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CRN East Midlands Issue Resolution Procedure

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. This document describes the procedure for managing concerns and disputes in relation to matters with CRN East Midlands business operation.
  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.
  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.
  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

  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. This procedure is to enable parties to raise with CRN East Midlands, matters of concern or dissatisfaction.
  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

  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.
  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. 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.
  4. Managers should carry out any necessary investigations to establish the facts of each case.
  5. No manager may hear a concern at more than one stage of the procedure.
  6. A party may withdraw their concern at any stage of the procedure, should they wish to.

Procedure Stages

Stage

Process

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.

NIHR CRN Escalation Process

  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.
  2. Agreed escalation routes and levels are:a) LCRN Clinical Director – Professor Azhar Farooqib) Nominated LCRN Executive Director – Mr Andrew Furlongc) The Trust Chief Executive Officer – Richard Mitchelld) National CRN Coordinating Centre:i) Chief Operating Officer - John Sitziaii) (ii) Chief Executive Officer – Dr William van't Hoff

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 9529924 ext 80655 / 07960 779693 

Penny Hall, Research Operations Manager

penny.hall@nihr.ac.uk

0115 9529924 ext 70653 / 07960 875331

Vacant  - Clinical Research Lead - Division 1 

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

Harpal Ghattoraya, Research Delivery Manager

harpal.ghattoraya@nihr.ac.uk

0116 2584029 / 07949 714424 

Precina Pankhania, Research Operations Manager

precina.pankhania@nihr.ac.uk 

07811511710 

Katie Percival,Research Operations Manager 

kathryn.percival@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 9529924 ext 80655 / 07960 779693 

Penny Hall, Research Operations Manager

penny.hall@nihr.ac.uk

0115 9529924 ext 70653 / 0116 258 618507960 875331

Dr. Julian Barwell, Clinical Research Lead - Division 3

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 258 6185 / 0115 924 9924 ext. 8064407950 845242

Prof. Martin Orrell, Clinical Research Lead - Division 4

martin.orrell@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 2584029 / 07949 714424 

Precina Pankhania, Research Operations Manager

precina.pankhania@nihr.ac.uk 

07811511710 

Katie Percival, Research Operations Manager 

kathryn.percival@nihr.ac.uk

Vacant  - Clinical Research Lead - Division 5

Division 6 -  Anaesthesia, peri-operative medicine and pain management, Critical care, Ear, Nose and Throat, GastroenterologyHepatology, Infection,Injuries and emergenciesOphthalmology, 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 258 6185 / 0115 924 9924 ext. 8064407950 845242

Manish Pareek, Co-Clinical Research Lead - Division 6

manish.pareek@leicester.ac.uk 

Chris Brightling, Co-Clinical Research Lead - Division 6

ceb17@leicester.ac.uk

 



Area

  Contact Details

Senior Leadership

Prof. Azhar Farooqi, Clinical Director

azhar.farooqi@nhs.net

Professor David Rowbotham, Deputy Clinical Director

david.rowbotham@nihr.ac.uk

0116 258 6185 / 0115 924 9924 ext. 8065807850 821721

Professor Stephen Ryder, Deputy 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. 8065807921 545537

Daniel Kumar, Deputy Chief Operating Officer

daniel.kumar@nihr.ac.uk  

07960 779693

Industry / Life Sciences

Goizeder Aspe Juaristi, Industry Operations Manager 

goizeder.aspejuaristi@nihr.ac.uk 

01165027184 / 07713097048 

Transformation Programme

Michele Eve, Transformation Lead

michele.eve@nihr.ac.uk  

07508 932865

Kaatje Lomme, Transformation Lead

kaatje.lomme@nihr.ac.uk 

07815 477694

CRN East Midlands Senior Team Links

Organisation

Senior R&D/I Contact

CRN Link RDM

Chesterfield Royal Hospitals NHS Foundation Trust

Karen Moxham

Katie Percival

Derbyshire Community Health Services NHS Foundation Trust

Lisa Barrett

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

Ajay Verma

Harriet Savage 

Leicestershire Partnership NHS Trust

David Clarke 

Penny Hall

Lincolnshire Community Health Services NHS Trust

Debbie Jeffrey

Harpal Ghattoraya 

Lincolnshire Partnership NHS Foundation Trust

Tracy McCranor 

Kate Gilmour

Northampton General Hospital  NHS Trust

Kay Faulkner

Harriet Savage 

Northamptonshire Healthcare NHS Foundation Trust

Liz SabinStephen Zingwe (from 1/8/22)

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 Hall

University Hospitals of Leicester NHS Trust

Tim Skelton

Karen Pearson

Non-NHS provider organisation

Senior R&D/I Contact

CRN Link RDM

LOROS Hospice

Christina Faull

Penny Hall

Citycare

Tracy Tyrrell

Precina Pankhania

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.