Disciplinary Procedure 1.
Purpose and Scope This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct. Future Directions CIC rules and this procedure apply to all employees. The aim is to ensure consistent and fair treatment for all in the organisation.
2.
Principles All employees will be made aware of the types of misconduct which may lead to disciplinary action being taken (appendix A has some guidance). Minor disciplinary matters will be dealt with informally at an early stage (see stage 1 below). All disciplinary matters will be dealt with as quickly as possible. No disciplinary action will be taken against an employee until the case has been fully investigated and he or she has been given the opportunity to state his or her case. At all stages of the procedure (except informal), the employee is entitled to be accompanied by a trade union representative or a work colleague. No employee will be dismissed for a first breach of discipline except in the case of gross misconduct, when the penalty will be dismissal without notice or payment in lieu of notice. An employee will have the right to appeal against any disciplinary measure imposed.
3.
The Procedure The following three-step procedure will be followed in all formal disciplinary matters: Step 1 Written notification to the employee setting out the allegations and inviting them to a disciplinary hearing (employee given a minimum of 7 days notice) Step 2 A meeting to consider the allegation(s) and test the evidence Step 3 A right of appeal
4.
Possible Outcomes Stage 1 - Informal Warning 1
Disciplinary Procedure Issued: Jan 2013 Review Date: Aug 2015
Initially, minor breaches of disciplinary rules should be dealt with informally through supervision making it clear what improvement is expected and recording the discussion. If the conduct issues continue, managers should move to the formal stages of this procedure. Stage 2 - First Warning If conduct is unacceptable and cannot be dealt with informally, the employee will be given a first written warning. Such warnings will be recorded, but disregarded after 12 months of satisfactory conduct. The employee must be made aware of the consequences of not improving their conduct (ie, that it will progress to stage 3). Stage 3 - Final Written Warning If the offence is serious, or if further offences occurred following being given a first warning, a final written warning will be given which will remain on file for 18 months. If further breaches of Future Directions CIC rules occur, stage 4 will be implemented. Stage 4 - Dismissal or Action Short of Dismissal If conduct has failed to improve, the employee may suffer demotion, disciplinary transfer, loss of seniority or dismissal. If, after investigation, it is confirmed that an employee has committed an offence amounting to gross misconduct as outlined in the disciplinary rules, the normal consequence will be summary dismissal (ie, without notice or payment in lieu of notice). While the alleged gross misconduct is investigated, the employee may be suspended (see appendix B), during which time he or she will receive their normal pay. Any decision to dismiss will only be taken after full investigation and the individual has been given the opportunity to present their side of the case.
5.
Appeals An employee who wishes to appeal against any disciplinary decision must do so to the named person in the disciplinary outcome letter within 10 days, clearly stating the ground of appeal. The appeal will, wherever practicable, be heard by a more senior manager and the outcome put in writing.
6.
Referrals Consideration must be given at all stages as to whether a referral to the Independent Safeguarding Authority (ISA) is needed. Guidance on referrals can be found at http://www.isa.homeoffice.gov.uk/default.aspx?page=433. 2
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In the cases of misconduct by a Registered Nurse, consideration must be given as to whether a referral to the Nursing and Midwifery Council (NMC) is needed. Guidance on referrals can be found at http://www.nmc-uk.org/Employers-and-managers/Making-areferral/
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Disciplinary Procedure Appendix A Conduct Likely to Incur Disciplinary Action The maintenance of an acceptable standard of behaviour and discipline is essential to the proper conduct of Future Directions CIC’s affairs. The following categories give an example of actions likely to give cause for disciplinary action. The list is not exhaustive, and may also be amended, altered or added to from time to time. Every instance of misconduct is considered in the light of its particular circumstances and context. 1.
Typical Dismissal offences
Any of the following may be considered misconduct and may lead to dismissal either with notice, or without notice and without pay in lieu of notice unless the employee can show substantial mitigating factors: • • • • • • • • • • • • • • • •
• • •
Theft, fraud and deliberate falsification of records; Physical violence or abuse to anyone in or connected with Future Directions CIC; Serious bullying or harassment; Deliberate and serious damage to property; Serious insubordination; Serious misuse of Future Directions CIC’s property or name; Bringing Future Directions CIC/employer into serious disrepute; Serious incapability whilst on duty brought on by alcohol or illegal drugs; Serious negligence which causes or might cause unacceptable loss, damage or injury; Serious infringement of health and safety rules; Serious breach of confidence; Serious breach of confidentiality; Committing a criminal offence either at or outside work that undermines the trust between the individual and Future Directions CIC; Serious professional misconduct; Inappropriate, wilful and excessive unauthorised entry to computer or other records, including the Internet and/or unauthorised use of personal data; Serious unlawful discrimination, for example; on the grounds of age, sex, race, disability, religion or belief, colour, ethnic origin, nationality, sexual orientation, gender reassignment etc or any act of harassment on such grounds; Soliciting or accepting gratuities from suppliers; Deliberately accessing internet sites containing pornographic, offensive or obscene material. Repeated misconduct related to less serious offences than listed here (ie, repeated breaches of the typical written warning offences). 4
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Employees may also be dismissed for the following reasons: • •
2.
Where an employee has absented him/herself from duty and all reasonable efforts to make contact have failed; Where an employee has been given a term of imprisonment and keeping the employee’s job open is not a viable or appropriate course of action.
Typical Written warning offences
Any of the following may be considered as acts which are sufficiently serious to result in a written warning (First or Final), even if the employee has not previously been warned: • • • • • • • • • • • • • • •
Unsatisfactory attendance and/or timekeeping; Unjustified absence from duty; Wilful failure to comply with policies and procedures, the consequences of which are not so serious as to warrant dismissal in the first instance; Behaviour not conducive to good order or working relationships; Leaving the premises without permission during a working period; Failing to report unsafe conditions; Violating rules regarding safe usage of machinery; Negligence; Abuse of rest breaks or lunch periods; Smoking in restricted areas, where such action represents a breach of safety regulations, but does not give rise to an immediate danger; Insubordination; Conduct that brings Future Directions CIC into disrepute but where the matter is not considered as sufficiently serious to warrant dismissal in the first instance. Incorrect dress; Contributing to unsafe, disorderly or unsatisfactory conditions; Failure to meet performance standards in regard to quantity, quality and efficiency of work performed (where such failure is considered wilful rather than simply as a result of a lack of competence on the part of the employee)
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Disciplinary Procedure Appendix B Suspension from duty is extremely costly and can have a serious, detrimental effect on the employee involved, even if the allegations are subsequently proved to be unfounded. Suspension may only be considered on the grounds that a member of staff needs to be immediately removed from the premises to protect the interests of service users, other staff or the employee and/or to assist the investigative process. Prior to approving a period of suspension, consideration should first be given to alternatives, for example: Can the employee continue to work during the investigation with restrictions put in place? Can the employee be temporarily transferred to another workplace or other duties? If such alternatives are found, the employee should be written to outlining the restrictions put in place and what is expected of them and that failure to follow these instructions could result in them being suspended. Suspending an Employee from Duty The suspension decision can only be made by Director of Operations, or a deputy in their absence. The employee should be spoken to regarding the suspension and this discussion should be followed up in writing, including the following: -
That suspension is not disciplinary action, but is a holding measure whilst allegations are investigation and is on full pay. The main details of the allegations made against them. To seek guidance and support from a trade union or work colleague. That they must not contact any potential witnesses or access any company premises whilst suspended, except with permission of the investigating manager. Any special restrictions which are imposed. That an employee must remain available for interview during their suspension. If they are planning to take a holiday, this must be requested in the usual way. Any prebooked annual leave will normally be honoured. 6
Disciplinary Procedure Issued: Jan 2013 Review Date: Aug 2015
After Suspension Following a period of suspension, it is important to support an employee back to work so a manager will meet with them to discuss any concerns they may have, training requirements, where they are returning to. Contact while suspended During a period of suspension, an employee can feel isolated. A manager, independent of the investigation, will be assigned to stay in regular contact throughout the period of suspension with regards to developments at work and also the progress of the investigation. Contact should be agreed at the beginning of the suspension and maintained, with records of contact being kept by the manager.
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