.5 The HR Manager should also liaise directly with the employee’s Trade Union
representative where appropriate. If it is considered reasonable to proceed the manager
will write to the employee to advise them of this and provide them with a further
opportunity to attend or make a written submission. Where an employee fails to attend a
hearing under the disciplinary procedure without prior notice or good reason the hearing
will be rescheduled on one further occasion and the employee advised that a decision
would be made in their absence if they do not attend or provide a reasonable prior reason
for not doing so.
4.10.6 The hearing will normally be heard by a Panel comprising at least a manager and a
member of the Human Resources Department, neither of whom should have been
involved in the investigation previously (apart from commissioning the investigation).
However depending on the nature of the alleged offence, the Panel hearing the case may
need to include an appropriate senior manager or Human Resources Manager, who would
be authorised to issue the potential level of disciplinary action including dismissal.
4.10.7 The investigating officer(s) who conducted the investigation will present their findings as
the management case at the Hearing.
4.10.8 The normal process for conducting a disciplinary hearing is given in Appendix E. This
includes the requirement for the allegations being made about the employee to be
explicitly stated and for the employee to be able to reply. However, this procedure may be
varied by mutual agreement. Details of such agreements shall be recorded by the
manager chairing the hearing and confirmed by the signature of the employee or his/her
representative.
Disciplinary Policy Page 15 of 42

4.10.9 After considering all the evidence given at the hearing, the manager chairing the hearing
will call an adjournment so that the Panel can consider the facts presented and then
reconvene to announce their decision and any disciplinary action to be taken to the
employee, their representative and the presenting officer(s).
4.10.10 The manager will give an explanation for the outcome of the hearing. The manager will
also explain the employee’s right of appeal under the procedure where formal action is
taken. The outcome and right of appeal will be confirmed in writing within 5 working days
of the hearing. Copies of the letter sent to the employee shall be sent to the office of the
Associate Director of Workforce or Associate Director of Workforce Operations.
4.10.11 Further detail and guidance on the disciplinary actions that can be taken along with the
right of appeal is provided in Steps 5 and 6 below and in the relevant appendices to this
policy.
4.11 Step 5 – Disciplinary Action/Outcomes
4.11.1 The following disciplinary actions/outcomes are provided under PCH’s formal procedure:
No sanction to be applied;
First written warning;
Final written warning;
Dismissal with notice;
Dismissal without notice (Summary Dismissal).
4.11.2 The Panel will also consider other sanctions where a final warning has already been
issued or as an alternative to dismissal. For example, where written warnings have been
exhausted and dismissal is deemed too severe, the possibility of demotion or disciplinary
transfer may be considered as an exceptional alternative to dismissal.
4.11.3 Where no formal action is considered appropriate, but there are issues that are of
justifiable concern that should be managed under the informal arrangements of the
disciplinary policy (section 7.4) or under another appropriate policy the panel may make
recommendations for this.
4.11.4 In deciding whether a disciplinary penalty is appropriate and what form it should take
consideration will be given to:
whether the policy indicates what the likely penalty will be as a result of the
particular misconduct;
the penalty imposed on similar cases in the past;
whether the standards of other employees are acceptable, and whether this
employee is being singled out unfairly;
the employee’s disciplinary records (including current warnings), general work
record, experience, position and length of service;
any special circumstances that might make it appropriate to adjust the severity of
the penalty;
whether the proposed penalty is reasonable in view of all the circumstances;
whether any training, additional support or adjustments to work are necessary.
4.11.5 Each case however will be looked at on its own merits taking in to account any relevant
circumstances and mitigating factors.
Disciplinary Policy Page 16 of 42

4.11.6 The application of the disciplinary penalties provided under this procedure does not need
to be sequential; the level of warning deemed appropriate will depend on the nature of the
offence and past disciplinary record.
First Written Warning
4.11.7 A first written warning setting out the nature of the offence and informing the employee that
further related misconduct is liable to result in further disciplinary action under this
procedure. The warning will apply for 6 months from the date of issue.
Final Written Warning
4.11.8 A final written warning setting out the nature of the offence and informing the employee
that further related misconduct would render him or her liable to further action under this
procedure and could result in dismissal. A final written warning will remain current for 12
months from the date of issue.
4.11.9 In exceptional circumstances, a 12-month final written warning can be extended for a
maximum of an additional 12 months. This will generally be where the offence constitutes
gross misconduct and a decision on action short of dismissal is made. Advice must be
sought from a Human Resources Manager if this option is being considered.
4.11.10 In addition, and in exceptional cases, demotion within their present department may be
considered in conjunction with a warning issued under this procedure, or as an alternative
to dismissal or by agreement with the employee. Where it is an alternative to dismissal it
will be accompanied by a final warning which lasts for 12 months, or with confirmation of a
previous final warning as appropriate. In such circumstances the right of appeal will be
waived.
4.11.11 According to the circumstances of the case, other action may be considered as an
alternative to dismissal. This may involve a transfer and/or demotion/downgrade to a
different department and/or location and/or shift pattern. However, where the employee
does not agree to this permanent change, then dismissal will follow. Such options will also
be subject to PCH having suitable alternative posts available that would be appropriate to
consider on a permanent or temporary basis.
4.11.12 The full details of the transfer or downgrading must be with the agreement of the employee
and confirmed in writing to the employee and it will be necessary to issue a revised
contract.
4.11.13 Following disciplinary action short of dismissal, the manager must supply supportive follow
up and discuss progress with the employee. The employee is obliged to raise any issues
of concern and identify support that they may need to enable the required improvement.
4.12 Content of written warnings
4.12.1 When a warning is issued, it must be confirmed in writing within 5 working days of the
hearing.
4.12.2 It must contain:
Full details of the misconduct;
Reference to previous unexpired written warnings if relevant;
Notice that further misconduct may lead to further disciplinary action being taken;
Disciplinary Policy Page 17 of 42

Notice that the written warning will be disregarded for disciplinary purposes after the
relevant time period from the date of its issue, providing no further warnings have
been issued. The employee will be notified, in writing, when the warning expires;
Notice that the employee has a right of appeal, which must be exercised within 10
working days of receipt of the written warning, and that the appeal should be sent to
the Associate Director of Workforce or Associate Director of Workforce Operations
as appropriate.
Notice that the appeal must be in writing and that it must state the grounds on which
the decision is contested.
4.12.3 The warning should be handed to the employee and a signature obtained. If this is
impracticable, the warning should be sent by recorded delivery. A copy of the letter should
be placed on the employee’s Personal File and a copy sent to the office of the Associate
Director of Workforce or Associate Director of Workforce Operations as appropriate and
the employee’s Trade Union Representative (if appropriate).
4.13 Dismissal with notice
4.13.1 Dismissal under the disciplinary policy is the ultimate and final sanction that can be
imposed and is therefore not undertaken lightly. It is usually applicable where the
behaviour or conduct constitutes gross misconduct or where there have been a number of
instances of less serious offences, which are the subject of current disciplinary warnings.
4.13.2 In considering dismissal as an option, the following must be examined:
The disciplinary procedure has been complied with and a fair procedure followed;
Other available courses of action (see paragraphs 7.11.2 to 7.11.5 inclusive) have
been considered and discounted;
The dismissal (where appropriate) is consistent with previous practice within PCH
and is a reasonable course of action;
All the evidence relied upon is available and sufficiently clear to justify the decision
(the panel may request further investigation for clarity where this is not the case).
4.13.3 Where dismissal is a potential outcome, the panel must include a manager with the
authority to dismiss (see Appendix 4).
4.13.4 The decision should be communicated to the employee within 5 working days and must
contain the following information:
The reasons for their dismissal;
The effective date of termination of employment and last day of service;
Their entitlement to notice or pay in lieu of notice in accordance with their contract
of employment;
Confirmation of any outstanding/accrued or owed annual leave;
Clarification regarding payment of unclaimed owed expenses e.g. travel claims
Confirmation of any deductions or repayments to be made from their final salary;
Details of their right of appeal, to be exercised within 10 working days of receipt of
the letter of dismissal. The letter of dismissal should be handed to the employee
and a signature obtained. If this is impracticable, the letter should be sent by
recorded delivery.
Disciplinary Policy Page 18 of 42

4.13.5 Where an employee is dismissed, managers must take the necessary steps to ensure that
access to the organisations’ premises (other than as a patient or to visit a sick relative or
friend), equipment and systems (e.g. IT systems, mobile phones) is prevented. All
property of PCH must be returned, including entry cards and badges. A record of all items
returned and steps taken to deny access to systems/property should be made in the
employee’s personal file.
4.14 Dismissal - without notice (summary dismissal)
4.14.1 Gross misconduct is regarded as conduct of such a nature that it fundamentally breaches
the contractual relationship between a member of staff and the employer and justifies
management in no longer accepting the presence of the member of staff at work.
4.14.2 In the event of gross misconduct or gross neglect of duty, and following an appropriate
investigation and disciplinary hearing, employment may be terminated without notice. The
decision should still be communicated in line with 7.16.4 above except that the employee
is not entitled to any notice or pay in lieu of notice.
4.14.3 It should be noted that the employee still has an entitlement to any outstanding accrued
annual leave at the date of dismissal, which would notionally extend the total period of
service for pension purposes only.
4.14.4 Managers must also take action to prevent access to the organisations’ premises and
systems (see 7.16.5 above).
4.15 Step 6 – Appeal
4.15.1 Where there has been no agreement at an earlier stage of the proceedings (see 7.14.5)
there will be a right of appeal against any formal warnings, demotions, redeployment,
transfer or dismissal under the disciplinary procedure.
4.15.2 Employees must be informed of their right of appeal and advised of the procedure and
timescale for lodging an appeal in writing in the letter confirming any disciplinary action.
4.15.3 The employee must submit a written appeal within 10 working of the date of postage by
recorded delivery of the letter informing them of the disciplinary action and detail the
grounds on which the appeal is made.
4.15.4 The dismissal or disciplinary sanction takes effect from the date of the decision and is not
dependent on the outcome of the appeal hearing.
4.15.5 Appeals against first written warnings will be heard by the next most senior manager
assisted by an appropriate member of the Human Resources Department not previously
involved in the case.
4.15.6 Appeals against final written warnings and other action short of dismissal will be heard by
directors or associate/assistant/deputy directors or their delegate assisted by a member of
the Human Resources Department not previously involved in the case.
4.15.7 Appeals against dismissal will be heard by a panel of three board members, at least one of
whom will be a Non-Executive Director. A member of the Human Resources Department
not previously involved in the case will act as adviser to the Panel.
Disciplinary Policy Page 19 of 42

4.15.8 Appeals will be held within 20 working days of receipt of the written appeal, or as soon as
is reasonably practicable.
4.15.9 The employee (or appellant - in the case of an appeal against dismissal) will be notified in
writing of the arrangements for the appeal hearing within 10 working days of receipt of the
written appeal. At least 10 working days’ notice of the appeal hearing will be given and
any new supporting evidence must be submitted at least 5 working days before the date of
the hearing.
4.15.10 The appeal hearing and subsequent deliberation and notification of outcomes will be in line
with the procedure steps referred to in Appendix 6.
4.16 Action in the event of Police Enquires, Legal or Professional proceedings
external to PCH’s Activities
4.16.1 Employees may be involved in police or other enquiries related to matters outside their
employment or in professional proceedings. The decision as to whether PCH’s
disciplinary procedure should be invoked will relate to the circumstances of the case. In
such cases reference should also be made to the Department of Health Document
‘Applying appropriate sanctions consistently’.
4.16.2 Where an employee’s conduct in matters not directly involving PCH is the subject of police
enquiries on criminal charges and the alleged offence may affect the employee’s work,
PCH may either:
suspend the employee from duty pending the outcome of the police enquiries or
legal proceedings;
restrict the employee’s duties if this is appropriate and would not compromise the
work they do; or
in exceptional circumstances invoke its own disciplinary procedure where such
action is deemed appropriate and where police enquiries or legal proceedings are
not therefore, prejudiced.
4.16.3 Where no action is deemed immediately appropriate the employee will remain in work, but
the manager should monitor and review the situation regularly.
4.16.4 In all such instances, PCH will liaise closely with the police or professional body regarding
the action taken. Advice should also be taken where appropriate from the Counter Fraud
Service.
4.16.5 Disciplinary proceedings, including dismissal, may take place in advance of any court or
other hearing where PCH has sufficient evidence to reach a conclusion in accordance with
the normal standard(s) established.
4.16.6 PCH shall not regard legal proceedings or conviction relating to a criminal charge as
constituting, in itself, a reason for disciplinary action. When considering the need for
disciplinary action or suspension from duty in these circumstances, PCH shall have regard
to the nature of the offence committed and its relevance to/impact on the work of the
employee.
Disciplinary Policy Page 20 of 42

4.16.7 Where an employee is convicted of an offence that would have an impact on their role with
PCH e.g. loss of a driving licence, custodial sentence or an offence relating to vulnerable
adults/children, PCH would properly consider the implications on the employee’s ability to
carry out their duties and options available. These will include redeployment, restriction of
duties or other alternatives as well as dismissal where this is not possible or appropriate.
In all such cases the formal disciplinary policy will be used and the employee afforded a
right of appeal.
4.17 Action in the event of Police Enquiries, Legal or professional Proceedings
relating to an Employee’s employment (Parallel Sanctions)
4.17.1 Employees may be involved in police or other enquiries related to matters connected to
their employment or professional proceedings that relate to their professional role with
PCH. The question as to whether PCH’s disciplinary procedure should be invoked will
relate to the circumstances of the case. This action is known as parallel sanctions.
4.17.2 Where an employee’s conduct is the subject of police enquiries on criminal charges and
the alleged offence relates to the employee’s work, PCH may either:
suspend the employee from duty pending the outcome of the police enquiries or
legal proceedings;
restrict the employee’s duties if this is appropriate and would not compromise the
work they do; and/or
invoke its own disciplinary procedure where such action is deemed appropriate and
where police enquiries or legal proceedings are not therefore, prejudiced.
4.17.3 Where no action is deemed immediately appropriate the employee will remain in work, but
the manager should monitor and review the situation regularly.
4.17.4 In all such instances, PCH will liaise closely with the police or professional body regarding
the action taken. In all cases however, advice must be taken from the Counter Fraud
Service.
4.17.5 Disciplinary proceedings, including dismissal, may take place in advance of any court or
other hearing where PCH has sufficient evidence to reach a conclusion in accordance with
the normal standard(s) established. In such cases reference should also be made to the
Department of Health Document ‘Applying appropriate sanctions consistently’.
4.18 Action in the Event of Suspected Fraud or Corruption
4.18.1 These need to be reported IMMEDIATELY to the Local Counter Fraud Specialist (LCFS).
4.18.2 Any employee must notify and discuss their suspicions or what they have discovered with
one of the following;
LCFS or
Director of Finance
The Fraud & Corruption Reporting Line on 0800 028 4060
Your line manager who must immediately inform the LCFS
For further information please refer to PCHs Counter Fraud Policy.
4.18.3 Counter Fraud Investigations are conducted in accordance with the NHS Counter Fraud
and Corruption Manual and the Department of Health document ‘Applying Sanctions
Disciplinary Policy Page 21 of 42

Consistently and the PCT’s Counter Fraud Policy. In these instances legal representation
can be requested.
4.18.4 Fraud and Corruption investigations will also be conducted in accordance with the
HR/LCFS Protocol.
14.19 Co-operation by Employees
4.19.1 Employees are expected to co-operate with any disciplinary investigations and relevant
procedures. In order to facilitate this, PCH will make every reasonable effort to ensure all
employees are able to fully participate in any disciplinary meeting, and to have an
appropriate accompanying person present.
4.19.2 In arranging meetings PCH will make reasonable adjustments to meet individual needs in
relation to disabilities and provide language support and alternative formats for documents
where requested. It will also aim to avoid meetings coinciding with religious festivals of
significance to the employee.
4.19.3 Where an employee who is the subject of the formal procedure does not co-operate with
reasonable requests by PCH to participate in the process e.g. by not providing a response
to allegations made, or not attending investigatory meetings or disciplinary hearings,
he/she will be advised that PCH will make a disciplinary decision on the basis of the
information available, and that where appropriate, this could result in dismissal.
4.19.4 Employees who are identified as potential witnesses to alleged disciplinary incidents are
required to reasonably co-operate with PCH including:
providing a witness statement when requested;
attending interviews with the investigating officer;
attending disciplinary hearings and answering any questions put to them.
4.19.5 Witnesses may request to be accompanied by a work colleague, or an official of a staff
association recognised under the Agenda for Change agreement, or an official of any
trade-union and who is not a family member or acting in a legal capacity and not involved
in the case. Depending on the nature of the case PCH would consider a request to protect
the identity of a witness where this would not be prejudicial to ensuring a fair hearing.
4.20 Overlapping Grievance and Disciplinary cases
4.20.1 Where an employee raises a grievance during a disciplinary process the disciplinary
process may be temporarily suspended in order to deal with the grievance. Where the
grievance and disciplinary cases are related it may be appropriate to deal with both issues
concurrently.
4.20.2 Where there is no connection between the grievance and disciplinary issues the nature of
the grievance and potential impact on the disciplinary process must be carefully
considered before any decision to suspend the disciplinary process. PCH reserves the
right to proceed with the disciplinary process where it considers it appropriate to do so.
4.20.3 Any decisions relating to this situation should be confirmed in writing to the employee.
Disciplinary Policy Page 22 of 42

4.21 Procedure where an Employee has left PCH
4.21.1 Where an employee who is subject to an investigation under the formal procedure leaves
PCH prior to that investigation being completed PCH will review the case and consider if it
is appropriate to complete it.
4.21.2 The former employee will be advised if the procedure will be completed and be invited to
attend any disciplinary hearing. The employee will be advised that if they do not attend a
decision will be made in their absence of what disciplinary action, if any, would have
applied and any right of appeal.
4.21.3 The former employee will also be advised that PCH would be obliged to disclose any
relevant factual information relating to the outcome of any disciplinary hearing in any
subsequent reference requested. PCH would also, where appropriate, refer the case to a
professional/statutory body.
4.22 Provision of information to Statutory and Professional Bodies
4.22.1 Where senior officers have a responsibility to report the action of staff to appropriate
statutory or professional bodies, these bodies should not be informed until after the
completion of the disciplinary process but the potential for such a referral should be made
known to the appropriate officer of PCH at the earliest opportunity.
4.23 Confidentiality
4.23.1 All matters relating to the disciplinary process are strictly confidential and under no
circumstances is such information to be divulged to unauthorised persons.
4.24 Records and Notes
4.24.1 PCH will keep a record of all disciplinary cases dealt with. The record kept will include:
the allegations made against the employee
the employee’s defence
findings made and actions taken
the reasons for the actions taken
whether an appeal was lodged
the outcome of the appeal
any grievance lodged during the disciplinary procedure
subsequent developments
notes of any formal meetings
4.24.2 Any records will be kept no longer than necessary in accordance with the Data Protection
Act 1998, (as subsequently amended) and employees have the right to request and
access certain personal data.
4.24.3 Copies of meeting records should be given to the employee including copies of any formal
minutes that have been taken. In certain circumstances (for example to protect a witness)
PCH may withhold certain information.
4.24.4 Electronic recording devices will not be permitted to be used by any party under the
disciplinary procedure. The only exception to this might be where the investigation relates
Disciplinary Policy Page 23 of 42

to a potential criminal action in which case PCH’s Counter Fraud Officer and/or the police
would advise the employee of the appropriate legal process and their statutory rights
under the Police and Criminal Evidence Act.
4.24.5 To support the timeliness and effectiveness of the procedure all formal correspondence
sent to employees advising of the outcomes at the various stages should be either handdelivered
or sent by recorded delivery.
4.24.6 Any records of disciplinary issues should be kept confidential to the parties involved. In
the event of a transfer of employment within the Transfer of Undertakings (Protection of
Employment) Regulations (TUPE), PCH is obliged to disclose to the new employer all
instances of disciplinary action taken by PCH within the 2 years preceding the date of
transfer.
4.24.7 Any formal warning recorded on an employee’s personal file should be removed for
disciplinary purposes at the date of expiry. A meeting must be held with the employee
prior to the expiry of the warning.
5. Risk Management Strategy Implementation
5.1 Implementation & Dissemination
Following approval, a copy of the policy will be stored electronically in the HR section of
the Organisation‘s document library on the Intranet site.
A copy of the policy will be circulated to members of the HR team to enable them to
support implementation with their managers.
A clear communication will be sent to managers to make them aware that the policy has
been issued and that they are responsible for cascading the information to their
employees, including employees who do not have regular access to email.
Joint Partnership Committee (JPC) staff side representatives will be advised of the issuing
of the policy.
Information to promote awareness of the revised policy will also be included in the
organisational bulletins which are circulated to all employees.
5.2 Training and Support
The Education and Training department run a programme which includes a session on
grievance handling for employees required to supervise or manage employees.
The HR team can also provide coaching and advice to managers and employees to
supplement more formal training available as the need arises.
5.3 Document Control & Archiving Arrangements
Once ratified, this policy will be loaded to the documents library. Any previous versions
will be electronically archived by the Policy Administrator in the electronic Policy Drive
Archive Folder.
A signed hard copy of the policy will be forwarded to the Policy Administrator and an
electronic copy will be saved by the Policy Administrator in the electronic Policy Drive.
Disciplinary Policy Page 24 of 42

Further copies of current and archived policies can be obtained from the Policy
Administrator including versions in large print, Braille and other languages.
5.4 Equality Impact Assessment
Peninsula Community Health aims to design and implement services, policies and
measures that meet the diverse needs of our service, population and workforce, ensuring
that none are placed at a disadvantage over others.
As part of its development, this strategy and its impact on equality have been assessed.
The assessment is to minimise and if possible remove any disproportionate impact on
employees on the grounds of race sex, disability, age, sexual orientation or religious belief.
No detriment was identified.
6. Process for Monitoring Effective Implementation
The effective implementation of this policy will be monitored by the Workforce Directorate
in conjunction with the JPC. In addition, the number of active formal capabilities for PCH
will be reported monthly by the HR Team and the findings reported to the Board. Any
changes in employment legislation which impact on the policy will be updated by the HR
Team and the JPC will be informed. The Grievance Policy will be reviewed every 3 years
from the date of ratification.
7. Associated Documentation
This document references the following supporting documents which should be referred to
in conjunction with the document being developed.
Short and Long Term Absence MGNs.
Fraud and Corruption Policy
Dignity at Work Policy
Equality and Diversity Policy
Complaints Procedure
Grievance Policy & Procedure
Capability Policy & Procedure
Local Counter Fraud Service/HR Working Protocol
CRB Policy
Whistleblowing Policy
Data Protection Policy
Physical and Non Physical Assault Policy Safeguarding Policies
8. References
Department of Health. (2005). Promoting equality and human rights in the NHS - a guide
for non-executive directors of NHS boards. Available at: www.dh.gov.uk.
NHS Code of Conduct
NHS Constitution
DH Document ‘Applying appropriate sanctions consistently’
Restriction of Practice and Exclusion from Work Directions (2003
Maintaining High Professional Standards for Medical and Dental Staff
ACAS Code of Practice 2009Policy for the Development and management of procedural
documents. CIOS Community Health Services. Available at
http://cwlintranet/DocLibrary/default.asp
Disciplinary Policy Page 25 of 42

APPENDIX A
FLOWCHART
HANDLING DISCIPLINE
• Always follow PCH’s Disciplinary Policy and Procedure
• Consider mediation at any stage where it may help resolve issues
• Provide employees with an opportunity to appeal against any sanction imposed through the
disciplinary policy
Take informal action
if appropriate including
• Informal but
Recorded Warning
• File Note
(see section 7.4 and
Appendix C)
Issue resolved
= action complete
Take Formal Action
• Assess the issue
• Inform the
employee
• Investigate
• Hold a
disciplinary
hearing
• Allow the
employee to be
accompanied
• Decide on
disciplinary action
(see section 7.5)
Inform employee of
result
• No action
• First written
warning
• Final written
warning
• Dismissal or
other sanction
(see section 7.11)
Conduct or
performance fails to
improve sufficiently
= take further
action
Provide employees with
an opportunity to
appeal
(see section 7.18)
Conduct or
performance
improve =
action
complete
Employee
dismissed
Disciplinary Policy Page 26 of 42

APPENDIX B
DISCIPLINARY RULES
Introduction
The disciplinary rules in this document are provided to set out the general standards of conduct and
behaviour at work that can be reasonably expected by PCH of its employees. Whilst it is not
possible to list all acts that could warrant disciplinary action, these rules serve as a guide. The
rules are supplemented by other Organisational policies and procedures that also set out required
standards of conduct and behaviour.
General Rules
All employees are expected to provide efficient and courteous service and to cooperate generally in
accordance with their terms and conditions of employment, professional codes of conduct (where
applicable), organisational/departmental policies and procedures.
All employees are expected to attend work regularly and punctually and to seek approval for any
leave in advance, or, in the case of special leave, as soon as is reasonably practicable. For
unplanned absences, all employees are required to notify PCH as soon as possible in accordance
with the laid down reporting process.
In the event of sickness absence, all employees are required to report their absence and submit a
self-certificated sickness absence form (for sickness absence of 7 days or less) or a ‘Fitness to
Work’ Certificate (for sickness absence exceeding 7 days) in accordance with PCH's sickness
management guidelines.
PCH will not tolerate any discrimination, bullying and harassment by employees. Failure to comply
with these general rules and standards will result in disciplinary action being taken in accordance
with this procedure.
It should also be noted that a failure to comply with the organisation’s policy on gifts and hospitality
will be dealt with as a disciplinary matter.
The following are examples of types of misconduct, and the disciplinary sanctions that they may
attract. For further guidance on unacceptable conduct, please refer to PCH’s policies and
procedures.
Misconduct
The following are examples of actions that may be regarded as warranting disciplinary action and,
ultimately, for which dismissal may be appropriate if corrective action is not taken. Such examples
include but are not limited to:
Unauthorised absence – including non-notification of absence or return to work;
Poor timekeeping – every employee is required to give constant regular attendance within the
terms of their contract of employment;
Poor standard of dress – in relation to agreed uniform and dress requirements for each department;
Insubordination – e.g. non-cooperation, insolence, refusing to obey reasonable instructions from a
line manager or other manager;
Poor standard of work – where this relates to conduct rather than skill (which should be addressed
through the Capability Procedure);
Non-attendance for training - failure to attend mandatory, contractual or legally required training.
Disciplinary Policy Page 27 of 42

Serious Misconduct
Certain types of misconduct may lead directly to the issue of a higher-level warning such as a final
written warning. Such examples include but are not limited to:
Repeated and/or wilful failure to carry out safe working practices and procedures;
Failure or refusal to comply with established operational, legal or other organisational procedures
that could result in serious error, risk or offence to others or to organisational property/ premises;
Repeated breaches of less serious offences e.g. those categorised under misconduct;
Serious verbal assault;
Misuse of the organisations’ facilities;
Serious insubordination - e.g. failure to obey a reasonable instruction where this failure could result
in loss, damage or injury.
Covert/unauthorised electronic recording of meetings.
Gross Misconduct
Where an offence is so serious as to breach the basis of the employment contract, then this will be
regarded as gross misconduct and will normally lead to summary dismissal, unless there are sound
mitigating circumstances. The following are examples of behaviour that may constitute gross
misconduct, and include but are not limited to:
Indecency - any act of indecency against a patient, member of staff or member of the public that is
related to employment with PCH;
Theft – any instances of theft from PCH or from a patient, member of staff or member of the public
and related to employment with PCH;
Fraud – or attempt to defraud PCH, patient, member of staff or member of the public and being
related to employment with PCH. Fraud may include the deliberate falsification of time sheets and
travel claims, and obtaining employment by deception;
Deliberate falsification of records;
Fighting or Assault – any physical violence or extreme verbal assault upon a patient, member of
staff or member of the public that is related to employment with PCH;
Inappropriate Behaviour – that affects the dignity of work of employees, agency staff, contractors,
patients, visitors or any third parties, for example, acts of harassment, bullying or intimidation,
including verbal abuse;
Deliberate Damage – to the organisations’ property, patient property or property belonging to a
member of the public or another member of staff;
Corruption – including any breach of PCH’s Standing Orders/Standing Financial Instructions and
PCH’s policy on Standards of Business Conduct;
Gross Carelessness/Negligence – any action or failure to act which threatens the health or safety of
patients, members of the public or other staff;
Being unfit for duty – other than for a medical reason (e.g. through abuse of alcohol or drugs where
the employee does not claim to have a drink or drugs problem);
Serious Breach of Confidentiality – including matters relating to patients and confidential staff
matters, including breaches of PCH’s Whistleblowing and Data Protection Policies. (e.g.
disclosure of personal or sensitive information without appropriate permission from the owner of
that information);
Deliberate infringement of health and safety policy or legislation – or behaviour which is likely to
endanger the health, safety and welfare of others;
Deliberately accessing Internet sites – containing obscene, pornographic or offensive material;
Serious misuse of the organisation's name or property;
Repeat serious misconduct;
Unauthorised access/entry to computer records;
Wilful contravention of the organisations’ policies or professional codes of conduct;
Bribery – giving or offering a financial or other advantage to procure or reward:
Disciplinary Policy Page 28 of 42

improper exercise or a public or business activity; requesting or receiving a bribe; bribing a public
official to win or retain business.
Note: With regard to allegations/offences committed outside PCH, the relevance of the case to
PCH and the individuals’ employment will be considered on a case by case basis.
Staff with a Drink, Drug or Substance Misuse Problem
When an employee acknowledges during the course of an investigation or during a disciplinary
meeting that they have such a problem or addiction, which has been the cause of the incident,
managers must ensure that they are given support via Occupational Health. Action short of
dismissal may be appropriate in these circumstances, allowing time for the employee to obtain the
help needed. Continued offences, despite having been offered and/or received help, could then
result in dismissal.
Disciplinary Policy Page 29 of 42

APPENDIX C
THE INFORMAL STAGE – GUIDANCE
Cases of misconduct or unsatisfactory performance are usually best dealt with informally. A quiet
word is often all that is required to improve an employee’s conduct or performance. Managers are
encouraged to therefore use appropriate discretion in managing such issues whilst noting that
where more serious matters have arisen or where an informal approach has not worked, formal
action under the Disciplinary Policy should be considered.
Dealing with issues at the informal stage is not disciplinary action but is part of the normal
day-to-day management of employees.
How should it be done?
Talk to the employee in private. This should be a two-way discussion aimed at discussing possible
shortcomings in conduct or performance and encouraging improvement. Criticism should be
constructive, with the emphasis being on finding ways for the employee to improve and for the
improvement to be sustained. The meeting is informal so there should be no need for other
management support such as HR to be present and the employee is not entitled to be
accompanied by a Trade Union representative or a work colleague; this however may be varied by
agreement.
The manager must tell the employee what has gone wrong, listen to the employee’s explanation
and should also try and find out if there is any underlying difficulty such as a domestic or health
problem. It may become evident there is no problem – if so make this clear to the employee.
The manager may decide that simply speaking to the employee about the problem will be
sufficient to get the message across OR
To speak to the employee and give an informal but recorded warning. Although this
appears to be a contradiction in terms, its use as a suitable corrective measure is well
established. The employee is told that a formal written warning will not be issued but a note
will be kept that an interview was necessary and a specified improvement is sought. This
low-level warning is still within the informal stage of the disciplinary procedure.
In either case, the employee must be told:
That they have not behaved in the correct way or to the standard required;
That they are being cautioned about this;
How it will be reviewed and over what period.
That the probable consequences of a further breach of discipline will be to start the formal
disciplinary procedure.
Be careful that any informal action does not turn into formal disciplinary action, as this may
unintentionally deny the employee certain rights, such as the right to be accompanied by a Trade
Union representative or a work colleague. If during the discussion it becomes obvious that the
matter is more serious, the meeting should be adjourned and the employee advised that the matter
will be continued under the formal disciplinary process.
Keep brief notes of any agreed informal action for reference purposes. There should be regular
reviews of progress over specified periods.
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Consider at any stage whether the use or advice of a third party may be helpful. This might include
an independent mediator or informal input from a member of the Human Resources team, the
employee’s Trade Union or the Occupational Health Department.
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APPENDIX D
AUTHORITY TO TAKE ACTION UNDER THE DISCIPLINARY POLICY
The following levels of authority apply when taking action under the disciplinary policy and
procedure:
Informal Action
Any supervisor or line manager who has a legitimate supervisory/managerial relationship with an
employee can take informal action.
Formal Action
A disciplinary issue that could lead to a disciplinary hearing can be commissioned and heard by
managers at Team Leader level or above (usually at least Band 6 or equivalent). Where a
disciplinary hearing may result in a final written warning or some other sanction short of dismissal a
more senior manager should be considered for the disciplinary hearing.
For dismissal or suspension the level of officers who have authority include:
• The Chairman in respect of the Chief Executive;
• The Chairman and Chief Executive in respect of other Executive and Service Directors;
• Directors, Associate, Assistant/Deputy Directors.
• Heads of Department
• Company Secretary
• Head of Corporate Compliance
• Consultant in Public Health Medicine
• Locality Managers
• HR Managers
Training
Managers involved in disciplinary matters should have received the appropriate level of training and
should seek advice from the Human Resources Department.
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APPENDIX E
DISCIPLINARY HEARING PROCEDURE
The purpose of the disciplinary hearing is to establish the facts so that a fair decision can be made
on whether any disciplinary action is appropriate, and what level. It is not to try to catch people out.
A disciplinary hearing should be heard and chaired by the appropriate manager who should be
supported by a member of the Human Resources Department. Depending on the seriousness of
the offence, the hearing may need to be chaired by a senior manager authorised to issue the
appropriate level of disciplinary action, including dismissal. Where relevant it might also be
appropriate for another manager to be on the panel e.g. where there are issues potentially related
to an employee’s profession that would require decision-making input from an appropriate
professional advisor (as opposed to input as a witness).
Disciplinary hearings may not necessarily proceed in neat, orderly stages but the process set out
below is considered good practice:
The manager presiding (Chair) should:
• Introduce those present to the employee and explain why they are there;
• Introduce and explain the role of the person accompanying the employee if they are
present;
• Explain that the purpose of the meeting is to consider whether disciplinary action should be
taken in accordance with PCH’s disciplinary procedure;
• Explain how the meeting should be conducted (this is outlined below);
• Confirm that the employee has received all of the appropriate documentation including
relevant statements;
• Ensure that any special needs have been taken into consideration (for example if the
employee has a disability or requires an interpreter);
• Advise that the employee may request an adjournment during the proceedings if they wish
to discuss an issue with their companion or for comfort purposes.
The process:
1. Statement of allegations
The allegations that have been made about the employee shall be clearly outlined by going through
the evidence that has been gathered. In cases where the facts were not in dispute and no formal
investigation took place there may not be an investigating officer involved. It is still however
essential that the evidence available is clearly presented and the employee (or his/her
representative) is able to question this.
Where an investigating officer has undertaken an investigation he/she shall state the evidence in
the presence of the employee and his/her representative and may call witnesses.
The employee (or his/her representative) shall have the opportunity to ask questions of the
investigating officer and witnesses.
The members of the panel shall have the opportunity to ask questions of the investigating officer
and witnesses.
The investigating officer shall have the opportunity to re-examine his/her witnesses on any matter
referred to in their examination by members of the panel, the employee or his/her representative.
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2. Employee’s Response
The employee or his/her representative shall put his/her case in the presence of the investigating
officer and may call witnesses.
The investigating officer shall have the opportunity to ask questions of the employee, his/her
representative and his/her witnesses.
The members of the panel shall have the opportunity to ask questions of the employee, his/her
representative and his/her witnesses.
The employee or his/her representative shall have the opportunity to re-examine his/her witnesses
on any matter referred to in their examination by members of the panel or the investigating officer.
3. General Questioning and Discussion
During the process of the respective parties presenting their cases and asking questions the
presiding manager should:
establish all the facts;
ask the employee if they have any explanation for the alleged misconduct or unsatisfactory
performance, or if there are any special circumstances to be taken into account;
if it becomes clear during this stage that the employee has provided an adequate
explanation or there is no real evidence to support the allegation, bring proceedings to a
close;
keep the approach formal and polite and encourage the employee to speak freely with a
view to establishing the facts. Use questions to clarify issues and to check what has been
said is understood;
not get involved in arguments and not make personal or humiliating remarks.
Avoid physical contact or gestures that could be misinterpreted or misconstrued as
judgmental.
If new facts emerge it may be necessary to adjourn the meeting to investigate them and reconvene
the hearing when this has been done.
4. Summing Up
Once all questioning is finished the investigating officer is given the opportunity to sum up the
complaint and the evidence heard during the hearing. If there is no investigating officer the
presiding manager will summarise the main points of the discussion.
The employee (or his/her representative) is then provided with the opportunity to sum up.
It is not appropriate for any new evidence to be introduced at this stage. If new information is
raised by either party the presiding manager should consider whether it is appropriate to allow
further questioning, in which case a further opportunity to sum up will be provided to all parties.
5. Adjournment
Once all the cases have been made and the parties have summed up the hearing shall be
adjourned before a decision is made about whether a disciplinary penalty is appropriate. This
allows time for reflection and proper consideration. It also allows for any further checking of any
matters raised, particularly if there is a dispute over facts.
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6. Advising of the Outcome
In most cases the panel would expect to reconvene on the same day after an appropriate
adjournment to advise the parties of the outcome. In certain cases however, where the issues are
complex or where there is insufficient time available for a fair consideration to be made, it may be
necessary to either reconvene at a later date or inform the employee in writing.
Where it is not possible to reconvene and inform the employee on the same day, the panel should
advise the employee of this and when and how they will hear of the outcome.
In considering what outcome is appropriate the panel will take into consideration the factors
outlined in section 7.11 of PCH’s Disciplinary Procedure.
On being advised of the outcome the employee will also be informed of their right to appeal, and
that the decision will be confirmed in writing.
7. Dealing with Problems that may arise during the Hearing
Hearings may not always go as planned for a number of reasons. This section provides guidance
on handling potential issues that may arise.
Grievances
If an employee raises a grievance during the Disciplinary Hearing it may sometimes be appropriate
to consider stopping the hearing and suspending the disciplinary procedure – for example when:
The grievance relates to an alleged conflict of interest regarding the manager holding the
disciplinary hearing;
Bias is alleged in the conduct of the disciplinary hearing;
Management have been selective in the evidence they have supplied to the manager holding the
hearing;
There is possible discrimination.
Where a grievance is raised the manager should adjourn the hearing and seek advice from Human
Resources to consider what steps should be taken. The employee should then be informed. It
would not be appropriate to suspend the hearing where the employee makes an invalid point. For
example if they mistakenly claim they have the right to be legally represented or that a collectively
agreed and applicable procedure does not apply to them because they are not a union member.
Anger and Distress
It is not uncommon for people to become angry or upset during a formal hearing (employees who
are subject to the process and witnesses). If this occurs allow time for them to regain composure
before continuing – where appropriate provide a brief adjournment.
Where the distress is too great consider adjourning and reconvening at a later date – however, the
issues should not be avoided. Advice may need to be sought from Occupational Health on the
employee’s fitness to engage in the process where the employee is absent from work for stressrelated
reasons.
During the hearing there may be some ‘letting off steam’, and this can be helpful in finding out what
has actually happened. However abusive language and behaviour should not be tolerated.
Disciplinary Policy Page 35 of 42

APPENDIX F
APPEAL PROCEDURE
Step 6 of the Disciplinary Procedure sets out the levels and timescales for appeals against formal
disciplinary action.
The appeal will not be a re-hearing of the case, but will be based on the stated grounds for appeal.
At the hearing of an appeal the following procedure shall be observed:
a) The appellant or the appellant’s representative shall put his or her case in the presence of
PCH’s representative and may call witnesses.
b) PCH’s representative shall have the opportunity to ask questions of the appellant and the
appellant’s representative and witnesses.
c) The members of the appeal panel shall have the opportunity to ask questions of the
appellant, and the appellant’s representative and witnesses.
d) The appellant or the appellant’s representative shall have the opportunity to re-examine his
or her witnesses on any matter referred to in their examination by members of the appeal
committee or PCH’s representative.
e) PCH’s representative shall state PCH’s case in the presence of the appellant and the
appellant’s representative and may call witnesses.
f) The appellant, or the appellant’s representative, shall have the opportunity to ask questions
of PCH’s representative and witnesses.
g) The members of the appeal panel shall have the opportunity to ask questions of PCH’s
representative and witnesses.
h) PCH’s representative shall have the opportunity to re-examine his or her witnesses on any
matter referred to in their examination by members of the appeal committee, the appellant
or the appellant’s representative.
i) PCH’s representative and the appellant or the appellant’s representative shall have the
opportunity to sum up their cases if they so wish. The appellant or the appellant’s
representative shall have the right to speak last. In their summing up, neither party may
introduce any new matter.
j) Nothing in the above shall prevent the members of the panel from inviting either party or a
representative to elucidate or amplify any statement they may have made, or from asking
them any questions necessary to clarify the case being made.
k) PCH’s representative, the appellant, the appellant’s representative and witnesses shall
withdraw.
l) Those hearing the appeal (and in appeals against dismissal the officer appointed as
secretary to the panel) shall deliberate in private only recalling both parties to clear points of
uncertainty on evidence already given. If recall is necessary, both parties shall return to
ensure everyone hears what is discussed.
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m) No statement of previous acts of misconduct by the employee or the issue of a formal
warning or warnings unrelated to the alleged offence(s) on which the disciplinary action is
based, shall be made until after the panel has reached a decision on the appeal.
n) The panel shall reconvene and advise the appellant and representative of the outcome and
confirm that this is the final level of appeal. If the decision overturns or changes the
previous disciplinary action, arrangements will be agreed on the implications e.g. if a
dismissed employee is to be re-engaged or re-instated or an alternative such as training is
required in place of a formal warning.
o) A letter formally advising the appellant of the outcome of the appeal will be sent within 5
working days of the appeal hearing. The letter must also confirm that the decision of the
appeal panel is final and there is no further appeal stage available.
Disciplinary Policy Page 37 of 42

Initial Equality Impact Assessment Screening Form
APPENDIX G
Disciplinary Policy and Procedure
Initial Equality Impact
Assessment
Pro Forma
Disciplinary Policy Page 38 of 42

Section Workforce/HR Officer responsible for the assessment CB
Name of Policy to
be assessed
Disciplinary Policy and Procedure
Date of
Assessment
14.07.12 Is this a new or existing
policy?
New
1. Briefly describe the aims, objectives and
purpose of the policy.
The purpose of this policy and procedure is to inform and encourage all employees to
achieve and maintain high standards of conduct and job performance and to provide a fair
and consistent method of dealing with alleged failures to meet them.
Improve job performance and consequently the efficiency and effectiveness of the CIOSPCT
2. Are there any associated objectives of the
policy? Please explain.
3. Who is intended to benefit from this policy, All employees of the CIOSPCT (noting the proviso regarding Medical and Dental staff set
and in what way?
out in Section 2.1.1); patients will also benefit from effective management of performance.
4. What outcomes are wanted from this policy? Improved job performance; an informed approach to dealing with disciplinary issues
5. What factors/forces could contribute/detract
from the outcomes?
Who are the main
stakeholders in relation to
the policy?
Communication issues; the degree of awareness by line managers of the appropriate
process to follow
7. Who implements the policy, All managers and
and who is responsible for the supervisors with advice
policy?
from the HR Dept.
All employees of the CIOSPCT (but note 2.1.1
regarding Medical & Dental staff);
8. Are there concerns that the policy could have
a differential impact on RACIAL groups? N
Please explain
What existing evidence (either presumed or
otherwise) do you have for this?
9. Are there concerns that the policy could have
a differential impact due to GENDER (including
TRANSGENDER)?
The existence of this policy should ensure that PCH, through its managers, adopts a
consistent approach to dealing with disciplinary matters for all staff including individuals
covered by protected characteristics. The policy emphasises PCH’s commitment to the
principles of equality, diversity and human rights. (7.1.10) PCH respects employees from all
racial backgrounds as evidenced in its Equality, Diversity and Human Rights Policy
N
What existing evidence (either presumed or
otherwise) do you have for this?
The objective of this policy is to ensure all disciplinary issues are dealt with consistently and
fairly, regardless of the characteristics of the employee concerned. The Policy makes clear
PCH’s commitment to ensure that no person is discriminated against on the grounds of their
gender or transgender status (7.1.10)
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10. Are there concerns that the policy could
have a differential impact due to DISABILITY? N
What existing evidence (either presumed or
otherwise) do you have for this?
11. Are there concerns that the policy could
have a differential impact due to SEXUAL
ORIENTATION?
As above. The policy makes provision for reasonable adjustments to be made so as not to
discriminate against disabled people (see 7.1.9 and section 7.23 - which would include
arranging meetings in ground-floor rooms which are easily accessible)
N
What existing evidence (either presumed or
otherwise) do you have for this?
As above. The Policy makes clear PCH’s commitment to ensure that no person is
discriminated against on the grounds of their sexual orientation (7.1.10)
12. Are there concerns that the policy could
have a differential impact due to their AGE? N
What existing evidence (either presumed or
otherwise) do you have for this?
13. Are there concerns that the policy could
have a differential impact due to their
RELIGIOUS BELIEF?
What existing evidence (either presumed or
otherwise) do you have for this?
The objective of this policy is to ensure all disciplinary issues are dealt with consistently and
fairly, regardless of the characteristics of the employee concerned. The Policy makes clear
PCH’s commitment to ensure that no person is discriminated against on the grounds of their
age (7.1.10)
N
The objective of this policy is to ensure all disciplinary issues are dealt with consistently and
fairly, regardless of the characteristics of the employee concerned. The policy makes
provision for reasonable adjustments to be made so as not to discriminate against people on
the grounds of religious belief (7.1.10 and 7.23)
Disciplinary Policy Page 40 of 42

14. How have the Core Human Rights Values
of:
Fairness;
Respect;
Equality;
Dignity;
Autonomy
The Core Human Rights Values underpin this policy, which has been formulated with these
underlying principles in mind and in line with PCH’s commitment to equality, diversity and
human rights as set out in its Equality and Diversity Policy and the Equality, Diversity and
Human Rights Scheme 2009-2012.
Employees who are involved in disciplinary procedures will have their individual needs taken
into account and will be treated with dignity and respect (see sections 7.1.10 and 7.23).
Been considered in the formulation of this
policy/strategy
If they haven’t please reconsider the document
and amend to incorporate these values.
15. Which of the Human Rights Articles does
this document impact?
What existing evidence (either presumed or
otherwise) do you have for this?
The right:
To life;
Not to be tortured or treated in an inhuman or degrading way;
To be free from slavery or forced labour;
To liberty and security;
To a fair trial;
To no punishment without law;
To respect for home and family life, home and correspondence;
To freedom of thought, conscience and religion;
To freedom of expression;
To freedom of assembly and association;
To marry and found a family;
Not to be discriminated against in relation to the enjoyment of any of the
rights contained in the European Convention;
To peaceful enjoyment of possessions and education;
To free elections
X
X
The policy is underpinned by a commitment to protect the rights of individuals who work for
PCH and who may become subject to, or involved in, disciplinary procedures. (See 14
above).
Yes
X
X
X
X
X
X
X
X
X
X
No
X
X
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16. Could the differential impact
identified in 8 – 13 amount to
there being the potential for
adverse impact in this policy?
17. Can this adverse impact be
justified on the grounds of
promoting equality of
opportunity for one group? Or
any other reason?
Y
N
N
N/A
Please explain for each equality heading (questions 8 –13) on a separate piece of paper.
18. Should the policy proceed
to a full equality impact
assessment?
N
17. If Yes, describe why, then proceed to a full EIA.
18. If No, are there any minor further amendments that should take place? NO
19. If a need for minor amendments is identified, what date were these completed and what
actions were undertaken.
Signed (completing officer) ……… C C Burnham…………………………………….. Date 14.07.12
Signed (Head of Section) ……………………………………………………….. Date
Please ensure that a signed copy of this form is sent to both the Policies Officer and the Equality and Diversity lead to be placed on the PCH
website.
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