Carers Trustdisciplinary Policy and Procedure

Carers TrustDisciplinary policy and procedure

E02a

Disciplinary policy and procedure

This document is provided to Carers Trust East Midlands(now referred to as ‘the organisation’) as a Network Partner of Carers Trust.

1.0 PURPOSE AND SCOPE

1.1 This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance. It applies to all employees. The aim is to ensure consistent and fair treatment of all employees. This policy and procedure is not contractual and may change from time to time.

2.0 PRINCIPLES

Performance counselling will be offered, where appropriate, to resolve problems. Performance counselling is counselling provided by the line manager about the ways in which performance is falling short of the required level and how it can be improved to expected levels.
No disciplinary action will be taken against an employee until the case has been fully investigated.
At every stage in the procedure the employee will be advised in writing of the nature of the complaint against him or her and the basis of that complaint (such as, supporting evidence, witness statements etc), and will be given the opportunity to state his or her case before any decision is made.
The employee will be invited to attend a disciplinary hearing to discuss the complaint. The meeting should be held without unreasonable delay whilst allowing the employee reasonable time to prepare their case.
At all stages of the formal procedure the employee will have the right to be accompanied by a trade union representative, or work colleague.
No employee will be dismissed for a first breach of discipline except in the case of gross misconduct, when the penalty will normally be dismissal without notice or payment in lieu of notice.
An employee will have the right to appeal against any formal discipline imposed.
The procedure may be implemented at any stage if the employee’s alleged misconduct warrants such action.
Where dismissal is considered, the employee will be warned of this potential outcome when invited to the disciplinary hearing.
Minor instances of poor performance or misconduct may be dealt with outside of the formal disciplinary procedure by advice, guidance and / or performance counselling for example, (see above).
Where the matter is more serious or where informal action has not led to the desired improvement in performance or conduct the following disciplinaryprocedure will be used.

3. PROCEDURE FOR UNSATISFACTORY PERFORMANCE AND MISCONDUCT

3.1 Stage 1 – Improvement note: unsatisfactory performance

3.1.1 If performance does not meet acceptable standards the employee will normally be given an improvement note. This will set out the performance problem, the improvement that is required, the timescale and any help that will be given. The individual will be advised it constitutes the first stage of the formal procedure, is equivalent to a first written warning and that a failure to improve could lead to a final written warning and, ultimately, dismissal. A record of the improvement note will be kept for six months, but will then be considered spent – subject to achievement and maintenance of satisfactory performance.

3.2 Stage 1 – First written warning: misconduct

3.2.1 If conduct does not meet acceptable standards the employee will normally be given a first written warning. This will set out the nature of the misconduct and the change in behaviour required. The warning will also inform the employee that a final written warning may be considered if there is no sustained satisfactory improvement or change. A record of the warning will be kept, but it will be disregarded for disciplinary purposes after a specified period (usually six months) – subject to the achievement and maintenance of satisfactory conduct.

3.2.2 Improvement notes and warnings at stage 1 may be given by the line manager and/or a senior manager.

3.3 Stage 2 – final written warning

3.3.1 If the offence is sufficiently serious, or there is a failure to improve during the currency of a prior warning for the same type of offence, a final written warning may be given to the employee. This will give details of the complaint, the improvement required and the timescale. It will also warn that failure to improve may lead to action under stage 3 (dismissal or some other sanction), and will refer to the right of appeal. A copy of this written warning will be kept but will be disregarded for disciplinary purposes after 12 months subject to achievement and maintenance of satisfactory conduct or performance.

3.3.2 Final written warnings at stage 2 may be given by a senior manager.

3.4 Stage 3 – Dismissal or other sanction

3.4.1 If there is still a failure to improve the final step in the procedure may be dismissal or some other action short of dismissal such as demotion (where allowed in the contract of employment). Dismissal decisions and other sanctions at stage 3 can only be taken by a senior manager.

3.4.2 The employee will be provided, as soon as reasonably practicable, with written reasons for dismissal, the date on which the employment will terminate, and the right of appeal. The decision to dismiss will be confirmed in writing.

3.4.3 If some sanction short of dismissal is imposed, the employee will receive details of the complaint, will be warned that dismissal could result if there is no satisfactory improvement, and will be advised of the right of appeal. A copy of the written warning will be kept but will be disregarded for disciplinary purposes after 12 months subject to achievement and maintenance of satisfactory conduct or performance.

3.5 Appeals

3.5.1 An employee who wishes to appeal against a disciplinary decision must do so in writing within seven calendar days of the decision being communicated. The appeal will usually be heard by someone not previously involved and senior in authorityto the person who took the original disciplinary decision. Where the original decision was taken by a member of the board of trustees then the appeal will be heard by a different member of the board. At the appeal, any disciplinary penalty imposed will be reviewed.

4.0 GROSS MISCONDUCT

4.1 Acts of gross misconduct are those that are so serious as to justify possible summary dismissal. The following list provides examples of offences which are normally regarded as gross misconduct - the list is neither exclusive nor exhaustive:

serious breach of health and safety rules
verbal or physical abuse of members of staff, clients or their families or members of the public
deliberately misusing, damaging or losing propertybelonging to the organisation or clients or their families
removing such property without authority
theft, dishonesty or fraud
falsification of time sheets or claims for expenses or overtime
sexual misconduct at work
bullying, harassment or unlawful discrimination
being under the influence of alcohol or illegal drugs whilst at work
providing false information to support an application for employment or failure to disclose material relevant to the appointment
breaches of confidentiality or other action prejudicial to the interests of the organisation
soliciting or receiving any benefit or advantage from any individual or body with whom the organisation has dealings
soliciting bequests from clients or their families
the receipt of gifts in kind, other than token gifts, from clients or their families
the receipt of any gifts of cash from clients or their families
serious insubordination
failure to disclose a criminal conviction
serious negligence which causes unacceptable loss, damage or injury
bringing the organisation into serious disrepute
deliberately accessing internet sites containing pornographic, offensive or obscene material using equipment belonging to the organisation or its service users
giving or receiving bribes.

4.2 If an act of gross misconduct is alleged, the employee may be suspended from work on full pay while the alleged offence is investigated. Such a suspension will only be imposed after careful consideration and will be reviewed regularly to ensure it is not unnecessarily protracted. If, on completion of the investigation the organisation is satisfied that there appears to be evidence that gross misconduct has occurred, there will be a disciplinary hearing heard by a disciplinary panel comprising at least two members, at least one of whom will be a designated member of the board of trustees or a senior member of staff to whom the authority to dismiss has been delegated by the board. The other member of the panel may be a senior manager employed by the organisation and not otherwise involved in proceedings. If, following the hearing, the panel is satisfied that gross misconduct has occurred, the result will normally be summary dismissal without notice or payment in lieu of notice.

4.3 Appeals

4.3.1 An employee who wishes to appeal against a dismissal or other disciplinary decision for gross misconduct must do so in writing within seven calendar days of the decision being communicated. The chair of the board of trustees or his / her nominee will hear all appeals and his / her decision is final. At the appeal, any disciplinary penalty imposed will be reviewed.

5.0 LEARNING AND DEVELOPMENT

5.1 General learning and development requirements relating to the disciplinary policy and procedure are contained in the learning and development policy, procedure and guidance (E13a, E13b and E13c).

6.0 REVIEW AND ADOPTION OF THIS POLICY BY BOARD OF TRUSTEES

6.1 The organisation’s board of trustees is required to formally adopt the disciplinary policy and procedure and to ensure that a documented record is kept of their decision to do so.

6.2 Full details of the policy (including its title and reference number) and the date it was adopted will be documented in the minutes of the appropriate trustee board meeting as evidence of the decision taken. The minutes will be signed by the chair of the trustees on behalf of the board.

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