*18 of the 28 cases brought forward from 2015/2016 were due to police investigations. 7 of. Total No. of outcomes

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1 1. All ER Activity Employee Relations (ER) Report 1 st April 1-31 st March 17 *18 of the 8 cases brought forward from 15/1 were due to police investigations. 7 of Activity Type Total No. of Investigations Total No. of outcomes No. of cases brought forward from 15/1 No. of Cases carried forward to 17/18 Disciplinary * 1 Grievance Capability 1 1 Bullying & 5 5 Harassment TOTAL these were then identified as not being perpetrators and no further action took place.. Disciplinary Cases.1 Average Investigation Time Comparison 15/1 and 1/17 Average Investigation Time 1/15 Average Investigation Time 15/1 Disciplinary 3 days days 7 days Average Investigation Time 1/17 Of the 73 investigations, 1 lasted longer than the 3 day target however 1 of those investigations had involvement of external stakeholders namely Counter fraud and the Police. There were mixtures of allegations which have led to a formal disciplinary investigation being undertaken, the primary themes being: Failure to follow Policy/Procedure Inappropriate conduct/behaviour Safeguarding Of the 3 disciplinary investigations that were concluded, 1 (5%) went to a formal disciplinary hearing at which the following sanctions were issued: First Stage Written Warning Final written warning 9 Dismissal 5 The remainder of the 3 disciplinary investigations were dealt with in the following ways; No case to answer 1 Individual resigned from the trust 1 Informal resolution 13 Sanction outside of hearing 19 o Formal written warning 13 o Final written warning o Dismissed outside of hearing 1

2 Informal Resolution Resigned No Case to Answer Of the 73 disciplinary cases, they were from the following services: 5 from Specialist Services = 3.% from Older Adult = 3.1% 1 from Adult Inpatient = 17.8% 1 from Adult Community = 13.7% 3 cases from Corporate =.% There were 7 appeals as a result of disciplinary sanctions. were upheld, were partially upheld and 1 was withdrawn. From the 73 investigations, due to the nature of the allegation; 13 resulted in suspensions and 5 redeployments. Below is a breakdown of the employees banding and level of outcome: Band Sanction outside of hearing In a hearing Total First stage Final Dismissed Formal Final Dismissed B B B 1 1 B B B B8a B8b B8c 1 1 B8d 1 1 B9 Medic 1 3 al Total Police Investigations There were 9 individual employees who were involved in police investigations which lead to a significant delay in internal proceedings being undertaken. Employees -9 related to Long Leys Court investigations. This cost the Trust an additional,57 minimum this is calculated on the basis of the hourly rate of the individual concerned during the time of the investigation. Employe e Days with police Cost by police investigation , , , , ,75 8, , , ,9 TOTAL 37,57

3 *the calculations shown above are based solely on the hourly rate of the individual and do not include; back fill costs, enhancements, HR/investigator time or management time.3 Suspensions Employee Days Cost Comments Suspended 1 9, ,953 Police involved, without the police would have only been ,87 89, , ,5 7 18,553 Part time salary ,87 Part time salary 1 17,71 Still suspended, this figure is as at 31/3/ ,93 Still suspended, this figure is as at 31/3/17 TOTAL 187,7 *the calculations shown above are based solely on the hourly rate of the individual and do not include; back fill costs or enhancements In 1/17 the Trust paid out 187,7 to employees on suspension due to disciplinary investigations.. Comparison of disciplinary activity data from 15/1 and 1/15 8 Number of Investigations 1/15 15/1 1/17 8 Time Taken in Days 1/15 15/1 1/17 3

4 Number of suspensions /15 15/1 1/17 Hearing Outcomes First Final Dimissal 1/15 15/1 1/17.5 Lessons Learnt following disciplinary hearings Common themes identified the following: For Department: Management culture at LLC Ensure staff are aware of how to report near misses, errors and concerns Challenging inappropriate behaviour Ensure regular supervision is taking place (and appraisals) also appeared as a common theme last year. External Agency Referrals DBS 5 new referrals were made NMC new referrals were made 1 being the LLC investigation which was later separated into 3 separate referrals by the NMC. 3. Grievance Cases There were 13 grievances which resulted in the following outcomes: are still ongoing formal outcomes o x Upheld o x Partially upheld

5 o x Not upheld 5x Informal outcomes The most common reasons for the grievances were: 3x Change of work base/hours 3x Unfair treatment by the Trust 3x against direct line manager 3.1 Comparison to 15/ Number of investigations 1/15 15/1 1/17. Capability Cases There was 1 capability case during 1/17, which was dealt with informally. Comparison to last year 1 Number of investigations 8 1/15 15/1 1/17 5. Bullying and Harassment Cases There were 5 reported cases of Bullying and Harassment. Of these, cases resulted in a disciplinary hearing and 3 through informal resolution. These cases were from the following services: Corporate x Adult Inpatient x1 5

6 Specialist x1 Adult Community x1 5.1 Comparison to 1/15 and 1/ Number of investigations 1/15 15/1 1/17. Employee Relations Ratio In January 17 the Trust recorded all ER activity under the ER Ratio which measures the number of ER cases against the number of staff as a measure of total activity. The figures below are for January March Employee headcount: 185 Count Ratio ER Cases.8 Disciplinary Cases (Inc prelim) Bullying and Harassment 5.7 Grievance Employee head count: 18 Count Ratio (per 1 Previous Month emp.) ER Cases Disciplinary Cases (Inc prelim) Bullying and Harassment Grievance Employee head count: 1811

7 Count Ratio (per 1 Previous Month emp.) ER Cases Disciplinary Cases Bullying and Harassment Grievance This ratio is now reported to Board on a monthly basis. 7