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CRN East Midlands Issue Resolution Procedure v1.0

Contents

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).

  
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.

 

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 the CRN interacts with during the course of usual business operations.

 

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.

 

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

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.

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 – Rebecca Brown

4. National CRN Coordinating Centre 

(i) Chief Operating Officer, National CRN Coordinating Centre, Dr William van't Hoff
(ii) Chief Executive Officer, National CRN Coordinating Centre, John Sitzia
 

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

Harriet Savage, Research Delivery Manager - harriet.savage@nihr.ac.uk, 0115 952 9924 ext 70655/07960 779693

 

Penny Millward, Research Operations Manager - penny.millward@nihr.ac.uk, 0115 952 9924 ext 70653/07960 875331

 

Liz Darlison  - Clinical Research Lead - Division 1

liz.darlison@uhl-tr.nhs.uk; liz.darlison@mesothelioma.uk.com

Division 2 - Cardiovascular, Diabetes, Metabolic & Endocrine, Renal, Stroke

Harpal Ghattoraya, Research Delivery Manager - harpal.ghattoraya@nihr.ac.uk, 0116 258 4029/07949 714424

 

Precina Pankhania, Research Operations Manager - precina.pankhania@nihr.ac.uk

 

Prof. Jonathan Barrett , Clinical Research Lead - Division 2

jb81@leicester.ac.uk; jonathan.barratt@uhl-tr.nhs.uk

Division 3 - Genetics, Haematology, Reproductive Health & Childbirth

Harriet Savage, Research Delivery Manager - harriet.savage@nihr.ac.uk, 0115 952 9924 ext 70655/07960 779693

 

Penny Millward, Research Operations Manager - penny.millward@nihr.ac.uk, 0115 952 9924 ext 70653/07960 875331

 

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/ 07908 439585

 

Katherine Gilmour, Research Operations Manager, katherine.gilmour@nihr.ac.uk, 0116 2587 6185/0115 924 9924 ext 80644/07950 845242

 

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 4029/07949 714424

 

Precina Pankhania, Research Operations Manager - precina.pankhania@nihr.ac.uk

 

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/ 07908 439585

 

Katherine Gilmour, Research Operations Manager, katherine.gilmour@nihr.ac.uk, 0116 2587 6185/0115 924 9924 ext 80644/07950 845242

 

Professor John de Caestecker , Clinical Research Lead - Division 6

john.caestecker@uhl-tr.nhs.uk


Senior Leadership

 Area

 Contact Details

 Senior Leadership

Professor David Rowbotham, Clinical Director - david.rowbotham@nihr.ac.uk, 0116 258 6185 / 0115 924 9924 ext. 80658

07850 821721

 

Professor Stephen Ryder, Co-Clinical Director - stephen.ryder@nihr.ac.uk, 0115 924 9924 ext. 80741 / 07979 542 460

 

Elizabeth Moss, Chief Operating Officer - elizabeth.moss@nihr.ac.uk, 0116 258 6185 / 0115 924 9924 ext. 80658

07921 545537

 Workforce Development

Michele Eve, Workforce Development Lead and Well-being Lead - michele.eve@nihr.ac.uk, 0116 250 2778 / 07508 932865

 Industry/Life Sciences

Daniel Kumar, Industry Delivery Manager - daniel.kumar@nihr.ac.uk, 0116 258 6185 / 0115 9249924 ext 70649

07812 268552


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

Ajar Verma

Harriet Savage

Leicestershire Partnership NHS Trust

David Clarke

Penny Millward

Lincolnshire Community Health Services NHS Trust

Debbie Jeffrey

Harpal Ghattoraya 

Lincolnshire Partnership NHS Foundation Trust

Tracy Mccranor

Kate Gilmour

Northampton General Hospital NHS Trust

Michelle Spinks 

Harriet Savage

Northamptonshire Healthcare NHS Foundation Trust

Liz Sabin

Michele Eve 

Nottingham University Hospitals NHS Trust

Maria Koufali

Harpal Ghattoraya 

Nottinghamshire Healthcare NHS Foundation Trust

Mark Howells

Kate Gilmour 

Sherwood Forest Hospitals NHS Foundation Trust

Alison Steel 

Kate Gilmour

United Lincolnshire Hospitals NHS Trust

Hannah Finch

Goizeder Aspe Juaristi

University Hospitals of Derby and Burton NHS Foundation Trust

Teresa Grieve

Penny Millward

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 

Penny Millward

Citycare

Tracy Tyrrell

Roz Sorrie-Rae

 

CRN East Midlands is working with an increasing number of partners in settings such as social care and public health, and will liaise with relevant colleagues to support resolution of any issues should they arise.