Disciplinary and Grievance Policy and Procedures

1 PURPOSE

1.1 Scarborough and District Disablement Action Group (hereafter referred to as "The Group") aims to ensure there will be a fair and consistent approach to the enforce-ment of standards of conduct affecting all employees and volunteers within The Group.

1.2 An essential element of The Group procedure between staff and each volunteer is mutual trust and confidence. All employees and volunteers are under an obligation to obey lawful and reasonable instructions, to exercise care in carrying out their duties and not to disclose confidential information to an unauthorised person.

1.3 The Group has drawn up a Code of Practice that sets out standards of conduct performance expected of employees and volunteers.

1.4 The Group Management Committee and the Manager have a duty to help and encourage all employees and volunteers to achieve and maintain these standards.

1.5 Where failure to meet the standards required as a result of lack of skill or competence, employees and volunteers will be offered training and guidance to improve their performance.

1.6 Refusal to accept training or wilful/negligent avoidance of opportunities to increase a employees and volunteer's capacity to fulfil their duties will be treated as misconduct and handled through the disciplinary procedure.

2 PROCEDURES

2.1 The Group Grievance Procedure provides a process by which employees and volunteers can make complaints about any aspect of their work, can have their complaints investigated and, if appropriate, redressed.

2.2 The Group Disciplinary Procedure provides a means of encouraging employees and volunteers whose standard of work or conduct is unsatisfactory, to improve.

2.3 Every effort will be made to resolve problems before formal procedures are invoked.

2.4 These Procedures aim to lay down:

(a) A process for employees and volunteers to make complaints about any aspect of their employment or volunteer duties
(b) A fair method of dealing with unsatisfactory work or conduct
(c) A method for employees and volunteers to appeal against disciplinary action

2.5 These Procedures apply to all employees and volunteers within The Group.

3 PRINCIPLES

3.1 The Group encourages all its employees and volunteers to attempt to sort out work-related problems informally where possible.

3.2 The Group will ensure any complaint or alleged misconduct is investigated fully and promptly. Prompt investigation will enable The Group to decide whether to drop the matter, because it can be resolved through training or counselling or whether to invoke the disciplinary procedure.

3.3 The Group will ensure no disciplinary action is taken against an employee or volunteer before there has been a full investigation.

3.4 The Group will ensure that an employee or volunteer is advised of the nature of any complaint against them and is given the opportunity to give their point of view, before any disciplinary action is taken.

3.5 The Group will ensure an employee or volunteer is given a full explanation of the reasons for disciplinary action and a right of appeal against any decision to discipline.

3.6 The Group will ensure all employees and volunteers have the right to be accompanied by a representative at all stages of The Group disciplinary and grievance procedures.

3.7 The Group will ensure no employee or volunteer is dismissed for a first breach of discipline, except in the case of gross misconduct.

4 GRIEVANCE PROCEDURE

4.1 An employee or volunteer of The Group with a grievance relating to their duties has a right to express it.

4.2 Any employee or volunteer with a grievance must be able to show they have raised the matter with Manager and/or The Group Management Committee before the formal process can be invoked, unless it can be shown the nature of the grievance runs counter to this.

4.3 The grievance procedure exists to ensure any problem an employee or volunteer might wish to raise is dealt with as quickly and as effectively as possible.

4.4 Employees or volunteers should not use the grievance procedure over matters which are not related to their duties.

4.5 FORMAL PROCEDURE

Stage 1
The matter should be raised initially with the Manager who should reply orally to the grievance. If the matter is not resolved within 15 working days, it should be referred to stage 2.

Stage 2
If an employee or volunteer continues to be aggrieved, they should put the matter in writing to the The Group Management Committee who will discuss the problem/complaint with the staff member or volunteer. If the matter is not resolved within 15 working days it should be referred to stage 3.

Stage 3
Within ten working days of a failure to agree under stage 2, a meeting will be held with The Group Management Committee, comprising a minimum of 3 committee members. Any decision made at the meeting will be confirmed to the employee/volunteer in writing within 15 working days.

If the employee/volunteer is still dissatisfied, the complaint will then be considered by another panel. The three members will be an independent qualified person, a Social Services representative and the Chairperson of The Group. The employee/volunteer will also be invited to attend, with a representative or friend if s/he so chooses.

The Group Management Committee has the power of final decision.

4.6 Grievances of a general nature affecting more than one employee or volunteer or where the problem is with the Manager should be initiated at Stage 2.

4.7 At all stages of the Grievance Procedure an employee or volunteer may be represented by a representative or a friend.

4.8 At all stages the time limits specified may be altered by mutual agreement e.g. to arrange meetings at mutually convenient times or to allow matters to be investigated fully.

5 GROSS MISCONDUCT

5.1 Gross misconduct is of such a serious nature that The Group is justified in no longer tolerating the presence of an employee or volunteer who has behaved in such a way as to destroy the relationship of trust and confidence between The Group and the staff member or volunteer.

5.2 Examples of gross misconduct include the following:

"theft/fraud/misappropriation of The Group's property
serious acts of insubordination
discrimination - racial, disability, gender, sexuality, religious
behaviour likely to bring The Group into disrepute
threatening or damaging another employee's or volunteer's person or property
placing in jeopardy the purpose, reputation or property of The Group
disclosing information known to be confidential to The Group
removing, mutilating or destroying documents in the custody of The Group
failing to account for money received in the course of duty
deliberate falsification of records

This is not an exhaustive list.

5.3 All employees and volunteers are reminded that acceptance of The Group's equal opportunities policy is a condition of their appointment.

5.4 Criminal activity on the part of an employee or volunteer, unrelated to The Group's work or premises, does not in itself constitute gross misconduct and is not in itself grounds for dismissal either when alleged or proved in court, unless it is of a nature that could affect the safety of our customers, members of staff and volunteers within The Group.

6 GROSS MISCONDUCT - PROCEDURE

6.1 Any allegation of gross misconduct must be made to The Group Management Committee who will institute a full and objective investigation of the alleged misconduct and convene a meeting of a Disciplinary Panel (comprising a minimum of 5 committee members).

6.2 For offences of suspected or alleged gross misconduct there will be immediate suspension, pending full investigation. The most senior officer on duty will have full authority to suspend an employee or volunteer.

6.3 Within 5 working days the Disciplinary Panel will meet to consider the allegation. The employee or volunteer against whom the allegation is made will be invited to attend to put their case. The staff member or volunteer has the right to be accompanied by their chosen representative.

6.4 Where very serious misconduct, but not amounting to gross misconduct, is proved an employee or volunteer may be given a first and final warning that any further acts of misconduct will result in dismissal.

6.5 The employee or volunteer will have a right of appeal against the dismissal. Any such appeal must be put in writing to the Disciplinary Panel within 5 working days of receiving the notice of dismissal.

6.6 The Disciplinary Panel will meet within 10 working days of the appeal being lodged. The employee or volunteer has the right to be present at this meeting and to be accompanied by a representative or friend. The findings of the Disciplinary Panel will be binding.

7 OTHER MISCONDUCT

The majority of actions constituting misconduct will be insufficiently serious to be classified as gross misconduct. They will usually relate to unsatisfactory conduct.

7.1 Any allegations of misconduct made by staff, Management Committee members, volunteers, user organisations or members of the public against any employee or volunteer should be directed in the first instance to the Manager. A complaint about the Manager should be directed to The Group Management Committee.

7.2 The Manager (or The Group Management Committee in the case of an allegation against the Manager) will call a meeting with the employee or volunteer against whom the allegation is made to discuss the matter, determine whether misconduct has taken place and examine ways of dealing with any problems occurring.

7.3 Formal Disciplinary Action will be taken where an employee's or volunteer's work, conduct or action warrants it.

7.4 Misconduct or poor performance which is likely to lead to formal disciplinary action includes:

negligent in the performance of duties
failure to notify change in rota
harassment
breach of safety rules
breach of confidentiality on matters relating to The Group
victimisation of any volunteer, employee or committee member who has provided information about an act of discrimination

This list is not exclusive or exhaustive.

7.5 The following three-stage procedure will normally apply:

(a) In the case of minor offences a formal verbal warning will be given.
(b) More serious offences or an accumulation of minor offences will result in a formal written warning. (3 verbal warnings for the same offence will result in a written warning being given.)
(c) Where misconduct is sufficiently serious to warrant only one written warning, or an employee or volunteer has a previous warning and further misconduct occurs, a final written warning will be given which will indicate that any further misconduct will lead to dismissal.

7.6 The Procedure may be implemented at any stage if the employee's or volunteer's alleged misconduct warrants such action.

7.7 The Manager has authority to investigate misconduct in relation to other employees or volunteers, and to give a formal verbal warning. This will be done after consultation with The Group Officers and The Group Management Committee.

7.8 Formal written warnings will be given by The Group Management Committee involving a minimum of 2 Committee members, the Manager and The Group Chairman following a disciplinary interview.

8 DISCIPLINARY PROCEDURE

8.1 The Manager will notify The Group Management Committee that the formal procedure is being invoked and give an assurance that every effort has been made to resolve the problem informally.

8.2 The Manager (or The Group Management Committee Chair in case of misconduct by Manager) will inform the employee or volunteer in writing that the formal procedure is being invoked because a disciplinary offence may have taken place. The employee or volunteer will be given details of the nature of the misconduct and the date of the disciplinary hearing.

8.3 The Manager will arrange a disciplinary interview.

8.4 Records of all meetings will be kept and agreed as accurate by all parties, and copies kept on file.

9 FORMAL PROCEDURE

Stage 1 - Verbal Warning
If conduct or performance does not meet acceptable standards the employee or volunteer will normally be given a formal verbal warning by the Manager.
The Manager will explain to the employee or volunteer the reason for the warning, that it is the first stage of the disciplinary procedure and of the right of appeal. The warning will be recorded and the Manager will advise The Group Management Committee a verbal warning has been given.

The Manager will discuss plans for making progress/improvement. The discussion and plans will be recorded and the Manager will agree with the employee or volunteer a reasonable time period for the next review. The review period should be within 2 months.

If progress is satisfactory within this review period, the record of the verbal warning on the employee's or volunteer's file will be expunged. If progress is unsatisfactory there will be a re-examination of the plan and a further reasonable time for review agreed.

Further misconduct or failure to improve will result in a stage 2 disciplinary interview. All records of a verbal warning will be removed from the file after 6 months satisfactory service.

Stage 2 - Written Warning
After reference to the record of previous verbal warnings, if further misconduct occurs or the offence is serious, a disciplinary interview will be held and a written warning will be given by The Group Management Committee (Disciplinary Panel) comprising at least 2 Committee members, the Manager and The Group Chairman.

The written warning will detail the misconduct, the action necessary to remedy the situation and the period of review decided on. This period of time will not exceed 1 month.

The warning will confirm that any further misconduct or failure to improve within the specified timescale will result in a further disciplinary interview when the employee or volunteer will be given a final warning which if unheeded will result in dismissal.

The employee or volunteer will be advised of their right of appeal. A written warning will normally be spent after 6 months satisfactory conduct and performance.

Stage 3 - Final Written Warning and Dismissal
If progress or improvement is not made by the time of review specified under stage 2, conduct or performance is still unsatisfactory or there is misconduct sufficiently serious to warrant only one written warning, a disciplinary interview will be held and a final written wanting will normally be given.

The employee or volunteer will be made fully aware that dismissal will result if there is no satisfactory improvement within the specified timescale.

A final warning will normally be spent after 6 months subject to satisfactory conduct and performance.

If the employee or volunteer still fails to reach the prescribed standard, notice of dismissal will be given.

10 DISCIPLINARY DECISIONS - APPEAL PROCEDURE

All employees or volunteers will be informed of their right to appeal against the decision of any disciplinary hearing.

Stage 1
The employee or volunteer must apply to The Group Management Committee in writing within 5 working days of notification of a disciplinary decision.

If the matter is not resolved within 5 working days it should be referred to stage 2.

Stage 2
Within 10 working days of failure to agree under Stage 1, a meeting will be held with The Group Management Committee (disciplinary panel) comprising 3 Committee members.

The Group Management committee will ensure that members of any panel considering an appeal against disciplinary action were previously uninvolved in the disciplinary hearings in relation to the particular case.

Stage 3
If there is a failure to agree, the employee or volunteer can appeal to The Group Management Committee which will have power of final decision.

At all stages employees or volunteers may be represented by a representative or a friend.

At all stages the time limits specified may be altered by mutual agreement.

Reviewed 10 July 2003. Amended 14 July 2003.