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CRN East Midlands Issue Resolution Procedure v1.0

 

Contents

NIHR CRN East Midlands Issue Resolution Procedure

Executive summary

This procedure has been developed so that stakeholders have a route to raise any matters of concern which may arise, in relation to CRN East Midlands (CRN EM) business. This document outlines how to raise a concern or complaint with a view to having the issue considered, and hopefully resolved in a timely manner.
The document sets out time frames in order that any issues can be addressed and swiftly resolved, as close to source as possible. A key principle is that wherever possible, issues are resolved on an informal basis. It should be noted that this procedure is intended to be used specifically for CRN related matters and should in no way supersede existing local Trust or organisational policies and procedures. This procedure does not apply to staffing related matters, which are covered within existing employment arrangements.
The Executive Leads for this procedure are the CRN East Midlands Clinical Director and CRN East Midlands Nominated Executive Lead at the Host Organisation (UHL Medical Director).

Issue Resolution Procedure

Valid for use from 28 November 2018
Owner: CRN East Midlands
Authors: Carl Sheppard, Host Project Manager, Elizabeth Moss, Chief Operating Officer
Issued on: 28 November 2018
Review Date: 12 months after initial issue and annually after that

 
CONTENTS

1. Introduction
2. Procedure Aim and Scope
3. Procedure Process
4. Procedure Stages
5. NIHR CRN Escalation Process
Appendix 1 Example of Escalation Routes
Appendix 2 CRN East Midlands Contacts


1.   INTRODUCTION

1.1  This document describes the procedure for managing concerns and disputes in relation to matters with CRN East Midlands business operation.
1.2 Concerns or disputes could be issues that stakeholders raise with CRN East Midlands where it is felt an unsatisfactory decision has been made. Examples may relate to decisions made or policy/processes implemented in relation to the CRN East Midlands core business of clinical research delivery across the region.
1.3 CRN East Midlands recognises the importance of good communication and engagement with stakeholders and partners to facilitate successful partnership working. It is expected that partners will communicate with relevant CRN staff and managers, and inform them of any potential concerns as early as possible. Partners should expect CRN staff and managers to listen to their concerns, respond and deal with them in a timely manner.
1.4 Wherever possible, to ensure good relations, concerns or disputes will be resolved informally, and by reference to their initial point of contact. This procedure is for use in those situations where informal resolution has not been possible.

2.   PROCEDURE AIM AND SCOPE

2.1 The aim of this procedure is that all issues are dealt with in a fair and timely manner and as near as possible to the point of origin.
2.2  This procedure is to enable parties to raise with CRN East Midlands, matters of concern or dissatisfaction.
2.3 This procedure applies to all stakeholders, those in receipt of funding from CRN East Midlands, including Partner Organisations (Categories A, B and C), along with  other stakeholders and partners whom we interact with during the course of our usual business operations.

3.   PROCEDURE PROCESS

3.1 Where possible, a concern or dispute should be raised promptly, and ideally within 2 weeks of their first becoming aware of the source of the issue. In cases where issues have not been raised within this time frame, the resolution process will consider the circumstances of this.
3.2 It is recognised that occasionally there may be sound practical reasons why the
resolution of the issue is subject to delay or where a time limit cannot be complied with on either side, or where it would help to allow additional time for resolution at that level. Where there are likely to be delays in the process the appropriate manager should contact the party involved explaining the reasons for the delay and the likely timescales for resolution.
3.3 Issues may be referred back to any previous stage of the procedure by joint agreement if it appears likely that to do so will bring a quicker or more acceptable solution.
3.4 Managers should carry out any necessary investigations to establish the facts of each case.
3.5 No manager may hear a concern at more than one stage of the procedure.
3.6 A party may withdraw their concern at any stage of the procedure, should they wish to.

4. PROCEDURE STAGES

Stage 1

Immediate CRN EM manager (e.g. Senior Team Link)

The party with a concern should normally raise it with the immediate CRN EM manager involved verbally, ideally within 2 weeks of becoming aware of the issue. The CRN manager will acknowledge the concern and respond verbally or in writing as soon as possible and make all reasonable endeavours to resolve the concern informally. A meeting or phone call can be arranged to discuss the issue, if appropriate. If there is failure to resolve the issue, the concerned party should proceed to Stage 2.


Stage 2

Next in line CRN EM Senior Manager / Deputy Chief Operating Officer (DCOO) / relevant Divisional Clinical Lead  

The party with a concern should contact the next in line CRN EM Senior Manager or Deputy Chief Operating Officer, preferably by email. The next in line manager will aim to resolve the concern and will respond verbally or in writing as soon as possible. The relevant Divisional Clinical Lead will be consulted in relation to any research delivery issues. A further meeting or phone call can be arranged to discuss the issue, if appropriate. If there is still failure to resolve the issue, the concerned party should notify the CRN EM Senior Manager/ DCOO who will direct the issue to Stage 3.


Stage 3

CRN EM Clinical Director (CD) / Chief Operating Officer (COO)

The CRN EM Senior Manager/DCOO at Stage 2 will provide notification of the concern along with any additional information detailing why the party remains dissatisfied to the Clinical Director or Chief Operating Officer as soon as possible. The CD/COO will aim to resolve the concern and if appropriate, will arrange a meeting or phone call within 4 weeks (subject to availability of the parties) to discuss the issue further.


Stage 4

CRN EM Executive Director
(UHL Medical Director) If there is still failure to resolve the concern, it will be formally escalated to the CRN EM Nominated Executive Director by the CD/COO as soon as possible, who will seek to address this.

Examples of potential escalation routes in different settings are displayed in Appendix 1.


5.   NIHR CRN ESCALATION PROCESS

5.1 If there is still failure to resolve the concern, it will be referred in accordance with the national escalation process as described in the NIHR CRN Performance and Operating Framework and CRN East Midlands Governance Framework. The issue will enter this process at stage 3 by bringing it to the attention of the Host Organisation Chief Executive as outlined below.


5.2 Agreed escalation routes and levels are:

1. LCRN Clinical Director – Professor David Rowbotham

2. Nominated LCRN Executive Director – Mr Andrew Furlong

3. The Trust Chief Executive Officer – John Adler

4. National CRN Coordinating Centre 

(i) Chief Operating Officer, National CRN Coordinating Centre
(ii) Chief Executive Officer, National CRN Coordinating Centre
 

Appendix 1 - Example escalation routes

The below table displays potential escalation routes, which will be applicable in different settings. CRN East Midlands staff and Senior Team Link contact details are provided in Appendix 2.

 Stage

 Partner Organisation

 Primary Care

Other Stakeholders 

Stage 1

Senior Team Link  Research Delivery Manager (Divisions 2 & 5)/Research Operations Manager (Divisions 2 & 5)  Lead Nurse 

Stage 2

Deputy Chief Operating Officer/relevant Divisional Clinical Lead Deputy Chief Operating Officer/Divisional Clinical Lead for Primary Care Deputy Chief Operating Officer/relevant Divisional Clinical Lead 

Stage 3

Chief Operating Officer/Clinical Director Chief Operating Officer/Clinical Director Chief Operating Officer/Clinical Director

Stage 4

CRN EM Executive Director CRN EM Executive Director CRN EM Executive Director

 

Appendix 2 - CRN East Midlands Contacts

 Division/Specialty Contact Details 
 Division 1 - Cancer Hannah Finch, Research Delivery Manager - hannah.finch@nihr.ac.uk, 0115 952 9924 ext 70690
  Penny Millward, Research Operations Manager - penny.millward@nihr.ac.uk, 0115 952 9924 ext 70653
  TBA - Clinical Research Lead - Division 1
 Division 2 - Cardiovascular, Diabetes, Metabolic & Endocrine, Renal, Stroke Harpal Ghattoraya, Research Delivery Manager - harpal.ghattoraya@nihr.ac.uk, 0116 258 4029 
  Harriet Savage, Research Operations Manager - harriet.savage@nihr.ac.uk, 0115 952 9924 ext 70655
  Prof Melanie Davies, Clinical Research Lead Division 2 - melanie.davies@uhl-tr.nhs.uk
 Division 3 - Genetics, Haematology, Reproductive Health & Childbirth Hannah Finch, Research Delivery Manager - hannah.finch@nihr.ac.uk, 0115 952 9924 ext 70690
  Penny Millward, Research Operations Manager - penny.millward@nihr.ac.uk, 0115 952 9924 ext 70653
  Dr Julian Barwell, Clinical Research Lead Division 2 - jgb8@leicester.ac.uk
Division 4 - Dementia & Neurodegeneration, Mental Health, Neurological Disorders Karen Pearson, Research Delivery Manager, karen.pearson@nihr.ac.uk, 01332 783098
  Katherine Gilmour, Research Operations Manager, katherine.gilmour@nihr.ac.uk, 0116 2587 6185
  Prof Martin Orrell, Clinical Research Lead Division 4, martinorrell@nottingham.ac.uk
Division 5 - Ageing, Dermatology, Health Services Research Delivery, Musculoskeletal disorders, Primary Care, Public Health Harpal Ghattoraya, Research Delivery Manager - harpal.ghattoraya@nihr.ac.uk, 0116 258 4029 
  Harriet Savage, Research Operations Manager - harriet.savage@nihr.ac.uk, 0115 952 9924 ext 70655
  Prof Azhar Farooqi, Clinical Research Lead Division 5, farooqi.am@gp-c82063.nhs.uk
Division 6 - Anaesthesia, peri-operative medicine and pain management, Critical care, Ear, Nose and Throat, Gastroenterology, Hepatology, Infection, Injuries and emergencies, Ophthalmology, Respiratory Disorders, Surgery Karen Pearson, Research Delivery Manager, karen.pearson@nihr.ac.uk, 01332 783098
  Katherine Gilmour, Research Operations Manager, katherine.gilmour@nihr.ac.uk, 0116 2587 6185
  Dr Mathew Diggle, Clinical Research Lead Division 6 - mathew.diggle@nuh.nhs.uk


Senior Leadership

 Area  Contact Details
 Senior Leadership Professor David Rowbotham, Clinical Director - david.rowbotham@nihr.ac.uk, 0116 258 6185 
  Professor Stephen Ryder, Co-Clinical Director - stephen.ryder@nihr.ac.uk
  Elizabeth Moss, Chief Operating Officer - elizabeth.moss@nihr.ac.uk, 0116 258 6185
  Kathryn Fairbrother, Deputy Chief Operating Officer - kathryn.fairbrother@nihr.ac.uk, 0116 258 5009
 Workforce Development Michele Eve, Workforce Development Lead and Well-being Lead - michele.eve@nihr.ac.uk, 0116 250 2778 
 Industry/Life Sciences Daniel Kumar, Industry Delivery Manager - daniel.kumar@nihr.ac.uk, 0115 924 9924 ext 70649
 Business Intelligence Kathryn Fairbrother, Deputy Chief Operating Officer - kathryn.fairbrother@nihr.ac.uk, 0116 258 5009


CRN East Midlands Senior Team Links

Organisation Senior R&D/I Contact  CRN Link RDM 
Chesterfield Royal Hospital NHS Foundation Trust Karen Moxon Dan Kumar
Derbyshire Community Health Services NHS Foundation Trust  Rubina Reza (interim) Roz Sorrie-Rae
Derbyshire Healthcare NHS Foundation Trust Rubina Reza Roz Sorrie-Rae 
East Midlands Ambulance Service NHS Trust Robert Spaight Karen Pearson 
Kettering General Hospital NHS Foundation Trust Gwyn McCreanor  Penny Millward 
Leicestershire Partnership NHS Trust Susan Corr Penny Millward
Lincolnshire Community Health Services NHS Trust Debbie Jeffrey Harriet Savage
Lincolnshire Partnership NHS Foundation Trust Dianne Tetley Kate Gilmour
Northampton General Hospital NHS Trust Michelle Spinks  Dan Kumar
Northamptonshire Healthcare NHS Foundation Trust Sue Palmer-Hill Michele Eve 
Nottingham University Hospitals NHS Trust Maria Koufali/Sam Jones Harpal Ghattoraya 
Nottinghamshire Healthcare NHS Foundation Trust Mark Howells Kate Gilmour 
Sherwood Forest Hospitals NHS Foundation Trust Alison Steel  Harriet Savage
United Lincolnshire Hospitals NHS Trust Jeff Ashby  Hannah Finch
University Hospitals of Derby and Burton NHS Foundation Trust Deborah Price  Hannah Finch
University Hospitals of Leicester NHS Trust David Hetmanski Karen Pearson 

 

Non-NHS provider organisation Senior R&D/I Contact  CRN Link RDM
LOROS Hospice Wendy Gamble  Hannah Finch 
Nurture Fertility Nick Raine-Fenning  Hannah Finch
Citycare Tracy Tyrrell Roz Sorrie-Rae