WORKING AT NUH UNDER AN HONORARY CONTRACT OR LETTER OF AUTHORITY POLICY
Documentation Control
Reference / HR/PT&C/025Approving Body / Trust Board
Date Approved / 6 October 2011
Implementation Date / 6 October 2011
Version / 1
Supersedes / n/a
Consultation undertaken / Human Resources, Staff Side and JLNC, Directors’ Group
Date of Completion of Equality Impact Assessment / April 2011
Date of Completion of We Are Here For You Assessment / April 2011
Date of Environmental Impact Assessment (if applicable) / Not applicable
Target Audience / All managers and staff
Supporting Documents and References / Recruitment and Selection Policy Corporate and Local Induction Policy
Obtaining Disclosures through the Criminal Records Bureau Policy
Review Date / October 2014
Lead Executive / Director of HR
Author/Lead Manager / Assistant Director of Human Resources (Resourcing and Planning)
Further Guidance/Information / Directorate HR Managers
CONTENTS
1 / Policy Statement / 5
2 / Definitions / 6
3 / Roles & Responsibilities / 6
4 / Obtaining an Honorary Contract / 7
5 / Obtaining a Letter of Authority / 8
6 / Consultation / 9
7 / Relevant Legislation/National Guidance / 9
8 / Implementation and Monitoring / 9
9 / Equality and Diversity Statement / 10
10 / Equality Impact Assessment Statement / 10
11 / Environmental Impact Assessment Statement / 10
12 / We Are Here For You Mission Statement / 11
13 / Associated Documents and References / 11
14 / Advice / 11
Appendix 1 / Honorary Contracts Application Form and Guidance / 12
Appendix 2 / Honorary Contracts Pre-employment Checklist / 18
Appendix 3 / Example Honorary Contract / 20
Appendix 4 / Request for letter of Authority / 23
Appendix 5 / Example letter of Authority / 25
Appendix 6 / Flowchart / 26
Appendix 7 / Equality Impact Assessment Report Outline / 27
Appendix 8 / Certification of Employee Awareness / 31
POLICY FOR WORKING AT NUH UNDER AN HONORARY CONTRACT OR LETTER OF AUTHORITY
1. POLICY STATEMENT
1.1 In addition to its core workforce, Nottingham University Hospitals NHS Trust (NUH) will, from time to time, engage the services of persons, who are not paid employees, to carry out regular or ad-hoc work on behalf of the Trust.
1.2 This policy covers non-NUH employed individuals working at NUH for a specific purpose, for example those carrying out research or audit, doctors undertaking clinical attachments for development or teaching, University employees who have retained a requirement to undertake some clinical practice or visiting healthcare professionals.
1.3 This policy does not cover
· Clinical academics who are employees of the University of Nottingham where a joint appointment process and for whom permanent contractual arrangements have been made.
· Volunteers
· Students on clinical placement
· School students undertaking supervised work experience (see separate Work Experience Policy)
· Researchers covered under a separate Research Passport agreement
· Workers covered by a service level agreement between the Trust and a third party provider
· Temporary staff employed through an externally run bank or employment agency.
1.4 All persons undertaking authorised but unpaid work at NUH who are not covered by the exceptions in 1.3 must be covered by either an honorary contract or letter of authority (see definitions section).
1.5 Honorary contracts or letters of authority will only be issued to those undertaking work that has been authorised by an Appointing Officer/Lead Clinician/Lead Researcher and only after evidence that pre-employment checks that meet the NHS Employment Check Standards has been confirmed and documented.
1.6 Honorary contracts for research will only be granted where evidence of Ethics Committee approval can be provided.
1.7 Under normal circumstances the period of work will be of a fixed duration and once the end date is reached the contract or letter of authority will cease.
1.8 All persons undertaking work as defined in this policy are not considered as employees and receive no direct payment from the Trust. Except for those employed elsewhere in the NHS, work done at NUH under this policy does not count as NHS service for the purpose of employment rights.
2. DEFINITIONS
2.1 Honorary Contract – A contract issued by HR to authorised workers who are paid by another non-NHS organisation and whose employment remains with that other organisation. Without an honorary contract the worker will not be covered by NHS indemnity. Workers undertaking such a role will be subject to the same level of pre-employment checks as a substantive employee in line with the Trust’s Recruitment and Selection Policy and NHS Employment Check Standards. The honorary contract includes reference to key Trust documents including confidentiality, health and safety and standards of behaviour.
2.2 Letter of Authority – A letter issued by HR to workers employed by another NHS organisation but who carry out work at NUH. As already employees of the NHS, NHS indemnity will cover the work they do. The substantive employer will need to confirm that all pre-employment checks have been completed in line with the NHS Employment Check Standards.
3. ROLES AND RESPONSIBILTIES
3.1 It is the responsibility of the Director of Human Resources to ensure the Policy for working at NUH under an Honorary Contract or Letter of Authority complies with current legislation, NHS guidance, and recognised best practice.
3.2 It is the responsibility of line managers to comply with this policy and to obtain an honorary contract or letter of authority before allowing non-NUH employed persons to undertake work on behalf of the Trust.
3.3 For research work, the appointing manager must have secured written permission from the Ethics Committee before allowing any research to commence.
3.4 It is the responsibility of HR to issue honorary contracts and letters of authority only on completion of the appropriately authorised request form and supporting evidence of pre-employment checks.
3.5 It is the responsibility of line managers to have in place a robust bring forward system to ensure that either the work ceases at the end of the period covered by the honorary contract/letter of authority or that a renewal is obtained before the expiry date.
4. OBTAINING AN HONORARY CONTRACT
4.1 Where a line manager wishes to support a person who is not already employed elsewhere in the NHS to undertake work at NUH a request for an honorary contract must be made using the application form in Appendix 1. This must be completed and signed by an appropriately authorised manager.
4.2 It is important that all persons undertaking work on behalf of the Trust are subject to the same level of scrutiny regarding competence and pre-employment checks. HR will not therefore process any applications for honorary contracts unless the form is fully completed and evidence of all pre-employment checks is confirmed on the pre-employment check sheet (Appendix 2)
4.3 Subject to the necessary pre-employment check assurances, HR will arrange for two copies of the honorary contract to be issued to the manager (See Appendix 3 for an example). One copy will be for the worker and the second copy for retention by the manager. Work cannot commence until HR has issued the document.
4.4 Line managers are responsible for the worker and must therefore ensure that appropriate induction and any on-going training for the worker is provided. Honorary contract holders must be given a NUH identity badge.
4.5 If the manager has any concerns about the competence, behaviour or attendance of the worker this must be immediately addressed. If concerns are so serious that if the worker had been an employee at NUH he or she would have been seen formally under any of the Trust’s HR policies this should be discussed with HR and the substantive employer so that agreement can be reached on the process for dealing with this.
4.6 Line managers must set up and maintain a brief personal file with a copy of relevant paperwork, training records etc. and must ensure that professional registration, where required, remains current for the duration of the work.
4.7 At the end of the agreed period of work, managers are responsible collecting any Trust property from the worker including ID card, smartcard, office keys etc. and for ensuring the worker’s access to all Trust buildings and computer systems is removed.
5. OBTAINING A LETTER OF AUTHORITY
5.1 If an employee of another NHS organisation will be visiting NUH to observe, shadow or undertake work at the Trust, an honorary contract is not required as the worker will already be covered by NHS terms and conditions and NHS indemnity. The worker does not however have a right to work and the worker can only be accommodated with the express permission of the Trust by way of a letter of authority. A letter of authority should be requested from HR using the request letter in Appendix 4. Confirmation that all pre-employment checks have been undertaken should be obtained from the employing Trust and a copy of this should be attached to the request letter. Where required this must specifically include current professional registration, CRB and Exposure Prone Procedure (EPP) clearance.
5.2 The duration of such a visit should not under normal circumstances be
for more than a week and the end date must very clearly be stated on the letter.
5.3 Subject to the necessary pre-employment check assurances, HR will
arrange for two copies of the letter of authority to be issued to the manager (See Appendix 3 for an example). One copy will be for the worker and the second copy for retention by the manager. Work cannot commence until HR has issued the letter.
5.4 Line managers are responsible for supervising the worker and must ensure that appropriate local induction is provided.
5.5 As the worker will already have an NHS identity card from their employing Trust, it is not necessary to issue a NUH identity card due to the short duration of the visit. The worker must wear their own identity badge at all times and must carry a copy of their letter of authority in case of challenge.
5.6 If the manager has any concerns about the competence, behaviour or attendance of the worker this must be immediately addressed. If concerns are so serious that had the worker been an employee he or she would have been seen formally under any of the Trust’s HR policies this should be discussed with HR and the substantive employer so that agreement can be reached on the process for dealing with this.
6. CONSULTATION
This policy document has been reviewed in consultation with members of the HR Department, JLNC and Staff Side.
7. RELEVANT LEGISLATION/NATIONAL GUIDANCE
This policy complies with:
· NHS Employers Employment Check Standards
· NHS Indemnity – Clinical Negligence Claims in the NHS
8. IMPLEMENTATION AND MONITORING
This policy will be communicated via the Trust’s Briefing and copy will be placed on the Trust’s intranet site.
The Assistant HR Manager (Resourcing and Planning) will monitor compliance with the policy.
9. EQUALITY AND DIVERSITY STATEMENT
9.1 All patients, employees and members of the public should be treated fairly and with respect, regardless of age, disability, gender, marital status, membership or non-membership of a trade union, race, religion,
domestic circumstances, sexual orientation, ethnic or national origin,
social and employment status, HIV status, or gender re-assignment.
9.2 All trust polices and trust wide procedures must comply with the relevant legislation (non exhaustive list) where applicable:
· Equality Act (2010)
· Employment Relations Act (1999)
· Rehabilitation of Offenders Act (1974)
· Human Rights Act (1998)
· Trade Union and Labour Relations (Consolidation) Act (1999)
· Part Time Workers - Prevention of Less Favourable Treatment Regulations (2000)
· Fixed Term Employees - Prevention of Less Favourable Treatment Regulations (2001)
10. EQUALITY IMPACT ASSESSMENT STATEMENT
10.1 NUH is committed to ensuring that none of its policies, procedures, services, projects or functions discriminate unlawfully. In order to ensure this commitment all policies, procedures, services, projects or functions will undergo an Equality Impact Assessment.
10.2 A copy of the Equality Impact Assessment for this policy can be found in Appendix 5.
10.3 Reviews of Equality Impact Assessments will be conducted in line with the review of the policy, procedure, service, project or function.
11. ENVIRONMENTAL IMPACT ASSESSMENT STATEMENT
11.1 The environmental impact of this policy has been considered and no further action is required at this time.
12. WE ARE HERE FOR YOU STANDARD MISSION STATEMENT
12.1 This Trust is committed to providing the highest quality of care to our patients, so we can pledge to them that ‘we are here for you’. This Trust supports a patient centred culture of continuous improvement delivered by our staff. The Trust established the Values and Behaviours programme to enable Nottingham University Hospitals to continue to improve patient safety, outcomes and experiences. The set of twelve agreed values and behaviours explicitly describe to employees the required way of working and behaving, both to patients and each other, which would enable patients to have clear expectations as to their experience of our services.
13. ASSOCIATED DOCUMENTS AND REFERENCES
NUH Recruitment and Selection Policy
NUH Corporate and Local Induction Policy
Obtaining Disclosures through the Criminal Records Bureau Policy
14. ADVICE
Advice on the application of the processes detailed in this policy is available from any HR Manager.
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Working at NUH under an Honorary Contract or Letter of Authority Policy
Version 1
October 2011
Appendix 1
Honorary Contract – Application Form & Guidance Notes
If you are planning to commence at Nottingham University Hospitals NHS Trust Nottingham on an agreed work programme or to conduct/participate/undertake research involving Nottingham University Hospitals NHS Trust staff, patients, organs, tissues or data (in any way) you must have an Honorary Contract issued by the Nottingham University Hospitals Department of Human Resources.
If you do not have an honorary contract you are not authorised to work at Nottingham University Hospitals NHS Trust or with Nottingham University Hospitals NHS Trust staff, patients, organs, tissues or data.