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
- This document describes the procedure for managing concerns and disputes in relation to matters with CRN East Midlands business operation.
- 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.
- 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.
- 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
- 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.
- This procedure is to enable parties to raise with CRN East Midlands, matters of concern or dissatisfaction.
- 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
- 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.
- 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.
- 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.
- Managers should carry out any necessary investigations to establish the facts of each case.
- No manager may hear a concern at more than one stage of the procedure.
- 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
- 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.
- Agreed escalation routes and levels are:
a) LCRN Clinical Director – Professor Azhar Farooqi
b) Nominated LCRN Executive Director – Mr Andrew Furlong
c) The Trust Chief Executive Officer – Richard Mitchell
d) 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 0115 9529924 ext 80655 / 07960 779693 Vacant - Clinical Research Lead - Division 1 |
|
Division 2 - Cardiovascular, Diabetes, Metabolic & Endocrine, Renal, Stroke |
Harpal Ghattoraya, Research Delivery Manager 0116 2584029 / 07949 714424 Precina Pankhania, Research Operations Manager 07811511710 Katie Percival,Research Operations Manager Prof. Jonathan Barrett, Clinical Research Lead - Division 2 |
|
Division 3 - Genetics, Haematology, Reproductive Health & Childbirth |
Harriet Savage, Research Delivery Manager 0115 9529924 ext 80655 / 07960 779693 Dr. Julian Barwell, Clinical Research Lead - Division 3 |
|
Division 4 - Dementia & Neurodegeneration, Mental Health, Neurological Disorders |
Karen Pearson, Research Delivery Manager 01332 783098 / 07908 439585 Katherine Gilmour, Research Operations Manager 0116 258 6185 / 0115 924 9924 ext. 80644 07950 845242 Prof. Martin Orrell, Clinical Research Lead - Division 4 |
|
Division 5 - Ageing, Dermatology, Health Services Research Delivery, Musculoskeletal disorders, Primary Care, Public Health |
Harpal Ghattoraya, Research Delivery Manager 0116 2584029 / 07949 714424 Precina Pankhania, Research Operations Manager 07811511710 Katie Percival, Research Operations Manager Dr Kenny Sunmboye, 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 01332 783098 / 07908 439585 Katherine Gilmour, Research Operations Manager 0116 258 6185 / 0115 924 9924 ext. 80644 07950 845242 Manish Pareek, Co-Clinical Research Lead - Division 6 Chris Brightling, Co-Clinical Research Lead - Division 6 |
|
Area |
Contact Details |
|---|---|
|
Senior Leadership |
Prof. Azhar Farooqi, Clinical Director Professor David Rowbotham, Deputy Clinical Director 0116 258 6185 / 0115 924 9924 ext. 80658 07850 821721 Professor Stephen Ryder, Deputy Co-Clinical Director 0115 924 9924 ext. 80741 / 07979 542 460 Elizabeth Moss, Chief Operating Officer 0116 258 6185 / 0115 924 9924 ext. 80658 07921 545537 Daniel Kumar, Deputy Chief Operating Officer 07960 779693 |
|
Industry / Life Sciences |
Goizeder Aspe Juaristi, Industry Operations Manager goizeder.aspejuaristi@nihr.ac.uk 01165027184 / 07713097048 |
|
Transformation Programme |
Michele Eve, Workforce Development Lead 07508 932865 Kaatje Lomme, Transformation Lead 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 |
Michele Eve |
|
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 |
Stephen Zingwe |
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 |
Goizeder Aspe Juaristi |
|
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 |
Harriet Savage |
|
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.