Banding Appeal Training – Lessons Learnt Dan Komrower Ben O’Sullivan Michael Wright 9:00am Arrival and Registration 9:30 Introduction 9:40 New Deal and EWTD Daniel Komrower and Ben O’Sullivan 10:00 Banding appeal and employment tribunal process Michael Wright 10:15 Banding Appeals Scenarios Michael Wright 11:00 11:15 Break JDAT Preventative Measures Daniel Komrower and Ben O’Sullivan 11:45 Questions and Answer Session 12:00pm Close What do you want to get out of the day? The New Deal Contract and EWTD A Brief Background Two restrictors of hours •Junior Doctors contract – aka ‘New Deal’/Terms and Conditions of Service •European Working Time Directive – aka UK Working Time Regulations New Deal • Came first: 1991 – pay-as-you-go on-call (gent’s agreement) 1996 – restrictors on hours and rest 2000 – T&Cs and banding structure • Affects pay New Deal • Distinguishes between working patterns: Full-Shift Partial Shift On-call Hybrid • Duty vs Work • Paid decided by the rota doctor works • Rota is monitored to make certain working practices actually match theoretical rota. Banding 0 ‘1’ ‘2’ / ‘3’ <40h/wk <48h / wk >48h / wk Not EWTD compliant (illegal) Banding Antisocial = outside of 7am – 7pm Mon – Fri ‘A’ ‘B’ ‘C’ Most antisocial Moderate antisocial Least antisocial Banding: ‘Band 3’ £13 447 Example - 20 FY1s for 1 year - £268 940 Any Questions? UK WTR • European Health and Safety Legislation (EWTD) adopted into UK law as UK WTR • Applies in full, to all doctors (including locums/consultants/SAS) since 2009 • SiMAP ruling – at work (‘resident’) = working • Jaeger ruling – compensatory rest must follow work • DOES NOT AFFECT PAY!! • Best to imagine as completely distinct from New Deal UK WTR • Average weekly work – 48 hours (over 26 weeks) • Rest: Minimum period off-duty in 24 hours – 11 hours Minimum continuous period off-duty – 48 hours in 2 weeks Natural Breaks – 20 minutes for every 6 hours work • Can opt-out of 48-hour working. CANNOT opt-out of rest • If rest requirements not met, compensation can be given Any Questions? Full Shift EWTD (all rota types) 48 20m/6h 13 11 12 24 in 7 days or 48 in 14 days On-Call Shift EWTD (all rota types) 48 20m/6h 13 11 12 24 in 7 days or 48 in 14 days Any Questions? Rest and Natural breaks Rest • NOT paid for rest • Best method – consider as on-call, home and asleep Natural Breaks • Natural breaks are NOT counted as rest. • Natural Breaks are paid. • 30mins - every 4-6 hours • You get them, or you don’t • Trainees who are not on an on-call rota should leave rest as 0hrs • Teaching = work (so lunchtime teaching is not a natural break) Natural Breaks Any Questions? Banding Claim and the Tribunal Process Michael Wright Introduction What claim can be made? • Where? • When? Claim form and response The bundle, witnesses and statements The Hearing Settlement Lessons learned What claim can be made? Option 1: Breach of contract 1. High Court • 6 years from breach • Formal and expensive 2. Employment tribunal • On termination • 3 months from termination What claim can be made? Option 2: Unlawful deduction from wages • Employment tribunal • Three months from last alleged deduction • Informal and less expensive Claim form and Response ET1/claim form • Brief • 28 days to respond • Report? ET3/Response • Holding response or deal with the issues? • Correct respondent? Disclosure, the bundle, witnesses and statements Disclosure – all relevant material Bundle content Who will be the witnesses? Experts? The Hearing Single judge Technical claim Statements taken as read Reported Cases Settlement COT3; or Settlement Agreement Individual settlement? Confidentiality Balance of power Lessons Learned Why bother with the internal appeal? Putting off the work for the tribunal vs. being prepared Involve the Lead Employer/keep it updated Mediation? Get legal advice early Settlement with the few Any Questions? Get in touch Michael Wright e: michael.wright@hilldickinson.com dd: 0161 817 7266 JDAT Preventative Measures • Evidence - review of regional banding appeals • JDAT services to help prevent banding issues Learning the lessons from banding appeals – Evidence based guidance for running junior doctor rotas • Adam Moreton, Emma Jackson, Yasmin Ahmed-Little • Journal of Health Organization and Management • Vol 28 No1 2014 pp 62-76 Method • 35 trusts contacted to supply details of banding appeals between 2004-2012 • 15 responded – 35 appeals being reviewed • Outcome not collected just the Statement of Case Result Reason Number (Total = 60) Inadequate “natural breaks” achieved 17 Longest continuous duty limit breached 14 Due process not followed when banding changed 11 Weekly average hours of work 48-56 5 Weekly average hours of work >56 7 Insufficient rest whilst on-call 3 “Pay protection” claim 2 Inadequate minimum continuous period off duty 1 Result Underlying reason for rota and work not matching Number (Total = 60) Rota 28 Policy 22 Communication 18 Co-ordination (working practices of the team) 14 Work load 13 Culture 8 Training 3 So how can you prevent this? • Robust monitoring policy… • …with systematic processes and paper trail • Communication lines with trainees – use of JDAT template • Ensuring rotas are signed-off • Ensure knowledgeable rota managment! • Get in touch! Robust monitoring policy • New Deal and UK WTR summary • Who, where and when the policy applies • Who bears overall responsibility for it (business groups/departmental managers, up to execs etc.)? • What/when is monitoring? • Process… • Go through at induction with trainees to sign …processes • Rules of monitoring (biannual, trainees working different patterns monitored separately e.g. LTFT) • DRS ONLINE MONITORING!! • Process checklist – to be distributed to departmental managers. Stages to be dated and initialed when performed. Returned with monitoring data. • Careful handling of invalid returns, incorrect data entered, disputed outcomes, Band 3’s – JDAT guidance is available! Communication • Give trainees every avenue to raise concerns • Excellent communication BEFORE monitoring will prevent lots needed later! • JDAT template rota • Keep up-to-date personal e-mail addresses • Trainee representatives for troublesome rotas (prevents repeatedly answering same question from 10 different trainees! ‘When do we get results?’ ‘What do they show?’ Rota management 1 • ‘Due process’ is still an important consideration at banding appeals • Get rota sign-offs!!: • Trainees (Stage 1A) • Educational lead (Stage 1C) • JDAT (Stage 1B) • Guidance on our website Rota management 2 • Monitoring non-compliance and local rota amendments • Train your consultants/directorate managers before they are handed responsibility for a rota (WE CAN DO THIS!!!!) • NO local amendments to rotas unless fully understand the contractual consequences Thank you – Any Questions? Junior Doctor Advisory Team nwd.jdat@nw.hee.nhs.uk www.nw.hee.nhs.uk/our-work/jdat Michael Wright michael.wright@hilldickinson.com 0161 817 7266