New Resources for case management: Principles and Framework for Fairness and Proportionality

Date published:

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Our Practitioner Performance Advice service (Advice) has published new resources which aim to support fair and proportionate approaches to the analysis of concerns about a practitioner’s performance.

This includes a framework to support employers developed in collaboration with NHS England, with an accompanying Insights paper and case studies. The framework has been reviewed for applicability to Wales and Northern Ireland.

Visit our Fairness and Proportionality resources page. 

We want to support employers to understand and adhere to process, ensure practitioners are supported appropriately and, where possible, keep healthcare staff out of formal processes to minimise distress and cost. We anticipate that using the framework and fictional case studies will help reduce disproportionality in managing performance concerns across demographics and protected characteristics and leave more practitioners feeling like their concerns were handled fairly.

Whilst the framework can be adapted for individual cases, we recommend that the five overarching “Principles” are not changed:

1. Understanding the issues
2. Ensuring welfare and support
3. Ensuring the practitioner is heard
4. Adherence to process
5. Equity and proportionality

By sharing these resources, we invite healthcare organisations to consider how using the framework can support the fair and proportionate resolution of concerns within their organisation:

1. If you are a case manager, using the framework help you feel confident you are make fair and proportionate decisions.

2. If you are communicating a concern to a practitioner, using the framework can help ensure they are fully informed about the case management process and how to access support.

Do you contact Advice early enough?

Earlier involvement of Advice may lead to earlier resolution. The matters referenced in the Framework may assist in informing discussions with one of our Advisers. There is no threshold for contacting Advice, nor any restriction to only involve Advice in ‘formal’ cases. For more information on formal and informal case management, please see our Expert View Insight from Sally Pearson, our Responsible Officer and HPAN Lead at NHS Resolution.

Our resources

You can access other publications in our Insights series, including the Fairness and Proportionality Insight which cover a wide range of subjects, from behavioural assessments to Professional Support and Remediation action plans.

If you are interested in hearing more about our research and Insights programme, please get in touch with us at nhsr.adviceresearchandevaluation@nhs.net or sign up to receive Insights by email.