Aim of the Policy This document outlines the policy of Carefound Home Care (the Company ) in relation to the disciplinary procedure. This policy is intended to set out the values, principles and policies underpinning this Company s approach to staff discipline. The purpose of this policy is to ensure a fair and systematic approach to the enforcement of acceptable standards of conduct and behaviour amongst all employees. All employers are unfortunately forced to administer discipline to staff at some time or another. The Company believes that any disciplinary action taken should be aimed at identifying those problems that caused or contributed to the disciplinary action having to be taken, and to assist in correcting them. The Company believes that it is in the interests of all that disciplinary actions are carried out in a prompt, uniform and impartial way and that the main purpose of disciplinary action is to correct the problem, prevent its recurrence and prepare the employee for satisfactory service in the future. Legal and Regulatory Guidance Acas Code of Disciplinary and Grievance Procedures The Company adheres fully to the Advisory, Conciliation and Arbitration Service ( ACAS ) Code of Practice Disciplinary and Grievance Procedures. Introduction The disciplinary procedure set out below does not form part of an employee's contract of employment and may be changed by the Company, within legal constraints, in its absolute discretion at any time. This procedure does not apply during probationary periods of employment. The Company requires a high standard of conduct and performance from all of its employees. Most conduct or performance issues can be dealt with quickly and informally by an individual employee's manager, who will make the employee aware of the standards expected, and any improvements required. However, if an informal approach is inappropriate, either because it has already been ineffective, or because the alleged offence is considered to be more serious, it will be necessary to follow the formal policy and procedure set out below. The Company's aim is to encourage improvement in individual conduct (including attendance) and job performance. The same procedure will be followed for conduct and poor performance, although the timescale and outcome may be different for each. Phrases such as "disciplinary procedure" and "disciplinary hearing" are used in this policy to cover both cases. Normally, no formal disciplinary hearing will be convened until the matter has been fully investigated. At any disciplinary hearing the employee will have the opportunity to hear the case against them, state their case in response, call witnesses and be accompanied by a fellow employee or a Trade Union official (who is certified by the union to act as a worker's companion at disciplinary hearings). If a disciplinary sanction is imposed, the employee will be informed of what improvements are required, the timescale for the improvements to be made, and the consequences if the improvements are not met or sustained. Page 1 of 8
Employees have the right to appeal against any formal disciplinary sanction in the manner provided for below. An employee will not be dismissed for a first misconduct offence, other than in cases of gross misconduct. The reasons for disciplinary action may include: Poor quality work or negligence, or lack of application to duties Failure to use safe and hygienic work practices, or to observe the Company's, or statutory, regulations regarding health and safety Refusal to carry out reasonable duties, or obey reasonable instructions, or follow the Company's rules Breach of the Company's IT, email and internet use guidelines Poor attendance record This is not an exhaustive list. Performance The main objective of instigating the procedure for poor performance is corrective, rather than punitive, with the aim of assisting the employee to achieve and maintain the required standards of performance. Although dismissal for poor performance will normally only follow warnings, in exceptional cases, dismissal for gross incapability may be awarded without warnings. Confidentiality All documents and proceedings associated in any way with any part of the disciplinary process must remain completely confidential at all times. Any employee, witness, companion etc. who breaches this rule may themselves be the subject of disciplinary action. Aggressive or Intimidatory Behaviour If any employee displays what in the Company's view constitutes unreasonably aggressive or intimidatory behaviour to any party during the disciplinary process, including but not limited to the investigating manager, hearing and appeal chairs, note takers and witnesses, they will forfeit their right to participate in the procedure. In such cases, the Company will notify the employee of the outcome in writing and there will be no right of appeal. If any companion displays what in the Company's view constitutes unreasonably aggressive or intimidatory behaviour to any party during the disciplinary process, including but not limited to the investigating manager, hearing and appeal chairs, note takers and witnesses, the proceedings will be stopped and the employee will either have to appoint a replacement companion or continue unaccompanied. Page 2 of 8
Investigation No disciplinary action will be taken until the matter in question has been properly investigated, normally by the employee's supervisor or manager. In most cases, the employee will be interviewed along with any relevant witnesses, to establish the facts promptly, and written notes of any interviews will be kept. Where witnesses request anonymity, this will be granted if reasonable. This initial investigation is not part of the formal disciplinary process. The employee is not entitled to be accompanied at any investigatory meeting. However, where the allegations clearly relate to potential gross misconduct the Company will afford the employee the opportunity to be accompanied at the investigation meeting. Depending upon the outcome of the investigation, the investigating manager will either: take no further action issue a verbal informal warning, requiring an improvement or non-repetition for a minor breach of standards, rather than take formal action initiate formal action Informal Warning An informal warning does not form part of the formal procedure. There is no right of accompaniment, and no right of appeal (other than through the grievance procedure). A verbal warning may be confirmed in writing to record the improvements required, but in this situation, the employee will be told that the warning will not be referred to in future in support of any formal disciplinary action. Notes of Meetings For all formal meetings held under this procedure, including investigatory meetings, the Company will arrange for summary notes to be taken and copied to all parties promptly. Under no circumstances will any disciplinary proceedings be recorded by any electronic medium. Role of Companion It will be the employee's responsibility to organise his or her accompaniment. If the employee is suspended, or otherwise forbidden from contacting other employees, and wishes to be accompanied by a fellow employee, the request for accompaniment must be made via the designated manager. No employee has any obligation to agree to be a companion (or a witness) - it is entirely voluntary. The employee must follow the same process if he or she wishes any employees who are witnesses to attend. A companion may: take notes of the hearing Page 3 of 8
address the hearing confer with the employee put the employee's case to the hearing sum up that case respond on behalf of the employee to any view expressed at the hearing However, they cannot answer questions put to the employee by the chair of the meeting. Suspension Suspension is not a disciplinary sanction. In potentially serious cases of alleged misconduct, the employee may be suspended, with pay, whilst investigations are completed. These will be conducted as quickly as possible. The reasons for the suspension will be explained. The suspension will be confirmed in writing. The suspension will be reviewed continually, to ensure that it is not protracted unnecessarily. The employee will be kept abreast of developments, wherever possible, if the suspension is protracted outside the control of the Company (e.g. at the request of the police). If an employee on suspension fails to attend any investigatory or disciplinary meeting without good reason, payment for suspension may be stopped. During any period of suspension, the employee will not be entitled to access to any of the Company's premises, except at the prior request, or with the prior consent of the Company, and subject to such conditions as the Company may (at its discretion) impose. In addition, the employee will not be entitled to contact other members of staff of the Company, Clients or Client Representatives. Disciplinary Hearing Before any disciplinary sanction is imposed by the Company, a disciplinary hearing will be held with the employee, at which the employee will be given the opportunity to comment on the allegations or case against him / her. Written notice of the date, time and location of the disciplinary hearing will be sent in advance to the employee, setting out details of the employee's alleged misconduct or poor performance. A copy of the investigation report and any witness statements will accompany this letter, although in some cases witness statements may be anonymous. The employee will be given a minimum of 3 working days notice, from the day that the Company reasonably anticipates that the employee will receive the invitation, to enable them to prepare for the hearing. If the chosen date is not a rostered day of work for the employee, he or she will be paid at their basic hourly rate for attendance at disciplinary meetings. For a night worker, their rota will be amended as is reasonably necessary. If the misconduct is believed to be so serious as to make dismissal a possibility, this will be included in the letter inviting the employee to the hearing. This does not prejudge the outcome, but is an indication to the employee of the possible seriousness of the situation. The letter will inform the employee of the name of the chair of the hearing, and the names of all other Company personnel who will be present, including the investigating manager and any witnesses Page 4 of 8
where anonymity has not been granted. The chair of the hearing will be an independent manager who has not been involved with the case. The employee must take all reasonable steps to attend the disciplinary hearing, and must confirm that they will do so. If the employee fails to attend, one further hearing will be convened. Failure to attend this second hearing without good reason may lead to the hearing being held, and a disciplinary decision being taken, in the employee's absence. An employee may be accompanied by another employee of the Company or by a Trade Union official (who is certified by the union to act as a worker's companion at disciplinary hearings), at any formal disciplinary hearing. It is the employee's responsibility to ensure that their chosen companion is willing to act and is available to attend the meeting. However, if the employee has been suspended, he or she should contact their manager to invite a companion, and any witnesses. The employee must confirm if they will be accompanied, and, if so, by whom. The employee must also notify the chair in advance of any witnesses who will be called by him or her. If the employee's chosen companion is unavailable on the proposed date of the disciplinary hearing, the hearing may be postponed by up to 5 working days at the employee's request, subject to the employee proposing an alternative time and date within 5 working days of the original date. The outcome of the disciplinary hearing will be notified to the employee in writing as soon as possible after the hearing. This letter will advise the employee of the appropriate person to whom any appeal should be made. Disciplinary Sanctions or Penalties Written Warning Normally, an employee who commits a first breach of the disciplinary standards will be given a formal written warning that if his / her conduct or performance does not improve during the period specified in the warning, he / she may be subject to further disciplinary action. A copy of this warning will be placed on the employee's Personnel Record but will be disregarded for disciplinary purposes after 12 months. Final Written Warning If there is a further incident of misconduct (whether or not of the same nature) within the period specified, or if the employee's performance does not improve to the standards required, the employee will be required to attend a further formal disciplinary hearing where they may be given the sanction of a final written warning, which will give details of the complaint and will warn that dismissal will result if there is no satisfactory improvement. A copy of this warning will be placed on the employee's Personnel Record but will be disregarded for disciplinary purposes after 12 months. Page 5 of 8
First and Final Written Warning If the misconduct or poor performance is sufficiently serious, the employee will be given the sanction of a first and final written warning, which will give details of the complaint and will warn that dismissal will result if there is no satisfactory improvement. A copy of this warning will be placed on the employee's Personnel Record but will be disregarded for disciplinary purposes after 12 months. Demotion and / or Transfer If the misconduct or poor performance is sufficiently serious, the employee will be given the sanction of a demotion within their workplace, or a transfer to another workplace, possibly also with a demotion. Any penalty of demotion or transfer will also include in it a final warning, which will give details of the complaint and will warn that dismissal will result if there is no satisfactory improvement. A copy of this warning will be placed on the employee's Personnel Record but will be disregarded for disciplinary purposes after 12 months. Dismissal If the employee's conduct is sufficiently serious (i.e. gross misconduct) or if conduct or performance is still unsatisfactory following a final written warning and the employee still fails to reach the required standards, the employee will normally be dismissed. The decision to dismiss will be taken by the chair of the disciplinary hearing and will normally be with notice. The penalty of dismissal after cumulative warnings can be given, whether the misconducts are similar or not. Note A final warning cannot be used to support a dismissal for further misconduct without a further disciplinary hearing. Gross Misconduct An employee who is accused of, or is suspected of gross misconduct will normally be suspended from work while the Company investigates the alleged offence. If, following the disciplinary hearing, the Company develops a reasonable belief that gross misconduct has occurred, the result will normally be dismissal without notice, or any payment in lieu of notice. Gross misconduct includes (but is not limited to): Failure to respect the confidentiality of any information, or disclosing information of a confidential nature without prior authorisation Theft, or unauthorised possession, of property belonging to other employees, the Company, suppliers, Clients or their relatives, including the use of another person's telephone, without permission Fraud or deliberate falsification of records, including but not limited to time sheets Serious dishonesty including any theft towards the Company, Client, fellow employee or any other person whether in the course of duty or otherwise Malicious or deliberate damage to or misuse of the Company's property Misuse of the Company's name or otherwise bringing the Company into disrepute Incapability through alcohol or being under the influence of, or in possession of, illegal drugs or other proscribed substances Harassment or bullying of another employee, whether on sexual, racial or other grounds Unfounded or malicious allegations against colleagues Page 6 of 8
Unlawful discrimination or sexual, racial or other harassment Seeking or accepting gifts or loans from Clients or their relatives, or colleagues Negligence which causes unacceptable loss, damage or injury to the Company or to any individual Negligence which causes actual or potential financial loss, damage or risk to the health and safety of any Client or other person on Company premises Verbal, physical abuse, ill-treatment or violence, or threat of same, towards Clients, visitors or staff on or off Company premises Not reporting to your manager, observed or alleged abuse or harm to Clients Serious breach of health and safety rules or procedures, including but not limited to sleeping on duty Serious insubordination or failure to follow reasonable instructions Abandoning duty without authority Being charged with and / or convicted of a criminal offence which in the opinion of the Company demonstrates unsuitability for further employment with the Company Indecent or immoral behaviour, including accessing and / or distributing offensive or pornographic material whether obtained from the internet or otherwise Fraudulent abuse of the Statutory Sick Pay scheme or other Government benefit scheme Failing to maintain current registration with the relevant professional body Unsatisfactory attendance Not being able to produce, when asked, within a reasonable timescale, documentation to demonstrate legality to work in the UK Serious breaches of the Company's care standards or policies and procedures Appeals An employee may appeal against a disciplinary decision taken at a formal hearing, to a more senior level of management than the chair of the disciplinary hearing. The employee should appeal in writing, setting out the grounds on which the appeal is based within 5 working days of receiving the disciplinary decision. Where possible, the appeal will usually be heard within 2 weeks of receiving the employee's grounds for appeal, although there may be reasons why this may have to be extended. An appeal hearing will take place at which the employee will have the opportunity to explain his / her grounds of appeal. The employee will be informed in advance of the date, time and location of the hearing and must take all reasonable steps to attend. A minimum of 3 working days notice will be given. If the chosen date is not a rostered day of work for the employee, and if he or she is still employed, he or she will be paid at their basic hourly rate for attendance at disciplinary meetings. For a night worker who is still employed, their rota will be amended as is reasonably necessary. An employee may be accompanied at the appeal hearing by another employee of the Company or by a Trade Union official (who is certified by the union to act as a worker's companion at disciplinary hearings) if he / she so wishes. If the employee's chosen companion is unavailable on the proposed Page 7 of 8
date of the appeal hearing, the hearing may be postponed by up to 5 working days at the employee's request and subject to the employee proposing an alternative time and date within 5 working days of the original date. It is the employee's responsibility to arrange the attendance of his / her companion and any witnesses. However, if the employee has been dismissed, he or she should contact their former manager to invite any witnesses and / or a companion who is a former fellow Company employee. The exemployee must confirm that they will be attending the appeal hearing, and notify the chair if they will be accompanied, and if so, by whom. The ex-employee must also notify the chair in advance of any witnesses who will be called. Following the appeal hearing, any disciplinary sanction imposed will be reviewed but it cannot be increased. The outcome of the appeal will be relayed in writing as soon as possible after the appeal hearing has been held. The appeal decision will be final and cannot be further appealed. Until the outcome of the appeal has been decided, any disciplinary sanction (including dismissal) will remain in force. If, following a successful appeal against dismissal, an employee is reinstated, he / she will be reimbursed in respect of lost salary at their basic rate of pay for the period between the dismissal and the date of reinstatement. Training for Staff All staff members will be given a copy of this policy and encouraged to read it during induction. Page 8 of 8