Disciplinary Procedure General Policy The Charity has a number of procedures in place to ensure that high standards of performance and conduct are set and maintained at all times. York Mind will endeavour to ensure that all employees are adequately trained and competent to undertake their duties. Where an employee's ability to perform his/her duties is giving rise for concern, however, the situation will be investigated and action taken in consultation with the employee and in accordance with the relevant procedure. Any concerns with an employee s conduct, performance or capability will normally be dealt with on an informal basis in the first instance through the normal supervision process. However, when such efforts have not achieved the improvements required, or the matter is deemed to be more serious, the formal Disciplinary or Capability Procedure will be invoked. If the matter is one of misconduct or poor performance due to an employee s conduct or behaviour then the matter will be dealt with through this Disciplinary Procedure. Where poor performance is due to a lack of capability, that is the individual does not have the necessary skills, aptitude or qualities, or is prevented from fulfilling the requirements of his/her role due to ill health, then it will be managed through the Capability Procedure. This disciplinary procedure exists to ensure that when problems arise they can be resolved quickly in a fair and reasonable way. The primary aim of taking disciplinary action is to improve standards of conduct and performance. This procedure provides for disciplinary measures to be taken which will be regarded normally as a series of steps, though the action taken in each case will depend upon the circumstance. The procedure applies to all employees. It does not form part of an employee s contract of employment and does not apply during probationary periods. Investigations / Fact Finding In the event the Charity becomes aware of an alleged or suspected misconduct, or where an employee is deemed to be under-performing, the line manager will investigate the matter to gather the facts. If the line manager considers the matter to be potential gross misconduct, then the matter will be referred to the CEO who will take necessary steps to ensure that any risk of danger to people or property is avoided. This may include suspending the employee from duty or temporarily re-organising working arrangements. Suspension will be on full pay and will be reviewed on a weekly basis. Suspension in itself is not considered as disciplinary action. During any period of suspension employees are not allowed to enter the Charity s premises or make contact with any employee or client without the express permission of the CEO. Page: 1 of 5 Approved by: Date: Jan 12
The fact finding process will involve interviews with the employee concerned and any other persons who may be able to clarify the circumstances relating to the alleged or suspected misconduct or underperformance. In all cases the line manager will complete the investigation as quickly as possible. If this is likely to take longer than a week the employee will be advised of the delay and kept informed of the progress and the timescale of the exercise. Upon completion of the fact finding process the line manager will evaluate whether or not there is a case to hold a Disciplinary Hearing, at which a decision will be taken on what, if any, disciplinary action should be taken. If, as a result of the investigation, a disciplinary hearing is to be held, it will, where practicable, be carried out by a different manager who has not been involved in the investigation. The CEO, or a member of the Board of Trustees, is the only personnel authorised to dismiss an employee. Formal Procedure (Dispute Resolution Step One) If an employee is required to attend a disciplinary hearing he/she will receive written confirmation of this in writing which will include: The time, date and venue of the hearing The nature of the hearing and its possible consequences Details of the alleged misconduct or underperformance The right to be accompanied by a work colleague or trade union representative The right to call any witnesses and produce relevant information. In addition, the letter will include any documentary evidence. Employees will receive a minimum of 2 days notice to attend a disciplinary hearing. (Dispute Resolution Step Two) At the hearing the employee will be advised again of the details of the alleged misconduct/evidence of poor performance and the results of the fact finding process. This will be supported by written documentation and witnesses as appropriate. The employee will be given the opportunity to present evidence and witnesses either in connection with the allegations or in mitigation, prior to a decision being made. The line manager or CEO, as appropriate, will consider all available information and decide what action, if any, to take in line with the following stages. The procedure may be implemented at any stage if an employee s alleged misconduct, under performance or incapability warrants it. Employees will not 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. Page: 2 of 5 Approved by: Date: Jan 12
In cases of poor performance which are dealt with through the disciplinary procedure an action plan should be agreed. The purpose of producing an agreed action plan is to: Make the employee aware of the standard to be achieved Set a realistic timescale within which an improvement is to be achieved. Identify all necessary training and supervision to be provided to assist in effecting an improvement Ensure that all staff involved implement, and are fully briefed on their part of the action plan Plan regular review meetings Agree an appropriate method of monitoring. After the meeting and having given due consideration to everything that was said, York Mind must write to the employee informing him/her of the outcome. In that letter the employee will be told that he/she has the right to appeal against the decision and that if he/she wishes to do so, he/she must write to the Chair of the Board of Trustees within five working days. Stage 1 Written Warning If an employee s conduct or performance does not meet the required standards and is sufficiently serious to warrant formal disciplinary action, or there has been a repetition of a previous offence which has been dealt with informally, the employee will be invited to attend a disciplinary hearing. As a result of this hearing the employee may be given a written warning. The outcome of the hearing will be confirmed in writing and provide details of the complaint, any action taken, state the standard or improvement required, and advise the employee of his/her right to appeal. It will also warn that more serious disciplinary action may be taken if there is no satisfactory improvement. The employee will be given a copy of the warning and a copy will be placed on his/her personal file. The warning will be held on file for 12 months, subject to satisfactory conduct and performance. Stage 2 Final Written Warning If the employee s conduct fails to improve, or his/her performance remains unsatisfactory, or if the misconduct is sufficiently serious to warrant only one written warning, a disciplinary hearing will be held and the employee may receive a final written warning. The outcome of the hearing will be confirmed in writing, including details of the complaint, any action taken, state the standard or improvement required and warn the employee that dismissal may result if there is no satisfactory improvement and, or, the offence is repeated. The employee will be given a copy of the warning and a copy will be placed on his/her Page: 3 of 5 Approved by: Date: Jan 12
personal file. The warning will be held on file for 12 months and then disregarded for disciplinary purposes. Stage 3 Dismissal If an employee s conduct or performance is still unsatisfactory, or they have committed an act of gross misconduct, a disciplinary hearing will be held which may result in dismissal. The Charity will pay salary in lieu of notice if an employee is dismissed, except in the case of gross misconduct. The employee will receive written reasons for his/her dismissal, including the date upon which his/her employment will terminate and of his/her right to appeal. There may be circumstances where an alternative penalty other than dismissal may be justified, such as a period of unpaid suspension, demotion, loss of seniority and, or, loss of pay and an extension to a warning. Gross Misconduct Gross misconduct is an act sufficiently serious to warrant summary dismissal, ie. dismissal without notice or pay in lieu of notice. It generally includes conduct resulting in a serious breach of contract, or which brings the employee or the Charity into disrepute, or action that is inconsistent with the relationship of trust and confidence required between us and employees. The following are examples of offences which are normally regarded as gross misconduct. This list is not exhaustive. Theft, fraud or dishonesty Deliberately falsifying records and information Threatening behaviour, verbal abuse, acts of violence, fighting and assault Acts of discrimination, harassment or bullying on the grounds of sex, race, religious belief, sexual orientation, disability, age, or any other nature A criminal offence committed at work, or an offence committed outside work, which makes your position with the Charity untenable Serious misuse of the Charity s computer systems including illegal copying of software Being under the excessive influence of alcohol or illegal drugs, or being in possession of illegal drugs, whilst at work Serious acts of insubordination or refusal to carry out a reasonable instruction. Unauthorised use or disclosure of confidential information Serious breaches of the Charity s rules, policies and procedures including health and safety and use of email and internet Serious carelessness, incompetence or negligence which causes, or may cause unacceptable damage, loss or injury. Appeals Procedure (Dispute Resolution Step Three) Page: 4 of 5 Approved by: Date: Jan 12
An employee has the right to appeal against any formal disciplinary action, which will be considered by the Management Committee. To exercise the right of appeal, the employee must do so in writing within 5 working days of receipt of the written notification of disciplinary action, stating the grounds upon which he/she wishes to appeal. The Management Committee will consider an appeal within 5 working days of its being made, wherever reasonably practicable. The appeal will consist of the line manager or CEO, whoever took the action, presenting the reasons for its being taken. The employee will then put forward his/her evidence as to why the action is inappropriate. Both sides may use written documentation, records of the disciplinary hearing and witnesses, where relevant to the case. The decision of the Board of Trustees in resolution of an appeal will be final and there is no further right of appeal. It will be notified in writing to the employee within 5 working days of the appeal hearing. Page: 5 of 5 Approved by: Date: Jan 12