Claims Policy (Reporting and Managing Claims against the Trust)

Policy: C14 Claims Policy (Reporting and Managing Claims against the Trust) Version: C14/07 Oct 2014 Ratified by: Trust Management Team Date ratified: 11 th April 2012 Title of originator/author: Title of responsible Director Head of Health and Safety Date issued: 21 st October 2014 Review date: April 2015 Target audience: NHSLA relevant? Director of Planning & Corporate Affairs All staff Trust wide Yes Disclosure Status (B) A Not to be disclosed to patients or the public or B Can be disclosed to patients and the public EIA / Sustainability G:\Trust Policies and G:\Trust Policies and Procedures\Bryan Joseph\Policy P3 Sustainable Development Procedures\Bryan Screening Form Joseph\EIA (Claims policy), initial screening 21.3.12.doc form, Claims Policy, 11.3.12.doc Implementation Plan G:\Trust Policies and Procedures\Bryan Joseph\Claims policy implementation plan(1), 1.3.12.xls Monitoring Plan Other Related Procedure or Documents: G:\Trust Policies and Procedures\NHSLA\S2\4\Copy of Claims C14 monitoring template (13.11.12).xls C1 Complaints Policy & I8 Incident Reporting and Management West London Mental Health NHS Trust Page 1 of 31

Equality & Diversity statement The Trust strives to ensure its policies are accessible, appropriate and inclusive for all. Therefore all relevant policies will be required to undergo an Equality Impact Assessment and will only be approved once this process has been completed Sustainable Development Statement The Trust aims to ensure its policies consider and minimise the sustainable development impacts of its activities. All relevant policies are therefore required to undergo a Sustainable Development Impact Assessment to ensure that the financial, environmental and social implications have been considered. Policies will only be approved once this process has been completed. West London Mental Health NHS Trust Page 2 of 31

C14 - CLAIMS POLICY Version Control Sheet Version Date Title of Author Status Comment C14/01 July 03 Board Secretary and Trust Solicitors New policy: titled Claims Management Policy Reporting & Managing Claims against the Trust C14/02 July 04 Board Secretary Policy reviewed No changes made C14/03 Dec 08 Board Secretary Revised Policy presented to EDs on 11.12.08 to authorise C14/04 16 th Jan 09 C14/05 Oct 10 C14/06 Jan 11 C14/06 8 th Feb 11 C14/07 Nov 11 April 2012 Board Secretary Board Secretary and Head of PALS, Complaints & Third Party Litigation Board Secretary Board Secretary Head of Health and Safety Revised Policy issued Policy reviewed and revised Revised Policy issued as working document Revised Policy reissued Revised policy to reflect new service management arrangements and to ensure NHSLA compliance Substantial revision, including name change to Claims Handling Policy Substantial revision Revised Policy presented to Risk Management Cttee on 13.01.09 - approved Consultation ending 05.11.10. To be presented to 22 nd Nov 10 Policy Review Group meeting for approval deferred to PRG 31/01/01. To be presented to PRG 31 st January 2011 for approval. Working doc policy approved at PRG on 31.01.11 Policy ratified by TMT on 11 th April 2012 Re-issued 21.10.14 to reflect change of contact address @ section 5.3 West London Mental Health NHS Trust Page 3 of 31

C14 - CLAIMS POLICY Content Page 1. Introduction 5 2. Scope 5 3. Definitions 5 4. Duties 7 5. Procedures 8 6. Performance Standards 10 7. Claims Against a Third Party 10 8. Links with Other Bodies 11 9. Links with Complaints 11 10. Lessons Learnt 12 11. Training 12 12. Monitoring 12 13. Fraud Statement (if required) 12 14. References 12 15. Supporting Documents 13 16. Glossary of Terms/Acronyms 13 17. Appendices 14 West London Mental Health NHS Trust Page 4 of 31

C14 CLAIMS POLICY 1. INTRODUCTION This policy describes the Trust arrangements for managing claims. That claim may arise from a number of sources, including a patient, patient relative, Trust employee or member of the public. In all cases, upon receipt of a potential or actual claim, the Trust Claims Manager should be contacted and provided with the details as quickly as possible. Complying with the requirements of this policy will ensure claims are managed in a best practice way, that the Trust has the best opportunity to challenge groundless claims and that the Trust does not incur unnecessary costs in dealing with a claim. 2. SCOPE The Trust is a member of the risk pooling scheme operated by the NHS Litigation Authority (NHSLA). The Trust policy for managing claims ensures the Trust complies with the NHSLA's requirements for claims reporting and handling. Also, the policy ensures the Trust handles claims in accordance with the relevant Civil Procedure Rules (specifically, the Pre-Action Protocol for the Resolution of Clinical Disputes and the Pre-Action Protocol for Personal Injury Claims). A failure to manage claims in accordance with the requirements of this policy may result in the Trust incurring unnecessary costs, for example, if the NHSLA refuses to indemnify the Trust against the costs of a claim. In such a situation, the Trust would have to manage the claim itself and bear any and all costs associated with that claim. This document sets out the Trust s policy and procedures for reporting and managing claims. 3. DEFINITIONS 3.1 A claim is an allegation of negligence and/or a demand for compensation made following an adverse incident resulting in personal injury, loss or damage which carries significant litigation risk for the Trust. This may be brought to the Trust s attention in a variety of ways, for example: i) on the service of legal proceedings (i.e. when a Claim Form is issued by a Court); or West London Mental Health NHS Trust Page 5 of 31

ii) in a formal Letter of Claim (see below) before proceedings are issued i.e. a preaction; or iii) informally, by way of a complaint or enquiry made either orally or in written form. 3.2 A Letter of Claim is a document that contains a clear summary of the facts on which the claim is based including the main allegations of negligence, the patient s injuries, present condition and prognosis and financial loss. It may also contain a request for medical records or other documents relevant to the claim. 3.3 Claims against the Trust will, generally, fall into three main categories (the NHSLA will decide to which category a claim should be allocated): (i) Clinical Negligence Scheme for Trusts (CNST) Generally, these are either allegations of clinical negligence, accompanied by a demand for compensation, which are made following an adverse clinical incident that has resulted in personal injury to the patient or any clinical incident which carries significant litigation risk for the Trust. For example, an injury to a patient as a result or omission of a clinical intervention or treatment, unlawful detention of a patient, treatment of a patient without the patient s consent, etc. The Trust contributes to CNST claims from money paid into the risk pooling scheme. While the Trust does not incur the direct cost of these cases, the volume and nature of potential and actual CNST claims made against the Trust affect the Trust s annual premium paid for scheme membership. (ii) Liabilities to Third Parties Scheme (LTPS) Predominantly, these are either employer liability claims or public liability claims. In both cases, there is a strong financial incentive to reduce the number of these claims Employer liability (EL) claims include injuries arising from slips and trips in the workplace, manual handling, bullying and stress claims). The Trust bears the cost of the first 10,000 (damages plus legal costs) of any EL claim. Public liability (PL) claims include injuries/losses incurred by a patient or member of the public as a result of an act or omission. Also, these include breaches of the Human Rights Act and the Data Protection Act and unlawful detention claims. The Trust bears the cost of the first 3000 (damages plus legal costs) of any PL claim. (iii) Properties Expenses Scheme (PES) Generally, these are claims arising from loss or damage to Trust property and which are not covered by either the CNST or LTPS. 3.4 A claimant Part 36 offer is an offer by the claimant to settle their claim if certain conditions are met e.g. payment of a certain sum of money. West London Mental Health NHS Trust Page 6 of 31

3.5 Papers relating to a potential or actual claim against the Trust include notification of legal proceedings in connection with a claim, a Letter of Claim, a Part 36 offer and a statement of intent to take legal proceedings. 4. DUTIES 4.1 Chief Executive The Chief Executive is responsible for ensuring the Trust has in place effective arrangements for managing claims. The Chief Executive will appoint an Executive Director to lead on the arrangements for managing claims, acting on his behalf. The Executive Director of Planning & Corporate Affairs has been appointed to act in this capacity. That director will ensure there is an effective claims management policy in place. 4.2 Executive Directors Executive Directors (EDs) are responsible for ensuring the requirements of this policy are complied with in their directorate. In particular, EDs are responsible for ensuring requests for information disclosure associated with an actual or potential claim are handled in a timely manner, in accordance with this policy s timescales (see section 6). For each claim, the Executive Director may appoint a manager (a Link Manager ) to assist them in their duties. On occasions, the NHSLA may refuse to handle a claim on behalf of the Trust e.g. because it receives from the Trust very late notification of a new claim or in response to its request it does not receive from the Trust sufficient information with which to defend the claim. In such circumstances, the relevant Executive Director is responsible for ensuring the claim is managed appropriately e.g. ensuring legal representation is secured. 4.3 Trust Management Team This governance group will receive twice yearly reports from the Head of Health and Safety on the performance of the Trust in regard to managing claims. Where any areas for performance improvement are identified, that group will make and implement suitable recommendations that ensure there is the necessary improvement in performance. 4.4 Claims Manager Reporting to the Head of Health and Safety, the Claims Manager is responsible, primarily, for: West London Mental Health NHS Trust Page 7 of 31

(i) reporting claims against the Trust to the NHS Litigation Authority (NHSLA), subsequently acting as liaison between the Trust and the NHSLA coordinating the disclosure of data and information; (ii) liaising with the Human Resources department for the production of employment and medical records; and (iii) liaising with the Health Records service for the production of patient health records. 4.5 Head of Health and Safety Reporting to the Director of Nursing and Patient Experience, the Head of Health and Safety is responsible, primarily, for reporting, at least, six-monthly to the Trust Management Team on the performance of the Trust against the standards described in this policy. 4.6 Link Manager A Link Manager is responsible for assisting their Executive Director in the reporting and management of a potential or actual claim that has arisen from the activities of their directorate. The Link Manager will act as main the link between the Claims Manager and their directorate. In particular, the Link Manager will collect, collate, verify and forward to the Claims Manager all data required in connection with a claim. The Link Manager will liaise with internal and external stakeholders to obtain the data, as necessary e.g. Trust Medical Records service, the Care Quality Commission, Nursing & Midwifery Council, Strategic Health Authority. 4.7 All Staff All staff will cooperate with Executive Directors, their Link Manager, the Claims Manager and any others, as appropriate, to ensure compliance with the requirements of this policy. 5. PROCEDURES 5.1 A (potential or actual) claim against the Trust may be received by a named individual or department. As stated in paragraph 4.1, this may take the form of a Letter of Claim, an informal enquiry, a complaint, court papers, etc. 5.2 If a member of staff receives papers relating to a potential or actual claim against the Trust, the Claims Manager should be informed immediately (by both telephone and e-mail). Any paperwork received should be sent to the Claims Manager immediately and, in any event, within 2 working days. West London Mental Health NHS Trust Page 8 of 31

5.3 The Claims Manager can be contacted on 020 8354 8966; e-mails should be sent to claims@wlmht.nhs.uk. All the original paperwork should be sent to the Claims Manager, WLMHT, Armstrong Way, Southall, Middlesex UB2 4SA. 5.4 Once notified of an actual or potential claim, the Claims Manager will inform the Executive Director in whose directorate the claim originated, and will either: (i) if an actual claim has been received, notify the NHS Litigation Authority (NHSLA), subsequently acting on their advice; or (ii) if concerning a potential claim, carry out a brief investigation and decide on the appropriate course of action. If there is a strong likelihood the matter is likely to develop into an actual claim, that course of action may include notifying the NHSLA of the matter. 5.5 Upon receipt from the Claims Manager of details of a claim, the Executive Director will appoint a Link Manager. 5.6 Upon receipt of direction from the NHSLA, the Claims Manager will notify the Link Manager what information is required by the NHSLA or the Trust s legal representative. 5.7 Once the Link Manager has been notified by the Claims Manager of the details needed, within 30 days, the Link Manager will collect, collate and verify all the information required, and forward it to the Claims Manager. 5.8 In some circumstances (if, for example, a claim is for a small amount of compensation), the NHSLA may advise the Trust that it is not dealing with the claim e.g. because the cost of doing so significantly exceeds the amount claimed. In such circumstances, the Claims Manager will seek advice from the Trust s legal representative and, following receipt of that advice, decide on an appropriate course of action. 5.9 For claims of small amounts (e.g. for 500 approx), the Trust may wish to resolve and settle the claim quickly and without reference to the NHSLA. In such circumstances, in the course of considering the merits of the claim, the ward or service manager should consult their senior manager, their finance officer and the Claims Manager before making a final decision regarding settlement. The Trust s Financial Procedure Number 5 Losses and Special Payments provides more information. In the event the claim is refuted and/or the claimant indicates their intention to pursue the claim further, the Claims Manager should be informed. 5.10 When notifying the NHSLA of a claim, the Claims Manager will usually be required to send the NHSLA the following documentation at the earliest opportunity: (i) a completed CNST or LTPS Incident Report Form (see Appendices 2 and 3); (ii) copies of any correspondence from or with the claimant, claimant s solicitor or claimant s representative; (iii) copies of all investigations into the incident; West London Mental Health NHS Trust Page 9 of 31

(iv) copies of comments from supervisors and/or managers obtained as part of any incident investigation; (v) all documents on the NHSLA standard disclosure list applicable to the type of claim (see Appendix 1). 5.11 When an existing or ex-employee makes a claim against the Trust, the employee s permission is usually needed to access their health records. The Claims Manager will liaise with the OH department and the claimant/claimant s legal representative to obtain this permission. 5.12 Similarly, for some claims, access to a patient s health records is required, necessitating obtaining a patient s permission to do so. When this is required, the Claims Manager will work with both the Health Records service and, if necessary, the patient s clinician to seek to obtain that permission. 6. PERFORMANCE STANDARDS 6.1 There are a number of performance standards that must be met in the management of legal claims, as any delay in managing these matters (which might lead to delays in providing the Trust s legal representatives with the requested information) could result in the Trust's defence of a claim being damaged or financial penalties being levied against the Trust. The standards are: (i) Any staff member to notify the Claims Manager of receipt of Notification of legal proceedings /a claim/part 36 offer, and forward any associated paperwork/email, within 2 working days of receipt. (ii) Claims Manager to acknowledge receipt to the original sender of a letter of claim or notification of legal proceedings etc within 10 working days of receipt by the Claims Manager. (iii) Claims Manager to notify the NHSLA of receipt of a Part 36 offer within 2 working days of receipt by the Claims Manager. (iv) Following a request by the Link Manager or Claims Manager, the Health Records department to forward copies of patient medical records to the Link Manager or Claims Manager within 10 working days receipt of the request. (v) Following a request by the Link Manager or Claims Manager, the Human Resources department to forward copies of any staff human resource-related data (e.g. staff training history, staff employment records, pre incident earnings, disciplinary record) to the Link Manager or Claims Manager within 10 working days receipt of the request. 7. CLAIMS AGAINST A THIRD PARTY 7.1 On occasions, the Trust will receive requests for information to assist in civil action against someone outside the organisation i.e. a third party. For example, such a request may come from a staff member who was involved in a traffic accident West London Mental Health NHS Trust Page 10 of 31

outside of work, who is seeking confirmation of his pay information to support a claim for his loss of earnings against the person who allegedly caused the accident. 7.2 The disclosure of any requested information should take place in accordance with the requirements of the Trust s Confidentiality & Data Protection policy, D5, and the Information governance suite of policies: I5 and F5. 8. LINKS WITH OTHER BODIES 8.1 The Trust may be approached by a number of other government bodies with a request for information that appears to be or concern a potential claim e.g. usually from the Criminal Injuries Compensation Authority (CICA). In such an event, the request will be handled as if it is a claim. 8.2 If an individual sustains loss arising from the Trust s undertaking, rather than obtain legal representation to get redress for the loss, a potential claimant may choose to request compensation from the CICA. The CICA will then write to the Trust with a request for information on the alleged incident that has led to the compensation request. If any member of staff receives from the CICA such a request for information, the Claims Manager should be notified immediately and all papers sent to the Claims Manager. The Trust will handle the matter as if it were a claim, the Claims Manager notifying the Executive Director, the Executive Director appointing a Link Manager etc. 8.3. In the course of gathering documents for, for example, disclosure to a claimant s representatives, the Link Manager (or the Claims Manager) may need to approach other bodies e.g. the Strategic Health Authority (NHS London), the Nursing & Midwifery Council, general Medical Council, Care Quality Commission, etc. Those bodies will disclose information in accordance with the requirements of the Data Protection Act and, of course, their own procedures. Therefore, the Link Manager/Claims Manager will need to ensure they are familiar with the disclosure procedures of the organization from whom they are requesting the information. 9. LINKS WITH COMPLAINTS 9.1 Complaints must be managed in accordance with the Trust s Management of Complaints, Concerns, Compliments & Suggestions Policy, C1. 9.2 The NHS Complaints Procedure states that: "..the complaints procedure should cease if the complainant explicitly indicates an intention to take legal action in respect of the complaint." 9.3 In the event a complainant indicates a clear intention to take legal action (i.e. a potential claim), the Complaints Manager must copy all relevant information and West London Mental Health NHS Trust Page 11 of 31

documentation to the Claims Manager, who will subsequently manage the potential claim. 10. LESSONS LEARNT After a claim has been closed (i.e. resolved and concluded), for the purposes of identifying what action can be taken to reduce the likelihood of a similar claim being made against the Trust, the Claims Manager will review all aspects of the case, from the incident giving rise to the claim, through to the settlement. The Claim Manager s findings will be passed to the directorate concerned who will review those findings and take any action it deems appropriate to reduce the likelihood a similar situation or claim occurs. 11. TRAINING 11.1 There is no mandatory training available on the requirements of this policy. Staff are expected to familiarise themselves with the policy contents. 11.2 The Claims Manager should be contacted if clarification is required on any aspect of policy interpretation or application. 12. MONITORING 12.1 Compliance with the requirements of this policy will be monitored by the Claims Manager monitoring the timescales stated in section 6 of this policy, reporting instances of non-compliance to the directorate concerned. 12.2 Bi-monthly, the Claims Manager will provide the Statutory and Regulatory Compliance Group with a report on claims, summarising the number of open claims and the costs associated with claims that have been closed since the beginning of the reporting year. 12.3 Twice yearly, the Claims Manager will provide the Statutory and Regulatory Compliance Group with a report on claims, reporting on the Trust performance against the performance indicators listed in section 6, identifying and analysing any patterns and trends in reported claims. 12.4 The Statutory and Regulatory Compliance Group, via the Trust Management Team, will provide assurance to the Board on the degree of effectiveness of the Trust arrangements for managing claims. 13. FRAUD STATEMENT (If required) N/A West London Mental Health NHS Trust Page 12 of 31

14. REFERENCES This policy should be read in conjunction with the following: Ministry of Justice: Pre-action Protocol for the Resolution of Clinical Disputes (see www.justice.gov.uk) Ministry of Justice: Pre-Action Protocol for Personal Injury Claims NHS Litigation Authority Framework Document (see www.nhsla.com) NHS Litigation Authority Clinical negligence reporting guidelines fourth edition January 2007. NHS Litigation Authority non-clinical claims reporting guidelines NHSLA Clinical Negligence Reporting guidelines Criminal Injuries Compensation Authority guidance (see http://www.justice.gov.uk/guidance/compensation-schemes/cica/ ) Trust Management of Complaints, Concerns, Compliments & Suggestions policy, C1 Trust Being Open policy, O2 Trust Aggregating Data and Learning from Incidents policy, A1 Trust Health Records policy, H8 Trust Financial Procedure Number 5 Losses and Special Payments 15. SUPPORTING DOCUMENTS C1 Complaints Policy I8 - Incident Reporting and Management 16. GLOSSARY OF TERMS/ACRONYMS CICA Criminal Injuries Compensation Authority CNST Clinical Negligence Scheme for Trusts ED Executive Director LTPS Liabilities to Third Parties Scheme NHSLA NHS Litigation Authority PES Properties Expenses Scheme West London Mental Health NHS Trust Page 13 of 31

17. APPENDICES Appendix 1 Standard Disclosure List of Documents to the NHSLA APPENDIX 1 Standard Disclosure List of Documents to the NHSLA WORKPLACE CLAIMS Enclosed 1. Accident Book Entry. 2. First Aider report. 3. Surgery record. 4. Foreman/supervisor accident report. 5. Safety representative s accident report. 6. RIDDOR (Reporting of Injuries, Diseases and Dangerous Occurrences Regulations) report to HSE. 7. Other Communications between defendants and HSE. 8. Minutes of Health and Safety Committee meetings(s) where accident/matter considered. West London Mental Health NHS Trust Page 14 of 31

9. Report to DSS. 10. Documents listed above relative to any previous accident/matter identified by the claimant and relied upon as proof of negligence. 11. Earnings information where defendant is employer. Documents produced to comply with requires of the Management of health and Safety at Work Regulations 1992-1. Pre-accident Risk Assessment required by Regulation 3. 2. Post-accident Re-Assessment required by Regulation 3. 3. Accident Investigation Report prepared in implementing the requirements of Regulations 4, 6 and 9. 4. Health Surveillance Records in appropriate cases required by Regulation 5. 5. Documents relating to the employees health and safety training required by Regulation 11. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 15 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION A WORKPLACE (HEALTH SAFETY AND WELFARE) REGULATIONS 1992 Enclosed 1. Repair and maintenance records required by Regulation 5. 2. Housekeeping records to comply with the requirements of Regulation 9. 3. Hazard warning signs or notices to comply with Regulation 17 (Traffic Routes). I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 16 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION B PROVISION AND USE OF WORK EQUIPMENT REGULATIONS 1998 Enclosed 1. Manufacturers specifications and instructions in respect of relevant work equipment establishing its suitability to comply with Regulation 5. 2. Maintenance log/maintenance records required to comply with Regulation 6. 3. Documents providing information and instructions to employees to comply with Regulation 8. 4. Documents provided to the employee in respect of training for use to comply with Regulation 9. 5. Any notice, sign or document relied upon as a defence to alleged breaches of Regulations 14 to 18 dealing with controls and control systems. 6. Instruction/training documents issued to comply with the requirements of regulation 22 insofar as it deals with maintenance operations where the machinery is not shut down. 7. Copies of marking required to comply with Regulation 23. 8. Copies of warnings required to comply with Regulation 24. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 17 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION C PERSONAL PROTECTIVE EQUIPMENT AT WORK REGULATIONS 1992 Enclosed 1. Documents relating to the assessment of the Personal Protective Equipment to comply with Regulation 6. 2. Documents relating to the maintenance and replacement of Personal Protective Equipment to comply with Regulation 7. 3. Record of maintenance procedures for Personal Protective Equipment of comply with Regulation 7. 4. Records of tests and examinations of Personal Protective Equipment to comply with Regulation 7. 5. Documents providing information, instruction and training in relation to the Personal Protective Equipment to comply with Regulation 9. 6. Instructions for use of Personal Protective Equipment to include the manufacturers instructions to comply with Regulation 10. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 18 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION D MANUAL HANDLING OPERATIONS REGULATIONS 1992 Enclosed 1. Manual Handling Risk Assessment carried out to comply with the requirements of Regulation 4(1)(b)(i). 2. Re-assessment carried out post-accident to comply with requirements of Regulation 4(1)(b)(i). 3. Documents showing the information provided to the employee to give general indications related to the load and precise indications on the weight of the load and the heaviest side of the load if the centre of gravity was not positioned centrally to comply with Regulation 4(1)(b)(iii). 4. Documents relating to training in respect of manual handling operations and training records. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 19 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION E HEALTH AND SAFETY (DISPLAY SCREEN EQUIPMENT) REGULATIONS 1992 Enclosed 1. Analysis of work stations to assess and reduce risks carried out to comply with the requirements of Regulation 2. 2. Re-assessment of analysis of work stations to assess and reduce risks following development of symptoms by the claimant. 3. Documents detailing the provision of training including training records to comply with the requirements of Regulation 6. 4. Documents providing information to employees to comply with the requirements of Regulation 7. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 20 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION F CONTROL OF SUBSTANCES HAZARDOUS TO HEALTH REGULATIONS 1999 Enclosed 1. Risk assessment carried out to comply with the requirements of Regulation 6. 2. Reviewed risk assessment carried out to comply with the requirements of Regulation 6. 3. Copy labels from containers used for storage handling and disposal of carcinogenics to comply with the requirements of Regulation 7(2A)(1). 4. Warnings signs identifying designation of areas and installations, which may be contaminated by carcinogenics to comply with the requirements of Regulation 7(2A)(h). 5. Documents relating to the assessment of the Personal Protective Equipment to comply with Regulation 7(3A). 6. Record of maintenance procedures for Personal Protective Equipment to comply with Regulation 7(3A). 7. Records of tests and examinations of Personal Protective Equipment to comply with Regulation 7(3A). 8. Documents providing information, instruction and training in relation to the Personal Protective Equipment to comply with Regulation 7(3A). West London Mental Health NHS Trust Page 21 of 31

9. Instructions for use of Personal Protective Equipment to include the manufacturers instructions to comply with Regulation 7(3A). 10. Air monitoring records for substances assigned a maximum exposure limit or occupational exposure standard to comply with the requirements of Regulation 7. 11. Maintenance examination and test of control measures records to comply with Regulation 9. 12. Monitoring surveillance records to comply with the requirements of Regulation 11. 13. Documents detailing information, instruction and training including training records for employees to comply with the requirements of Regulation 12. 14. Labels and Health & Safety data sheets supplied to the employers to comply with the CHIP Regulations. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 22 of 31

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION G CONSTRUCTION (DESIGN MANAGEMENT)(AMENDMENT) REGULATIONS 2000 Enclosed 1. Notification of a project form HSE F10) to comply with the requirements of Regulation 7. 2. Health and Safety Plan to comply with requirements of Regulation 15. 3. Health and Safety file to comply with the requirements of Regulations 12 and 14. 4. Information and training records provided to comply with the requirements of Regulation 17. 5. Records of advice from and views of persons at work to comply with the requirements of Regulation 18. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 23 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION H PRESSURE SYSTEMS AND TRANSPORTABLE GAS CONTAINER REGULATIONS 1989 Enclosed 1. Information and specimen markings provided to comply with the requirements of Regulation 5. 2. Written statements specifying the safe operating limits of a system to comply with the requirements of Regulation 7. 3. Copy of the written scheme of examination required to comply with the requirements of Regulation 8. 4. Examination records required to comply with the requirements of Regulation 9. 5. Instructions provided for the use of operator to comply with Regulation 11. 6. Records kept to comply with the requirements of Regulation 12. 7. Records kept to comply with the requirements of Regulation 22. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 24 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION I LIFTING OPERATIONS AND LIFTING EQUIPMENT REGULATION 1998 Enclosed 1. Record kept to comply with the requirements of Regulation 6. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 25 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION J THE NOISE AT WORK REGULATION 1989 Enclosed 1. Any risk assessment records required to comply with the requirements of Regulations 4 and 5. 2. Manufacturers literature in respect of all ear protection made available to claimant to comply with the requirements of Regulation 8. 3. All documents provided to the employee for the provision of information to comply with Regulation 11. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 26 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION K CONSTRUCTION (HEAD PROTECTION) REGULATION 1989 Enclosed 1. Pre-accident assessment of head protections required to comply with Regulation 3(4). 2. Post-accident re-assessment required to comply with Regulation 3(5). I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 27 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION L THE CONSTRUCTION (GENERAL PROVISIONS) REGULATION 1961 Enclosed 1. Report prepared following the inspections and examinations of excavations etc. to comply with the requirements of Regulation 9. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 28 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

WORKPLACE CLAIMS DISCLOSURE WHERE SPECIFIC REGULATIONS APPLY SECTION M GAS CONTAINERS REGULATIONS 1989 Enclosed 1. Information and specimen markings provided to comply with the requirements of Regulation 5. 2. Written statements specifying the safe operating limits of a system to comply with the requirements of Regulation 7. 3. Copy of written scheme of examination required to comply with the requirements of Regulation 8. 4. Examination records required to comply with the requirements of Regulation 9. 5. Instructions provided for the use of operator to comply with Regulation 11. I state that I have carried out a reasonable and proportionate search to locate all of the documents which I am required to disclose. I certify that I understand the duty of disclosure and to the best of my knowledge I have carried out that duty. Signed Date Position West London Mental Health NHS Trust Page 29 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

APPENDIX 2 MONITORING POLICY / PROCEDURE: C14 Claims MONITORING TEMPLATE Minimum Requirement to be Monitored Where described in policy WHO (which staff / team / dept) HOW MONITORED (Audit / process / report / scorecard) - list details HOW MANY RECORDS (No of records / % records) FREQUENCY (monthly / quarterly / annual) REVIEW GROUP (which meeting / committee) OUTCOME OF REVIEW / ACTION TAKEN (Action plan / escalate to higher meeting) 2.4a) Duties Section 4 Claims Manager Monitored by receiving details of the management of individual claims during the handling process from all those who have duties 100% Monthly Statutory and Regulatory Compliance Group (S&RCG) S&RCG Chair takes up non-compliance issues with individual director and takes compliance report to TMT 2.4b) NHSLA schemes relevant to the organisation (CNST), LTPS & PES) Section 3 Head of Health and Safety Monitored by liaison with the NHSLA regarding the relevant schemes 100% Monthly S&RCG If the relevant schemes change, the policy will be amended accordingly 2.4c) Action to be taken, including timescales Section 6 Claims Manager (NHSLA-managed claims) Individual directorate (non- NHSLA-managed claims) Monitors the adherence to timescales of all claims handled by the NHSLA. Claims rejected by the NHSLA will be managed and monitored by the individual directorate (not the Claims Manager) in whose employ the claimant worked/that cared for the patient at the time of the accident 100% of all those claims handled by the NHSLA Monthly S&RCG S&RCG Chair takes up non-compliance issues with individual director and takes compliance report to TMT West London Mental Health NHS Trust Page 30 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12

2.4d) How the organisation communicates with relevant stakeholders, such as staff, claimants, NHSLA, solicitors, HM Coroner etc. Sections 4, 5, 6 and 8 Claims Manager (NHSLA-managed claims) Individual directorate (non- NHSLA-managed claims) Policy requires all staff to send claims to the Claims Manager who is the person who liaises with all these parties for NHSLA-managed claims. For non-nhsla-managed claims and for all dealings with HM Coroner, these are dealt with by the individual directorate in whose employ the claimant worked/that cared for the patient at the time of the accident 100% of all those claims handled by the NHSLA Monthly S&RCG S&RCG Chair takes up non-compliance issues with individual director and takes compliance report to TMT 2.4e) Monitoring all the above Section 12 Appendix 2 West London Mental Health NHS Trust Page 31 of 31 Policy C14 First date of issue: July 2003 This is current version C14/07 April 12