DISCIPLINARY PROCEDURE

 

1.0 Scope

1.1 This procedure covers the system for dealing with disciplinary issues.

 

2.0 Aims and Values

2.1 To ensure fairness in the treatment of individuals and assist the home to operate efficiently.

 

            2.2 To ensure compliance with existing employment legislation.

 

3.0 Contents

3.1 General principles.

3.2 Informal procedure.

3.3 Formal procedure.

3.4 Dismissal.

3.5 Appeal.

            

4.0 Referenced Documents

            4.1   Staff Personal File.

 

5.0 Responsibilities

            5.1    The manager, senior staff and all care staff.

 

This is the procedure to be followed

 

6.0 General Principles

 

No member of staff should be dismissed without prior warning for a first ‘offence’ except for gross misconduct.

 

The manager is responsible for bringing to the attention of staff any dissatisfaction about their conduct or efficiency, which might lead to disciplinary action later.

 

If the conduct or efficiency of a member of staff is in doubt, the matter should be addresses through supervision in the first instance before any disciplinary action is taken.

 

There should always be the right of appeal against any disciplinary action taken against a member of staff.

 

This procedure covers all staff employed by agency, regardless of position held or hours worked.

 

Whilst it is seen as desirable wherever possible to follow this procedure through informal and formal stages, there may be circumstances where the manager elevates the action to the formal stage early in the process.

 

7.0 Informal Procedure

 

The manager may give a verbal warning, or any other member of the senior team authorised by the manager.

 

A verbal warning should be used to improve conduct or performance in relatively minor instances. There is no direct link to the number of verbal warnings given before this might escalate to the formal procedure, but a verbal warning should normally expire after a period of three months.

 

Whilst the warning is classes as ‘verbal’, the manager should ensure that a record of the verbal warning is give to the member of staff and a copy kept in the staff Personal File.

 

The staff Personal File should be checked regularly and expired verbal warnings removed.

 

Once expired, no record of the warning should be kept, neither should ay expired verbal warning be referred to in any subsequent disciplinary matter.

 

8.0 Formal Procedure

 

Formal disciplinary action will be considered when:

Further instances of misconduct or failure to improve performance can no longer be tolerated. This might follow one or more verbal warnings.

The severity of a singular act appears to justify such action.

 

In all cases, the member of the staff should be notified of the intention to hold a disciplinary hearing by the manager of an agency, or authorised person in the event of the manager being unavailable.

 

The notification should be in writing unless this is not practical, but should clearly indicate:

 

The time, date and place of hearing

The reason for holding the hearing

That the member of staff has the right to be accompanied by a representative of their choosing.

 

The manager, prior to hearing, should seek to obtain statements from those people considered relevant to the case and ensure that relevant records, examples or exhibits are available. All information available to the manager should be made available to the member of staff concerned.

 

The manager, at the hearing, should introduce each person present and indicate their role in the proceedings. The manager should also make clear that a record of the hearing will be made.

 

All parties should be given the opportunity to present and discuss their cases, and to consider further information which may have come to light. If the new information substantially changes the nature of the case, the manager may decide to adjourn the hearing for a short period or even to another date.

 

The manager, at the close of the hearing, should inform the member of staff when a decision will be made as to whether or not disciplinary action will be taken. In most cases the decision is reached shortly after the hearing and all parties should re-convene for the verdict.

 

In all cases, the decision, including details of any further investigation required, should be confirmed in writing within seven working days of hearing.

 

The manager has a range of options available and should decide which is the most appropriate in the circumstances. In general terms, these will be:

 

Written warning

Final written warning

Dismissal.

 

In most cases the disciplinary action taken by the manager will be in the form of a written warning, The letter should clearly state:

The nature of the offence

The nature of formal warnings being given (written / final etc.).

Any previous warning which have been taken into consideration.

That this warning will be held on the Staff Personal File for a period to be determined by the manager.

The level of sustained improvement required in either conduct or performance during the period of the warning.

The method of checking improvement and the likely outcome if this is not achieved.

The right of appeal open to the member of staff.

 

The manager should ensure that the member of staff receives a copy of the written warning within seven days of the hearing, either by hand or by registered post. The manager should also supply an additional copy for a representative, if required.

 

In exceptional or severe cases, the manager may decide that it is appropriate to take one of the following measures in addition to giving the final written warning:

To transfer the member of staff to other duties within the home at the same level of salary.

Relegate or demote a member of staff either permanently or for a specified period of time, with salary reducing accordingly.

 

In some cases, action may be taken where no prior warnings are given. These cases are called ‘gross misconduct’.

 

Gross misconduct might be defined as “cases where the member of staff exhibits conduct of such a nature that the manager of a home is justified in no longer tolerating the continued presence at work of a member of staff who commits such an offence. This includes circumstances where there are reasonable grounds to believe committed a criminal offence”.

 

In cases of gross misconduct, the manager should:

Suspend the member of staff on full pay pending investigation and within seven days provide written confirmation of the formal hearing (as shown in 8.11 above) or confirm the continuing suspension and reasons.

More to summarily dismiss the member of staff at the conclusion of the disciplinary hearing. (This is dismissal without notice or without payment in lieu of notice.)

 

Dismissal

 

9.1   In very exceptional circumstances the manager will decide that dismissal in the          only reasonable and justifiable option available.

 

The law requires that the dismissal must be ‘ fair and reasonable’ in the way that the decision is reached, base on sound evidence and the manner in which the dismissal is handled.

 

A dismissal may be ‘fair and reasonable’ if it can be justified in relation to:

A person’s capability (skill, aptitude, health – physical or mental) or qualification to do the job they were employed to do.

The misconduct of the member of staff.

The fact that the member of staff would be breaking the law if they remain employed.

Some other substantial reason which justifies dismissal.

 

When the decision to dismiss has been made, it should become effective immediately and the member of staff should not receive payment in lieu of notice or other payments that would indicate that employment has extended beyond the date of the hearing.

 

Appeal

 

10.1   Appeals against any formal warning must be made in writing to the director within seven working days of the member staff receiving the written confirmation of the outcome of the disciplinary action and should indicate as fully as possible the       grounds for appeal.               

 

10.2    Within ten further working days, the director should hold a meeting with the

             member of staff who may be accompanied if they so wish.

 

10.3    When hearing the appeal, the director will decide whether it can be allowed or 

rejected. If possible a decision on the outcome will be given at the appeal hearing. If not, it will be communicated in writing within five working days.

 

            If the appeal is upheld the warning will be removed from all records.

            There is no further right of appeal within the Organisation.

 

NB This procedure does not cover:

Staff who are still in probationary period.

Staff who resign or retire.

Staff who clearly indicate that they have terminated their own contract.

Staff who are working on a temporary contract where the minimum term of the contract has expired.