1. Using the Disciplinary Procedure Human Resources

2. Objective of the session n To enable delegates to become familiar with the procedure and advice notes n To enable delegates to practice their understanding of the procedures though examples

3. One morning.......... you arrive at work and unexpectedly find your line manager waiting for you in your office. Your manager tells you that a complaint has been received about you; this complaint is so serious that you cannot continue to be employed and you are therefore summarily dismissed with immediate effect. Your manager tells you to clear your desk and then they will walk you to your car

4. Core Principles of Natural Justice n Inform the employee of the complaint against them and provide them with an opportunity to state their case before a decision is reached n Allow employees to be accompanied at disciplinary meetings n Make sure no action is taken until the facts of the case are established n Never dismiss for a first offence, unless it is gross misconduct

5. Core Principles of Natural Justice (Continued) n Give the employee a written explanation of any disciplinary action taken and ensure they know what improvement is expected. n Give the employee the opportunity to appeal n Deal with issues thoroughly and promptly n Act consistently n Use procedures primarily to help and encourage employees to improve rather than just a way of imposing punishment

6. Why is there a WBC procedure ? n To ensure procedures comply with employment legislation n To ensure disciplinary situations can be handled appropriately and effectively

7. What are the key elements? n Supporting advice notes for managers and employees n No longer an oral warning n New approach to suspension n Increased time limits for notification of hearings and production of documentation / witness statements n Hearings not heard at a specific stage n No ‘other penalties’ n Duration of warnings

8. How can you prevent small problems becoming disciplinary issues? n Induction n Develop communication n One to One’s n Informal approach n Consistency

9. Misconduct n Misconduct: involves an employee breaking specific rules about behaviour or conduct. Conduct that falls below expected standards. There may be occasions when negligent conduct amounts to misconduct.

10. Gross Misconduct n Gross misconduct is very serious misconduct that will repudiate the contract of employment and will normally lead to dismissal without notice or pay in lieu of notice.

11. Dealing with a Disciplinary Situation n You are the manager of a Residential Care home and you have received a letter from a member of agency staff. n This letters makes allegations about Sam Birch, who is a Day Care Assistant in your service.

12. Preliminary Investigation n Intitial preliminary checks only n Very quick – no more than 2 days n Can be undertaken by the line manager, even if they are not going to be the investigating officer

13. Are these potential suspension situations ? n Service user is harmed ? n Theft ? n Offensive language towards colleagues ? n Misuse of Council’s internet facility?

14. Suspension n Precautionary move, to enable a fair investigation to take place n Not a disciplinary sanction n On full pay n For as short a time as possible

15. Next Steps n Head of Service establishes who will be investigating and who will be chairing the hearing where required n Meet with employee to inform him/her of the allegations (right to representation)

16. Investigation n All formal disciplinary cases will require an investigation – required in law n The investigating officer cannot Chair the disciplinary hearing n Where the allegation has financial implications, inform Head of Service, Head of HR and internal audit n The investigation process is key – it needs to be carried out quickly and effectively

17. Carrying out an Investigation n You have been appointed to the role of Investigating Officer for the case within the residential home. The allegations are that Sam Birch, a Day Care Worker, left a high-dependency service user, with severe learning difficulties, alone in the kitchen. An agency worker, Jo Willow, arrived in the kitchen to find the service user with burns on their arms. After a preliminary investigation, Sam has now been suspended. n How would you undertake your investigation ?

18. The Next Steps n Disciplinary investigation report forwarded to Head of Service, who considers next steps n Timescales and paperwork are important – consult HR

19. The Next Steps You have completed your investigation and you give the employee this letter, advising them of the next steps.

20. Who attends a disciplinary hearing? n Chair n HR Rep to advise Chair n Employee n Employee support n Investigating Officer n HR rep to support Investigating Officer n Note taker n Witnesses

21. What happens at the disciplinary hearing ? n Chair manages the proceedings – explains process and states allegations n Investigating officer presents management case (with witnesses) n Questions n Employee presents their case (with witnesses) n Questions n Adjournments, if necessary n Both sides sum up n Both sides leave, while Chair considers decision (with advice from HR)

22. What to consider when reaching a decision n Disciplinary Rules u Do the disciplinary rules indicate what penalty should apply? n Past cases u What penalty has been applied in similar cases in the past? n Employee’s record u What is the employee’s disciplinary record, work experience, length of service? n Special circumstances u What mitigating and special circumstances exist which might make it appropriate to adjust the severity of the penalty? n Reasonableness u Is the proposed penalty reasonable in all the circumstances?

23. Potential Outcomes n Allegations unsubstantiated n Informal handling n First written warning n Final written warning n Dismissal with notice n Dismissal without notice

24. Confirming Outcome n If possible, chair asks individual to return to communicate decision verbally and close meeting n Otherwise, individual informed verbally within 3 working days n Decision confirmed in writing within 5 working days n If dismissal, inform payroll and ensure Council property is returned

25. What happens after the disciplinary hearing ? n The employee leaves the premises n Appeal n Keep records n The ‘aftermath’ n Maintain confidentiality

26. Key Contacts n HR Operations Team Contact n HR Advice Line for Managers and Head teachers 01635 503033 (ex 3033)