Classification: Policy Lead Author: David Hargreaves, Deputy Director of Human Resources Additional author(s): Jon Dobson Authors Division: Human Resources Unique ID: 101TD(HR)06 Issue number: 8 Expiry Date: June 2018 Contents Section Page Who should read this document? 1 Key messages 2 What is new in this version? 2 Policy 2 Gross Misconduct 2-4 General 4 Local Rules 5 General Notes 5 Explanation of terms/definitions 6 References and Supporting Documents 6 Roles and Responsibilities 6 Document control information (Published as separate document) Document Control 7 Policy Implementation Plan 7 Monitoring and Review 7 Endorsement 8 Equality analysis 9-10 Who should read this document? All staff including managers who may have cause to take disciplinary action against a member of staff. Page 1 of 6
Key Messages 1.1 The disciplinary rules should be read in conjunction with the Trust Disciplinary Procedure which details the actual procedure to be followed where it is necessary for disciplinary action to be taken against an employee. For medical staff, attention is also drawn to Maintaining High Professional Standards in the Modern NHS (MHPS). Full details of the Disciplinary Procedure and MHPS are available for inspection from accredited trade union representatives, departmental heads and the Human Resource Directorate. 1.2 Disciplinary action may be taken by the authorised officer or Directors of the Trust for any breach of the following rules against patients, their relatives, members of the general public, members of staff, the Trust or its property or interests. The are divided into three main groups: (i) (ii) (iii) Gross misconduct General Departmental or local rules. 1.3 There is a separate document, policy and procedure for dealing with capability, competence and sickness absence, which apply where the employee demonstrates unsatisfactory work performance or attendance, as distinct from unsatisfactory standards due to misconduct (including negligence) which are properly dealt with under the disciplinary procedure. What is new in this version? Explanation of action to be taken in the event of unauthorised access to personal data. Policy 1. GROSS MISCONDUCT An employee who commits any of the following offences may be summarily dismissed. However, it will be normal practice for the matter to be dealt with by application, in full or in part, of the Disciplinary Procedure. 1.1 Theft or attempted theft, from the Trust's premises or property. 1.2. Fraudulent manipulation or falsification of accounts, financial statements, expenses, claims or other official records (including computerised pay records, time sheets/clock cards, clocking or signing for other staff). Page 2 of 6
1.3. Misappropriation or attempted misappropriation of the Trust's/patients/staff funds or resources. 1.4 Acceptance of gifts and hospitality and other considerations, or the failure by any officer to give notice of any pecuniary interest of which he/she is aware, in a contract which has been, or is proposed to be, entered into by the Trust. 1.5 Willful disregard of the Trusts Standing Financial Instructions or Standing Orders. 1.6 Willful misrepresentation at the time of appointment including: (a) (b) (c) (d) (e) Previous positions held Qualifications held Falsification of date of birth Declaration of health Failure to disclose a criminal offence in accordance with the provisions of the Rehabilitation of Offenders Act 1.7 Wilful misrepresentation at any time during employment in connection with qualifications held. 1.8 Consumption of alcohol or misuse of drugs to an extent which affects the satisfactory performance of the employee's duties and/or jeopardizes the welfare of patients, members of the public or staff. 1.9 Physical or indecent assault on any person whilst on duty and/or on the Trust's premises. 1.10 Ill treatment of and/or sexual offences against patients. 1.11 Deliberate disclosure of or failure to safeguard privileged and confidential information and/or patient data to unauthorised people except in those circumstances where the Public Interest Disclosure Act 1998 provides for certain disclosures in the public interest where such information is disclosed in good faith. The appropriate means of raising a matter of public interest is explained within the Trust s Concerns Reporting (Whistle Blowing) Policy and Protocol. 1.12 Negligent or deliberate failure to comply with the legal requirements and/or the Trust's regulations concerning medicines. 1.13 Working whilst contravening an enactment, or breach of rules laid down by statutory bodies, for example, erasure from the General Medical Register or other professional register; loss of driving licence where driving forms an essential part of the duties of the post. Page 3 of 6
1.14 Conviction for/or admission of a criminal offence including those committed outside the working situation which substantially affects the employee's capacity to work or clearly indicates his unsuitability for the kind of work which he is employed to do. 1.15 Malicious or willful damage perpetrated whilst on duty and/or on the Trust's premises. 1.16 Any willful or reckless act or omission potentially constituting a serious danger to the health and safety of any person, including any such act or omission taking place outside contracted hours of work. 1.17 Any act or omission constituting serious or gross negligence and/or dereliction of duty. 1.18 Unjustified refusal of a lawful and reasonable instruction which could result in immediate serious consequences. (See also paragraph 2.1) 1.19. Discrimination against a member of staff or the public on the grounds of sex, age, colour, race, creed, nationality, ethnic origin, sexuality or disabilitythis will also include any acts of harassment or victimisation on the aforementioned grounds. 1.20. Unauthorised access to or misuse of records held by the Trusts whether these are manual or electronic. Note: Accessing Personal Data It is prohibited to access a personal record (either healthcare or personnel) without a working requirement to do so. In most cases, access to another person s record will result in termination of employment. If a member of staff enters his /her own record, disciplinary action will in most cases result in the issue of a final written warning. 1.21 Behaviour which may be regarded as bullying and harassment within the terms described by the Trust s Bullying & Harassment Policy. This includes victimisation of an employee who has complained of such behaviour. 1.22 Actions which may be considered as bribery within the terms of the Bribery Act 2010, whether active or passive in nature: Active - the offering, promising or giving of a bribe - active bribery; Passive - requesting, agreeing to receive, or the accepting of a bribe Page 4 of 6
2. GENERAL DISCIPLINARY RULES The following deviations from general standards of conduct and performance, if recurrent, could result in dismissal, normally following application of the Trust's Disciplinary Procedure in full or in part, depending upon the circumstances of each case. 2.1 Unjustified refusal of a lawful and reasonable instruction. (If refusal could have immediate serious consequences so that a second opportunity to carry out the instruction could not reasonably be expected, the refusal would be classed as gross misconduct and dealt with accordingly - See paragraph 1.17). 2.2 Contravention of the Trust s Smoking Control Policy. 2.3 Insubordination or verbal assault whilst on duty and/or on the Trust s premises. 2.4. Unauthorised absence including: (a) (b) Persistent lateness or non-attendance at work Being absent from the workplace during the working day for an unauthorised reason. 2.5 Failure to observe laid down Health and Safety Instructions (including fire safety). 2.6 Personal misconduct of a nature sufficiently serious to affect an employee's position at work. 2.7 Negligence in or unsatisfactory job performance. 2.8. Failure to comply with the Trust s requirements relating to mandatory training. 3. LOCAL RULES 3.1 In addition, disciplinary rules applicable to specific departments, disciplines or grades of staff will be issued from time to time. Copies of those rules will be issued to employees concerned. 4. GENERAL NOTES 4.1 It is unlikely that any set of disciplinary rules could cover all the circumstances which may lead to disciplinary action. The above list, however, is an indication of the main disciplinary rules applicable to employees of the Trust. 4.2 It is emphasised that there could be other offences/situations not specified in this document which may result in disciplinary action including dismissal. Page 5 of 6
4.3. Nothing in the above rules prevents the Trust from reporting an individual employee to the appropriate professional body where this is considered necessary, and in such circumstances the individual employee will be notified. Explanation of terms & Definitions Specific terms eg gross misconduct are explained elsewhere within this document. References and Supporting Documents This document should be read in conjunction with the Trust s Disciplinary Procedure and in respect of medical staff, attention is also drawn to Maintaining High Professional Standards in the Modern NHS. Roles and responsibilities These are described in the Trust s Disciplinary Procedure. Page 6 of 6