Policy on Grievance and Disciplinary

Policy on Grievance and Disciplinary

 Thrive 2005.

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of Thrive.

If a Garden Project is a Member of Thrive and wishes to use any of this document for its own use in the management of grievance and disciplinary policy, Thrive will waive the copyright for that purpose only on the condition that this copyright statement is included in any copied material.

The information contained in this Pack is correct to the best of Thrive’s knowledge, however it is intended only as a guide and projects should consult their own legal representatives for further advice.

[NAME OF ORGANISATION]

Policy on

Grievance and Disciplinary

GRIEVANCE PROCEDURE

Purpose

[NAME OF ORGANISATION] recognises that there may be times during their employment when staff wish to raise concerns or problems related to their work. It is the charity’s policy to encourage free communication between staff and their manager, so that any problems can be quickly resolved through informal discussion.

It is only in situations where informal discussion has been tried, and has failed to bring about a satisfactory solution, that the more formal grievance procedure should be used.

This policy and procedure covers all employees of [NAME OF ORGANISATION], including those on part-time and/or fixed term contracts. The types of areas covered by this policy are problems and concerns with work, working conditions or relationships with colleagues.

Principles

If staff find it necessary to use this formal procedure, the stages to be used are set out in this document. Underpinning all these stages, are the following principles:

1.At all stages of the procedure, employees will have the right to be accompanied by a trade union representative or work colleague. This person can address the hearing, respond and sum up on the employee’s behalf.

2.Managers will be accompanied by a note-taker at every stage of the process.

3.Employees will be given a fair hearing concerning any grievances they may have.

4.Employees will be given a copy of the Grievance Policy and managers will be available to answer any questions they may have on how to use it.

5.Hearings will be held in private, and knowledge of the content will be limited to those in attendance. The maintenance of confidentiality is a responsibility of all those involved.

6.Others may be called as witnesses as appropriate, and are also responsible for maintaining confidentiality on the issue.

7.The person’s manager is normally the first point of contact for raising a grievance but where this is inappropriate, the Head of Support Services or another member of the Senior Management Team can be contacted.

8.If necessary, hearings at any stage of the procedure may be adjourned in order to clarify new information or seek additional witnesses. However, this should be kept to a minimum in order to ensure the process is handled quickly.

9.Whilst every endeavour will be made to stick to the timescales set out in the guidelines, there may be reasons why this is not always possible, and these reasons will be explained in writing if applicable.

Procedures

The Three Stages of the Procedure

Stage 1

Any grievance should be brought to the attention of [NAME OF ORGANISATION] as quickly as possible after an incident occurs, in order that the individual can receive help and support to resolve it for their own benefit. It should therefore be raised within two weeks of the event giving rise to the grievance, or in exceptional circumstances, up to one month later. The grievance should be put in writing to the line manager (or another person, where applicable), explaining all the circumstances of the case and making it clear that the issue is being raised as Stage 1 of the Grievance Procedure. The manager will arrange to meet with the employee within ten working days, in order to discuss it. They will then investigate the issue, speaking to any other parties concerned, and will decide on the appropriate course of action. They will then meet with the employee to inform them of the outcome within ten working days of the meeting, confirming the details in writing.

Stage 2

If the employee is not satisfied with the solution offered, they can take the issue to a designated person (see below). They must explain, in writing, why they are not satisfied, making it clear that they are raising it as Stage 2 of the procedure. The designated person will arrange to meet with the employee within ten working days, in order to discuss it. They will then investigate the issue, speaking to any other parties concerned, and will decide on the appropriate course of action. They will then meet with the employee to inform them of the outcome within ten working days of the first meeting in Stage 2, confirming the details in writing. (If the employee took the grievance to a designated person at Stage 1, another designated person will be nominated for Stage 2 of the procedure.)

Stage 3 - Appeal

If the employee still feels dissatisfied with the solution offered, they can appeal to a designated person. This should be put in writing, explaining all the circumstances of the case, making it clear that it is being raised as Stage 3 of the procedure. The person dealing with the appeal will arrange a meeting with the employee to discuss the issue, and this will normally take place within ten working days of the start of Stage 3. They will speak to any other parties concerned as part of their investigation, and will decide on the appropriate course of action, if any. After the investigation, they will meet with the employee to inform them of their decision, normally within ten working days of the first meeting in Stage 3, confirming this in writing as soon as possible after the meeting. Any decision made at this stage will be final and it cannot be pursued further.

Designated Person

The designated person will be chosen from the Senior Management Team and Trustees and is most likely to be the Chief Executive or Head of Support Services and the Chairman of the Board or the Chairman of the HR Committee.

DISCIPLINARY POLICY & PROCEDURES

DISCIPLINARY PROCEDURE

Introduction

[NAME OF ORGANISATION] expects high standards of personal and professional conduct from its staff at all times. Such standards are essential for the following key reasons: firstly, to ensure that all our activities reflect the required level of professionalism and care to our service users, secondly, to ensure that staff treat one another with respect and dignity in the workplace, and thirdly to ensure that at all times policies and procedures are adhered to accordingly. For those times when standards are not maintained, this document sets out to explain why, when and how the policy may be used. The procedures are designed to be fair, equitable and to give staff an opportunity to explain their conduct.

This policy and procedure covers all employees of [NAME OF ORGANISATION], including those on part-time and/or fixed term contracts.

Wherever possible, managers will attempt to resolve issues by means of informal one-to-one discussion. If this approach does not achieve the necessary improvement, or if there is a serious failure to meet the standards expected, the formal procedure will be used.

Principles

The purpose of this procedure is to ensure the fair treatment of staff in relation to disciplinary matters: i.e. breaches of rules and procedures, unsatisfactory standards of performance or behaviour, absenteeism, poor time keeping etc. In all aspects of the procedure, the following principles will apply:

1. No disciplinary action will be taken against an employee until the case has been fully investigated.

1. At every stage in the procedure the employee will be advised of the nature of the complaint against them and will be given an opportunity to state their case before any decision is made.

1. At all stages the employee will have the right to be accompanied by a work colleague or trade union representative during any disciplinary interview. This person can address the hearing, respond, and sum up, on the employee’s behalf.

1. No employee will be dismissed for a first breach of discipline, except in the case of gross misconduct

1. If a disciplinary penalty is imposed, it will be formally advised in writing

1. An employee will have the right to appeal against any disciplinary penalty imposed

1. Any warning will be noted on the employee's personnel file

Stages of Disciplinary Action

Stage 1: Verbal Warning

Stage 2: First Written Warning

Stage 3: Final Written Warning

Stage 4: Dismissal

Stage 1: Verbal Warning

If conduct or performance does not meet acceptable standards, the employee will be advised of the complaint by their Line Manager/Supervisor, and be invited to a disciplinary interview to be given an opportunity to present his or her views.

Following this, should the employee still be found to be at fault he or she will normally be given a formal verbal warning.

This will cover:-

1. The reason for the warning
2. The improvement required and timescale set
3. The duration of the warning
4. That this is the first stage of the disciplinary procedure
5. The likely consequence of further misconduct or insufficient improvement in performance
6. His or her right of appeal

A record of the verbal warning will be retained on the employee's personnel file but will lapse after 6 months if there is no further breach of discipline during the duration of the warning.

Stage 2: First Written Warning

If the misconduct or unsatisfactory performance is serious, or if further misconduct or unsatisfactory performance occurs, the employee will be advised and invited to attend a disciplinary interview and given the opportunity to present his or her views on the situation.

Following this, should the employee still be found to be at fault, the employee will be given a formal first written warningand will be advised of the following: -

1.The reason for the warning

2.The improvement required and timescale set

3.The duration of the warning

4.That it is Stage 2 of the Disciplinary Procedure

5.That Stage 3 will be implemented if there is no improvement

6.His or her right of appeal

A copy of the written warning will be retained on the employee's personnel file, but will lapse after 12 months if there is no further breach of discipline during the duration of the warning.

Stage 3: Final Written Warning

If there is still failure to improve, and conduct or performance is still unsatisfactory, or if the misconduct is sufficiently serious to warrant only one written warning, but insufficient to justify dismissal, the employee will be given a final written warning, and will be advised of the following: -

1.The reason for the warning

2.The improvement required and timescale set

3.The duration of the warning

4.That it is Stage 3 of the Disciplinary Procedure

5.That dismissal will follow if there is no improvement

6.His or her right of appeal

This will be advised to the employee at a disciplinary interview. A copy of the final written warning will be retained on the employee's personnel file, but it will lapse after 12 months if there is no further breach of discipline during the duration of the warning.

Stage 4: Dismissal

If conduct or performance is still unsatisfactory and the employee still fails to reach the prescribed standards, a full disciplinary hearing will be held, following which if the employee is still found to be at fault, he or she will normally be dismissed with notice or payment in lieu.

The Charity reserves the right to take alternative appropriate action e g demotion, suspension without pay etc.

Prior to the hearing, the employee will be advised in writing of the nature of the meeting and the issues to be discussed, and his or her right to be accompanied by a work colleague or trade union representative. The Charity also reserves the right to suspend the employee on full pay whilst an investigation is being carried out.

The hearing will be convened and will include the Chief Executive, the employee, a work colleague or trade union representative (if desired by the employee), and his or her line manager/supervisor.

Following the hearing an evaluation will be made and the employee will be advised of the decision in writing. If the decision is to dismiss the employee (or take alternative appropriate action), the employee will be provided with written reasons for the dismissal (or alternative action), the date on which employment will terminate (or date alternative action will take effect) and of his or her right of appeal.

GROSS MISCONDUCT

The following list is not exhaustive but provides examples of offences which are normally regarded as gross misconduct:-

1)Deliberate damage or unauthorised use of charity property, or to the property of other employees (this will include computers, systems and software).

2)Physical assault or threatening physical assault or violence whilst on Charity premises or when carrying out Charity business.

3)Being in possession of, selling or attempting to sell, or being under the influence of dangerous or illegal drugs, whilst at work or when entering the Charity premises to start work.

4)Being under the influence of alcohol whilst at work or when entering the Charity's premises to start work.

5)Harassment (which could include the use of language such as could reasonably cause offence or distress) or indecent conduct whilst at work or at Charity meetings or events.

6)Serious breach of safety instructions, thus placing the individual concerned, or other employees or Charity property at risk.

7)Gross insubordination, which may include the use of offensive language

8)Theft or attempted theft of Charity property (including monies), the property of other employees, stakeholders, traders or suppliers.

9)Acceptance of bribes or improper inducements.

10)Falsification of any Charity documentation which attempts to defraud the Charity.

11)Criminal convictions inconsistent with continued employment.

12.Breach of the Equal Opportunities policy.

13)Failure to report for work without good reason, walking out of the job in the middle of worktime without notice or permission.

14.Behaviour (at or outside work) likely to bring [NAME OF ORGANISATION] into disrepute or incompatible with continued employment.

15.Making statements prior to commencing employment that are discovered to be false.

In some cases of accusations and gross misconduct, the employee will be suspended on full pay until a formal disciplinary hearing is convened, which shall normally take place within 7 working days.

Prior to the hearing, the employee will be advised of the allegations in writing, the date of the hearing and reminded of his or her right to be accompanied by a work colleague or trade union representative.

[NAME OF ORGANISATION] will carry out a full investigation to establish the facts before the hearing, which should include interviewing all witnesses as appropriate.

The hearing will include the Chief Executive, the employee, a work colleague or trade union representative (if desired by the employee), and the employee's line manager. Witnesses will also attend unless anonymity has been guaranteed. Full notes will be taken and therefore a note-taker may also be present.

At the hearing the employee will be given a full opportunity to state his or her case and to ask questions of the line manager/supervisor and witnesses.

Following the hearing, an evaluation will be made and the employee advised of the decision in writing. If the Charity is satisfied that gross misconduct has occurred the result will normally be summary dismissal without notice or payment in lieu of notice. The Charity also reserves the right to take alternative appropriate action e.g. demotion.

The employee will be provided with written reasons for the dismissal (or alternative action), the date of termination (which in the case of summary dismissal will be the date the decision was made), and of his or her right to appeal.

Only the Chief Executive or the person deputising for them has the authority to dismiss an employee.

Appeals Procedure

All employees have the right of appeal if they feel they have been unjustly treated at any stage of the disciplinary procedure. The appeal must be made in writing, setting out full details of the reasons for the appeal, to the nominated person within 7 days of the disciplinary action. Every effort will be made to hear the appeal within 10 working days of receipt of the appeal letter, but there may be some situations where it is not possible to do so due to practical reasons. The employee may choose to be accompanied by a work colleague or a trade union representative. Where an appeal against dismissal fails, the effective date of termination will be the date of the original dismissal.

[NAME OF FILE] / 1 of 10 / [REVIEW DATE]

 Thrive 2005. For full copyright details and implications see the contents page of this Grievance and Disciplinary policy. These templates are provided as samples only and Projects should consult their legal representatives for further advice.