Contract Of Employment D1- Sep2008

Advicesheet

Contracts of employment

D1

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Advicesheet

Contracts of employment

contents This advice sheet helps members draw up statements of conditions of employment for all staff employed in general practice. The BDA can offer advice and help on associateships, employed and self-employed performers, partnerships and locumships and has model agreements to cover each type of arrangement. The BDA Practice Compendium also contains these and other employment-related models that you can customize for your own practice.

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PART 1 Contracts of employment Grievance procedures Disciplinary procedures Statutory sick pay Restraint of trade Other employment rights

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PART 2 Employment contract with explanatory notes Sickness/injury absence and pay policy Grievance procedure Disciplinary procedure Equal opportunities policy Confidentiality policy Employment rights checklist ACAS addresses Futher help and advice

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Contracts of employment

In general, a contract exists as soon as an employee accepts the employer’s terms and conditions of employment by starting work. Both employer and employee are bound by the terms offered and agreed. The terms may be written down or merely spoken, expressly stated or implied, for example by custom and practice. In common law, the existence of a contract imposes certain obligations on and gives certain rights to the parties. Employees are under a duty to give faithful and honest service and to obey lawful instructions, provided they are in accordance with the terms of the contract; an employer must take reasonable care of the employee’s safety. While most employees do not have a right to be given work, they cannot be laid off without pay unless this is specifically provided for in their contract.

The written statement

All employees must, within two months of starting work, be provided with written information about their terms and conditions of employment. Failure to supply written particulars may be referred by an employee to an employment tribunal. The written statement may be provided in instalments within the first two months of employment. The statement can refer the employee to separate ‘reasonably accessible’ documents for particulars relating to sickness and sick pay, pensions, and the length of notice which the employer is obliged to give and entitled to receive to terminate the contract. For example, documents could be pinned to a notice board or kept in a handbook in the staff room. Particulars of all of the other conditions listed below must be included in the document(s) given to the employee. The “written statement” must contain the following:               

Names of the employer and employee The date employment began and a statement about continuity Job title or a brief description of duties Place of work or, if the employee is required or allowed to work in more than one location, an indication of this and of the employer’s address Scale or rate of remuneration or the method of calculating that remuneration Intervals at which remuneration is paid Hours Holidays and holiday pay Sickness and sick pay For non-permanent employment, the period for which employment is expected to continue or, if it is a fixed term, the date on which it will end Pension and position under the Social Security Pensions Act 1975 Notice required to give and entitled to receive Grievance procedure Disciplinary rules and procedure Details of any collective agreements which directly affect the terms and conditions of employment.

The written statement gives an employee a clear indication of the main terms and conditions of employment. It includes the minimum information an employer must give an employee as required by legislation. The statement is not the ‘contract of employment’ but merely contains the employer’s statement of what has been agreed. When the courts consider the contract, account will be taken of written statements and of other expressly stated or implied conditions. In practice, however, most employers find it worthwhile to provide a more comprehensive statement of the terms and conditions. The BDA’s model contract includes all of the basic terms that must be included in the written

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statement, plus some additional terms that have been drafted specifically for employees working in dental practices. Part 2 of this advice sheet includes guidance notes explaining what the terms mean and how they apply. If you use the BDA’s model contract of employment, you do not need to give an employee a separate written statement of terms. The model, however, can only offer guidance. Circumstances vary from practice to practice and you need to tailor the contract to your specific needs. The BDA is happy to advise if you are uncertain how to do this. A written statement or contract should be issued to employees as early as possible. Any agreed changes to the main terms and conditions must be notified in writing to the employee not more than one month after such changes take effect. Any related documentation must also be updated. Where significant changes are to be made to an employment contract, an employer must consult with employees and provide adequate time and opportunity for employees to raise their objections and concerns. For more information on varying an employment contract, see BDA Advice Note Change management and Contract variation available on the BDA website www.bda.org. It is good practice to research a prospective employee’s background. You should always ask for and take up references. Ideally, you should have two references, one from the most recent employer. It is not advisable to accept written references handed to you from a prospective employee as they may not be authentic. Ensure that job offers are in writing and are clearly made ‘subject to satisfactory references’. You also have to do certain legal checks on new employees:

References and checks

 Criminal Records Bureau – you must check for any unspent convictions of all staff joining an NHS or mixed NHS/private practice  Independent Safeguarding Authority (ISA) – from 2009 dentists, dental hygienists, dental therapists and dental nurses will need to be registered with the ISA in order to work in the dental team or any other profession. It will be an offence to employ anyone who is not on the ISA register. You will have to check the ISA register before the new employee starts work. The BDA will publish detailed guidance nearer the time  Independent Safeguarding Authority – from 2009 you will have to make sure that other staff (including receptionists and practice managers) are not on the ISA’s lists of people barred from working with or near children or vulnerable adults. For further information contact BDA Practice Support [email protected], telephone 020 7563 4574 (England and Wales) or 01786 431 727 (Scotland and Northern Ireland).

A grievance procedure provides guidance on how to deal with difficulties in the workplace and ensure that everybody is treated in the same way. It contains the course of action that needs to be taken should employees have a complaint and provides points of contact and timescales in which to resolve the issue. It is a formal way of resolving problems that employees face in the workplace and enables problems to be dealt with quickly and efficiently. An employer should never ignore a grievance even if it seems petty or without foundation. To the individual employee the matter will almost certainly be important and delay in dealing with it may lead to frustration and possibly unrest.

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Grievance procedures

Employees should be encouraged to discuss issues informally with the practice owner/manager. It is good practice to take notes, even at an informal stage. Where this has been unsuccessful or it is inappropriate, employees should take the formal grievance procedure route. The employee must be informed with whom they should raise the complaint and the timescale for dealing with it. See BDA Advice Sheet D17 Practice grievance procedures for more information.

Disciplinary rules and procedures

In every organisation, employees should know exactly what is expected of them. Disciplinary rules set reasonable standards of conduct which, if observed, will ensure the wellbeing of all individuals in the workplace and the effective operation of the organisation. Employees should know what procedures will be followed and what action may be taken if they break the rules. The main aim of a disciplinary procedure is to provide a fair and consistent method of dealing with alleged failures to observe the rules. They are necessary even in the most informal and friendly workplace, whatever the size, and they help an organisation to operate effectively. Employees with one year’s continuous service can claim unfair dismissal. For unfair dismissal, the period of continuous service will usually include the statutory minimum notice period. Those with less than a year’s service can sue for breach of contract (wrongful dismissal) if the employer has not followed the contractual disciplinary process. Detailed advice on handling disciplinary problems is contained in the BDA advice sheet D11 Practice disciplinary procedures and dismissal.

Rules

Rules should be clear and concise, indicate to whom they apply and be explained to every employee. You may wish to put together a practice manual that sets out the practice’s rules and policies. Rules usually cover matters such as:         

Timekeeping, providing a reason for absence Frequent short-term sickness and notification procedures Long-term sickness absence Accurate completion of time sheets Protecting practice and/or patients’ property Smoking Wearing protective clothing Practice dress code and general standards of appearance Examples of serious offences (for example theft, violence or breach of confidentiality) which might lead to dismissal without a previous warning being given  The necessary immunisation for appropriate staff. Procedures

There should be a simple written procedure for dealing quickly and fairly with incidents of alleged failure to observe the rules. A disciplinary procedure that conforms to the ACAS Code of Practice will be in writing and known and understood by all employees. It will provide that:  Alleged offences are investigated quickly and fully as the circumstances require  An employee will be notified of the complaint in writing and will have the right to explain their conduct  Except in cases of gross misconduct, an employee will not be dismissed until at least one written warning has been given which makes it clear that dismissal may result if the terms of the warning are not complied with

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 At all stages of the procedure a disciplinary interview will be held and the individual is legally entitled to be accompanied to the disciplinary interview by a trade union representative or colleague of their choice from within the practice  Employees dissatisfied with any formal disciplinary action affecting them have the right of appeal (but see the section below on appeals in small practices)  A record should be kept of any disciplinary action, to ensure that the procedure is applied fairly and consistently and to provide written evidence of the facts if these are disputed later. Such a record should, of course, be confidential. An important part of a disciplinary procedure is the appeals process. In small practices this can cause difficulties, as it is not appropriate for the person who conducted the disciplinary investigation and initial hearing to hear any appeal against the decision. In such cases single-handed practitioners who have a practice manager should consider using the manager to conduct the disciplinary interview and issue any warnings, reserving the owner of the practice to hear the appeal. It is essential that the practitioner has not had any involvement with the original disciplinary decisions. A practitioner who does not have a practice manager may wish to consider asking an associate or senior member of the DCP staff to fulfil a similar function. In some cases, the BDA might be able to help.

Appeals

Practitioners with a number of partners should use one partner to undertake the disciplinary action reserving another (who should not have been consulted by the first partner in the course of the enquiry/hearing) to hear the appeal. A further option might be to ask an outside independent person to hear the appeal, who might be a local dental colleague or the practice accountant or solicitor. If this option is used, there would probably be a charge and there would need to be a mechanism whereby the confidentiality of patient information and practice business information is preserved. Whichever approach is used, the appropriate person’s name should be inserted into the appeal clause.

Statutory sick pay (SSP) is the minimum statutory amount payable to an employee who has been absent from work through illness and is payable for a maximum period of 28 weeks.

Statutory sick pay

SSP is the minimum level of payment, but employers can continue paying the usual salary or come to their own agreement regarding sick pay. The BDA’s model Sickness/injury absence and pay policy (appendix 1 of the model contract) links sick pay entitlement to years of service. Please note that it represents BDA recommendations and is over and above the minimum legal requirement. In order to be considered for SSP, an employee must notify the employer of the illness. The employer is entitled to ask for reasonable evidence of incapacity, which may either be self-certification or a medical certificate. Employees can self-certify for periods of illness lasting fewer than seven days and should produce a doctor’s note for absences of seven days or longer.

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Notification and entitlement

To receive SSP an employee must be:  Sick for four or more days in a row (including weekends and bank holidays).  Earn, before tax and National Insurance, an average of £90.00 a week (April 2008). During the waiting day period (that is the first three days of sickness), it is up to the employer whether anything is paid. If the waiting days are not to be paid, employees should be advised that they may be eligible for benefit from the Department for Work and Pensions and should contact their local Jobcentre Plus office. When to pay SSP

SSP is paid from the fourth qualifying day of sickness. Any two periods of sickness separated by eight weeks or less are treated as one period of incapacity for work (PIW). Where a PIW is linked to an earlier period, any qualifying days from the first PIW can be included in calculations for triggering SSP for the second PIW. Calculating payments The weekly rate for SSP is currently £75.40 (April 2008 – reviewed annually in April). The daily rate for SSP is the weekly rate divided by the number of qualifying days in a week. SSP is subject to NI and tax contributions and is paid when usual salary payments are made, for example weekly or monthly. Termination of payments Liability to pay SSP ends:     

When the employee’s contract of service ends If the employee has been due 28 weeks’ SSP in a PIW An employee’s linked PIW with an employer has run for three years The employee is taken into legal custody The employee dies.

Recovering SSP The recovery of SSP is governed by the Percentage Threshold Scheme. In order to establish whether you qualify in any tax month for reimbursement under this scheme, you should: 1. Establish your total gross Class 1 National Insurance contribution liability for the tax month in question, which runs from the sixth day of one month to the fifth day of the next. This includes employee‘s, as well as employer‘s, contribution liability. Class 1A National Insurance contributions are excluded 2. Multiply by a set percentage (currently 13 per cent) and round up to the nearest penny 3. Establish the total SSP payments in that month. If the amount at (3) is more than the amount at (2), you can recover the difference. Further advice on SSP is available in BDA Advice Note Statutory sick pay. Full details of SSP are given in the government helpbook E14 – Employer Helpbook (2008). You can download this from the Inland Revenue’s website (www.hmrc.gov.uk).

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It is now possible for all registered dental professionals – dental nurses, dental hygienists, dental therapists, dental technicians, orthodontic therapists and clinical dental technicians, as well as dentists – to set up and own a dental practice. Therefore there is a possibility that your staff may leave your employment to set up a competing practice. The law gives you a limited amount of leeway to restrict former employees from setting up in practice (you cannot stop them from going to work at another practice). Any restriction must be in writing, must be signed by the employee and must be limited to a reasonable radius around the practice and be for a limited duration. The DCPs will have to employ a dentist to see patients first and perform an oral health assessment and, since patients are usually primarily loyal to dentists, the chances of damage to your practice are quite low. The following model clause may be useful if you feel that it is necessary to include such a restriction given your own practice circumstances:

Restraint of trade

For the purpose of protecting the goodwill of the practice, upon leaving the employment of the practice the employee shall not, for a period of one year from the date of so ceasing, either on their own or in partnership or through a corporate body, establish or purchase or own a general dental practice or part thereof at premises situated within a radius of [INSERT NUMBER] miles from the practice premises at [INSERT PRACTICE ADDRESS]. For the purpose of protecting the goodwill of the practice, the following restrictions shall apply if during the material time the employee, either on their own or in partnership or through a corporate body, establishes or purchases or owns a general dental practice or part thereof (“the employee’s practice”). The material time is either during the employee’s employment or in the twelve months after that employment ends. Relevant patients are patients of the employer’s practice with whom the employee had any direct dealing in the last two years of their employment. The restrictions in this clause are that the employee shall not for a period of one year from the date of ceasing to be an employee: a) permit the employee’s practice to treat relevant patients or canvass, solicit or approach or cause any relevant patient to be canvassed or solicited or approached for dental treatment b) solicit or entice away or endeavour to solicit or entice away from the employer any other employee of the practice. These restrictions do not prevent the employee from taking up any alternative employment in any trade or profession whatsoever, including for avoidance of doubt the dental or related professions.

Employees have a number of other rights in the areas of employment protection and anti-discrimination. These rights are listed on page 37 and explained in detail in Department for Business, Enterprise and Regulatory Reform booklets and guides. The Government’s Business Link website (www.businesslink.gov.uk) also offers practical advice for business. Further information and advice can be obtained from the regional offices of the Advisory Conciliation and Arbitration Service (ACAS), whose addresses and telephone numbers are listed on page 38.

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Other employment rights

Sample contract of employment with explanatory notes The following statement fulfils the minimum legal requirements and includes extra clauses that may be helpful. A commentary is given where appropriate. These notes are not intended to give anything more than general guidance on drawing up a contract of employment. No example or notes can take account of all circumstances. All advice sheets and advice notes referred to in this contract are available on request from the BDA Shop tel: 020 7563 4555 or [email protected] and can be downloaded from the BDA website www.bda.org. In accordance with the requirements of the Employment Rights Act 1996, (as amended by subsequent Statutes), this statement describes the main terms and conditions of your employment with: (Name of employer) _________________________________________________________________________ 1.

Employee

Name _____________________________________________________________________________________ Address ___________________________________________________________________________________ 2.

Date of commencement of employment

Option 1 Your employment with _________________________________________ will commence on _______________. No period of employment prior to your start date counts as part of your period of continuous employment OR Your previous employment with ___________________________________________will contribute towards your service with_______________________________ [delete where applicable] If applicable, specify the previous practice’s name and period of employment concerned. The date that employment begins is important because various employment rights depend upon continuity of service. The date must, therefore, take account of any linking periods of employment with the previous incumbent(s) that count towards a period of continuous employment with the present practitioner. Option 2 – Fixed-term contracts Your employment with __________________________________________ will commence on _______________ and finish on _______________ unless terminated in accordance with clause 27. The reason for this fixed term of employment is [INSERT REASON]. [If the contract is to cover absence of another individual due to maternity or sickness include this clause : Your employment will end when [INSERT NAME] returns to work or on ____________, whichever is the earlier.] If the employment is temporary, the period for which employment is expected to continue should be included or, if it is a fixed term, the date on which it is expected to end. Also note that an employee leaving at the end of a fixed term is still in legal terms a dismissal. Therefore the rules on unfair dismissal still apply. You must always take advice when an employee’s fixed term contract is about to expire. 3.

Probationary period

The first ______________ months of your employment will be probationary. During the probationary period, your employment may be terminated by either party on one week’s written notice. Normally a probationary period is for no more than three months but this period can be extended if there are concerns about an employee’s conduct or performance. It is important to give the employee written notice if you are extending the probation period. That notice must be given before the original probation period ends and should state how long it is being extended for and what the employee has to do to pass their probation. © BDA September 2008

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4.

Job title

You are employed as ________________________________________________________________________. Your work will include ________________________________________________________________________. You may be required to carry out any other duties considered to be within your skill and competence to assist the smooth running of the practice and facilitate the treatment of patients, when it is considered necessary or appropriate by management. Care should be taken that the title adequately describes the scope of the employee’s job. It may be useful to describe the main tasks of the job, for example: “you will be employed as a receptionist and your main responsibilities will include greeting patients, the collection of patients’ charges, making appointments, answering the telephone and the filing of records”. A job description setting out the full range of duties should be issued with the contract as a separate and distinct document. It should also be made clear that employees may be required to undertake all reasonable duties not specified in their job description. Advice on job descriptions is contained in advice sheet D12 Staff recruitment and the BDA Practice Compendium. 5.

Place of work

Your normal place of work will be _______________________________________________________________. You may be required to work at other practice locations according to the needs of the practice. If you require the employee to work regularly at a number of practice locations, it is only necessary to state the fact plus the employer’s address.

6.

References

Engagement is subject to satisfactory references (where these are requested). Ideally, you should have two references, one from the most recent employer. It is not advisable to accept written references handed to you from a prospective employee as they may not be authentic. It is important that employers advise those candidates that employment is subject to satisfactory references. Employees have no legal right to a reference and some employers refuse to provide them.

7.

Registration with GDC (where appropriate)

Option 1- Dental Care Professionals You must register as a _____________________ with the General Dental Council, maintain that registration and effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by the practice annually on request. This is an additional clause for registered Dental Care Professionals (DPCs) – for example, dental nurses, hygienists and therapists. Dental nurses, hygienists and therapists must be qualified and register with the GDC as DCPs. On balance, because of the possibility that a dental nurse might appear before the GDC for conduct reasons, we recommend that they take out their own indemnity/insurance. Add any qualification or top-up training that must be undertaken to satisfy GDC dental nurse registration requirements.

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Option 2 – Trainee Dental Care Professionals It is a condition of this employment that you attend the [INSERT NAME OF COURSE] (the “Course”) at the [INSERT NAME OF COLLEGE] with a view to obtaining the [INSERT NAME OF QUALIFICATION]. You are required to undertake the following in order to satisfy the General Dental Council’s requirements to achieve registration. You must attend the Course regularly and make every effort successfully to complete the course and obtain the qualification required by the GDC for registration. Trainee Dental Care Professionals must make every effort possible, and be able to demonstrate that they have made the effort, to get a place on the next available course. If necessary, they should get onto a waiting list and request a letter from the college stating they are on a waiting list. If they are working in the surgery before their formal training begins, they should have a proper induction covering health and safety and confidentiality. They should also have the necessary immunisation. Dental nurses who find themselves in this situation should keep a log of the training they receive in the practice while waiting to start their course.

Upon completion of your training programme, you must register as a _________________ with the General Dental Council and maintain that registration and effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by the practice annually on request. Option 3 The GDC’s registration requirements are not applicable to your post. 8.

Course fees

The practice will pay [all necessary tuition fees OR £x towards your tuition fees] incurred in pursuance of clause 7 above. The practice reserves the right to recover any and all monies it has paid in tuition fees if your employment is terminated for any reason, excluding redundancy, in the twelve months following completion of any course you attended in pursuance of clause 7. The total money recoverable will reduce by one-twelfth for each complete calendar month you work at the practice after completion of the course. For the avoidance of doubt, no deduction will be made if your employment is terminated more than twelve months following the completion of the course attended. The practice reserves the right to recover any and all monies it has paid in tuition fees if you fail to complete, without good reason, any course on which you are enrolled in pursuance of clause 7. See the model staff training agreement in the BDA Practice Compendium for further information and a sample training agreement. You may wish to include your training agreement as an appendix to this contract if applicable. 9.

Pay

Option 1 – Annual / Monthly pay Your annual salary is £_________________. Your pay will be paid monthly in arrears in [cash/by cheque/BACS transfer] on the ___________ day of each month. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. If you have any specific queries about your pay these should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

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Option 2 – Weekly pay Your weekly wage is £___________ per week. Payments for individual days are one-fifth of the above rate and pro rata for any part thereof. This also applies to any days agreed as holidays. Your pay will be paid weekly in arrears in [cash/by cheque/BACS] on the ___________day of each week. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. If you have any specific queries about your pay these should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Option 3 – Hourly pay Your hourly rate of pay is £___________ per hour. Your pay will be paid weekly/monthly in arrears in [cash/by cheque/BACS transfer] on the ____________ day of each [week/month]. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. Any specific queries about your pay should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Speak to your accountant if you are unsure which pay method best suits your cashflow and financial needs. The pay statement must give the scale or rates of remuneration or method of calculation; any link to outside rates of pay; intervals at which it is paid; method of payment and whether there is any choice, for example weekly/monthly, by cash/cheque/credit transfer. Employers are required to give employees an itemised pay statement specifying the gross amount of wages or salary, full details of any deductions made and the net amount of wages or salary payable. Pay rates must comply with National Minimum Wage Levels. 10.

Lay-off and Lay-off guaranteed pay

Employees may be laid off because of work shortage caused by: i. ii. iii. iv.

the dentist being ill insufficient patients insufficient UDAs the practice premises being unavailable for unforeseen circumstances (such as flood or fire).

Employees temporarily laid off will be entitled to receive a guaranteed payment based on a normal working day, but not exceeding £20.40 (April 2008 - reviewed annually in April) per day and not exceeding five days (or however many days the employee normally works in a week, if fewer) in any period of three months. Employees must have completed one month’s continuous service in order to qualify for lay-off pay. Lay-off guarantee payments are calculated by multiplying the number of normal working hours for the day by the average hourly rate for the employee affected. Your employee will receive their daily rate or the upper limit of £20.40, whichever is less. A guaranteed payment will not be paid if the lay-off is due to an internal dispute where an employee has refused suitable alternative work. The right to suspend without pay can only be exercised where the contract of employment expressly or impliedly gives the right or where there is a custom to that effect. Where the employment is not covered by a collective contractual agreement a clause similar to clause 10 should be included in all written statements. When the lay-off guarantee pay runs out you should advise your employee to register as “temporarily stopped” at the nearest Jobcentre Plus office until such time as normal working can resume.

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11.

Hours of work

Your basic hours of work (exclusive of lunch breaks) are ______________ hours per week. Your normal hours of work are: Monday

from ____________________________ to __________________________

Tuesday

from ____________________________ to __________________________

Wednesday

from ____________________________ to __________________________

Thursday

from ____________________________ to __________________________

Friday

from ____________________________ to __________________________

Saturday

from ____________________________ to __________________________

Sunday

from ____________________________ to __________________________

You are allowed ________ for lunch, to be taken between _______ pm and _________ pm. This is unpaid. Day-to-day arrangements will be agreed with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] in accordance with operational requirements. Employees should know what their basic hours are, the days they are expected to work and their starting and finishing time; their lunchtime, tea breaks/rest periods and the degree of flexibility required. Employees are entitled to a minimum of 20 unpaid minutes away from the workplace if they work more than six hours in the day. Those aged 15 to 17 are entitled to a 30-minute unpaid break away from the workplace if they work more than four-and-a-half hours in the day. These are minimum entitlements and most practices provide members of staff with more than this amount. Clause 11 of the contract should be completed to reflect these rules. Under the Working Time Regulations 1998, an employee cannot work more than 48 hours, including overtime hours, during a seven-day period unless an agreement has been reached in writing to work longer hours. In which case, the agreement must be specific to the employee and signed by the employee. The employer must monitor the employee’s actual working hours. See Advice Note on Working Time Directive basic rights. 12.

Time keeping

All employees are required to show a responsible attitude towards time keeping. Persistent lateness will render the employee liable to disciplinary action, which could lead to dismissal. 13.

Overtime

On occasion, it may be necessary for the practice to request that you work additional hours in the course of your duties. Where the practice requires your services outside your set hours during usual practice hours on Monday to Saturdays the practice will either a) pay you at [EITHER: your normal pay rates OR: one-and-a-half times your normal pay rate]; or b) give you the equivalent time off, by arrangement, at normal pay rates. All work outside normal hours on Sunday or public holidays will be paid at double time rate (£ ___________ per hour).

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Employers are not legally required to pay staff at higher pay rates when working additional hours and are only required to pay staff at their normal hourly rate. However, it is common to see employees offered a higher rate for overtime as an incentive. Alternatively, you may want to offer equivalent time off instead of an additional payment. 14.

Holiday

Your holiday year dates from [EITHER: the commencement of employment OR: from 1 January to 31 December each year OR: from 1 April to 31 March of the following year]. You will be entitled to [5.6] weeks’ paid holiday, including public holidays. If you work part-time, one week’s holiday will be equivalent to the amount of time you normally work in a week. Optional : [After _______ years’ service, you will be entitled to an additional week‘s paid holiday.] A written request for holiday must be submitted to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. This request must be submitted ___________ week(s) prior to the date you expect to start the holiday. Not all applications will be approved and written notification of an approval or refusal will be provided _________ week(s) prior to the date you expect to take leave. Holiday pay will be calculated from your basic pay. Holiday entitlements cannot be carried over to the following year unless written permission has been obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Where employment is terminated, or if you choose to leave the practice, a payment will be made on a pro-rata basis in respect of any accrued holiday entitlement that has arisen but has not been taken on the date of termination. A deduction will be made from your final pay on a pro-rata basis for any holiday taken in excess of your entitlement, at the date of termination. Holiday entitlement Note that, until April 2009, the statutory minimum is 4.8 weeks’ holiday including public holidays. We recommend 5.6 weeks’ holiday as this is standard practice and the entitlement will go up to 5.6 weeks’ holiday in April 2009. For staff who work five days a week, this is equal to 24 days’ holiday a year, or 4 weeks plus half the public holidays. Note that this entitlement will rise in April 2009 to 5.6 weeks a year which, for someone working five days a week, is equal to four weeks plus all the public holidays (28 days). The statutory minimum is expressed as 4.8 weeks rather than 24 days so that it applies easily to all staff, regardless of how many days a week they work. A member of staff, working, say, three days a week will be entitled 3 x 4.8 = 14.4 paid days’ holiday (including any public holidays). This figure cannot be rounded down, but can be rounded up. Employees who receive a flat-rate salary should be paid their normal weekly wage as holiday pay. If overtime is included in the normal weekly hours contained in the contract, this payment will be included when calculating a week’s pay. Where employees work flexible hours, entitlement is calculated by taking the average weekly remuneration over the twelve weeks preceding the holiday date. Where there are some weeks when no work has been undertaken, the previous twelve weeks when work has been undertaken are used. Once average weekly earnings have been calculated, the employee then receives four weeks’ paid leave at the average amount. An employer can refuse a request for leave, but should provide a satisfactory reason and give the employee sufficient notice. The notice depends on how much notice an employee must give of a holiday request. The employer must respond to the request within half the time. For example, if you require your employee to provide four weeks’ notice of a request, you must provide your response no later than two weeks prior to your employee taking leave. BDA Advice Note on Holiday entitlements contains more information. © BDA September 2008

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15.

Sickness/injury absence and pay

The rules and procedures relating to unavoidable absence due to sickness or injury, including eligibility for sickness pay, are set out in Appendix 1. You will be entitled to sickness pay, as shown in Appendix 1, providing you follow the notification and certification procedure specified in the rules. This heading should cover both the rules of notifying management if the employee is absent and details of any sick pay scheme in operation. For example: service requirements, entitlement, method of certification; waiting days; amount of sick pay; deduction of state benefit. 16. Notification of absence If you are unable to attend work, for any reason whatever, you must contact [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] by telephone at the earliest possible time on the first day of absence and not later than [INSERT TIME] to give the reason for absence and, if possible, to say when you hope to return to work. You must speak to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] or [NAME] personally. Contacting the practice by text message will not be acceptable and could lead to disciplinary action. Unauthorised absence will not be paid and may result in disciplinary action being taken. Your employment contract should clearly outline that an employee will not be paid if absent without permission and that frequent unexplained absences will lead to dismissal. One way of controlling absence is to insist on prior notification of dental and medical appointments. You should conduct a “return to work” meeting with every employee when they return from any form of absence (excluding approved holidays) and ask them to fill in a sickness or absence self-certification form. The practice can produce its own form for this purpose, asking for the employee’s dates of absence, reason for the absence and signature. A model is contained in the BDA’s Statutory Sick Pay advice note and the BDA Practice Compendium.

17.

Time off for family or domestic emergencies

The practice will provide reasonable time off to deal with family or domestic emergencies. Requests should be made promptly to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Time off for family or domestic emergencies [EITHER: will OR: will not] be paid. Employees have a legal entitlement to time off for domestic emergencies. There is no qualifying period and employees will be allowed to take any reasonable amount of time off during working hours to take whatever action is necessary where:     

They are required to provide assistance where a dependant falls ill, gives birth or is injured or assaulted They have to make arrangements for the provision of care for a dependant who is injured or ill There is a death of a dependant and arrangements have to be made There is unexpected termination or disruption of arrangements for the care of a dependant An incident involving a child of the employee occurs unexpectedly at school or college or similar.

A dependant is a spouse, a child, a parent, a person living in the same household as the employee but who is not an employee, tenant, lodger or boarder. In some cases a dependant will be a person who reasonably relies on the employee for assistance when ill or to make arrangements for care in the event of illness or injury. Employees must notify their employer as soon as reasonably practicable the reason for exercising their right to time off and how long the absence is likely to be. Time off for other domestic emergencies such as dealing with a burglary, fire or flood is not a specific legal entitlement. Nevertheless, in these circumstances it would probably be unreasonable to refuse a request for time off. You must consider each case on its particular circumstances and seek advice from the BDA. An employer who unreasonably refuses time off may have to defend a claim made to an employment tribunal. © BDA September 2008

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18.

Medical treatment

Appointments for visiting the doctor or hospital should as far as possible be made outside working hours. Where an appointment can only be made within working hours, permission must be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 19.

Jury or witness service and public duties

If you are required to attend for jury or witness service you must provide written evidence from the court service and keep the practice informed during the duration of your absence. You should claim the allowance set by the court [optional: and the practice will make up the additional loss of pay resulting from such service]. If you hold a recognised public office, such as Justice of the Peace, member of a local authority or member of the governing body of a maintained school or college, you will be entitled to reasonable time off to perform such duties. Requests for time off must be arranged in advance with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Time off for public duties will not be paid. Employers are required, under certain circumstances, to permit employees who hold certain public positions reasonable time off to perform the duties associated with them. This provision covers such offices as Justice of the Peace, membership of a local authority or of a governing body of any maintained school or college. The employer is not obliged to pay the employee for the time off taken for public duties. 20.

Maternity

An employee who is pregnant has the right to time off with pay for antenatal care. This includes appointments with the GP or hospital and parentcraft classes. An employee who stops work to have a baby has the right to a period of maternity leave. There are certain provisions concerning payment, time off and returning to work which the practice will discuss with you. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. An employee who is pregnant and who, on the advice of a doctor, midwife or health visitor attends a clinic or any other place of antenatal care, or who attends parentcraft classes, has the right not to be unreasonably refused time off work to do so, and to be paid for the permitted time off. The employer is entitled to see a certificate of pregnancy and an appointment card. All employees have the right to 26 weeks’ ‘ordinary maternity leave’ and 26 weeks’ ‘additional maternity leave’ - a total of 52 weeks. There is also an entitlement to 39 weeks’ Statutory Maternity Pay. See BDA Advice Sheet D9 Employees’ family arrangements and pay for more information on the rights and responsibilities of employees and employees. 21.

Adoption leave

An employee who adopts a child may be entitled to adoption leave and pay. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Further information about adoption leave and pay can be obtained from BDA Advice Sheet D9 Employees’ family arrangements and pay. 22.

Paternity leave

An employee who has a wife or partner who gives birth to or adopts a child, may be entitled to two weeks’ paid paternity leave. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Further information about adoption leave and pay can be obtained from BDA Advice Sheet D9 Employees’ family arrangements and pay.

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23.

Parental and family leave

Employees with at least one year’s continuous service are entitled to unpaid parental leave if having or adopting a baby. Further information is available from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Copies of the practice’s maternity and adoption policies are obtainable from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Men and women with more than one year’s continuous employment having or adopting babies are entitled to up to 13 weeks’ unpaid parental leave, to be taken before the child’s fifth birthday. Employees will also be entitled to reasonable time off for family emergencies. Further information is available from BDA Practice Support. 24.

Pensions

[NOTE CHOOSE EITHER: * Option 1: All employees are covered by the State pension scheme. There is no “contracting-out” certificate in force and no other pension scheme is in operation. OR * Option 2 (you must use this option if you employ five or more employees): There is a practice stakeholder pension scheme in operation, which you may join if you wish. Further details may be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. * Delete as appropriate. An employer with five or more employees without a company pension scheme must provide access to a stakeholder pension, but it is not compulsory for the employer to contribute to the scheme, nor is it compulsory for the employee to take it up. 25.

Health and safety

The practice policy is to provide as safe and healthy working conditions as possible and to enlist the support of employees in this. While overall responsibility rests with your employer, all staff have a legal duty to take reasonable care to avoid injury to themselves or others by their work activities, and not to interfere with or misuse any clothing or equipment provided to protect health or safety. Any accident to a member of staff in the course of their activities must be entered in the accident book held in the _______________ office. Copies of the practice’s health and safety policy can be seen in the _______________ office. Health and safety law (such as The Health and Safety at Work Act 1974) applies to all work activities. Its main purposes include:  Securing the health, safety and welfare of people at work  Protecting people other than those at work against risks to their health and safety arising from work activities. Health and safety rules place a positive emphasis on the need for joint involvement of employer and employees in the development of health and safety policies and in efforts to reduce risks. It is a legal requirement for organisations with more than five employees to have a written safety policy. See the BDA’s Advice Sheet A3 Health and safety law for dental practice which incorporates a draft safety policy. The Advice Sheet is available on request from [email protected] and may be downloaded from the BDA website: www.bda.org.

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26.

Trade union membership

It is recognised that eligible employees are free to join or not to join a trade union. 27.

Notice

You are entitled to receive a minimum of one week’s notice of termination of employment after one month’s employment, increasing to two weeks after two years’ continuous service. Thereafter, you will be entitled to receive a further week’s notice for each additional year’s service up to a maximum of twelve weeks after twelve or more years’ service. After one month’s employment you are required to give the practice [INSERT NUMBER] week’s/weeks’ notice. The practice reserves the right to waive notice periods and make a payment in lieu. If you terminate your employment without giving your contractual period of notice, the practice reserves the right to make a deduction from your final pay. That deduction will be the amount of extra money the practice has had to spend as a direct result of you leaving early, subject to a maximum of the amount which you would have been paid in salary during the contractual notice period. The minimum statutory notice periods for employees are as follows: Length of service Notice entitlement From 1 month up to 2 years 1 week After 2 years 2 weeks After 3 years 3 weeks 4-12 years 4-12 weeks (respectively) Up to a maximum of twelve weeks after twelve or more years’ continuous service. The minimum statutory notice that an employee must give an employer after one month’s service is one week. However, it is recommended that the notice period required from an employee and that given by an employer should be mutual. An employee who is dismissed with short or no notice, having done nothing to deserve it, can claim wrongful dismissal and sue for wages and proper notice in an employment tribunal. After one year’s service employees can claim unfair dismissal in an employment tribunal. One year is defined for these purposes in calendar terms (for example a person who commenced employment on September 10 2007 completes one year’s service on September 9 2008). A dismissal may be unfair for substantive or procedural reasons or both. The BDA Advice Sheet D11 Practice disciplinary procedures and dismissal is available from BDA Shop on 020 7563 4555 or may be downloaded from www.bda.org. Employees who have been dismissed and have completed at least one year’s continuous service before the effective date of termination or who are pregnant may request a written statement of the reason for dismissal. Such a statement must be supplied within 14 days. Deductions where employees leave without giving the contractual notice must be an accurate calculation of the actual loss suffered by the practice. The practice is under an obligation to minimise that loss. The calculations can be difficult. Before you make a deduction in these circumstances, you should call BDA Practice Support for advice or seek advice from a solicitor. 28.

Retirement

The practice’s normal retiring age is 65. You will be notified in writing of the practice’s intention to retire you not more than one year and not less than six months before the date on which the practice intends to retire you. You have the right to request not to retire. Further information on how to make a request should be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. The Employment Equality (Age) Regulations came into force on 1 October 2006. The regulations make it unlawful to discriminate on the grounds of age. Employers must follow certain procedures when retiring an employee in order to comply with the regulations. See BDA Advice note on Employee retirement. © BDA September 2008

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29.

Grievance procedure

Should you have any query, grievance or complaint regarding your employment or the terms and conditions relating to that employment, you should raise the matter initially with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. The full procedure is set out in Appendix 2. 30.

Disciplinary rules and procedures

The full disciplinary rules and are set out in Appendix 3. 31.

Practice policies

The practice is committed to working towards equal opportunity for every employee. Our Equal Opportunities Policy is attached at Appendix 4 and you are required to abide by it. You must comply with the practice’s Confidentiality Policy set out in Appendix 5. You must comply with all other practice policies. Copes of the policies are obtainable from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 32.

Immunisation

It is a condition of your employment that you are immunised against Hepatitis B and tuberculosis in accordance with guidelines issued by the Department of Health. Charges, where incurred, will be met by the practice. 33.

Deductions from pay

The practice reserves the right to make deductions from your pay in the following circumstances: 1. 2. 3. 4. 5. 6.

To recover an overpayment of wages. If you have taken more holiday than your pro-rata holiday entitlement. If you terminate your employment without giving your contractual period of notice. If the practice reasonably believes you have stolen practice property and/or equipment. If you fail to return practice property and/or equipment (including any keys and uniform) when your employment terminates. To recover any contributions the practice made towards the cost of training in accordance with clause 8 above.

Unlawful deductions of wages - you cannot make a deduction from an employee’s pay unless the employee has agreed in writing in advance of the deduction being made. Therefore this clause is only valid if the employee has signed the contract. An unlawful deduction could lead to a claim for constructive dismissal. You must conduct a thorough investigation in order reasonably to believe that an employee has stolen practice property and/or equipment before making any deduction under this heading. Any deduction from any wages payable to the employee on a pay day must not exceed one-tenth of the gross amount of the wages payable to the employee on that day, unless the deduction is being made from the final instalment of pay. 34.

Confidentiality

Employees must not disclose any confidential information about patients to third parties without the consent of the patient. If you are in any way unsure whether information can or should be disclosed you must ask [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. The full rules on patient confidentiality are set out in the practice’s confidentiality policy (Appendix 5). Confidential information must not be disclosed following termination of your employment.

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If, after investigation, a member of staff is found to have breached patient confidentiality or the practice’s policy, he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy (Appendix 3). 35.

Changes in terms and conditions

The practice reserves the right to make reasonable changes to your terms and conditions. You will be informed within one month of the change taking effect by personal written notification. In addition, any master document relating to your terms and conditions will be updated. From time to time in the interests of efficiency you may find it necessary to vary the terms and conditions of employment. There is nothing in law to prevent you from doing this, but you must first consult with the employee. Any changes to the main terms and conditions of employment (for example changes in working hours, new starting/finishing times) should be agreed with the employee in advance and must be notified in writing not more than one month after such changes takes effect. You must have a sound business reason for implementing any changes the employee does not agree to. A unilateral change to the contract could lead to a claim for constructive dismissal in an employment tribunal. See BDA Advice Note on Change management.

Signed (employer) ___________________________________________________________________________ on behalf of ________________________________________________________________________________ Date ______________________________________________________________________________________

I confirm that I have received the original statement of terms and conditions of employment relating to my employment of which this is a copy and I accept them and will be bound by them.

Signed (employee) ___________________________________________________________________________

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Appendix 1

Sickness/injury absence and pay policy (see clause 15) If you are absent from work because of sickness or injury, the conditions of the Statutory Sick Pay scheme will apply. In order to qualify for sick pay, you must follow the notification and certification procedure set out below. Notification of absence If you are unable to attend work for any reason whatsoever, you must personally telephone the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] and inform them no later than _________ a.m. on the first day of absence as to the reason for absence, and if possible, when you hope to return to work. If you cannot give an estimated date of return to work, then you must contact the practice on each and every day of absence no later than _________ a.m. If on the date that you estimated you would return to work you are still unable to attend, then you must contact the practice no later than _________ a.m. on that day. It is not acceptable to notify the practice by text message. If you are late in notifying sickness absence, you may lose part of your sick pay. While away from the practice due to illness you are required to remain in contact with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] and supply the appropriate evidence of incapacity. Evidence of incapacity for work If you are ill for seven days or fewer you should on your return to work report to (insert name of employer/practice manager) and explain in full the reasons for your absence. You will be required to complete a self-certification form. If sickness absence continues for eight days or more you should obtain a medical certificate from your doctor and forward the original copy without delay to the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Further certificates should be submitted without delay for as long as the illness lasts. Where no contact is made and/or no evidence is produced for absence with good reason, the practice may commence disciplinary procedures. In the case of four periods of self-certificated absence in any calendar year the practice reserves the right to request medical evidence for subsequent periods of absence of fewer than seven days. See Frequent, persistent short-term absence below. Statutory sick pay (SSP) and practice sick pay (The following practice sick pay policy follows BDA recommendations and is over and above the minimum legal requirement of statutory sick pay) Subject to the above procedure, you will receive practice sick pay (inclusive of SSP) during each calendar year as follows: Length of service Less than 6 months 6 months - less than 2 years 2 years - less than 4 years 4 or more years

Full pay SSP only 2 weeks 3 weeks 3 weeks

Half pay SSP only 2 weeks 3 weeks 5 weeks

These entitlements are the total for each calendar year. Therefore payments of practice sick pay for earlier periods of absence count towards calculating your annual entitlement.

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Practice sick pay applies pro rata for part-time employees in accordance with the length of the working week. The full rules on eligibility for and payment of SSP are set out according to the statutory requirements. Unauthorised absence Any unauthorised absence, or where it seems that the reason given for absence is not genuine, will be treated as a disciplinary matter in accordance with the practice disciplinary procedure. You will not be paid for days of unauthorised absence. Return-to-work meetings On each occasion of illness the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will hold a return-to-work meeting with you to discuss the reason for your absence and whether any modifications are required in the workplace to reduce the likelihood of repeat periods of illness. Return-to-work meetings will be documented and kept on your employment record. Long-term absence Long-term absence is defined as a continuous period of absence or a number of periods of absence for the same or related medical condition punctuated by periods of return to work. An employee who is absent long-term is expected to comply with the above rules for providing evidence of incapacity for work. All medical certificates must be forwarded without delay to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. While you are off work due to illness, [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will keep you up-to-date on any news or changes occurring at the practice. Depending upon individual circumstances, but generally before you have exhausted your entitlement to Statutory Sick Pay, you will be asked for written permission for the practice to seek a medical report from your doctor on your long-term prognosis. This report is used to assess the likelihood of a full recovery, the likely date of return and the prospects of being able to do the same work or any reasonable adjustments that may need to be made. Where a medical report indicates that an employee will be unable to return, does not provide any reasonable date for return, or any required accommodations to enable return cannot be met, continued employment with the practice could be at risk. Where there is reasonable doubt from your doctor’s report about the nature of the illness or injury, you may be asked to be examined by an independent doctor appointed by the practice. An employee who refuses to provide consent for the practice to gather medical evidence or to undergo a medical examination will be advised in writing that a decision regarding their future employment will be based on the limited information available which may lead to dismissal on grounds of their capacity to do their work.

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In considering continued employment, the practice will assess whether: i. ii. iii.

Alternative, lighter or less stressful work is available Reorganisation of the team could produce a more suitable job A re-design of the job could facilitate a return to work.

Where no suitable alternative work is available, your employment may be terminated with notice on grounds of inability to do your job due to sickness or injury. However, you will have the right of appeal against any decision to terminate your employment. Frequent, persistent short-term absence The practice will monitor the absence of all employees. Where there are four periods of self-certificated absence in any calendar year, the practice will hold an informal meeting with the employee to discuss the cause of the absences. The practice reserves the right to request medical evidence for subsequent periods of absence of less than seven days. If, following discussions and/or the receipt of a medical report, there is an underlying medical theme between periods of absence then the long-term absence procedure (above) will apply. If, following discussions and/or the receipt of a medical report, there is no underlying medical theme between periods of absence, the practice will nevertheless continue to monitor absence and request medical evidence for subsequent periods of absence of less than seven days, if felt appropriate. Where there is no improvement in your general health and level of attendance, consideration will be given to your future employment. Your skills, performance, the likelihood of a change in attendance, the availability of suitable alternative work and the effect of past and future absences on the practice will all be taken into account in deciding appropriate action.

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Appendix 2

Grievance procedure (see clause 29) The object of this procedure is to provide an employee who considers that he/she has a grievance with the opportunity to have it examined quickly and effectively. Where a grievance is deemed to exist, our aim is to resolve it if possible at the earliest practicable moment and at the first level of management. Procedure This procedure has been drawn up to establish the appropriate steps to be followed when pursuing and dealing with a grievance. The procedure contains three stages. However, as it is the aim of this procedure to settle matters at the earliest practicable moment, it is not anticipated that all grievances will go through all procedural stages. An employee may tell [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] about a problem and [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will try to help the employee resolve the problem informally. If an employee gives [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] details of their grievance in writing, then the procedure below applies.

Stage 1 - Submission of grievance An employee who feels aggrieved on any matter affecting his/her employment should write to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] making it clear that the first stage of the grievance procedure is being invoked and detailing the grievance. Stage 2 – Investigation and written response [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will investigate the issue, consulting where necessary the other members of management. They will invite the aggrieved employee to an investigatory meeting to discuss the grievance. This meeting will be within one week of receiving the complaint, unless agreed otherwise. The aggrieved employee has the right to be accompanied by a trade union representative or a fellow work colleague of his/her choice. After the investigatory meeting, the decision of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] shall be given in writing to the employee concerned no later than five working days from the complaint being heard. If the employee is dissatisfied with the decision, they have the right to request an appeal meeting within five working days. Stage 3 - Appeal hearing If possible, another person within the practice will hear the appeal hearing. The aggrieved employee has the right to be accompanied by a trade union representative or fellow work colleague of his/her choice. After the appeal hearing, the decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICE MANAGER] shall be given in writing to the employee concerned no later than five working days from the complaint being heard. The decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICE MANAGER] is final. © BDA September 2008

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Appendix 3

Disciplinary procedure (see clause 30) The practice does not impose unreasonable rules of conduct on its employees, but certain standards of behaviour are necessary to maintain order and discipline in the interests of employees and the practice. We prefer that discipline is voluntary and self-imposed and, in the great majority of cases, this is how it works. From time to time, however, it may be necessary to take action towards individuals whose behaviour or performance is unacceptable. Minor issues will usually be dealt with informally. In the case of employees who have been continuously employed for less than one year, the following procedure will apply: EITHER: Option 1: Employees will normally be entitled to at least one disciplinary meeting and one opportunity to improve. However, if, after the first disciplinary meeting, they fail to improve, they will be dismissed following a second disciplinary meeting. In situations amounting to gross misconduct, whether there has been a first disciplinary meeting or not, the employee will be summarily dismissed following a disciplinary meeting. The employer will set out in writing the reasons for their dismissal. OR: Option 2: Employees will be notified in writing of any disciplinary decision, including dismissal. Option 1 creates legal obligations to deal with all dismissals in the first year procedurally. Option 2 enables you to summarily dismiss employees within the first year without the need to arrange formal disciplinary meetings, though you may need to give notice and notice pay. Option 1 is recommended because, even for employees in their first year of employment, you are vulnerable to legal claims, including discrimination. Following a procedure as in option 1 helps you establish the objectivity and reasonableness of any dismissal. Also, if a former employee subsequently claims that they were discriminated against, they would have to show why they did not raise the matter in the disciplinary meetings before their dismissal. Even if you choose option 2, you are still strongly advised to arrange meetings with employees before making any disciplinary decision. Call BDA Practice Support if you would like to discuss these options. In the case of employees who have been continuously employed for one year or more, the following procedure will apply: Minor issues will usually be dealt with informally. However, in cases where informal discussion does not lead to improvement, or where the matter is more serious, such as unjustified absences, poor time-keeping or sub-standard performance, the following formal procedure will be used. Where a matter appears to raise concerns over conduct or discipline [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will initially investigate the issue by individually discussing it with those concerned. The investigation is preliminary to the formal procedure and is to determine in the

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opinion of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] whether it is necessary to commence the formal procedure. At every stage of the formal procedure, a formal hearing, convened by the employer, will be held before any warning or other disciplinary sanction is issued. The employee with one or more year’s service will be entitled to:  Receive a letter giving adequate notice of the hearing, including the date and time and the allegations of misconduct. The letter will include copies of relevant evidence such as witness statements  Be accompanied at a disciplinary interview by a fellow employee of their choice or a trade union representative  Be given the chance to state their case  Written notification of the disciplinary decision. Stage 1 - oral warning If it is decided that the evidence supports the allegation of misconduct, the employee will be given a formal ORAL WARNING and will be advised in writing of the reason for the warning and that it is the first stage of the disciplinary procedure. A note of the oral warning will be recorded on the employee’s personal record but will be nullified after six months subject to satisfactory conduct and only if there are no further instances of disciplinary action for whatever reason. Stage 2 - first written warning If conduct or work performance does not improve or there is a repetition of the misconduct, a FIRST WRITTEN WARNING may be given by [INSERT NAME OF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details of the complaint and the likely consequences (that is, Stage 3) if the terms of the warning are not complied with. The warning will also be noted on the employee’s personal record, but again will be nullified after a maximum of one year, subject to satisfactory conduct, only if there are no further instances for whatever reasons. Stage 3 - final written warning Failure to improve in response to the procedure so far, a repeat of misconduct for which a warning or warnings have previously been issued, or a first instance of serious misconduct will result in a further disciplinary hearing and the issue of a FINAL WRITTEN WARNING by [INSERT NAME OF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details of the complaint, the length of any probationary period and notification that dismissal may result if the terms of the warning are not complied with. This warning will be noted on the employee’s personal record for one year. Stage 4 - dismissal Failure to meet the requirements set out in the final written warning will normally lead to a further disciplinary hearing and DISMISSAL with appropriate notice. Gross misconduct Offences under this heading are so serious that an employee who commits them will normally be summarily dismissed, following a disciplinary hearing. In such cases the practice reserves the right to dismiss without notice of termination or payment in lieu of notice. Summary dismissal for gross misconduct will only occur following an investigation and a formal hearing convened by the employer. The employee is entitled to: © BDA September 2008

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 Receive a letter giving adequate notice of the hearing, including the date and time, and the allegations of misconduct. The letter will include copies of relevant evidence such as witness statements  Be accompanied at a disciplinary interview by a fellow employee of their choice or a trade union representative  Be given the chance to state their case  Written notification of the disciplinary decision. Examples of gross misconduct are:  Theft and unauthorised possession of practice property, deliberate falsification of records or any other form of dishonesty  Wilfully causing harm or injury to another member of staff or other person on the premises  Performing an action that is liable to cause injury to other people or damage to practice property  Breach of confidentiality  Wilful refusal to obey a reasonable instruction  Incapacity due to alcohol or drug abuse  Breaches of health and safety regulations. This list is intended only as a guide and is not an exhaustive one. Suspension In the event of serious misconduct, an employee may be suspended on full basic pay while an investigation is carried out. Such suspension, which DOES NOT imply guilt or blame, will be for as short a period as possible. Appeals An employee may appeal against a disciplinary decision to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER – ie not the same person named in stages 2 and 3] within one week of the decision being communicated to the employee. Appeals should be in writing. At the appeal hearing the employee will again be given the chance to state their case and will have the right to be accompanied by a fellow employee of their choice or a trade union representative. The decision of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will be final.

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Appendix 4

Equal opportunities policy (see clause 31) This is the policy of ____________________________ Dental Practice in respect of discrimination on grounds of sex, sexual orientation, race, age, disability or religion. This practice is committed to working towards equality of opportunity for every member of the team. This policy is one important way of achieving this objective. The Dental Practice is the business owned by _______________________ and administered by _________________________________. Please read it carefully. If there is anything you do not understand, please ask [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] for an explanation. The policy The Dental Practice recognises that discrimination on the grounds of sex, sexual orientation, race, age, disability or religion is harmful and in many cases may be illegal. Through this policy, through training and by example, we wish to demonstrate that we do not tolerate discrimination by anyone working at the practice. Definitions Discrimination is any form of unfavourable treatment. Policy is the same as a Code of Conduct and it is how we expect everyone in the practice - partners, associates and employees - to behave. It applies to our dealings with each other, with candidates for job vacancies, with suppliers and with our patients. Age discrimination is any form of treatment which is unfavourable and which is related to a person’s age. Discrimination according to age is illegal under the terms of The Employment Equality (Age) Regulations 2006. Direct age discrimination is treating a person less favourably on the grounds of their age. Indirect age discrimination is applying a provision, criterion or practice equally to all but which would put a person of that age group at a greater disadvantage when compared with others. Sex discrimination is any form of treatment which is unfavourable and which is related to gender or marital status. Discrimination according to sex is illegal under the terms of the Sex Discrimination Act 1975. The Act applies equally to men and women. Direct sex discrimination is when one person is treated less favourably on the grounds of their sex than a person of the other sex is or would be treated in similar circumstances. This can occur when a person is refused a position or promotion because of their sex or because of a factor which is sex linked, such as the ability to bear children. For example, it is illegal to refuse to employ a woman because she is of child bearing age and ‘judged’ likely to have children. A candidate should be treated on merit, irrespective of sex.

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Indirect sex discrimination is a requirement or condition, which cannot be justified on job-related criteria on grounds other than sex, which is applied to men and women equally but has the effect, in practice, of disadvantaging a considerably higher proportion of one sex than the other. For example, requiring employees to be of a minimum height, which cannot be justified in terms of the task they have to perform. Direct marriage discrimination can occur when a married person is treated less favourably in employment, because they are married, than a single person of the same sex is or would be treated in similar circumstances. Indirect marriage discrimination occurs when a requirement or condition of employment, which cannot be justified on job-related criteria on grounds other than marital status, is applied equally to married or single persons (of either sex), but has the effect in practice of disadvantaging a considerably higher proportion of married than single people (of the same sex). Race discrimination is any form of treatment which is unfavourable and which is related to colour, race, nationality (including citizenship), ethnic or national origin. Discrimination according to race is illegal under the terms of the Race Relations Act 1976. As with sex discrimination, race discrimination can be direct or indirect. An example of direct discrimination might be offensive remarks about black people or about a religion or faith where the majority of believers are black. Indirect discrimination might be where an employer requires higher language standards from employees than are needed for the safe and effective performance of the job. Victimisation is when the employer treats an employee (of either sex) less favourably than other employees are or would be treated, because the employee has brought or threatens to bring proceedings, or give evidence or information against an employer with reference to the Sex Discrimination Act, Race Relations Act or Equal Pay Act. These provisions do not apply if the original discrimination allegation was false or was not made in good faith. Harassment is a form of discrimination where a person is made to feel uncomfortable because of sex, race, age, disability or religion. It may involve action, behaviour, comments or physical contact, which is found objectionable, offensive or intimidating by the recipient. The recipient may feel threatened, humiliated or patronised by the perpetrator. It is not always a conscious or intentional act but it is the recipient’s feelings in response which are important. Sexual harassment is a form of sex discrimination. The practice defines harassment as unwanted conduct of a sexual nature or other conduct based on sex, which affects the dignity of those who work in the practice. This can include unwelcome physical, verbal or nonverbal conduct. Both men and women may be subject to harassment. Racial harassment is a form of race discrimination and might involve racist jokes and banter or insults, taunts and jibes. Religious discrimination is where a person is treated less favourably because of their religious beliefs; for example, promoting a less able person to work rather than a Jewish person using the reason that the Jewish person would not work on Saturdays. The Fair Employment (NI) Act 1989 enables employees who feel that they have been discriminated against on the grounds of religious belief or political opinion to take action against an employer.

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The right to equal pay provides equality in the terms of an employee’s contract where s/he is employed to perform work which is rated equivalent to that performed by a member of the opposite sex or work of equal value to that of a member of the opposite sex. Disability discrimination is where a person is treated less favourably because of disability. Occasionally a disability can limit a person’s capability for some forms of employment. Discrimination occurs when the treatment of the individual is unfavourable taking into account the disability; for example, making it a condition of employment that the employee can drive an unmodified car when the job can be performed adequately without driving. Not tolerate means that we will take disciplinary action in accordance with the practice disciplinary procedure against any employee who breaches this policy. If the allegation involves a self-employed contractor or a partner in the practice, the matter will be dealt with by [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. What you should do if you feel that you are the subject of discrimination or harassment? Discrimination Raise the issue with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] in the first instance. If the matter is not resolved informally, then you should submit a written complaint to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] Harassment 1. Let the perpetrator know how you feel about their behaviour. You could do this either by speaking to them or, if you do not wish a confrontation, by putting your thoughts in writing. 2. Ask them to stop the behaviour. 3. Keep a good record of the incidents. 4. Report the incidents as soon as possible to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. If the incident involves that person, then you should report the matter to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER – that is, not the person complained about]. What we will do about discrimination or harassment 1. We will take any allegation seriously. We will listen to your complaint sympathetically and record it thoroughly. 2. We will adopt this policy, modify it in the light of changes in the law and monitor our performance against it. 3. If you make a complaint or allegation of harassment, the practice will initiate the grievance procedure in your contract of employment. The incident will be investigated thoroughly. You will be informed of the outcome and you will be kept well informed at every stage. Your complaint may be treated as confidential if you request it to be so, but, if you wish us to investigate or take action, we will have to involve the alleged perpetrator in the investigation of your complaint, who has a right to give their version of the events. We will deal with your complaint as soon as possible and in any event within 20 working days.

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4. If you make an allegation of discrimination, the practice will initiate the grievance procedure in your contract of employment. Your complaint will be investigated thoroughly and you will be informed of the outcome within twenty working days. 5. An employee breaching this policy will be liable to disciplinary action. Persistent or blatant discrimination or harassment could lead to dismissal. 6. In the event of an allegation of discrimination by a prospective employee, the incident will be investigated thoroughly and the complainant will be informed of the outcome. The matter will be dealt with as soon as possible and in any event within 20 working days. 7. If you feel that your complaint has not been resolved by the practice, you should contact the local Citizens Advice Bureau for advice. Legal redress may also be sought from an employment tribunal and the complaint should be referred to a tribunal within three months (less one day) of the alleged discriminatory act.

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Practice confidentiality policy (see clauses 31 and 34) At this practice, the need for the strict confidentiality of personal information about patients is taken very seriously. This document sets out our policy for maintaining confidentiality and all members of the practice team must comply with these safeguards as part of their contract of employment/contract for services with the practice. The importance of confidentiality The relationship between dentist and patient is based on the understanding that any information revealed by the patient to the dentist will not be divulged without the patient’s consent. Patients have the right to privacy and it is vital that they give the dentist full information on their state of health to ensure that treatment is carried out safely. The intensely personal nature of health information means that many patients would be reluctant to provide the dentist with information if they were not sure that it would not be passed on. If confidentiality is breached, the dentist/dental hygienist/dental therapist/dental nurse faces investigation by the General Dental Council and possible erasure from the Dentists or DCP Register; and may also face legal action by the patient for damages and, for dentists, prosecution for breach of the 1998 Data Protection Act. General Dental Council All staff must follow the General Dental Council’s rules for maintaining patient confidentiality contained in Standards for dental professionals and Principles of patient confidentiality. If confidentiality is breached, each registered dental professional involved is responsible to the Council for their individual conduct. What is personal information? In a dental context, personal information held by a dentist about a patient includes:  The patient’s name, current and previous addresses, bank account/credit card details, telephone number/e-mail address and other means of personal identification such as physical description  Information that the individual is or has been a patient of the practice or attended, cancelled or failed to attend an appointment on a certain day  Information concerning the patient’s physical, mental or oral health or condition  Information about the treatment that is planned, is being or has been provided  Information about family members and personal circumstances supplied by the patient to others  The amount that was paid for treatment, the amount owing or the fact that the patient is a debtor to the practice. Principles of confidentiality This practice has adopted the following three principles of confidentiality: Personal information about a patient:  Is confidential in respect of that patient and to those providing the patient with health care

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Appendix 5

 Should only be disclosed to those who would be unable to provide effective care and treatment without that information (the need-to-know concept) and  Such information should not be disclosed to third parties without the consent of the patient except in certain specific circumstances described in this policy. Disclosures to third parties There are certain restricted circumstances in which a dentist may decide to disclose information to a third party or may be required to disclose by law. Responsibility for disclosure rests with the patient’s dentist and under no circumstances can any other member of staff make a decision to disclose. A brief summary of the circumstances is given below. When disclosure is in the public interest There are certain circumstances where the wider public interest outweighs the rights of the patient to confidentiality. This might include cases where disclosure would prevent a serious future risk to the public or assist in the prevention or prosecution of serious crime. When disclosure can be made There are circumstances when personal information can be disclosed:  Where expressly the patient has given consent to the disclosure  Where disclosure is necessary for the purpose of enabling someone else to provide health care to the patient and the patient has consented to this sharing of information  Where disclosure is required by statute or is ordered by a court of law  Where disclosure is necessary for a dentist to pursue a bona-fide legal claim against a patient, when disclosure to a solicitor, court or debt collecting agency may be necessary. Disclosure of information necessary in order to provide care and for the functioning of the NHS Information may need to be disclosed to third party organisations to ensure the provision of care and the proper functioning of the NHS. In practical terms this type of disclosure means:  Transmission of claims/information to payment authorities such as the DPD/SDPD/CSA  In more limited circumstances, disclosure of information to the PCT/HB  Referral of the patient to another dentist or health care provider such as a hospital. Data protection code of practice The practice’s data protection code of practice provides the required procedures to ensure that we comply with the 1998 Data Protection Act. It is a condition of engagement that everyone at the practice complies with the code of practice.

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Access to records Patients have the right of access to their health records held on paper or on computer. A request from a patient to see records or for a copy must be referred to the patient’s dentist. The patient should be given the opportunity of coming into the practice to discuss the records and will then be given a photocopy. Care should be taken to ensure that the individual seeking access is the patient in question and where necessary the practice will seek information from the patient to confirm identity. The copy of the record must be supplied within 40 days of payment of the fee and receipt of identifying information if this is requested. Access may be obtained by making a request in writing and the payment of a fee for access of up to £10 (for records held on computer) or £50 (for those held manually or for computer-held records with non-computer radiographs). We will provide a copy of the record within 40 days of the request and fee (where payable) and an explanation of your record should you require it. The fact that patients have the right of access to their records makes it essential that information is properly recorded. Records must be:       

Contemporaneous and dated Accurate and comprehensive Signed by the dentist Neat, legible and written in ink Strictly necessary for the purpose Not derogatory Such that disclosure to the patient would be unproblematic.

Practical rules The principles of confidentiality give rise to a number of practice rules that everyone in the practice must observe:  Records must be kept secure and in a location where it is not possible for other patients or individuals to read them  Identifiable information about patients should not be discussed with anyone outside of the practice including relatives or friends  A school should not be given information about whether a child attended for an appointment on a particular day. It should be suggested to the school that the child is asked to obtain the dentist’s signature on his or her appointment card to signify attendance  Demonstrations of the practice’s administrative/computer systems should not involve actual patient information  When talking to a patient on the telephone or in person in a public area, care should be taken that sensitive information is not overheard by other patients  Do not provide information about a patient’s appointment record to a patient’s employer  Messages about a patient’s care should not be left with third parties or left on answering machines. A message to call the practice is all that can be left  Recall cards and other personal information must be sent in an envelope  Disclosure of appointment books, record cards or other information should not be made to police officers or inland revenue officials unless upon the instructions of the dentist  Patients should not be able to see information contained in appointment books, day sheets or computer screens  Discussions about patients should not take place in the practice’s public areas.

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Disciplinary action If, after investigation, a member of staff is found to have breached patient confidentiality or this policy, he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy. Employees are reminded that all personal data processed at the practice must by law remain confidential after your employment has terminated. It is an offence under section 55(1) of the Data Protection Act 1998, knowingly or recklessly, without the consent of the data controller [insert name], to obtain or disclose personal data. If the practice suspects that you have committed such an offence, it will contact the Office of the Information Commissioner and you may be prosecuted by the Commissioner or by or with the consent of the Director of Public Prosecutions. Queries Queries about confidentiality should be addressed to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. More information is contained in BDA Advice Sheet B1 Ethics in dentistry and B2 Data protection which are available for reference in __________________.

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Employees have a range of statutory rights which give minimum employment entitlements once any qualifying criteria have been satisfied. All employees have the following statutory rights regardless of length of service:            

To receive a written statement of terms within two months of starting work To be remunerated at a rate not less than the national minimum wage To receive an itemised pay statement To work not more than an average of 48 hours a week (including overtime) To receive a 20-minute rest break away from the workstation every six hours (employees under 18 years old are entitled to a 30-minute break every 4½ hours) To receive statutory sick pay To receive a minimum of 4.8 weeks’ paid annual holiday (this can include bank holidays and is scheduled to rise to 5.6 weeks by Easter 2009). Parttime workers’ entitlement is calculated on a pro-rata basis. To take Ordinary Maternity Leave for 26 weeks and Additional Maternity Leave for a further 26 weeks. To take reasonable paid time off for antenatal appointments (including relaxation and parentcraft classes during pregnancy) To have access to stakeholder pension arrangements and the ability to make monthly contributions by deduction from salary (only if practice has five or more employees) To take reasonable time off for trade union duties and activities and certain public duties To be accompanied by a fellow employee or trade union official at disciplinary and grievance meetings.

After one month’s continuous service:  To receive a guaranteed payment when there is a temporary shortage of work  To receive one week’s notice of termination of employment, increasing by one week for every year worked (up to a maximum of twelve weeks) If employee has been employed for 26 weeks into the 15th week before the expected week of childbirth:  To receive statutory maternity pay for 39 weeks After six months’ continuous service:  Parents with a child under six or a disabled child under 18, or carers of an adult, can make a request for flexible working, and to have their employers consider such request seriously and only reject them for good business reasons. After one year’s continuous service:  To take unpaid parental leave for 13 weeks (up to a maximum of four weeks per year) if employee has a child (natural or adopted) under five years old (to be taken before the child’s fifth birthday) or under 18 years old if the child is disabled.  Not to be unfairly dismissed.

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Employment rights checklist

ACAS ADDRESSES National Helpline: 08457 474747 Orderline: 08702 429090 Website: www.acas.org.uk London region Euston Tower 286 Euston Road London NW1 3JJ Tel: 020 7396 0022 West Midlands Apex House 3 Embassy Drive Calthorpe Road Edgbaston B15 1TR Tel: 0121 345 1410 East Midlands Lancaster House 10 Sherwood Rise Nottingham NG7 6JE Tel: 0115 985 8253 East of England Acas House Kempson Way Suffolk Business Park Bury St Edmonds Suffolk IP32 7AR Tel: 01284 774500 North East Cross House Westgate Road Newcastle upon Tyne NE1 4XX Tel: 0191 269 6000 North West Commercial Union House 2-10 Albert Square Manchester M60 8AD Tel: 0161 833 8500 Pavilion 1 The Matchworks Speke Road Speke Liverpool L19 2PH Tel: 0151 728 5600

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South East Suites 3-5 Business Centre 1-7 Commercial Road Paddock Wood Kent TN12 6EN Tel: 01892 837273 Cygnus House Ground Floor Waterfront Business Park Fleet Hants GU51 3QT Tel: 01252 816650 South West The Waterfront Welsh Back Bristol BS1 4SB Tel: 0117 906 5200 Yorkshire and Humberside The Cube 123 Albion Street Leeds LS2 8ER Tel: 0113 205 3800 Scotland 151 West George Street Glasgow G2 7JJ Tel: 0141 248 1400 Wales 3 Purbeck House Lambourne Crescent Llanishen Cardiff CF14 5GJ Tel: 02920 762636

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Further help and advice

Other BDA Advice Sheets in this series D2 D3 D5 D9 D10 D11 D12 D13 D14 D17

Rewarding staff The employment of dental hygienists Employing a therapist in general dental practice Employees’ family arrangements and pay Redundancy Practice disciplinary procedures and dismissal Staff recruitment Discrimination Dealing with bullying, harassment and violence in the workplace Practice grievance procedures

Other BDA Advice Notes in this series Working Time Directive basic rights Change management Employee retirement Contract variation Advice Sheets and Advice Notes are available from the BDA website www.bda.org or from BDA Shop 020 7563 4555. Members in England and Wales Telephone BDA Practice Support on 020 7563 4574, Fax 020 7563 4557 or email: [email protected] Members in Scotland and Northern Ireland Telephone Alan Pitcaithley on 01786 431 727 or email: [email protected], Fax: 01786 431 810 Practice Compendium v5 Aimed at practice owners, practice managers and decision makers/budget holders. Clinical Directors and Dental leads in PCT/Health Boards will also be interested in this product. The BDA Practice Compendium guides dentists through the legislative and regulatory requirements essential to general dental practice. It is a quick reference guide and should be used in conjunction with BDA Advice Sheets which provide more detailed information about law, practice administration and management issues. The BDA Practice Compendium offers convenient and instant access to model contracts, policies, protocols, forms and letters. It includes information on all aspects of general practice management including contractual and employment arrangements for the dental team, health and safety and other practice management legislation, communications with patients and staff, business management, private practice and the new NHS. The BDA Practice Compendium conveniently summarises the main legal and regulatory requirements and gives the management basics of good practice, but it is not a substitute for the Advice Sheets.

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The Practice Compendium is divided into six main sections, each with subsections:

The dental team

contractual arrangements employing staff personal and staff development

Managing your practice

health and safety infection control prescribing, dispensing and dental sales data protection disability safeguarding children broadcasting licenses

Communications

communicating with patients communicating with staff communicating with specialists

Business management

business planning practice ownership staff and patient participation marketing the practice practice finances

Private practice

changing your practice customer service financial aspects

The NHS

NHS in England and Wales NHS in Scotland and Northern Ireland

Each section has its own content list, introduction, checklist and list of models. The models speed up and simplify the process of organising your own practice administration and allow you to enter your practice details and information (and adapt as necessary) before printing.

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British Dental Association 64 Wimpole Street,London W1G 8YS Tel: 020 7563 4563 Fax: 020 7487 5232 E-mail: [email protected] www.bda.org © BDA September 2008

Advicesheet

Contracts of employment written statement for employees

D1a

Advicesheet

Contracts of employment written statement for employees

© BDA September 2008

D1a

contents

page

Contract of employment

3

Appendix 1 Sickness/injury absence and pay policy

10

Appendix 2 Grievance procedure

13

Appendix 3 Disciplinary procedure

14

Appendix 4 Equal opportunity policy

17

Appendix 5 Practice confidentiality policy

20

2

Sample contract of employment This example must be read in conjunction with BDA Advice Sheet D1- Contracts of employment In accordance with the requirements of the Employment Rights Act 1996, (as amended by subsequent Statutes), this statement describes the main terms and conditions of your employment with: (Name of employer) _________________________________________________________________________ 1.

Employee

Name _____________________________________________________________________________________ Address ___________________________________________________________________________________ 2.

Date of commencement of employment

Option 1 Your employment with _________________________________________ will commence on _______________. No period of employment prior to your start date counts as part of your period of continuous employment OR Your previous employment with ___________________________________________will contribute towards your service with_______________________________ [delete where applicable] Option 2 – Fixed-term contracts Your employment with __________________________________________ will commence on _______________ and finish on _______________ unless terminated in accordance with clause 27. The reason for this fixed term of employment is [INSERT REASON]. [If the contract is to cover absence of another individual due to maternity or sickness include this clause : Your employment will end when [INSERT NAME] returns to work or on ____________, whichever is the earlier.] * Delete as appropriate 3.

Probationary period

The first ______________ months of your employment will be probationary. During the probationary period, your employment may be terminated by either party on one week’s written notice. 4.

Job title

You are employed as ________________________________________________________________________. Your work will include ________________________________________________________________________. You may be required to carry out any other duties considered to be within your skill and competence to assist the smooth running of the practice and facilitate the treatment of patients, when it is considered necessary or appropriate by management. 5.

Place of work

Your normal place of work will be _______________________________________________________________. You may be required to work at other practice locations according to the needs of the practice.

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6.

References

Engagement is subject to satisfactory references (where these are requested). 7.

Registration with GDC (where appropriate)

Option 1- Dental Care Professionals You must register as a _____________________ with the General Dental Council, maintain that registration and effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by the practice annually on request. Option 2 – Trainee Dental Care Professionals It is a condition of this employment that you attend the [INSERT NAME OF COURSE] (the “Course”) at the [INSERT NAME OF COLLEGE] with a view to obtaining the [INSERT NAME OF QUALIFICATION]. You are required to undertake the following in order to satisfy the General Dental Council’s requirements to achieve registration. You must attend the Course regularly and make every effort successfully to complete the course and obtain the qualification required by the GDC for registration. Upon completion of your training programme, you must register as a _________________ with the General Dental Council and maintain that registration and effect and maintain professional indemnity or insurance cover for any clinical work that you undertake. You may be required to produce your cover certificate for inspection by the practice annually on request. Option 3 The GDC’s registration requirements are not applicable to your post. * Delete as appropriate 8.

Course fees (Where appropriate)

The practice will pay [all necessary tuition fees OR £x towards your tuition fees] incurred in pursuance of clause 7 above. The practice reserves the right to recover any and all monies it has paid in tuition fees if your employment is terminated for any reason, excluding redundancy, in the twelve months following completion of any course you attended in pursuance of clause 7. The total money recoverable will reduce by one-twelfth for each complete calendar month you work at the practice after completion of the course. For the avoidance of doubt, no deduction will be made if your employment is terminated more than twelve months following the completion of the course attended. The practice reserves the right to recover any and all monies it has paid in tuition fees if you fail to complete, without good reason, any course on which you are enrolled in pursuance of clause 7. 9.

Pay

Option 1 – Annual / Monthly pay Your annual salary is £_________________. Your pay will be paid monthly in arrears in [cash/by cheque/BACS transfer] on the ___________ day of each month. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. If you have any specific queries about your pay these should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER].

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Option 2 – Weekly pay Your weekly wage is £___________ per week. Payments for individual days are one-fifth of the above rate and pro rata for any part thereof. This also applies to any days agreed as holidays. Your pay will be paid weekly in arrears in [cash/by cheque/BACS] on the ___________day of each week. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. If you have any specific queries about your pay these should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Option 3 – Hourly pay Your hourly rate of pay is £___________ per hour. Your pay will be paid weekly/monthly in arrears in [cash/by cheque/BACS transfer] on the ____________ day of each [week/month]. Your pay advice will show your basic rate of pay, any statutory or voluntary deductions and the amount of net pay. Any specific queries about your pay should be raised with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. * Delete as appropriate 10.

Lay-off and Lay-off guaranteed pay

Employees may be laid off because of work shortage caused by: i. ii. iii. iv.

the dentist being ill insufficient patients insufficient UDAs the practice premises being unavailable for unforeseen circumstances (such as flood or fire).

Employees temporarily laid off will be entitled to receive a guaranteed payment based on a normal working day, but not exceeding £20.40 (April 2008 - reviewed annually in April) per day and not exceeding five days in any period of three months. Employees must have completed one month’s continuous service in order to qualify for lay-off pay. 11.

Hours of work

Your basic hours of work (exclusive of lunch breaks) are ______________ hours per week. Your normal hours of work are: Monday

from ____________________________ to __________________________

Tuesday

from ____________________________ to __________________________

Wednesday

from ____________________________ to __________________________

Thursday

from ____________________________ to __________________________

Friday

from ____________________________ to __________________________

Saturday

from ____________________________ to __________________________

Sunday

from ____________________________ to __________________________

You are allowed ________ for lunch, to be taken between _______ pm and _________ pm. This is unpaid. Day-to-day arrangements will be agreed with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] in accordance with operational requirements. © BDA September 2008

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12.

Time keeping

All employees are required to show a responsible attitude towards time keeping. Persistent lateness will render the employee liable to disciplinary action, which could lead to dismissal. 13.

Overtime

On occasion, it may be necessary for the practice to request that you work additional hours in the course of your duties. Where the practice requires your services outside your set hours during usual practice hours on Monday to Saturdays the practice will either a) pay you at [EITHER: your normal pay rates OR: one-and-a-half times your normal pay rate]; or b) give you the equivalent time off, by arrangement at normal pay rates. All work outside normal hours on Sunday or public holidays will be paid at double time rate (£ ___________ per hour). 14.

Holiday

Your holiday year dates from [EITHER: the commencement of employment OR: from 1 January to 31 December each year OR: from 1 April to 31 March of the following year]. You will be entitled to [5.6] weeks’ paid holiday, including public holidays. If you work part-time, one week’s holiday will be equivalent to the amount of time you normally work in a week. Optional : [After _______ years’ service, you will be entitled to an additional week‘s paid holiday.] A written request for holiday must be submitted to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. This request must be submitted ___________ week(s) prior to the date you expect to start the holiday. Not all applications will be approved and written notification of an approval or refusal will be provided _________ week(s) prior to the date you expect to take leave. Holiday pay will be calculated from your basic pay. Holiday entitlements cannot be carried over to the following year unless written permission has been obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Where employment is terminated, or if you choose to leave the practice, a payment will be made on a pro-rata basis in respect of any accrued holiday entitlement that has arisen but has not been taken on the date of termination. A deduction will be made from your final pay on a pro-rata basis for any holiday taken in excess of your entitlement, at the date of termination. 15.

Sickness/injury absence and pay

The rules and procedures relating to unavoidable absence due to sickness or injury, including eligibility for sickness pay, are set out in Appendix 1. You will be entitled to sickness pay, as shown in Appendix 1, providing you follow the notification and certification procedure specified in the rules. 16. Notification of absence If you are unable to attend work, for any reason whatever, you must contact [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] by telephone at the earliest possible time on the first day of absence and not later than [INSERT TIME] to give the reason for absence and, if possible, to say when you hope to return to work. You must speak to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] or [NAME] personally. Contacting the practice by text message will not be acceptable and could lead to disciplinary action. Unauthorised absence will not be paid and may result in disciplinary action being taken. © BDA September 2008

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17.

Time off for family or domestic emergencies

The practice will provide reasonable time off to deal with family or domestic emergencies. Requests should be made promptly to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Time off for family or domestic emergencies [EITHER: will OR: will not] be paid. 18.

Medical treatment

Appointments for visiting the doctor or hospital should as far as possible be made outside working hours. Where an appointment can only be made within working hours, permission must be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 19.

Jury or witness service and public duties

If you are required to attend for jury or witness service you must provide written evidence from the court service and keep the practice informed during the duration of your absence. You should claim the allowance set by the court [optional: and the practice will make up the additional loss of pay resulting from such service]. If you hold a recognised public office, such as Justice of the Peace, member of a local authority or member of the governing body of a maintained school or college, you will be entitled to reasonable time off to perform such duties. Requests for time off must be arranged in advance with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Time off for public duties will not be paid. 20.

Maternity

An employee who is pregnant has the right to time off with pay for antenatal care. This includes appointments with the GP or hospital and parentcraft classes. An employee who stops work to have a baby has the right to a period of maternity leave. There are certain provisions concerning payment, time off and returning to work which the practice will discuss with you. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 21.

Adoption leave

An employee who adopts a child may be entitled to adoption leave and pay. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 22.

Paternity leave

An employee who has a wife or partner who gives birth to or adopts a child, may be entitled to two weeks’ paid paternity leave. Further information can be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 23.

Parental and family leave

Employees with at least one year’s continuous service are entitled to unpaid parental leave if having or adopting a baby. Further information is available from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Copies of the practice’s maternity and adoption policies are obtainable from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 24.

Pensions

[NOTE CHOOSE EITHER: * Option 1: All employees are covered by the State pension scheme. There is no “contracting-out” certificate in force and no other pension scheme is in operation. © BDA September 2008

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OR * Option 2 (you must use this option if you employ five or more employees): There is a practice stakeholder pension scheme in operation, which you may join if you wish. Further details may be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. * Delete as appropriate. 25.

Health and safety

The practice policy is to provide as safe and healthy working conditions as possible and to enlist the support of employees in this. While overall responsibility rests with your employer, all staff have a legal duty to take reasonable care to avoid injury to themselves or others by their work activities, and not to interfere with or misuse any clothing or equipment provided to protect health or safety. Any accident to a member of staff in the course of their activities must be entered in the accident book held in the _______________ office. Copies of the practice’s health and safety policy can be seen in the _______________ office. 26.

Trade union membership

It is recognised that eligible employees are free to join or not to join a trade union. 27.

Notice

You are entitled to receive a minimum of one week’s notice of termination of employment after one month’s employment, increasing to two weeks after two years’ continuous service. Thereafter, you will be entitled to receive a further week’s notice for each additional year’s service up to a maximum of twelve weeks after twelve or more years’ service. After one month’s employment you are required to give the practice [INSERT NUMBER] week’s/weeks’ notice. The practice reserves the right to waive notice periods and make a payment in lieu. If you terminate your employment without giving your contractual period of notice, the practice reserves the right to make a deduction from your final pay. That deduction will be the amount of extra money the practice has had to spend as a direct result of you leaving early, subject to a maximum of the amount which you would have been paid in salary during the contractual notice period. 28.

Retirement

The practice’s normal retiring age is 65. You will be notified in writing of the practice’s intention to retire you not more than one year and not less than six months before the date on which the practice intends to retire you. You have the right to request not to retire. Further information on how to make a request should be obtained from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 29.

Grievance procedure

Should you have any query, grievance or complaint regarding your employment or the terms and conditions relating to that employment, you should raise the matter initially with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. The full procedure is set out in Appendix 2. 30.

Disciplinary rules and procedures

The full disciplinary rules and are set out in Appendix 3.

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31.

Practice policies

The practice is committed to working towards equal opportunity for every employee. Our Equal Opportunities Policy is attached at Appendix 4 and you are required to abide by it. You must comply with the practice’s Confidentiality Policy set out in Appendix 5. You must comply with all other practice policies. Copes of the policies are obtainable from [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. 32.

Immunisation

It is a condition of your employment that you are immunised against Hepatitis B and tuberculosis in accordance with guidelines issued by the Department of Health. Charges, where incurred, will be met by the practice. 33.

Deductions from pay

The practice reserves the right to make deductions from your pay in the following circumstances: 1. 2. 3. 4. 5. 6.

34.

To recover an overpayment of wages. If you have taken more holiday than your pro-rata holiday entitlement. If you terminate your employment without giving your contractual period of notice. If the practice reasonably believes you have stolen practice property and/or equipment. If you fail to return practice property and/or equipment (including any keys and uniform) when your employment terminates. To recover any contributions the practice made towards the cost of training in accordance with clause 8 above. Confidentiality

Employees must not disclose any confidential information about patients to third parties without the consent of the patient. If you are in any way unsure whether information can or should be disclosed you must ask [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. The full rules on patient confidentiality are set out in the practice’s confidentiality policy (Appendix 5). Confidential information must not be disclosed following termination of your employment. If, after investigation, a member of staff is found to have breached patient confidentiality or the practice’s policy, he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy (Appendix 3). 35.

Changes in terms and conditions

The practice reserves the right to make reasonable changes to your terms and conditions. You will be informed within one month of the change taking effect by personal written notification. In addition, any master document relating to your terms and conditions will be updated. Signed (employer) ___________________________________________________________________________ on behalf of ________________________________________________________________________________ Date ______________________________________________________________________________________

I confirm that I have received the original statement of terms and conditions of employment relating to my employment of which this is a copy and I accept them and will be bound by them.

Signed (employee) ___________________________________________________________________________ Date ______________________________________________________________________________________ © BDA September 2008

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Appendix 1

Sickness/injury absence and pay policy (see clause 15) If you are absent from work because of sickness or injury, the conditions of the Statutory Sick Pay scheme will apply. In order to qualify for sick pay, you must follow the notification and certification procedure set out below. Notification of absence If you are unable to attend work for any reason whatsoever, you must personally telephone the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] and inform them no later than _________ a.m. on the first day of absence as to the reason for absence, and if possible, when you hope to return to work. If you cannot give an estimated date of return to work, then you must contact the practice on each and every day of absence no later than _________ a.m. If on the date that you estimated you would return to work you are still unable to attend, then you must contact the practice no later than _________ a.m. on that day. It is not acceptable to notify the practice by text message. If you are late in notifying sickness absence, you may lose part of your sick pay. While away from the practice due to illness you are required to remain in contact with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] and supply the appropriate evidence of incapacity. Evidence of incapacity for work If you are ill for seven days or fewer you should on your return to work report to (insert name of employer/practice manager) and explain in full the reasons for your absence. You will be required to complete a self-certification form. If sickness absence continues for eight days or more you should obtain a medical certificate from your doctor and forward the original copy without delay to the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. Further certificates should be submitted without delay for as long as the illness lasts. Where no contact is made and/or no evidence is produced for absence with good reason, the practice may commence disciplinary procedures. In the case of four periods of self-certificated absence in any calendar year the practice reserves the right to request medical evidence for subsequent periods of absence of fewer than seven days. See Frequent, persistent short-term absence below. Statutory sick pay (SSP) and practice sick pay (The following practice sick pay policy follows BDA recommendations and is over and above the minimum legal requirement of statutory sick pay) Subject to the above procedure, you will receive practice sick pay (inclusive of SSP) during each calendar year as follows: Length of service Less than 6 months 6 months - less than 2 years 2 years - less than 4 years 4 or more years

Full pay SSP only 2 weeks 3 weeks 3 weeks

Half pay SSP only 2 weeks 3 weeks 5 weeks

These entitlements are the total for each calendar year. Therefore payments of practice sick pay for earlier periods of absence count towards calculating your annual entitlement.

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Practice sick pay applies pro rata for part-time employees in accordance with the length of the working week. * Delete as appropriate The full rules on eligibility for and payment of SSP are set out according to the statutory requirements. Unauthorised absence Any unauthorised absence, or where it seems that the reason given for absence is not genuine, will be treated as a disciplinary matter in accordance with the practice disciplinary procedure. You will not be paid for days of unauthorised absence. Return-to-work meetings On each occasion of illness the [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will hold a return-to-work meeting with you to discuss the reason for your absence and whether any modifications are required in the workplace to reduce the likelihood of repeat periods of illness. Return-to-work meetings will be documented and kept on your employment record. Long-term absence Long-term absence is defined as a continuous period of absence or a number of periods of absence for the same or related medical condition punctuated by periods of return to work. An employee who is absent long-term is expected to comply with the above rules for providing evidence of incapacity for work. All medical certificates must be forwarded without delay to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. While you are off work due to illness, [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will keep you up-to-date on any news or changes occurring at the practice. Depending upon individual circumstances, but generally before you have exhausted your entitlement to Statutory Sick Pay, you will be asked for written permission for the practice to seek a medical report from your doctor on your long-term prognosis. This report is used to assess the likelihood of a full recovery, the likely date of return and the prospects of being able to do the same work or any reasonable adjustments that may need to be made. Where a medical report indicates that an employee will be unable to return, does not provide any reasonable date for return, or any required accommodations to enable return cannot be met, continued employment with the practice could be at risk. Where there is reasonable doubt from your doctor’s report about the nature of the illness or injury, you may be asked to be examined by an independent doctor appointed by the practice. An employee who refuses to provide consent for the practice to gather medical evidence or to undergo a medical examination will be advised in writing that a decision regarding their future employment will be based on the limited information available which may lead to dismissal on grounds of their capacity to do their work. © BDA September 2008

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In considering continued employment, the practice will assess whether: i. ii. iii.

Alternative, lighter or less stressful work is available Reorganisation of the team could produce a more suitable job A re-design of the job could facilitate a return to work.

Where no suitable alternative work is available, your employment may be terminated with notice on grounds of inability to do your job due to sickness or injury. However, you will have the right of appeal against any decision to terminate your employment. Frequent, persistent short-term absence The practice will monitor the absence of all employees. Where there are four periods of self-certificated absence in any calendar year, the practice will hold an informal meeting with the employee to discuss the cause of the absences. The practice reserves the right to request medical evidence for subsequent periods of absence of less than seven days. If, following discussions and/or the receipt of a medical report, there is an underlying medical theme between periods of absence then the long-term absence procedure (above) will apply. If, following discussions and/or the receipt of a medical report, there is no underlying medical theme between periods of absence, the practice will nevertheless continue to monitor absence and request medical evidence for subsequent periods of absence of less than seven days, if felt appropriate. Where there is no improvement in your general health and level of attendance, consideration will be given to your future employment. Your skills, performance, the likelihood of a change in attendance, the availability of suitable alternative work and the effect of past and future absences on the practice will all be taken into account in deciding appropriate action.

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Appendix 2

Grievance procedure (see clause 29) The object of this procedure is to provide an employee who considers that he/she has a grievance with the opportunity to have it examined quickly and effectively. Where a grievance is deemed to exist, our aim is to resolve it if possible at the earliest practicable moment and at the first level of management. Procedure This procedure has been drawn up to establish the appropriate steps to be followed when pursuing and dealing with a grievance. The procedure contains three stages. However, as it is the aim of this procedure to settle matters at the earliest practicable moment, it is not anticipated that all grievances will go through all procedural stages. An employee may tell [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] about a problem and [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will try to help the employee resolve the problem informally. If an employee gives [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] details of their grievance in writing, then the procedure below applies. Stage 1 - Submission of grievance An employee who feels aggrieved on any matter affecting his/her employment should write to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] making it clear that the first stage of the grievance procedure is being invoked and detailing the grievance. Stage 2 – Investigation and written response [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will investigate the issue, consulting where necessary the other members of management. They will invite the aggrieved employee to an investigatory meeting to discuss the grievance. This meeting will be within one week of receiving the complaint, unless agreed otherwise. The aggrieved employee has the right to be accompanied by a trade union representative or a fellow work colleague of his/her choice. After the investigatory meeting, the decision of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] shall be given in writing to the employee concerned no later than five working days from the complaint being heard. If the employee is dissatisfied with the decision, they have the right to request an appeal meeting within five working days. Stage 3 - Appeal hearing If possible, another person within the practice will hear the appeal hearing. The aggrieved employee has the right to be accompanied by a trade union representative or fellow work colleague of his/her choice. After the appeal hearing, the decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICE MANAGER] shall be given in writing to the employee concerned no later than five working days from the complaint being heard. The decision of [INSERT NAME OF PRACTICE OWNER OR PRACTICE MANAGER] is final.

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Appendix 3

Disciplinary procedure (see clause 30) The practice does not impose unreasonable rules of conduct on its employees, but certain standards of behaviour are necessary to maintain order and discipline in the interests of employees and the practice. We prefer that discipline is voluntary and self-imposed and, in the great majority of cases, this is how it works. From time to time, however, it may be necessary to take action towards individuals whose behaviour or performance is unacceptable. Minor issues will usually be dealt with informally. In the case of employees who have been continuously employed for less than one year, the following procedure will apply: EITHER: Option 1: Employees will normally be entitled to at least one disciplinary meeting and one opportunity to improve. However, if, after the first disciplinary meeting, they fail to improve, they will be dismissed following a second disciplinary meeting. In situations amounting to gross misconduct, whether there has been a first disciplinary meeting or not, the employee will be summarily dismissed following a disciplinary meeting. The employer will set out in writing the reasons for their dismissal. OR: Option 2: Employees will be notified in writing of any disciplinary decision, including dismissal. * Delete as appropriate In the case of employees who have been continuously employed for one year or more, the following procedure will apply: Minor issues will usually be dealt with informally. However, in cases where informal discussion does not lead to improvement, or where the matter is more serious, such as unjustified absences, poor time-keeping or sub-standard performance, the following formal procedure will be used. Where a matter appears to raise concerns over conduct or discipline [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will initially investigate the issue by individually discussing it with those concerned. The investigation is preliminary to the formal procedure and is to determine in the opinion of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] whether it is necessary to commence the formal procedure. At every stage of the formal procedure, a formal hearing, convened by the employer, will be held before any warning or other disciplinary sanction is issued. The employee with one or more year’s service will be entitled to:  Receive a letter giving adequate notice of the hearing, including the date and time and the allegations of misconduct. The letter will include copies of relevant evidence such as witness statements  Be accompanied at a disciplinary interview by a fellow employee of their choice or a trade union representative  Be given the chance to state their case  Written notification of the disciplinary decision.

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Stage 1 - oral warning If it is decided that the evidence supports the allegation of misconduct, the employee will be given a formal ORAL WARNING and will be advised in writing of the reason for the warning and that it is the first stage of the disciplinary procedure. A note of the oral warning will be recorded on the employee’s personal record but will be nullified after six months subject to satisfactory conduct and only if there are no further instances of disciplinary action for whatever reason. Stage 2 - first written warning If conduct or work performance does not improve or there is a repetition of the misconduct, a FIRST WRITTEN WARNING may be given by [INSERT NAME OF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details of the complaint and the likely consequences (that is, Stage 3) if the terms of the warning are not complied with. The warning will also be noted on the employee’s personal record, but again will be nullified after a maximum of one year, subject to satisfactory conduct, only if there are no further instances for whatever reasons. Stage 3 - final written warning Failure to improve in response to the procedure so far, a repeat of misconduct for which a warning or warnings have previously been issued, or a first instance of serious misconduct will result in a further disciplinary hearing and the issue of a FINAL WRITTEN WARNING by [INSERT NAME OF SUPERVISING DENTIST OR PRACTICE MANAGER]. This will give details of the complaint, the length of any probationary period and notification that dismissal may result if the terms of the warning are not complied with. This warning will be noted on the employee’s personal record for one year. Stage 4 - dismissal Failure to meet the requirements set out in the final written warning will normally lead to a further disciplinary hearing and DISMISSAL with appropriate notice. Gross misconduct Offences under this heading are so serious that an employee who commits them will normally be summarily dismissed, following a disciplinary hearing. In such cases the practice reserves the right to dismiss without notice of termination or payment in lieu of notice. Summary dismissal for gross misconduct will only occur following an investigation and a formal hearing convened by the employer. The employee is entitled to:  Receive a letter giving adequate notice of the hearing, including the date and time, and the allegations of misconduct. The letter will include copies of relevant evidence such as witness statements  Be accompanied at a disciplinary interview by a fellow employee of their choice or a trade union representative  Be given the chance to state their case  Written notification of the disciplinary decision.

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Examples of gross misconduct are:  Theft and unauthorised possession of practice property, deliberate falsification of records or any other form of dishonesty  Wilfully causing harm or injury to another member of staff or other person on the premises  Performing an action that is liable to cause injury to other people or damage to practice property  Breach of confidentiality  Wilful refusal to obey a reasonable instruction  Incapacity due to alcohol or drug abuse  Breaches of health and safety regulations. This list is intended only as a guide and is not an exhaustive one. Suspension In the event of serious misconduct, an employee may be suspended on full basic pay while an investigation is carried out. Such suspension, which DOES NOT imply guilt or blame, will be for as short a period as possible. Appeals An employee may appeal against a disciplinary decision to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER – ie not the same person named in stages 2 and 3] within one week of the decision being communicated to the employee. Appeals should be in writing. At the appeal hearing the employee will again be given the chance to state their case and will have the right to be accompanied by a fellow employee of their choice or a trade union representative. The decision of [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] will be final.

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Appendix 4

Equal opportunities policy (see clause 31) This is the policy of ____________________________ Dental Practice in respect of discrimination on grounds of sex, sexual orientation, race, age, disability or religion. This practice is committed to working towards equality of opportunity for every member of the team. This policy is one important way of achieving this objective. The Dental Practice is the business owned by _______________________ and administered by _________________________________. Please read it carefully. If there is anything you do not understand, please ask [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] for an explanation. The policy The Dental Practice recognises that discrimination on the grounds of sex, sexual orientation, race, age, disability or religion is harmful and in many cases may be illegal. Through this policy, through training and by example, we wish to demonstrate that we do not tolerate discrimination by anyone working at the practice. Definitions Discrimination is any form of unfavourable treatment. Policy is the same as a Code of Conduct and it is how we expect everyone in the practice - partners, associates and employees - to behave. It applies to our dealings with each other, with candidates for job vacancies, with suppliers and with our patients. Age discrimination is any form of treatment which is unfavourable and which is related to a person’s age. Discrimination according to age is illegal under the terms of The Employment Equality (Age) Regulations 2006. Direct age discrimination is treating a person less favourably on the grounds of their age. Indirect age discrimination is applying a provision, criterion or practice equally to all but which would put a person of that age group at a greater disadvantage when compared with others. Sex discrimination is any form of treatment which is unfavourable and which is related to gender or marital status. Discrimination according to sex is illegal under the terms of the Sex Discrimination Act 1975. The Act applies equally to men and women. Direct sex discrimination is when one person is treated less favourably on the grounds of their sex than a person of the other sex is or would be treated in similar circumstances. This can occur when a person is refused a position or promotion because of their sex or because of a factor which is sex linked, such as the ability to bear children. For example, it is illegal to refuse to employ a woman because she is of child bearing age and ‘judged’ likely to have children. A candidate should be treated on merit, irrespective of sex. Indirect sex discrimination is a requirement or condition, which cannot be justified on job-related criteria on grounds other than sex, which is applied to men and women equally but has the effect, in practice, of disadvantaging a considerably higher proportion of one sex than the other. For example, requiring employees to be of a minimum height, which cannot be justified in terms of the task they have to perform. © BDA September 2008

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Direct marriage discrimination can occur when a married person is treated less favourably in employment, because they are married, than a single person of the same sex is or would be treated in similar circumstances. Indirect marriage discrimination occurs when a requirement or condition of employment, which cannot be justified on job-related criteria on grounds other than marital status, is applied equally to married or single persons (of either sex), but has the effect in practice of disadvantaging a considerably higher proportion of married than single people (of the same sex). Race discrimination is any form of treatment which is unfavourable and which is related to colour, race, nationality (including citizenship), ethnic or national origin. Discrimination according to race is illegal under the terms of the Race Relations Act 1976. As with sex discrimination, race discrimination can be direct or indirect. An example of direct discrimination might be offensive remarks about black people or about a religion or faith where the majority of believers are black. Indirect discrimination might be where an employer requires higher language standards from employees than are needed for the safe and effective performance of the job. Victimisation is when the employer treats an employee (of either sex) less favourably than other employees are or would be treated, because the employee has brought or threatens to bring proceedings, or give evidence or information against an employer with reference to the Sex Discrimination Act, Race Relations Act or Equal Pay Act. These provisions do not apply if the original discrimination allegation was false or was not made in good faith. Harassment is a form of discrimination where a person is made to feel uncomfortable because of sex, race, age, disability or religion. It may involve action, behaviour, comments or physical contact, which is found objectionable, offensive or intimidating by the recipient. The recipient may feel threatened, humiliated or patronised by the perpetrator. It is not always a conscious or intentional act but it is the recipient’s feelings in response which are important. Sexual harassment is a form of sex discrimination. The practice defines harassment as unwanted conduct of a sexual nature or other conduct based on sex, which affects the dignity of those who work in the practice. This can include unwelcome physical, verbal or nonverbal conduct. Both men and women may be subject to harassment. Racial harassment is a form of race discrimination and might involve racist jokes and banter or insults, taunts and jibes. Religious discrimination is where a person is treated less favourably because of their religious beliefs; for example, promoting a less able person to work rather than a Jewish person using the reason that the Jewish person would not work on Saturdays. The Fair Employment (NI) Act 1989 enables employees who feel that they have been discriminated against on the grounds of religious belief or political opinion to take action against an employer. The right to equal pay provides equality in the terms of an employee’s contract where s/he is employed to perform work which is rated equivalent to that performed by a member of the opposite sex or work of equal value to that of a member of the opposite sex. Disability discrimination is where a person is treated less favourably because of disability. Occasionally a disability can limit a person’s capability for some forms of employment. Discrimination occurs when the treatment of the individual is unfavourable taking into account the disability; for example, making it a condition of employment that the employee can drive an unmodified car when the job can be performed adequately without driving. © BDA September 2008

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Not tolerate means that we will take disciplinary action in accordance with the practice disciplinary procedure against any employee who breaches this policy. If the allegation involves a self-employed contractor or a partner in the practice, the matter will be dealt with by [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. What you should do if you feel that you are the subject of discrimination or harassment? Discrimination Raise the issue with [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] in the first instance. If the matter is not resolved informally, then you should submit a written complaint to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER] Harassment 1. Let the perpetrator know how you feel about their behaviour. You could do this either by speaking to them or, if you do not wish a confrontation, by putting your thoughts in writing. 2. Ask them to stop the behaviour. 3. Keep a good record of the incidents. 4. Report the incidents as soon as possible to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. If the incident involves that person, then you should report the matter to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER – that is, not the person complained about]. What we will do about discrimination or harassment 1. We will take any allegation seriously. We will listen to your complaint sympathetically and record it thoroughly. 2. We will adopt this policy, modify it in the light of changes in the law and monitor our performance against it. 3. If you make a complaint or allegation of harassment, the practice will initiate the grievance procedure in your contract of employment. The incident will be investigated thoroughly. You will be informed of the outcome and you will be kept well informed at every stage. Your complaint may be treated as confidential if you request it to be so, but, if you wish us to investigate or take action, we will have to involve the alleged perpetrator in the investigation of your complaint, who has a right to give their version of the events. We will deal with your complaint as soon as possible and in any event within 20 working days. 4. If you make an allegation of discrimination, the practice will initiate the grievance procedure in your contract of employment. Your complaint will be investigated thoroughly and you will be informed of the outcome within twenty working days. 5. An employee breaching this policy will be liable to disciplinary action. Persistent or blatant discrimination or harassment could lead to dismissal. 6. In the event of an allegation of discrimination by a prospective employee, the incident will be investigated thoroughly and the complainant will be informed of the outcome. The matter will be dealt with as soon as possible and in any event within 20 working days. 7. If you feel that your complaint has not been resolved by the practice, you should contact the local Citizens Advice Bureau for advice. Legal redress may also be sought from an employment tribunal and the complaint should be referred to a tribunal within three months (less one day) of the alleged discriminatory act.

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Appendix 5

Practice confidentiality policy (see clauses 31 and 34) At this practice, the need for the strict confidentiality of personal information about patients is taken very seriously. This document sets out our policy for maintaining confidentiality and all members of the practice team must comply with these safeguards as part of their contract of employment/contract for services with the practice. The importance of confidentiality The relationship between dentist and patient is based on the understanding that any information revealed by the patient to the dentist will not be divulged without the patient’s consent. Patients have the right to privacy and it is vital that they give the dentist full information on their state of health to ensure that treatment is carried out safely. The intensely personal nature of health information means that many patients would be reluctant to provide the dentist with information if they were not sure that it would not be passed on. If confidentiality is breached, the dentist/dental hygienist/dental therapist/dental nurse faces investigation by the General Dental Council and possible erasure from the Dentists or DCP Register; and may also face legal action by the patient for damages and, for dentists, prosecution for breach of the 1998 Data Protection Act. General Dental Council All staff must follow the General Dental Council’s rules for maintaining patient confidentiality contained in Standards for dental professionals and Principles of patient confidentiality. If confidentiality is breached, each registered dental professional involved is responsible to the Council for their individual conduct. What is personal information? In a dental context, personal information held by a dentist about a patient includes:  The patient’s name, current and previous addresses, bank account/credit card details, telephone number/e-mail address and other means of personal identification such as physical description  Information that the individual is or has been a patient of the practice or attended, cancelled or failed to attend an appointment on a certain day  Information concerning the patient’s physical, mental or oral health or condition  Information about the treatment that is planned, is being or has been provided  Information about family members and personal circumstances supplied by the patient to others  The amount that was paid for treatment, the amount owing or the fact that the patient is a debtor to the practice. Principles of confidentiality This practice has adopted the following three principles of confidentiality: Personal information about a patient:  Is confidential in respect of that patient and to those providing the patient with health care

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 Should only be disclosed to those who would be unable to provide effective care and treatment without that information (the need-to-know concept) and  Such information should not be disclosed to third parties without the consent of the patient except in certain specific circumstances described in this policy. Disclosures to third parties There are certain restricted circumstances in which a dentist may decide to disclose information to a third party or may be required to disclose by law. Responsibility for disclosure rests with the patient’s dentist and under no circumstances can any other member of staff make a decision to disclose. A brief summary of the circumstances is given below. When disclosure is in the public interest There are certain circumstances where the wider public interest outweighs the rights of the patient to confidentiality. This might include cases where disclosure would prevent a serious future risk to the public or assist in the prevention or prosecution of serious crime. When disclosure can be made There are circumstances when personal information can be disclosed:  Where expressly the patient has given consent to the disclosure  Where disclosure is necessary for the purpose of enabling someone else to provide health care to the patient and the patient has consented to this sharing of information  Where disclosure is required by statute or is ordered by a court of law  Where disclosure is necessary for a dentist to pursue a bona-fide legal claim against a patient, when disclosure to a solicitor, court or debt collecting agency may be necessary. Disclosure of information necessary in order to provide care and for the functioning of the NHS Information may need to be disclosed to third party organisations to ensure the provision of care and the proper functioning of the NHS. In practical terms this type of disclosure means:  Transmission of claims/information to payment authorities such as the DPD/SDPD/CSA  In more limited circumstances, disclosure of information to the PCT/HB  Referral of the patient to another dentist or health care provider such as a hospital. Data protection code of practice The practice’s data protection code of practice provides the required procedures to ensure that we comply with the 1998 Data Protection Act. It is a condition of engagement that everyone at the practice complies with the code of practice. Access to records Patients have the right of access to their health records held on paper or on computer. A request from a patient to see records or for a copy must be referred to the patient’s dentist. The patient should be given the opportunity of coming into the practice to discuss the records and will then be given a © BDA September 2008

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photocopy. Care should be taken to ensure that the individual seeking access is the patient in question and where necessary the practice will seek information from the patient to confirm identity. The copy of the record must be supplied within 40 days of payment of the fee and receipt of identifying information if this is requested. Access may be obtained by making a request in writing and the payment of a fee for access of up to £10 (for records held on computer) or £50 (for those held manually or for computer-held records with non-computer radiographs). We will provide a copy of the record within 40 days of the request and fee (where payable) and an explanation of your record should you require it. The fact that patients have the right of access to their records makes it essential that information is properly recorded. Records must be:       

Contemporaneous and dated Accurate and comprehensive Signed by the dentist Neat, legible and written in ink Strictly necessary for the purpose Not derogatory Such that disclosure to the patient would be unproblematic.

Practical rules The principles of confidentiality give rise to a number of practice rules that everyone in the practice must observe:  Records must be kept secure and in a location where it is not possible for other patients or individuals to read them  Identifiable information about patients should not be discussed with anyone outside of the practice including relatives or friends  A school should not be given information about whether a child attended for an appointment on a particular day. It should be suggested to the school that the child is asked to obtain the dentist’s signature on his or her appointment card to signify attendance  Demonstrations of the practice’s administrative/computer systems should not involve actual patient information  When talking to a patient on the telephone or in person in a public area, care should be taken that sensitive information is not overheard by other patients  Do not provide information about a patient’s appointment record to a patient’s employer  Messages about a patient’s care should not be left with third parties or left on answering machines. A message to call the practice is all that can be left  Recall cards and other personal information must be sent in an envelope  Disclosure of appointment books, record cards or other information should not be made to police officers or inland revenue officials unless upon the instructions of the dentist  Patients should not be able to see information contained in appointment books, day sheets or computer screens  Discussions about patients should not take place in the practice’s public areas. Disciplinary action If, after investigation, a member of staff is found to have breached patient confidentiality or this policy, he or she shall be liable to summary dismissal in accordance with the practice’s disciplinary policy.

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Employees are reminded that all personal data processed at the practice must by law remain confidential after your employment has terminated. It is an offence under section 55(1) of the Data Protection Act 1998, knowingly or recklessly, without the consent of the data controller [insert name], to obtain or disclose personal data. If the practice suspects that you have committed such an offence, it will contact the Office of the Information Commissioner and you may be prosecuted by the Commissioner or by or with the consent of the Director of Public Prosecutions. Queries Queries about confidentiality should be addressed to [INSERT NAME OF PRACTICE MANAGER OR PRACTICE OWNER]. More information is contained in BDA Advice Sheet B1 Ethics in dentistry and B2 Data protection which are available for reference in __________________.

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British Dental Association 64 Wimpole Street,London W1G 8YS Tel: 020 7563 4563 Fax: 020 7487 5232 E-mail: [email protected] www.bda.org © BDA September 2008