DISCIPLINARY POLICY

Version / 13
Name of responsible (ratifying) committee / HR Policy Group
Date ratified / 02 November 2017
Document Manager (job title) / Operational HR Manager
Date issued / 29 January 2018
Review date / 01 November 2019
Electronic location / Management/Human Resources Policies
Related Procedural Documents / Handling Concerns and Disciplinary Procedures for Doctors and Dentists, Capability Policy, Management of Attendance Policy, Email Usage Policy, Internet Usage Policy, Raising Concerns (Whistleblowing) Policy, ICT Security Policy, Appeals Procedure, Pre-Employment and Employment Checks Policy
Key Words (to aid with searching) / Discipline; Behaviour; Conduct; attendance; Gross misconduct; Dismissal; Investigation; Suspension; Appeal; Disciplinary procedures; Staff discipline; Staff suspension; Personnel procedures;

Version Tracking

Version / Date Ratified / Brief Summary of Changes / Author
13 / 02.11.17 / Review and removal of ‘stages’ / HR Manager
12 / 09.10.15 / Removal of sickness absence procedure to Management of Attendance Policy / HR Manager

CONTENTS

CONTENTS

QUICK REFERENCE GUIDE

1.INTRODUCTION

2.PURPOSE

3.SCOPE

4.DEFINITIONS

5.DUTIES AND RESPONSIBILITIES

6.PROCESS

7.TRAINING REQUIREMENTS

8.REFERENCES AND ASSOCIATED DOCUMENTATION

9.EQUALITY IMPACT STATEMENT

10.MONITORING COMPLIANCE WITH PROCEDURAL DOCUMENTS

EQUALITY IMPACT SCREENING TOOL

QUICK REFERENCE GUIDE

For quick reference the guide below is a summary of actions required. This does not negate the need for the document author and others involved in the process to be aware of and follow the detail of this policy.

  1. The policy sets out a framework for managing issues of misconduct It is designed to help and encourage staff achieve and maintain high standards of behaviour rather than being punitive.
  1. Employees are entitled to be accompanied at all meetings or hearings at any part of the formal stages of the procedure.
  1. As full an investigation as required will be carried out to enable the full facts of each case to be established.
  1. Where appropriate, matters should be addressed with individuals informally prior to considering use of the formal stages of the policy.
  1. Suspension of any employee should only be considered as a last resort. All other avenues enabling an employee to remain at work should be explored prior to making a decision to suspend.
  1. Employees will not normally be dismissed for a first breach of discipline except in the case of a finding of gross misconduct.
  1. Where a formal sanction is imposed, an employee will always have the right of appeal against that sanction.

1.INTRODUCTION

1.1Portsmouth Hospitals NHS Trust (“the Trust”) strives to be both the provider of choice for patients and the employer of choice for staff. It is therefore important that high standards of conduct, attendance and performance by its workforce are established and maintained.

1.2Where there are concerns about performance, lack of knowledge, experience, skill or aptitude, this will be dealt with through the Trust’s CapabilityPolicy.

1.3The policy aims to set out a framework whereby staff will be held to account for their actions and behaviours, and supported to seek improvement where these are not what is expected. The Trust also recognises that most failures are caused by weaknesses of systems and processes and not individuals per se and will therefore ensure that these are designed and continually improved upon where breaches occur.

1.4This policy is not contractual; the Trust therefore reserves the right to amend this policy as necessary to meet any changing requirements.

2.PURPOSE

2.1The policy is designed to help and encourage staff to achieve and maintain standards of conduct and attendance. The aim of the policy is to ensure consistent and fair treatment for all.

2.2As well as setting out a procedure for dealing with matters of staff discipline, the procedure in this policy will also be used for hearing other issues which may result in the dismissal of employees from the Trust, and for which there is no separate policy, for example expiry of work permits.

3.SCOPE

3.1This policy applies to all staff who are employed directly by the Trust, and deals with misconduct issues. Whereconcerns arise in respect of medical or dental staff, in the first instance, before deciding if it is appropriate to move to this policy, reference should be made to the Trust’s Policy on theHandling of Concerns and Disciplinary Procedures for Doctors and Dentists.

3.2In general, minor cases of misconduct will initially be brought to the employee’s attention informally through advice, coaching and counseling rather than through the disciplinary route. Such advice, coaching or counseling is not part of the formal disciplinary policy, although must still be documented.

3.3This policy may also be used to address concerns relating to conduct outside work.

In the event of an epidemic infection outbreak, flu pandemic or major incident, the Trust recognises that it may not be possible to adhere to all aspects of this document. In such circumstances, staff should take advice from their manager and all possible action must be taken to maintain ongoing patient and staff safety.

3.4The Trust may take disciplinary action if necessary against a member of staff where misconduct has occurred outside the normal hours and place of employment, where the act of misconduct has a clear link between that behavior with their work place / their role within it or with the employment relationship between the individual and the Trust. This includes, but is not limited to, the following circumstances:

  • Behavior which has bought, or has the potential to bring the Trust into disrepute eg because the member of staff and the Trust have been identified in the press or other media (including social media)
  • Actions outside of work which have a detrimental impact on the workplace or which are linked to work eg poor behavior at a work place party

Conduct which is incompatible with the role carried out by the member of staff eg dishonesty / theft / criminal activity (this list is not exhaustive)

The Trust should consider carefully the allegations and be able to set out clearly the reasons why such behaviour has an impact on the employment relationship.

When deciding what disciplinary action to take as a result of misconduct outside work, managers should liaise with the Operational HR team for advice and guidance.

4.DEFINITIONS

4.1Conduct – behaviour, either personal or professional, in the course of one’s work.

4.2Gross misconduct – misconduct so serious that it destroys the employment relationship and justifies summary dismissal (see also paragraph 6.7.1).

4.3Summary dismissal – dismissal without pay or pay in lieu of notice. However any outstanding annual leave due up to the date of dismissal will be paid.

4.4Cyber bullying – is bullying or harassing another person by using email, the internet, including social networking sites, a mobile telephone or other technologies.

4.5Right to be accompanied

4.5.1Employees are entitled to be accompanied to a formal disciplinary or appeal hearing by a trade union or staff-side representative or a work colleague (“Companion”). The Companion may address the disciplinary hearing and may confer with the employee during the hearing, but is not permitted to answer questions on their behalf. Employees may not normally have legal representation at any stage of this process.

4.5.2If the employee’s choice of Companion is not available to attend at the time proposed for the hearing in question, then the employee may propose an alternative time for the hearing to take place. The proposed alternative time must be reasonable and should be within five working days of the initial date of the hearing.

4.5.3Where another employee is chosen to accompany a fellow employee to a disciplinary hearing, they will be permitted to take paid time off during working hours to attend that hearing.

4.5.4Family members often become emotionally involved in matters of staff discipline and are therefore not permitted to attend any meetings with employees. They can be available to them before and after a meeting.

4.5.5At any stage in this process Doctors and Dentists may be accompanied in any interview or hearing by a companion. The companion may be another employee of the Trust, an official or lay representative of the BMA, BDA or defence organisation, or a friend, partner or spouse. The companion may be legally qualified but will not be acting in a legal capacity.

5.DUTIES AND RESPONSIBILITIES

5.1Employees

There are core standards at work that employees are expected to achieve. These are:

5.1.1Professionalism – employees are expected to behave in a professional manner at all times. Where the Trust has reason to believe that Professional or other Codes of Conduct have been breached, this will be reported to the relevant professional or other body by the relevant manager, with support and advice from the Operational HR Team as required.

5.1.2Confidentiality and data security – employees are expected to keep any knowledge that they gain about a patient, another employee and the financial and commercial business of the Trust completely confidential. This means that employees must not discuss details of a patient’s medical record, care or treatment plan with anyone else except the clinical staff caring for them. This extends to maintaining confidentiality about individuals employees may know, and who they may have seen in the Trust as a patient, whether as an inpatient or for an outpatient clinic. This also extends to social networking sites, such as Facebook or Twitter. Employees must never discuss a patient, relative, carer, other employee or Trust business on such sites. Any breach of this will be regarded as a disciplinary offence.

Clarity regarding what can be disclosed, and to whom, should always be sought from a manager prior to disclosure when in any doubt. Misuse of, or failure to properlysafeguard confidential information will be regarded as a disciplinary offence.

5.1.3Trust policies and procedures – employees are expected to comply with the Trust’s policies and procedures at all times.

5.1.4Compliance with this policy – where a concern is raised with an employee about their conduct, then they will be expected to contribute to a resolution in a proactive way.

5.1.5If an investigation is required, employees will be required to participate as fully as required by the Trust, in a timely and constructive manner, whether this concerns them personally or a work colleague. The purpose of an investigation is to establish the facts fully and as quickly as possible and, unless all contribute appropriately, the findings may be incomplete, possibly resulting in inaccurate conclusions being drawn.

5.1.6 Where an employee wishes to be accompanied or represented during the formal stages of the procedure, they will be responsible for arranging this. Doctors and Dentists may be accompanied at any stage in the process and will be responsible for arranging their representation.

5.1.7All employees are required to follow the procedures contained within Human Resources and other policies and guidance. Failure to do so may result in disciplinary action being taken.

5.2Managers

5.2.1Managers are responsible for ensuring their staff understand the standards of conduct and attendance required. They are also responsible for ensuring that high standards are maintained, bringing any concerns they may have about a particular individual to their attention in a timely and sensitive manner.

5.2.2Where a concern is raised, either by the manager or an individual, managers have a responsibility for exploring solutions in a supportive and constructive way, and for seeking a resolution to matters of discipline in a timely manner.

5.2.3Managers must ensure that they attend appropriate training and learning events to enable them to maintain positive staff discipline.

5.3Elected staff and Trade Union representatives and work companions

5.3.1The role of the staff or trade union representative or work companion is to act as an advocate and to provide the employee with advice and support on matters relating to staff discipline. However, in order to do this, they will have to be instructed by the employee.

5.3.2They can accompany the employee at any formal stage of the disciplinary procedure;in exceptional circumstances and with prior agreement from the line manager they may accompany an employee at informal meetings. Doctors and Dentists may be represented at any stage in the process.

5.3.3They are also responsible for helping to seek resolution in a timely and constructive way.

5.4The Investigating Officer

5.4.1The Investigating Officer will gather all the relevant information and evidence as fully and as quickly as possible In order to be able to reasonably believe that something did or did not happen.

5.4.2The Investigating Officer is responsible for preparing a report and submitting it in a timely manner to the commissioning manager.

5.5Human Resources

5.5.1The Operational HR Team will be responsible for advising managers and employees regarding the content of this policy and the procedures contained within it.

5.5.2They are also responsible for ensuring the policy is applied appropriately, correctly and consistently.

6.PROCESS

6.1Principles

6.1.1When a potential disciplinary matter arises, or there are ongoing issues, the available informationmust be established promptly before recollections fade and, where appropriate, statements will be obtained from any available witnesses. Having established the relevant details, a decision will be made. This may be that no further action is required; that informal coaching or counselling should be arranged; or that the matter needs to be dealt with formally under the disciplinary policy.

6.1.2Although the policy contains progressive warnings leading finally to dismissal, it may be decided to commence the process at any stage deemed appropriate, depending on the seriousness of the matter.

6.1.3Where the policy is applied to an employee, he or she will be advised in writing of the nature of the complaint/allegation(s) against them and given the opportunity to state their case at a hearing before any decision is made.

6.1.4Employees will not normally be dismissed for a first breach of discipline except in the case of gross misconduct, when the penalty will normally be dismissal without notice and without payment in lieu of notice (i.e. summary dismissal). Before imposing any disciplinary penalty, all relevant factors will be considered, including the extent to which standards have been breached, the employee’s general record, position and length of service and any special circumstances which might make it appropriate to adjust the severity of the penalty.

6.1.5There is a right of appeal against any formal disciplinary sanction imposed.

6.1.6Each step and action in this policy will be taken without unreasonable delay, where at all possible.

6.1.7Written records of any disciplinary proceedings will be kept and maintained in accordance with the Data Protection Act 1998.

6.1.8Where a disciplinary hearing may potentially result in dismissal, the Chair of the panel will be of an appropriate level of seniority within the organisation.

6.2Informal action

6.2.1Where it is judged that informal action will quickly resolve or correct concerns, the line manager will arrange to discuss the issues and ways of addressing them with the employee at the earliest opportunity. The informal nature of the discussion means that written notification of the meeting is not required.However, as it will be helpful to be clear about what is expected in order to address any issues, the manager may write to the employee following the discussion to confirm the key points and outcomes that have been agreed. An informal warning may also be issued.A note should be made on the employees file. There is no right to appeal available against an informalwarning, but it shouldnot remain in force for longer than 6 months from the date of issue.

6.3 Formal action

6.3.1Where the formal stage of the disciplinary policy is invoked, the following procedure will be adopted.

6.3.2Consideration of Suspension

If it is believed necessary by the line manager or other manager initially involved in the case, an employee may be suspended from work on full pay whilst the alleged offence is investigated. However, before taking the decision to suspend an employee, other action short of suspension should be considered, for example restricting duties or temporary redeployment to another role or department. Suspension should only be considered as a last resort. During the period of suspension, the affected employee should be refused access to the Trust’s premises or contact with the Trust’s staff without the prior consent of the Trust and subject to such conditions as the Trust may impose. Such suspension will only be imposed after careful consideration by the manager concerned, with advice from the Operational HR Team, and will be reviewed to ensure that it is not unnecessarily protracted. It should be noted that suspension is not considered to be disciplinary action.

6.3.3Investigation

Necessary investigations of potential disciplinary matters must be carried out without unreasonable delay in order o seek to establish what happened. In some cases this will require holding an investigatory meeting with the employee and/or other witnesses before proceeding to any disciplinary hearing. In others, the investigatory stage will be the collation of evidence for use at any disciplinary hearing. The line manager may carry out the investigation and take the case to a Disciplinary Hearing. The decision maker who Chairs the Disciplinary Hearing should not have been involved in the investigation process. (See ACAS Code of Practice on Disciplinary and Grievance Procedures March 2015)

6.3.4After an investigation, the manager will write to the employee, either toadvise them of the requirement to attend a disciplinary hearing or to advise that there is no case to answer and, if the employee has been suspended, arranging for them to return to work. Where there is a requirement to attend a disciplinary hearing, the letter will set out the specific reasons for the disciplinary hearing and will inform the employee of the possible sanction(s). The employee must be given 5 working days notice of any hearing date.

6.4Disciplinary Hearing

6.4.1If an employee’s conduct does not meet acceptable standards or where there is further misconduct, they will be invited to attend a formal disciplinary hearing. The hearing will be chaired by a manager of appropriate seniority and authority with no previous connection to the case. The Chair will be advised on policy, procedure and precedent by an HR representative who will also be in attendance at the hearing.

6.4.2If the Hearing Chair the employee is guilty of misconduct they may issue either;

  • a first formal written warning for a period of up to 12 months, or
  • a final written warning for a period between 12 and 36 months

.