disciplinary policy & procedure - West Hertfordshire Hospitals NHS ...

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Managers have a particular responsibility to ensure disciplinary processes do not discriminate in the provision of their service or in the employment of staff. The Trust monitors and publishes information on the profile of its workforce based on age, disability, ethnicity, gender and marital status and appropriate actions will be taken by the Equality & Diversity Group to identify and address any problems. 5. MANAGER RESPONSIBILITIES • To ensure that employees are aware of the Disciplinary Policy and Procedure and inform staff of the disciplinary rules and issues relating to misconduct and gross misconduct which will result in disciplinary action • To make clear to staff the rules, regulations and standards of conduct which they are expected to observe / achieve • To ensure that the informal stage is used wherever possible prior to any formal action being taken • To deal appropriately with employees whose conduct falls short of that required by the Trust • To involve the appropriate HR Adviser where potential misconduct has been identified • To consult with a senior member of the HR department prior to taking a decision to suspend an employee • To keep appropriate written documentation relating to incidents of alleged misconduct • To treat all employees fairly by applying the policy consistently and ensuring that any personal information is kept in complete confidence • To apply the incident decision tree process as set in the Incident Reporting and Investigation Policy for any patient safety related incidents to decide on the appropriate action to be taken • Request statements in a timely way – see Appendix 5 6. EMPLOYEE RESPONSIBILITIES • To read, understand and comply with the Disciplinary Policy and Procedure • To attend investigation meetings as required • To submit statements when requested in a timely way – see Appendix 5 7. HUMAN RESOURCES RESPONSIBILITIES • To assist managers in the fair and consistent application of the policy • To provide advice to employees and managers concerning individual conduct issues • To provide training to managers on conducting investigations, to include how to collect evidence and take witness statements, to ensure compliance with employment law • To support the Investigating Officer in conducting the investigation and presenting the management case at a disciplinary hearing where necessary • To provide advice and guidance to the panel of a disciplinary hearing / appeal • To record and monitor employee conduct cases and report on these with reference to equal opportunities data • To liaise with the Local Counter Fraud Service (LCFS) about allegations of potential fraud as detailed in Appendix 7 Page 4 of 30
8. GENERAL PRINCIPLES This policy and procedure is designed to help and encourage all employees to achieve and maintain standards of conduct within the context of the following general principles: • To help and encourage employees to improve behaviour rather than just as a way of imposing a punishment • To encourage employees to report clinical incidents and near misses that concern patient safety without fear of disciplinary action • To inform the employee of the allegation against them and to provide the opportunity to state their case before any decision is made • No disciplinary action will be taken against any employee until the case has been fully investigated unless the offence is sufficiently serious to warrant immediate suspension, which will be non-prejudicial • An employee will not be dismissed for a first disciplinary offence, unless it is an act of gross misconduct • Employees will have the right to be accompanied by a trade union representative or work colleague during a disciplinary investigation meeting, hearing or appeal • Employees will have the right to appeal against any formal disciplinary action taken including dismissal • The procedure may be implemented at any stage if the employee’s alleged misconduct warrants such action NB: Issues relating to sickness absence will be managed in line with the Managing Sickness Absence Policy. Concerns relating to employee job performance will be managed in line with the Performance Management Policy 9. MANAGING EMPLOYEE CONDUCT DAY-TO-DAY It is the responsibility of managers to set clear standards of expected behaviour and conduct and to undertake a regular reviews with staff. This forms part of the normal management process and does not form part of the disciplinary procedure. This is likely to mean less recourse to the formal procedure if deficiencies in an employee’s conduct are brought to his/her attention at the earliest possible stage by the line manager in the course of the employee’s normal duties. Where a manager considers that action should be taken to encourage an employee to improve their conduct, he or she should meet with the employee, although this may not be necessary for every offence. This meeting will be used to bring to the employee’s attention the aspects of conduct that are unsatisfactory, and to ascertain whether the employee recognises there is a problem. The manager and employee should agree acceptable standards of behaviour and a plan of action that must be confirmed in writing. The manager should provide training (if necessary) and close supervision, set targets and monitor the outcomes. The employee should commit him/herself to achieving the necessary improvements in their conduct. Page 5 of 30
Page 1 and 2: Disciplinary Policy / Version 4 Rat
Page 3: DISCIPLINARY POLICY & PROCEDURE 1.
Page 7 and 8: employee under investigation must n
Page 9 and 10: 10.6 Investigations into Allegation
Page 11 and 12: have a responsibility to ensure tha
Page 13 and 14: • Failure to comply with the Trus
Page 15 and 16: Representation Employees will have
Page 17 and 18: Appendix I INVESTIGATION OUTLINE -
Page 19 and 20: Section Headings: 1. Introduction E
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Page 27 and 28: 2.4 Inform the LCFS of any possible
Page 29 and 30: The LCFS will liaise with the Direc

disciplinary policy & procedure - West Hertfordshire Hospitals NHS ...

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