FINANCIAL IRREGULARITIES
ECN Healthcare Services
Policy Statement
This organisation is committed to the highest standards of moral and ethical behaviour. Employees of the organisation are expected to report known or suspected financial irregularities. The organisation believes that its service users have a right to expect that the organisation will be run on an honest and sound financial basis, with robust procedures for dealing with and protecting the financial interests of service users.
The Policy
This policy is intended to set out the values, principles and policies underpinning this organisation’s approach to financial irregularities in the management of the organisation and the management of service users’ money and finances. The goal of the organisation is to ensure that service users’ financial interests are safeguarded by staff working for the organisation.
Policy on Financial Irregularities
In this organisation:
Written records of all transactions with service users should be maintained and kept securely.
Open, transparent and robust accounting and financial procedures should be adopted and annually audited by an independent firm of auditors.
Annual accounts will be prepared and submitted by a professional independent accountant.
Any member of organisation staff who suspects that a service user may be being cheated, defrauded or robbed, or that a service user is no longer capable of managing their finances, should report their suspicions to their line manager or supervisor; any member of organisation staff who suspects financial irregularities or corruption by organisation staff or managers should report their suspicions immediately to the owner of the organisation, followed by the appropriate safeguarding action.
All organisation staff are encouraged to raise any genuine concerns about any: malpractice, suspected crime, breach of legal obligations, miscarriage of justice, danger to health and safety or the environment, financial malpractice, fraud, corruption and breach of regulations – or any cover-up of these – that they may come across which affects the organisation, its service users or other staff; individuals who so disclose information have statutory protection in line with the Public Interest Disclosure Act 1998 and the organisation’s Whistleblowing Policy, provided that concerns are raised in the right way and they are acting in good faith.
All financial irregularities or suspected financial irregularities will be fully investigated by the owner of the organisation as per the organisation’s Disciplinary Policy.
Any evidence of fraud or criminal activities will be immediately reported to the police.
All members of organisation staff should co-operate fully with, and make any documents available to, the police and/or their appointed auditors upon investigation of any allegations of financial irregularities.
The organisation will maintain a register (that is open to inspection) within which the organisation’s owners and managers should declare, in writing, any interest or involvement with: any other separate organisation providing care or support services or responsible for commissioning or contracting those services, including where partners or other close family members own or manage at a senior level; other organisations providing domiciliary, day, residential or nursing care.
Where financial information is held on a computer or in a database then the requirements of data protection legislation should be followed.
All parties involved with a financial irregularity must handle the reporting and investigate with utmost confidentiality and objectivity.
Training Statement
All staff, during induction, are made aware of the organisation’s policies and procedures, all of which are used for training updates. All policies and procedures are reviewed and amended where necessary, and staff are made aware of any changes. Observations are undertaken to check skills and competencies. Various methods of training are used, including one to one, online, workbook, group meetings, and individual supervisions. External courses are sourced as required.
FREEDOM OF INFORMATION
ECN Healthcare Services
Policy Statement
The Freedom of Information Act 2000 provides access to information held by public authorities and is different to data protection legislation which is concerned with personal data held by all companies registered to hold such data.
The Policy
Public Authorities
These include government departments, local authorities, unitary authorities, the NHS, state education sector, police forces etc. It does not however cover every organisation that receives public funding e.g., charities, or certain private sector organisations that perform public functions.
The Act ensures information is available in two ways.
Public authorities are obliged to publish certain information about their activities.
Members of the public are entitled to request information from public authorities.
Principles
“Openness is fundamental to the political health of a modern state. The white paper marks a watershed in the relationship between the government and the people of the UK. At last, there is a government ready to trust the people with a legal right to information.”
“Unnecessary secrecy in government leads to arrogance in governance and defective decision making.”
Your Right to Know 1997
The main principle behind Freedom of Information is that, quite simply, people have a right to know about the activities of public authorities, unless there is a good reason for them not to. This is sometimes described as a presumption or assumption in favour of disclosure. This means that:
Everybody has a right to access official information disclosure should be the default-in other words information should be kept private only when there is a good reason and it is permitted by the Act.
An applicant (requestor) does not need to give a reason for wanting the information, on the contrary, public authorities must justify the refusal.
They must treat all requests equally, except under some circumstances relating to vexatious requests and personal data. The information someone can obtain under the Act should not be affected by who they are. All requestors should be treated equally whether they are journalists, local residents, public authority employees, or foreign researchers and because they should treat all requestors equally, they should only disclose information under the Act if they would disclose it to anyone else who asked. In other words, you should consider any information released under the Act as being released to the world at large.
Schedule 1 of the Act contains a list of public bodies that are covered by the Act.
Section 5 of the Act gives the secretary of state the power to designate further bodies as public authorities.
With effect from 1 September 2013, public authorities now include companies wholly owned:
By the Crown
By the wider public sector or
By both the Crown and the wider public sector.
Who Can Make a Request?
Anyone can make a freedom of information request you do not have to be a UK resident or a UK citizen. They can be made by organisations e.g. newspaper, campaign group or company.
Requestors should direct their request for information to the public authority they think will hold the information.
When appropriate, this organisation will assist individuals to access freedom of information requests by signposting to sources of advice such as Citizens Advice Bureau etc.
GIFTS AND LEGACIES
Policy Statement
This organisation believes that its service users have a right to expect that the organisation will be run on an honest and sound financial basis with robust procedures for dealing with and protecting the financial interests of service users.
The Policy
This policy is intended to set out the values, principles and policies underpinning this organisation’s approach to the giving of gifts to organisation staff by service users or their relatives. It also aims to set out the organisation’s policy on legacies.
Policy on Gifts and Legacies
It is not uncommon for service users who have developed, sometimes long and close, relationships with individual staff to offer gifts or gratuities, or to seek to include a member of staff in their will. Such activities can, however, lead to accusations of coercion, exploitation and fraud. It is vitally important to this organisation that its staff, at all times, uphold the highest standards, always acting honestly and keeping in mind the best interests of service users. Therefore, in this organisation
Personal gifts should never be accepted by a member of staff if the value of the gift is estimated to be more than £10.
Organisation staff should never, under any circumstances, accept valuables belonging to a service user or monetary gifts.
Any gift given to a member of staff must be declared as soon as is reasonably practicable and details recorded in the gifts record in the central office; this must include the date that the gift was given and its monetary value and it must be signed by the recipient.
Organisation staff should never become involved with the making of service users’ wills or with soliciting any form of bequest or legacy from a service user; they should never agree to act as a witness or executor of a service user’s will or become involved in any way with any other legal document. If a service user does need help with making a will or requests help from organisation staff, then the service user should be referred to an impartial or independent source of legal advice, such as the local Citizens Advice Bureau or local law society which will hold lists of local solicitors.
Failure to declare a gift, acceptance of a gift over £10, involvement in a will or attempts to solicit money or items through a service user’s will or legacy will be considered a disciplinary offence.
This policy is cross-referenced and linked to the Bribery and Corruption Policy. Please refer as appropriate.
FIRST AID
Policy Statement
This organisation recognises its responsibility to ensure that all reasonable precautions are taken to provide and maintain working conditions that are safe, healthy and compliant with all statutory requirements and codes of practice. This includes the provision of qualified first aiders in the organisation, who are qualified to deal with minor injuries. To ensure that we have enough first aid provision this organisation undertakes a first-aid needs assessment as recommended by the Health and Safety Executive (HSE) and our first aid provision reflects this assessment.
The Policy
This organisation understands first aid to refer to:
The initial and appropriate management of illness or injury aims to preserve life or minimise the consequences of injury and illness until professional medical help can be obtained.
The treatment of minor injuries that do not require the attention of a medical practitioner or nurse.
First Aid Needs Assessment
In assessing our first-aid needs, we consider:
The nature of the work we do.
Workplace hazards and risks (including specific hazards requiring special arrangements).
The nature and size of our workforce.
The work patterns of our staff.
Holiday and other absences of those who will be first-aiders and appointed persons.
Our organisation’s history of accidents.
We may also need to consider:
The needs of travelling, remote and lone workers.
The distribution of our workforce.
The remoteness of any of our sites from emergency medical services.
Whether our employees work on shared or multi-occupancy sites.
First-aid provision for non-employees (eg members of the public).
First Aiders
This organisation ensures that a qualified first aider is available at all times that there are staff working. They should be contacted via the main office, where there is a list displayed with their names. In addition to qualified first aider, the organisation also supports several staff trained in basic life support to assist the qualified first aiders.
First Aid Container
All employees in this organisation should have access to a first aid box whilst at work. The principal first aid box is carried by the on-call first aider, who is responsible for checking its contents and ensuring that it is replenished when necessary.
The contents of the first aid box are based on the first aid needs assessment. A minimum first aid box might contain:
a leaflet with general guidance on first aid (for example, HSE’s leaflet Basic advice on the first aid at work
individually wrapped sterile plasters of assorted sizes
sterile eye pads
individually wrapped triangular bandages, preferably sterile
safety pins
large and medium-sized sterile, individually wrapped, unmedicated wound dressings
disposable gloves
Tablets or medicines should never be kept in the first aid box.
The box should be checked regularly and a record kept, that is dated and signed. Many items, particularly sterile ones, are marked with expiry dates. Any expired items should be replaced and disposed of safely. If a sterile item does not have an expiry date, check with the manufacturer to find out how long it can be kept. For non-sterile items without dates, check that they are still fit for purpose.
First Aid Information Signs and Posters)
First aid signs and posters are prominently displayed in the main office informing staff, visitors and service users what to do in the event of an emergency and from whom to obtain first aid assistance. This should include emergency contact telephone numbers. Similar information is included in all staff induction packs and should be carried by staff at all times.
All staff must familiarise themselves with the first-aid arrangements and with the names and locations of qualified first aiders or appointed persons and first aid boxes.
Record Keeping
In all situations where staff or service users are injured at work and require first aid, the accidents procedure should be followed and the appropriate Statutory Accident forms filled in and witnessed. An incident record should also be made.
The HSE recommends that first aiders record:
The date, time and place of the incident
The name and job of the injured or ill person
Details of the injury/illness and what first aid was given
Details about what happened to the person immediately afterwards (eg went back to work, went home, went to the hospital)
The name and signature of the first aider or person dealing with the incident.
Injuries at work are also covered by RIDDOR (the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 and may require a report to be made to the HSE (see Accident Reporting Policy).
Accident reports and first-aid activity should be regularly reviewed by the management. Regular scrutiny of accident reports can help to identify underlying patterns and trends. It can also help to ensure adequate levels of first-aid provision and inform future First Aid assessments.
First Aid during the Coronavirus (Covid-19) Pandemic
Check your first aid needs assessment
When reviewing our risk assessment to include working during the pandemic, we have revised our first aid at work needs assessment where necessary.
We ask our first aiders if any factors should be taken into account as part of our risk assessment. These factors could include workers at risk with a first aid responsibility. They must be confident about providing the right assistance and know what equipment they can use to minimise the risk of infection transmission.
Guidance for first aiders
Although the UK Government has now removed social distancing in most workplace situations, first aiders should still consider the precautions set out in this guidance to reduce the risk of COVID-19 infection.
Try to assist at a safe distance from the casualty, when possible.
Minimise the time spent very close to the casualty.
Although treating the casualty properly should be the first concern, they can also do things for you if they are capable.
Follow the revised procedures for Basic Life Support during Covid-19 documented in our Basic Life Support Policy.
First aid cover and qualifications during the pandemic
If first aid cover for the business is reduced because of COVID-19 or we are unable to get the first aid training needed, there are some things you can do to comply with the law.
Operate with reduced first aid cover where possible when fewer people are working from the office.
Continue with online training
Training
Temporary omission of rescue breaths from training during high transmission rates
The Resuscitation Council UK (RCUK) has stated that they are supportive of training providers who may wish to omit practical teaching and assessment of rescue breaths in first aid training while COVID-19 transmission rates are high.
RCUK are leaders in the field of CPR. HSE support their position on this for most First Aid at Work (FAW) and Emergency First Aid at Work (EFAW) training courses.
Providers who are satisfied that they can safely deliver practical teaching and assessment of rescue breaths may continue to do so.
If a FAW or EFAW training or requalification course does not include practical teaching of rescue breaths, employers should make sure that that the training includes:
a practical demonstration by the trainer and/or a video demonstration of rescue breath techniques.
full training in the theory of giving rescue breaths.
assurance from the training provider that the student is competent to give rescue breaths.
Workplace first aiders undertake annual refresher training. If first aid training or requalification during the COVID-19 pandemic has not included practical training and assessment for giving rescue breaths, employers should make sure it’s included in the next refresher course.
This guidance will be reviewed as transmission and infection rates improve.
Annual refresher training
If first aiders are unable to get annual face-to-face refresher training during the pandemic, we support the use of online refresher training to keep skills up to date.
The HSE still strongly recommend that the practical elements of FAW, EFAW and requalification courses are delivered face to face. This means that the competency of the student can be properly assessed.
DEMENTIA CARE
Policy Statement
This organisation believes that people with dementia should not be excluded from any services because of their diagnosis, age (whether designated as too young or too old), or co-existing learning disabilities, and that our staff should treat people with dementia and their carers with respect at all times.
The Policy
Principles of Care for People with Dementia
At the assessment of need and in the care plan, we identify and address the specific needs and, wherever possible, the preferences of people with dementia and their carers:
Care plans are based on an assessment of the person with dementia’s life history, social and family circumstance, personal preferences, physical and mental health needs and current level of functioning and abilities.
There should be a coordinated delivery of health and social care services. This should involve a combined care plan agreed by health and social services that take into account the changing needs of the person with dementia and their carers; wherever possible, a named member of staff should operate the care plan. There should be a collaboration between staff, the service user, and their family to develop the care plan, with formal reviews at a frequency agreed between all those involved at this stage.
Specific needs might include ill health, physical disability, sensory impairment, communication difficulties, problems with nutrition, poor oral health, and learning disabilities.
Diversity might include issues of gender, ethnicity, age (young or old), religion, and personal care. Wherever possible, we aim to accommodate the diverse preferences of people with dementia and their carers, including issues of diet, sexuality, and religion.
Accessing Information
We help people to access support services who are suspected of having dementia because of evidence of functional and cognitive deterioration, but who do not have sufficient memory impairment to be diagnosed with the condition.
Language or acquired language impairment can be a barrier to accessing or understanding services. During treatment and care, the information that we provide is given in the preferred language or an accessible format, with the ability to access independent interpreters as required.
We support service users to access information on their right to receive direct payments, individual budgets (where available), and the difference between NHS care and care provided by local authority social services (adult services), so that they can make informed decisions about their eligibility for NHS Continuing Care.
We provide any support required for the individual to access advocates to speak on their behalf.
Consent
Valid consent from people with dementia should always be sought; this should entail informing the person of options, checking that they understand, ensuring that there is no coercion and that the person continues to consent over time. If the person lacks the capacity to make a decision, the provisions of the Mental Capacity Act 2005 are followed.
People with dementia and their carers are always informed about advocacy services and voluntary support, and we encourage their use. When required, such services should be available for both people with dementia and their carers independently of one another.
People with dementia are given equal opportunity to convey information to our staff and other care professionals .confidentially. Only in exceptional situations would confidential information be disclosed to others without the person’s consent, as identified in our Confidentiality Policy; however, as dementia worsens and the person becomes more dependent on family or other carers, decisions about sharing information should be made in the context of the Mental Capacity Act and its Code of Practice. If information is to be shared with others, this should be done only if it is in the best interests of the person with dementia.
Wherever possible, this situation should be discussed with the person who has dementia, while they retain capacity, and with their carer; the following aspects might be considered:
Advance statements, which allow people to state what is to be done if they should subsequently lose the capacity to decide or to communicate.
Advance decisions to refuse treatment.
Lasting power of attorney (LPA): a legal document that allows people to state in writing who they want to make certain decisions for them if they cannot, including decisions about personal health and welfare.
A preferred place of care, which allows people to record decisions about future care choices and the place where the person would like to die.
Impact of Dementia on Personal Relationships
The impact of dementia on relationships, including sexual relationships, should be assessed sensitively. When indicated, people with dementia and/or their partner and/or carers will be supported to maintain their relationships and given information about local support services.
Adult Safeguarding
Because people with dementia are vulnerable to abuse and neglect, all our staff receive information and training, and they abide by local multi-agency protocol. All staff are aware of the need to be vigilant and report to their manager any actual, alleged, or suspected abuse.
Training and Development of Health and Social Care Staff
We ensure all our staff have access to dementia-care training (skill development) that is consistent with their roles and responsibilities and meets the changing needs of the person with dementia. We liaise with outside professionals to provide specialist training and support, e.g. the local mental capacity team or Alzheimer’s Society. [INSERT HERE THE OUTSIDE PROFESSIONAL AND ORGANISATIONS YOU WORK WITH]
Promoting and Maintaining Independence
Through our care planning, we aim to promote the independence, including mobility, of people with dementia. Care plans address activities of daily living that maximise independent activity, enhance function, adapt and develop skills, and minimise the need for support. When writing care plans, the varying needs of people with different types of dementia are addressed using support from outside dementia specialists. Care plans should always address:
Consistent and stable staffing.
Retaining a familiar environment.
Minimising relocations.
Flexibility to accommodate fluctuating abilities.
Assessment and care-planning advice regarding activities of daily living (ADL), and ADL skill training from an occupational therapist
Assessment and care-planning advice about independent toileting skills. If incontinence occurs then all possible causes should be assessed and relevant treatments tried before concluding that it is permanent.
Environmental modifications to aid independent functioning, including assistive technology, with advice from an occupational therapist and/or clinical psychologist.
Physical exercise, with assessment and advice from a physiotherapist, when needed.
Support for people to go at their own pace and participate in activities they enjoy.
If our service users with dementia develop non-cognitive symptoms that cause them significant distress or develop challenging behaviour, they will be offered an assessment at an early opportunity to establish likely factors that may generate, aggravate, or improve such behaviour. The assessment should be comprehensive and consider:
The person’s physical health.
Side effects of medication.
Social, cultural, and environmental influences that affect mental health and behaviour.
Physical environmental factors.
Depression.
Possible undetected pain or discomfort.
Individual biography, including religious beliefs and spiritual and cultural identity.
Behavioural and functional analysis conducted by professionals with specific skills, in conjunction with carers and care workers.
Individually-tailored care plans that help carers and staff address challenging behaviour are developed, recorded in the notes, and reviewed regularly; the frequency of reviews should be agreed upon by all involved in the service user’s care. Approaches that may be considered, depending on availability and service user choice, include:
Aromatherapy.
Multisensory stimulation.
Therapeutic use of music and/or dancing.
Animal-assisted therapy.
Massage.
These interventions may be delivered by a range of health and social care staff and volunteers, with appropriate training and supervision.
Following NICE guidelines, we see pharmacological intervention in the first instance only if the person is severely distressed or there is an immediate risk of harm to the person or others. We work closely with GP’s and other professionals to find alternative sources of support.
Managing Risk
Recognising the importance of managing risk, we identify, monitor, and address environmental, physical health, and psychosocial factors that may increase the likelihood of challenging behaviour, especially violence and aggression, and the risk of harm to self or others. These factors include:
Carers at home being unable to cope well with the service user and becoming distressed.
Service user’s own home can create some safety issues, as their condition becomes more severe.
Lack of activities.
Staff not trained to deal with challenging behaviour.
Poor communication between the person with dementia, their carer, or staff.
Conflicts between staff and carers.
Weak clinical leadership.
We train our staff to anticipate challenging behaviour, and how to manage violence, aggression, and extreme agitation, including de-escalation techniques and methods of physical restraint. [INSERT AND DELETE AS APPLICABLE]
DIGNITY AND RESPECT
Policy Statement
This organisation is committed to the delivery of a quality service that maintains the privacy, dignity, and respect of service users at all times. It is often complacency that threatens to undermine these principles, and staff in particular need to be mindful that they are in the client’s home by invitation only. Therefore, the role of your relationship should be that of a respectful guest. As some tasks that are undertaken by the staff are of a very personal and sensitive nature, boundaries must be in place to protect the privacy, dignity, and respect of the service user in these circumstances
The Policy
This document outlines the policy of this organisation in relation to providing services that respect the privacy and dignity of our service users. This organisation aims at all times to respect the right of its service users to privacy and dignity, recognising that these values can easily be threatened by the processes covering the provision of care in a service user’s home.
Assessing Care Needs
We recognise that assessing the needs of a service user can be very intrusive. We are obliged to ask questions about the most intimate areas of a service user’s life, and it is helpful at the outset of our contact to observe a service user in their private environment where care will be delivered. We will do everything possible to limit the embarrassment a service user can experience at this stage and to provide all possible reassurances about the nature of our operations generally, but particularly the confidentiality of our information systems and the sensitivity of our workforce.
Some potential service users will wish a carer or representative to be present during the assessment interviews, but we do not assume that they will necessarily be privy to all of the information the service user has to provide about themselves. If it seems helpful, we will arrange for some parts of the interview to take place with the service user alone.
During the period when we are providing services, we occasionally need to review the situation to ensure both that our services remain appropriate and to make adjustments to respond to changing care needs. If the staff who undertake a review are not already known to the service user, additional sensitivity will be required since, from the service user’s point of view, they are confronting a stranger. Staff too may pick up some information about a service user’s changing care needs during the process of service delivery. The staff should check with the service user whether they have any objection to details being recorded, though they may have to explain that information does indeed have to be shared with colleagues in the company.
Handling Information about Service Users within this Organisation
When information about service users has to be passed from a staff to a manager, or between staff, it will always be treated with respect. Arrangements for processing, handling and storing data are based on the need to retain as much privacy for our service users as possible.
Behaviour of Staff
Staff are instructed never to forget that they are guests in the service user’s home and to be careful that familiarity does not blunt the respect that they should continue to show to their host.
We know that some service users have forms of address for themselves to which they are particularly attached, or, conversely, forms they find particularly offensive. Our staff will make note of and observe such individual preferences; staff will always address a service user by their chosen name and know that the acceptable usage may vary between people or over time.
We know that many people receiving domiciliary care find it important that they are helped at a time of day that is convenient for them, and we will try to respect service users’ preferences in these areas.
Staff who carry out tasks that relate to service users’ personal appearance will provide tactful help to ensure that their service users look as they would wish.
We recognise that the carrying out of some tasks, particularly those relating to intimate bodily functions, places service users’ privacy and dignity at severe risk. We will ensure that our staff demonstrate great tact in such situations.
Some situations may carry additional sensitivity if the staff member is of a different sex from the service user; if asked, we will attempt to provide service users with same-sex staff.
Staff have been instructed to be alert to the potential invasion of privacy involved in handling service users’ possessions or documents, and will always respect the boundaries a service user chooses to set.
If a service user is particularly sensitive about their privacy or dignity in any other area of their lifestyle, staff will tread with particular care.
Service Users from Minority Groups
We are aware that issues of privacy and dignity may be especially relevant when the service user is from a minority group. We seek to make our staff alert to points of cultural difference that they may encounter in their work, and we encourage our service users to draw to our attention any particular matter of which we should be aware. For example, in certain cultures, the men are the head of the household and women cannot be spoken directly to or asked any questions. During the assessment process, care must be taken to ensure that these cultural differences are taken into account.
DEPRIVATION OF LIBERTY IN COMMUNITY SETTINGS
Policy Statement
The purpose of this policy is to explain the organisation’s approach to people who use our service, who might lack the mental capacity to make decisions about their care and treatment and who could have their freedom restricted to the point where they are deprived of their liberty as defined by the Cheshire West Supreme Court judgement.
The organisation’s policy has been established to comply with the provisions of the Mental Capacity Act 2005 including the Deprivation of Liberty (DoLS) Safeguards. These have been in force since April 2009.
However, DoLS are only applicable in the care home and hospital settings. They cannot be used in community settings. These settings include supported living, adult placement/shared lives and domiciliary care provided in a service user’s own home. In these settings, an application for a deprivation of liberty order must be made to the Court of Protection. These are sometimes also known as Community DoLS or Judicial Authorisations.
Our organisation is aware of the restrictive factors that indicate a service user may be at risk of being deprived of their liberty. We will take action where we identify this risk, by alerting the local social services community team or the local authority DoLS team as appropriate. This is to ensure that situations involving our service users that may amount to a deprivation of liberty are recognised and acted upon to make sure they are lawful.
This Deprivation of Liberty in Community Settings Policy should be read and used in conjunction with the organisation’s broader Mental Capacity Act Policy.
Deprivation of Liberty Safeguards during Covid-19 pandemic
We recognised that during the Coronavirus (COVID-19) pandemic we are under increased pressure and working in very difficult circumstances. Good use of the Mental Capacity Act can help us support people using services around areas of consent and decision-making, and in upholding human rights.
We still assume capacity for a wide range of decisions unless there is evidence to suggest otherwise.
We refer to the latest government guidance on MCA and DoLS concerning coronavirus issues.
We still seek consent on all aspects of care to which the person can still consent.
The Policy
Sometimes people who lack capacity to decide for themselves, need to receive care or treatment in their own home or other community setting and the only way they can get the care or treatment they need and be safe is for there to be restrictions in place.
The Human Rights Act states that no one can be “deprived of their liberty” except in certain situations and only when very specific procedures are in place which must be used. This is to protect a service user from being deprived of their liberty without anyone looking at the circumstances and approving the actions.
DISCLOSURE AND BARRING SERVICE (DBS) AND (DBS) REFERRAL
Policy Statement
This policy outlines the organisation’s approach to the use of Disclosure and Barring Service (DBS) checks and the storage and use of information on convictions disclosed by the DBS. The policy applies to all staff groups and should be given to applicants at the outset of the recruitment process where an enhanced DBS disclosure of their criminal record will be required as part of the application process for working in a regulated activity.
Overview
An employer may request a DBS check as part of its recruitment process only where it is lawful to do so. For certain checks, this includes a barred list check and police-held information that is reasonably considered to be relevant for the post. The information is used as part of a safer recruitment and selection process, considering a variety of information gathered during the recruitment stage.
Exempted Questions
For DBS purposes, an exempted question is a valid request for a person to reveal their full criminal record history, which excludes protected cautions and convictions that are filtered from a criminal record.
The Policy
Access to the DBS Checking Service is restricted to those registered employers for entitlement by law to ask an individual to reveal their full criminal history, including spent convictions, also known as asking an exempted question. The exempted question applies only in specific occupations, for certain licenses, and specified positions covered by the Rehabilitation of Offenders Act 1974 (Exceptions Order 1975). Due to case law decisions, including those of the EU Courts, and the introduction of the GDPR into data protection legislation, criminal records data is viewed as sensitive data and should be handled as such.
Applicant’s Rights
Usually, a job applicant has no legal obligation to disclose. If an applicant has a conviction that is spent, the employer must treat the applicant as if the conviction had not happened. To do otherwise is unlawful.
For clarity, certain areas of employment, such as regulated activities, are exempt from the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 for which employers can ask about spent convictions. This is known as asking exempted questions.
Transgender Process
DBS offers a confidential checking process for these applications who do not wish to reveal details of their previous identity to their prospective employer. Further information can be obtained by email to sensitive@dbs.gsi.gov.uk, where the process will be explained. This information must be held following the latest data protection legislation regarding sensitive personal data.
Self-employed Workers
A self-employed person, who is eligible for a standard or enhanced check, can ask the organisation that wishes to contract their services to apply for their DBS check.
A self-employed worker can apply through the DBS online application route, if they live or work in England or Wales, for a basic disclosure only.
This check is also available in Scotland via the Disclosure Scotland online service.
Posts Requiring a Disclosure
An applicant will be requested to submit to a DBS disclosure request only where lawful. Before considering asking a person to apply for a criminal record check through DBS, the organisation is legally responsible for ensuring that they are entitled to apply for the job role. A countersigning officer must satisfy themselves that the position is eligible under the current legal provisions before countersigning each application form. The DBS is continually updating their eligibility for DBS checks.
All subjects of a DBS disclosure request will be made aware of the DBS Code of Practice. Any information revealed in a disclosure that is likely to lead to the withdrawal of a job offer will be discussed with the applicant before the offer is withdrawn.
Where a conviction has been disclosed in an individual’s application for a post with the organisation, a discussion will take place at the end of the interview regarding the offence and its relevance to the position.
Failure to reveal information relating to unspent convictions could lead to the withdrawal of an offer of employment.
Risk-based Decision Making in Relation to Disclosures
Where a prospective employee has a DBS returned detailing criminal offences that have not been disclosed, a risk assessment will be undertaken in respect to their recruitment. This must be based on the information at hand, and a balanced view should be maintained throughout the process. It is this organisation’s responsibility to ensure the safeguarding of service users, and the decision to employ will be taken in the context of risk to service users, staff, and the business. The decision will be recorded and held on file.
The Rehabilitation of Offenders Act 1974 provides that ex-offenders are not required to disclose to prospective employer’s convictions defined as ‘spent under the act. However, because our employees work in a regulated activity, the updated list applies as defined in the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975.
Disclosures and Data Protection
In this organisation:
DBS disclosure information will not be stored on an employee’s personnel file but will be stored separately, in lockable storage, with access limited to those who are entitled to see it as part of their duties.
A record will be maintained of all those to whom disclosure information has been revealed, as it is a criminal offence to pass on this information to anyone who is not entitled to receive it.
The DBS reference number will be the means used to investigate any queries regarding the disclosure.
A log of these numbers will be kept to check and review the information, where required, with a restricted access list for data sharing processes.
DBS disclosure information will only be used for the specific purpose for which it was requested and for which the applicant’s full consent will have been obtained.
Any information disclosed during the DBS process will be dealt with sensitively and appropriately.
The DBS disclosure can only be processed by the completion of all documentation and the ID validation process for all applicants. This means strict adherence to the DBS Code of Practice, including the three-route identity process to validate the name, date of birth and address of the applicant. Failure to validate because of a lack of the required documentation means the applicant will be asked to attend for fingerprinting at their local police station, which could lead to delays in the application process.
In the event of any discrepancy between the information provided on the DBS application form and the identity documents supplied, and where fraud is not suspected, further clarification should be sought from the applicant.
DBS Update Service
This service lets employers check the status of an existing DBS certificate if it is for the same workforce where the same type and level of DBS are required and where you have the permission of the individual. The limit to the consent that the individual gives includes:
They can show their certificate to anyone because it is their information.
Can give consent to an employer, so they can view their status on the update service.
The employer can only make the status check if they can also legally request a new DBS application for the role the individual will be working in. Full guidance on the update service can be found at: www.gov.uk/government/publications/dbs-update-service-employer-guide
Making a Referral
To fulfil the company’s legal obligations and procedures for referring to the DBS, the referral system is set out below. The form is accessed at: https://www.gov.uk/guidance/barring-referrals
When to Refer
The Safeguarding Vulnerable Groups Act (SVGA) 2006 and the Safeguarding Vulnerable Groups (Northern Ireland) Order (SVGO) 2007 place a duty on employers of people working with children or vulnerable adults to make a referral to the DBS in certain circumstances. This is when an employer has dismissed or removed a person from working with children or vulnerable adults (or would or may have, if the person had not left or resigned, etc.) because the person has:
Been cautioned or convicted for a relevant offence,
Engaged in relevant conduct concerning children and/or vulnerable adults (i.e. an action or inaction [neglect] that has harmed a child or vulnerable adult or put them at risk of harm), or,
Satisfied the harm test concerning children and/or vulnerable adults (i.e. there has been no relevant conduct [i.e. no action or inaction] but a risk of harm to a child or vulnerable adult still exists).
How to Refer
[PLEASE ENSURE THAT THESE PROCEDURES REFLECT YOUR PRACTICE OR VICE VERSA]
After an incident has been reported or an allegation made that a service user has been abused, there will be a thorough investigation that follows the company’s disciplinary procedures.
The local authority (LA) safeguarding team will be informed immediately, and, in some cases, there may be a police investigation.
During such an investigation, this organisation will take all possible steps to ensure that the service users in question are kept safe and well protected from any possible further incidents.
In most instances the employee(s) in question will be suspended or, if there is clear evidence of misconduct, they may already be dismissed.
Once it is clear that misconduct resulting in harm or possible harm has occurred and the worker(s) involved remains a risk to vulnerable people, the company’s manager must, by law, refer that person to the DBS.
However, it is important to note that a DBS referral might be made at any stage in the procedures used for establishing whether misconduct causing harm to a service user has taken place. The company does not have to complete the investigation before making a referral; the paramount principle is the protection and safety of the vulnerable person.
The DBS team will decide based on the information made available if the worker should be investigated. If, after assessment, the person is not placed on the list, the person is not barred from current or future employment in a regulated activity. This does not necessarily mean that the company will re-employ the person if they have been dismissed.
If the person is provisionally placed on the DBS list, they will no longer be able to work in a regulated activity. A person can appeal against both provisional placement and confirmation on the DBS list following the established procedures that are not the concern of this company as an employer.
The DBS referral and assessment process are separate from the company’s own disciplinary and appeal procedures. The only obligation this company has is to make a referral if it considers vulnerable people have been harmed or are at risk of being harmed if the individual continues to work in a regulated activity. The DBS team will communicate all decisions to the individual once the referral has been made and investigations complete.
DRESS CODE
Policy Statement
This policy sets out the requirements of all categories of staff within this organisation concerning the wearing of uniforms and standards of dress.
The definition of staff is all workers, staff, and management. This includes volunteers, agency workers, and self-employed contractors, who must be appropriately dressed at all times
Students undertaking placements are expected to adhere to the policies agreed between this organisation and the relevant education provider.
The Policy
This policy clarifies the requirements for all staff concerning standards of dress. Health and safety demands are such that clarity needs to be in place to ensure that our duty of care to staff and service users is understood and respected.
The standard of dress must support infection prevention and control requirements of the Care Quality Commission (CQC) Regulations.
The standards of dress are such that it enhances the safety and wellbeing of staff and presents a professional image to our multi-agency partners, service users and the local community.
This organisation, whilst implementing a dress code, nonetheless recognises the diversity of cultures, religions, and disabilities of its employees, where necessary, and will take a sensitive approach when this affects dress or uniform requirements.
The Dress Code Policy is designed to guide managers and employees on the application of standards of dress and appearance. The policy sets out acceptable and unacceptable standards of dress. Staff should use commonsense in adhering to the principles underpinning the policy.
All employees are supplied with this organisation’s identity/security badge, which must be worn and be visible during working hours or when representing this organisation in an official capacity.
All staff are required to comply with the principles of the Dress Code Policy. Failure to adhere to this organisation’s standards of dress may constitute misconduct and may result in formal disciplinary proceedings.
Employees are responsible for following the standards of uniform/dress laid down in this policy and should understand how this policy relates to their working environment, health and safety, infection control, particular role and duties, and contact with others during their employment.
Managers are responsible for ensuring that the Dress Code Policy is adhered to at all times by the workers they manage, and must be mindful of the requirements regarding contractors, agency staff, and volunteers, etc.
Uniform
Staff Delivering Personal Care to Service Users
All staff delivering personal care to service users must:
Wear the uniform provided by this organisation in a clean and presentable fashion and have access to a spare uniform in case one becomes soiled during the shift. [DEFINE HERE UNIFORM ISSUED]
Use appropriate PPE, e.g. gloves, aprons, bacterial gel, masks.
Staff Delivering Support to Service Users
All staff delivering support to service users must:
Wear the uniform provided by this organisation in a clean and presentable fashion and have access to a spare uniform in case one becomes soiled during the shift. [DEFINE HERE UNIFORM ISSUED]
Volunteers, Contractors, or Self-employed
All volunteers, contractors, or self-employed must:
Be appropriately dressed for the task for which they are engaged to do. Common sense should be the guiding principle, but at all times the following applies:
All tops must cover the upper torso completely; vests are not acceptable.
Shorts, if worn must be knee-length, tailored for both men and women.
Shoes must be appropriate for the task; open-toed sandals should not be worn.
Denim of any type is not acceptable. Chino cotton, linens, and similar fabrics are appropriate.
All appropriate clothing must be safe and acceptable in the workplace, e.g. mini/maxi type clothing is not acceptable.
Clothing should be clean, serviceable, and fit for the task.
Managers and Office Staff
The dress code for this group of staff is not definitive but must adhere to the following standards:
Skirts, trousers, and tops must be serviceable and of the right length and coverage as detailed above [DETAIL ANY SPECIFIC ORGANISATIONAL REQUIREMENTS].
No staff in this category are allowed to wear shorts, either in the office or whilst visiting prospective service users.
Shoes should be carefully selected, e.g. open-toed sandals or similar footwear should not be worn.
General
The uniforms issued must not be altered or added to by the individual. If changes are required, they must be discussed with your line manager.
All staff delivering personal care or support should change out of their uniform before going off duty. If this is not possible then staff are permitted to travel between home and work in their uniform, as long as it is fully covered by a coat. This should be discussed with the appropriate manager to seek agreement for the staff member.
The wearing of this organisation’s uniform in public places, such as a supermarket, is not acceptable.
The ID badge should be removed on leaving the premises.
Maternity uniforms will be provided for staff where necessary.
This organisation does not provide a laundry service, but staff must ensure that uniforms are laundered following guidance provided on the uniform. In the event of any confusion, staff should contact the ICP lead in the organisation for guidance on appropriate washing temperatures.
All staff leaving this organisation who have been provided with a uniform must return their uniform to their line manager. [DETAIL HERE THE RETURN PROCESS].
Nail varnish, false nails, and false eyelashes are not permitted. Nails should be sufficiently short to ensure safe service user contact and good hand hygiene.
Visible tattoos are to be discouraged and, where present, should not be offensive to others. Where they are deemed to be offensive, they should be appropriately covered.
Jewellery must be kept to a minimum for staff delivering care or support. A plain/wedding ring and one pair of discreet stud earrings are permitted. Wristwatches must not be worn when providing care or support. [DETAIL EXACT REQUIREMENTS]
Facial/body piercing can be a health and safety issue and must be removed before coming on duty.
If staff have piercings for religious or cultural reasons, these must be covered and must not present a quantifiable health and safety risk, or an infection prevention and control risk.
Hair should be neat and tidy at all times and long hair should be tied back for a care and support environment. Headscarves worn for religious purposes are permitted in most areas; however, they are excluded in any clinical areas where they could present a health and safety and cross-infection hazard. Beards should be short and neatly trimmed unless this reflects the individual’s religion, in which case it should be tidy. Beards should be covered with a hood when undertaking aseptic procedures.
BRIBERY AND CORRUPTION
Policy Statement
The Bribery Act 2010 is concerned only with bribery within the context of commercial corporate governance. This organisation sets out below its understanding of the scope of the act and its response in terms of management responsibilities and reporting duties.
The Policy
Through this policy, registered managers and the senior management team will be aware of their role in mitigating any corporate risk to the company by failing to adhere to the guidance below.
Definition(s) of Bribery
“Giving someone a financial or other advantages to encourage that person to perform their functions or activities improperly or to reward that person for having already done so.”
“A form of corruption, an act of implying money or gift given that alters the behaviour of the recipient.”
“The offering, giving, receiving, or soliciting of any item of value to influence the action of an official or other person in charge of a public or legal duty.”
The bribe is the gift bestowed to influence the recipient’s conduct. It may be any money, goods, property, preferment, privilege, emolument, an object of value, advantage, or merely a promise or undertaking to induce or influence the action, vote, or influence of a person in an official or public capacity.
Principles
Proportionate procedures
Top-level commitment
Risk assessment
Due diligence
Communication (including training)
Monitoring and review
Proportionate Procedures
The actions undertaken must be proportionate to the size and scope and aligned to the commercial activity of the business, e.g. foreign contractual arrangements where it could be that bribery is known to be commonplace. Such foreign contracts would greatly increase the risk of the company to exposure to the Bribery Act 2010.
Top-level Commitment
This organisation is fully committed to a zero-tolerance response to bribery in any form. The board of directors and the senior management team, including all registered managers, have the responsibility to ensure that a culture of integrity is fostered to make bribery unacceptable. A firm anti-bribery stance is expected from management, including adherence to the formal statement on anti-bribery culture.
Risk Assessment
Any anti-bribery risk assessment should take account of the following factors, categorised as internal or external:
| External | Internal |
| Country risk | Employee training |
| Sectional risk | Bonus culture |
| Transactional risk | Absence of audit/financial controls |
| Business opportunity risk | Management/leadership |
| Business partnership risk |
Due Diligence
This is a well-established element within the corporate governance overview of the senior management team. It is particularly relevant where third-party intermediaries are used, e.g. where local law or convention dictates the use of local agents.
Communication (including Training)
Internal and external communication may vary in tone and content, dependent on the relationships and the bribery risks involved. Internal communications should convey a ‘tone from the top’ regarding financial control, hospitality, promotional expenditure, charitable or political donations, and penalties for breach of rules. An important aspect is the establishment of a secure, confidential, and accessible means for internal or external stakeholders to raise concerns about bribery on the part of the associated parties. All staff must be made aware of the above via training, and it should be incorporated into the whistleblowing policy.
BULLYING AND HARASSMENT
Policy Statement
This organisation believes in a zero-tolerance attitude toward bullying and harassment in the workplace. This, in practice, requires that all staff are treated with dignity and respect whilst undertaking their duties in a working environment in which the dignity of all employees is respected and where employees feel able and encouraged to reach their full potential and effectiveness.
Harassment as defined in the Equality Act 2010 is:
Unwanted conduct related to a relevant protected characteristic, which has the purpose or effect of violating an individual´s dignity or creating an intimidating, hostile, degrading, humiliating, or offensive environment for that individual.
Bullying may be characterised as:
Offensive, intimidating, malicious or insulting behaviour, abuse or misuse of power through means that undermine, humiliate, denigrate, or injure the recipient.
The Policy
The recipient’s view is crucial: what one person may find acceptable, another may not. Any form of harassment or inappropriate behaviour that offends, whether intentional or not, will be treated very seriously and, where appropriate, will lead to disciplinary action, which could include dismissal, being taken.
Examples of unacceptable behaviour
Spreading malicious rumours or insulting someone.
Offensive language, swearing.
Copying memos that are critical about someone to those who do not need to know.
Ridiculing or demeaning someone; setting them up to fall or fail.
Exclusion or victimisation.
Unfair treatment.
Overbearing supervision.
Sexual harassment: unwelcome remarks such as jokes, innuendos, touching, standing too close, display of offensive materials.
Racial harassment.
Religious discrimination.
Disability discrimination.
Age discrimination.
What harassment does not mean:
Mutually acceptable friendship or flirtation.
Enjoying a joke at work, providing that it is not at someone else’s expense.
Enjoying a joke at work if no one shows they are offended.
Normal operational management of staff in the conduct of their duties.
Keeping perspective
If you are in an environment and are uncomfortable about jokes or banter in that environment, it is your responsibility to raise concerns early so they can be dealt with.
Our Responsibilities and Actions as a Company
We promote an environment where no one is harassed or victimised.
All management employees are aware of this policy and aim to ensure that all workers are treated fairly and that no one is harassed or victimised.
To be observant and alert to the kind of behaviour that might indicate a problem, i.e. where one employee is always critical of another or where an employee is left out of social interaction.
To deal with any form of harassment or intimidation at an early stage. This may be initially informally, as the accused may not be aware their behaviour is offensive. If this approach is not successful, written statements will be taken from the complainant and the accused, and an investigation will be undertaken seeking advice from senior management or outside agencies as deemed necessary. Where possible, steps will be taken to ensure the two parties are not placed in a situation where the matter can be aggravated. If the outcome of the investigation shows that there is a reasonable belief of bullying and harassment, it is within the realm of the employer to take disciplinary action against that employee.
To offer support for the victims of harassment or bullying.
Responsibilities of the Employee
All employees must comply with this policy.
Employees must be aware that it is their responsibility not to harass, bully, or intimidate another employee.
If an employee becomes aware that a colleague is experiencing harassment or bullying, it is part of their duty of care not to allow it to continue by reporting all incidents to a manager.
How to Report an Allegation of Bullying and Harassment
Very often people are not aware that their behaviour is unwelcome or misunderstood, and an informal discussion can sometimes help to solve the problem. However, if you feel that you are being bullied or harassed, we realise that the situation may be sensitive and may make you feel vulnerable or in fear of reprisal, and, therefore, may make it difficult for you to make an allegation. Subsequently, we suggest you consider discussing matters informally with your manager, in confidence, who will then be able to support you when pursuing the matter. If you feel able to do so, you should then raise the matter informally with the perpetrator, with your manager to support you.
If this does not solve the problem, or if the matter is more serious (or if you do not feel able to do so), you should report the matter to the manager as a formal written grievance.
Grievance
We endeavour to manage grievances in a timely and confidential manner, via an investigation to establish full details of what happened. Your name and the name of the alleged harasser will not be divulged, other than on a need-to-know basis to those individuals involved in the investigation. At the outset, someone with no prior involvement in the complaint will be appointed. The investigation will be impartial and objective and will be carried out sensitively and with due respect for the rights of all parties concerned.
Consideration will be given to whether the alleged harasser or bully should be redeployed temporarily or suspended on contractual pay, or whether reporting lines or other managerial arrangements should be altered, pending the outcome of the investigation.
As part of the investigation, the person will meet with you to hear your account of the events leading to your grievance. You have the right to be accompanied by a colleague of your choice. The investigating officer will also meet with the alleged harasser or bully, who may also be accompanied by a colleague. It may also be necessary to interview witnesses to any of the incidents mentioned in your grievance. Where it is necessary to interview witnesses, the importance of confidentiality will be emphasised to them.
At the conclusion of the investigation, the outcome of the findings will be notified to both you and the alleged harasser, usually within two weeks of your complaint first being reported.
If the conclusion is that harassment or bullying has occurred, prompt action will be taken to stop the harassment or bullying immediately and prevent its recurrence.
The findings will be dealt with under the disciplinary procedure. Consideration will be given to whether the harasser or bully should be dismissed and, if not, whether they should remain in their current post or be transferred. Even where a grievance is not upheld (e.g. where evidence is inconclusive), consideration will be given to how the ongoing working relationship between you and the alleged harasser or bully should be managed. This may involve, e.g., arranging some form of mediation or counselling or a change in the duties or reporting lines of either party.
Should the investigation show that there may be a case to answer, the organisation’s disciplinary procedure will be invoked against the alleged perpetrator.
Confidentiality
At all times throughout the process and after, all parties involved, including the alleged perpetrator, the victim, the manager, and any witnesses, will need to give due consideration to confidentiality. As such, all parties will be reminded that they should not breach confidentiality and should not discuss the matter with anyone outside of the procedure.
Details of the investigation and any subsequent disciplinary procedure that may take place will be kept on the employee’s personnel file.
Untrue Claims
Whilst we will support all parties during and after a thorough and objective investigation into the allegation as appropriate, if, through the course of the investigation and subsequent disciplinary meetings, evidence demonstrates that the allegation has been made maliciously, or for personal gain, then the individual making the complaint will be subject to disciplinary proceedings, as outlined in the organisation’s Disciplinary Policy.
Appeals
If you are not satisfied with the outcome of the investigation, you have the right to appeal the decision within seven calendar days of being notified of the outcome. You should submit your full written grounds of appeal to another manager [INSERT HERE POST OR NAME]. The person hearing your appeal will meet with you to discuss your appeal. You may be accompanied by a colleague or trade union official. You will normally be notified of the outcome of the appeal within fourteen days of this meeting. This is the final stage of the formal procedure.
ALCOHOL AND DRUGS
Policy Statement
All employers have a general duty to ensure the health, safety, and welfare of their employees. If an employer knowingly allowed an employee under the influence of alcohol or drugs to continue working, and this placed the employee or others at risk, the employer could be liable to charges.
Employees are also required to take reasonable care of themselves and others who could be affected by what they do. They could be liable to charge if their alcohol consumption or drug taking put safety at risk.
The law on alcohol and drugs at work includes the Health and Safety at Work Act 1974 and the Misuse of Drugs Act 1971.
Misuse of Drugs Act 1971
The Misuse of Drugs Act 1971 makes it an offence to possess, supply, or offer to supply or produce controlled drugs without authorisation. It is also an offence for the occupier of premises to knowingly permit the production or supply of any controlled drugs or allow the smoking of cannabis or opium on those premises.
Under common law, it is an offence to aid and abet the commission of an offence under the Misuse of Drugs Act.
The Misuse of Drugs Act 1971 is the main piece of legislation governing the unlawful possession and supply of controlled drugs. Nearly all drugs with misuse and/or dependence liability are covered by it. The Act lists the drugs that are subject to control and classifies them into three categories according to their relative harmfulness.
Class A drugs are the most addictive and physically dangerous drugs when misused and include ecstasy, cocaine, heroin, Lysergic Acid Diethylamide (LSD), mescaline, morphine, opium and injectable Class B drugs.
Class B drugs include oral preparations of amphetamines, barbiturates, codeine and methaqualone (Mandrax).
Class C drugs include benzodiazepines ( e.g. Temazepam, valium), cannabis, cannabis resin, and other less harmful drugs of the amphetamine groups and anabolic steroids.
The penalties for offences involving controlled drug depend on the classification of the drug. Penalties for misuse of Class A drugs are more severe than the penalties for Class B drugs which in turn are more severe than the penalties for Class C drugs. The Act distinguishes, in terms of the penalties that may be imposed, between the offences of possession of drugs, trafficking or supplying, with the latter attracting the higher penalties. The police force often makes the distinction between personal use only, due to the pressure of work and the move into recreational use within communities.
The Road Traffic Act 1988 states that any person who, when driving or attempting to drive a motor vehicle on a road or other public place, is unfit to drive through drinks or drugs shall be guilty of an offence. An offence is also committed if a person unfit through drinks or drugs is in charge of a motor vehicle in the same circumstances. This organisation will report any known instances to the police, when appropriate.
This organisation enforces a strict no alcohol or drugs on duty regime. Both alcohol consumption and illegal drug taking impair judgement, reaction time, and the employee’s ability to carry out their duties, thereby placing themselves and the service user at considerable risk.
If an employee is accused of illegal drug taking or alcohol consumption whilst on duty, they will face an immediate suspension from their duties whilst an investigation is conducted. A full disciplinary investigation will be undertaken. If the accusation is proven to be true, the employee concerned could be dismissed.
The Policy
The aims of the policy are:
To ensure the safety of employees, residents and their families.
To prevent work impairment due to alcohol, drugs and substance misuse and to ensure that all employees are able, at all times, to carry out their duties safely and professionally.
To ensure that all employees are aware of the consequences for their continued employment if they misuse intoxicating substances at work or that impact on their ability to work.
To assist employees to identify at an early stage drug or alcohol misuse and encourage and support them to seek help.
Advice in the type of support the organisation can offer will be agreed upon by HR, the management team, recorded in their file and reviewed regularly.
To provide a framework within which substance abuse can be managed fairly and consistently, taking a welfare and wellbeing approach to each situation as it arises.
Definition of Substance Abuse
For this policy, substance misuse is where any employee, is under the influence of, possession of, or experiencing the side effects of illegal drugs, alcohol, over the counter drugs, prescription drugs, or any other substance that adversely affects their performance, behaviour or conduct including the safety of others.
Drug dealing or possession will be reported to the Police without exception.
Unless in exceptional circumstances defined below the use of alcohol, drugs or inappropriate substances whilst at work, or within the organisation premises, is forbidden. Employees found to be doing so, will have the substance confiscated and will be subject to conduct proceedings which could include dismissal. The policy considers that misuse of substances to include any illegal drug, misuse of alcohol, dependency on prescription drugs, and any circumstance where a substance has a consequential effect on work performance.
Exceptional Circumstances
The responsible consumption of alcohol where the organisation provides work accommodation on their premises only, any prescription drug required as part of their healthcare with no detrimental effect on performance.
Service Users
If employees are asked to purchase alcohol by service users, they can only do so where it is recorded as part of the care plan. Illegal drugs can never be purchased for a service user, and a disciplinary investigation will be undertaken in such circumstances.
Staff
Any theft of drugs from the organisations’ premises will be treated as a disciplinary matter.
Employees who become dependent on alcohol or drugs will be supported to end their dependency, with a multi-agency approach working in partnership with other professional involved, such as health and clinical treatment interventions. This will be done on an individual basis with the cooperation and consent of the employee.
The process where substance abuse is evident
Where a manager has reasonable concerns that an employee’s performance, conduct or attendance has been compromised by alcohol or drug misuse, they must take responsibility to stop the employee from working immediately, with sensitivity and due care. Medical intervention may be required to ensure the safety of the employee, dependent upon the behaviour and effects on the individual. They should be prevented from driving and the Police informed if necessary if there is an immediate risk to themselves or other road users.
An investigation of the circumstances should be undertaken with decisions regarding the next steps when all the facts are established. It may be that there are previous indicators, such as sick absences, citing domestic, stress or other factors outside of work.
Where alcohol, drugs, or any other drug misuse is confirmed, then a decision needs to be taken as to whether there is a sickness or disciplinary situation and the appropriate process followed.
The effect of alcohol or drugs on staff is detrimental not only to their health and wellbeing but represents a risk both to themselves and service users. The potential effects of alcohol or drugs are numerous, including:
Absenteeism, unauthorised absence, lateness, etc.
Higher accident levels, including at work, whilst driving, and whilst performing tasks.
Impaired work performance, difficulty in concentrating, tasks taking more time, increased mistakes, heightened distraction.
If the performance or attendance of an employee at work is affected by alcohol or drug misuse outside of working hours, they may be subject to disciplinary action and, dependent on circumstances, this could result in their dismissal. These circumstances will be dealt with via disciplinary procedures. Wherever possible, this organisation will signpost employees with an identified alcohol or drug problem towards the appropriate help and support, so that they recognise the dangers of alcohol, drug, and other substance misuses, whilst encouraging them to seek help for themselves.
Where any misuse of alcohol or drugs is reported via the whistleblowing procedures, the whistleblowing policy must be followed.
Drug Screening in the Workplace
We are legally required to gain consent from the employee to carry out drug screening. This consent is gained [INSERT HERE IF YOU HAVE IT AS PART OF YOUR EMPLOYMENT CONTRACT OR STAFF HANDBOOK ETC].
We limit testing to employees that need to be tested.
We ensure tests are random.
Our employees understand that they cannot be made to take a drug test but, if they refuse when there are good grounds for testing, they may face disciplinary action.
Data protection law covers any monitoring, including drug testing, and all records are confidential.
The company used to carry out drug screening is [INSERT], accredited by [INSERT].
