Junior Doctor Guide to Exception Reporting - Community based trainees (Public Health, Palliative Med, GP Practice)
What is an exception report?
You can raise an exception report whenever you feel there is a significant and/or regular variance from your work schedule. This could be in terms of hours and rest, patterns of work, educational opportunities, or support available.
Exception reports allow for the opportunity to address issues as they arise, and to make timely adjustments to work schedules and rotas.
How do I raise an exception report?
You will be sent login details to the relevant electronic system used by the Lead Employer Trust (LET). The system will allow you to submit an exception report and this will be sent to your Supervisor and either Head of School if Educational issues or GoSW if working time issues.
If I do not have access to the electronic system to raise an exception report what do I do?
Make contact with the Lead Employer Trust (LET) on LETHelpdesk.NE@hee.nhs.uk or 0191 2754782.
In what circumstances do I raise an exception report?
- variation in the hours of work and / or rest; or
- the pattern of work; or
- missed educational or learning opportunities; or
- a lack of support available to the doctor
What is work?
- Delivery of direct patient care which is expected of you in the role described in your work schedule during expected hours.
- Undertaking clinical administration (clinic dictation, result sign off) relating to patients you are responsible for.
- Attending or delivering teaching that is expected for a trainee at your stage or the role you are currently in.
- Undertaking quality improvement activity expected of you at your stage or the role you are currently in.
- Attending training or a course that has been approved as study leave.
- Attending training or other meetings that you have been asked to attend as a trainee representative (e.g. ARCPs, Trainee representative at meetings).
What is not work?
- Commuting to the workplace (except for business travel which is work).
- Looking for parking when on site at the start of your shift.
- When you have chosen to attend an additional session outside of the hours stated in your work schedule to enhance your learning needs or skills over and above that expected of a trainee at your stage or the role you are currently in.
When is a Fine incurred?
Refer to Schedule 5 of the 2016 Terms and Conditions of Service:
- 11. Where such concerns are validated and shown to be correct in relation to:
- breach of the 48-hour average working week (across the reference period agreed for that placement in the work schedule);
- breach of the maximum 72-hour limit in any seven days; or
- that the minimum 11 hours’ rest requirement between shifts has been reduced to fewer than eight hours
12. Where a concern is raised that breaks have been missed on at least 25% of occasions across a four week reference period, and the concern is validated and shown to be correct, the guardian of safe working hours will levy a fine.
Useful document links:
Examples of how it may work in practice
The EU Settlement Scheme
Following two successful pilots of the EU Settlement Scheme, the Home Office has announced that from 21 January 2019, EU citizens and their non-EU citizen family members will be able to take part in the public test phase of the Scheme.
On 29 March 2019, the UK are due to withdraw from the European Union. The EU Settlement Scheme will enable EU citizens and their non-EU family members to continue living and working in the UK following the UK’s withdrawal. In order to secure their right to remain in the UK, all EU citizens and any non-EU family members must submit a settlement application prior to 30 June 2021. Only individuals who have begun living in the UK on or before 31 December 2020 are eligible to submit an application.
Depending on how long the applicant has been residing in the UK, they will be granted either ‘settled’ status or ‘pre-settled’ status:
Settled status: EU citizens who have five or more years continuous residence in the UK;
Pre-settled status: EU citizens who have less than five years continuous residence in the UK.
Once an individual has been granted settled status, they will be able to continue living and working in the UK indefinitely. If an individual is granted pre-settled status, they will be allowed to remain in the UK for an additional five years from the date that they were granted pre-settled status. This will allow the individual to subsequently switch to settled status once they have obtained the required five years continuous residence.
For more information on the EU Settlement Scheme and how to apply visit; https://www.gov.uk/settled-status-eu-citizens-families/applying-for-settled-status
From 21 January 2019, EU citizens who are living in the UK and have a valid passport, and their non-EU citizen family members who hold a valid biometric residence card will be able to participate in the next testing phase of the Scheme. The pilot scheme is completely voluntary and will require applicants to prove their identity by using the ‘EU Exit: Identity Document Checking’ app. The Government has announced that the Scheme will be fully introduced by 30 March 2019. In the event of a no-deal scenario, applicants must be resident in the UK by 29 March 2019 rather than 31 December 2020, and applications must be submitted by 31 December 2020.
Updated: 21st January 2019
The EU Settlement Scheme will enable EU citizens and their family members to continue living and working in the UK after the UK’s withdrawal rom the European Union on March 29th, 2019.
To secure their immigration status and right to remain in the UK, all EU nationals and any non-EU family members living in the UK, must submit a settlement application prior to June 30th, 2021. Those who do not submit an application by this deadline will not hold the recognised immigration status which will be required post-Brexit and this is likely to have serious repercussions for them and their employers.
To be eligible to apply for settled or pre-settled status, the applicant must have begun living in the UK on or before 31 December 2020. EU citizens who arrive in the UK after this date will be unable to apply for settlement under the EU Settlement Scheme and will be subject to an alternative application application process. This process has not yet been determined, however, it is expected to mirror the system currently used for non-EU nationals, which prioritises those with highly paid and highly skilled jobs.
Whether or not someone is granted settled status or pre-settled status will depend on how long they have been living in the UK.
EU citizens with five or more years of continuous residence in the UK will be eligible to apply for settled status. An applicant will be deemed to have the requisite continuous residence if they have been living in the UK for at least six months in each of the five years which pre-date their application.
Whilst there are some exceptions for events such as serious illness, study and compulsory military service, if someone has spent more than six months outside the UK in any 12-month period, this will re-set the clock for continuous residence.
Once someone has obtained settled status, they will be able to continue living and working in the UK indefinitely. It is expected, although not confirmed, that absences from the UK of five consecutive years will result in settled status being lost.
If someone does not have the required five years’ continuous residence to apply for settled status, they may apply for pre-settled status. If granted, this will allow them to remain in the UK for an additional five years from the date they obtained pre-settled status. This will subsequently allow an individual to apply for settled status once they have obtained the required five years’ continuous residence.
Submitting an Application
Settlement applications need to be submitted online to ensure the process is efficient and straightforward. Instead of submitting hard copy documentation, supporting evidence can be submitted digitally, either through an app or by taking a photo of the relevant documentation and uploading this directly to the application. Further, various UK Visa and Citizenship Application Service Centres will be available across the UK to assist with settlement applications.
Applicants aged 16 or over must pay an application fee of £65; the fee for applicants aged under 16 is £32.50. Individuals who already have indefinite leave to remain to enter the UK, or have a valid permanent residence document will not incur a fee. Additionally, individuals who have already obtained pre-settled status will not be required to pay an additional fee when applying for settled status.
More information can be found on the link: www.gov.uk/settled-status-eu-citizens-families
Updated: 31 October 2018
Lead Employer Trust