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Managing performance in Trusts: Conduct and disciplinary
Conduct
Every NHS employer will have a Code of Conduct or staff rules that
should set out acceptable standards of conduct and behaviour expected
of all its employees. Breaches of these rules are considered to be
'misconduct'.
Employers are advised to discuss the selection of the medical or dental
panel member with the appropriate local professional representative
body eg for doctors in a hospital trust, the medical staff committee or
local negotiating committee.
Misconduct can cover a very wide range of behaviour and can be
classified in a number of ways, but it will generally fall into one of
four distinct categories:
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A refusal to comply with reasonable requirements of the employer.
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An infringement of the employer's disciplinary rules including conduct
that contravenes the standard of professional behaviour required by the
GMC /GDC.
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The commission of criminal offences outside the place of work which may, in particular circumstances, amount to misconduct.
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Wilful, careless, inappropriate or unethical behaviour likely to
compromise standards of care or patient safety, or create serious
dysfunction to the effective running of a service.
Terms of settlement
The following good practice principles are set out as guidance for the Trust (Maintaining High Professional Standards in the Mordern NHS)
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Settlement agreements must not be to the detriment of patient safety.
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It is not acceptable to agree any settlement that precludes either
appropriate investigations being carried out and reports made or
referral to the appropriate regulatory body.
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Payment will not normally be made when a member of
staff's employment is terminated on disciplinary grounds or following
the resignation of the member of staff.
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Expenditure on termination payments must represent value for money. For
example, the Trust should be able to defend the settlement on the basis
that it could conclude the matter at less cost than other options. A
clear record must be kept, setting out the calculations, assumptions
and rationale of all decisions taken, to show that the Trust or
authority has taken into account all relevant factors, including legal
advice. The audit trail must also show that the matter has been
considered and approved by the remuneration committee and the Board. It
must also be able to stand up to district auditor and public scrutiny.
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Offers of compensation, as an inducement to secure the voluntary
resignation of an individual, must not be used as an alternative to the
disciplinary process.
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All job references must be accurate, realistic and comprehensive and under no circumstance may they be misleading.
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Where a termination settlement is agreed, details may be confirmed in a
Deed of Compromise that should set out what each party may say in
public or write about the settlement. The Deed of Compromise is for the
protection of each party, but it must not include clauses intended to
cover up inappropriate behaviour or inadequate services and should not
include the provision of an open reference.
Resources
The 'Conduct hearings and disciplinary matters' section of
Maintaining High Professional Standards in the Modern NHS covers:
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Introduction
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Codes of conduct
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Allegations of criminal acts
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Action when investigations identify possible criminal acts
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Cases where criminal charges are brought not connected with
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an investigation by an NHS employer.
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Dropping of charges or no court conviction
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Guidance
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Agreeing terms for settlement on termination of employment.
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