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NHS North Somerset Clinical Commissioning Group. HR Policies Managing Discipline - PDF
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1 NHS North Somerset Clinical Commissioning Group HR Policies Managing Discipline Approved by: Quality and Assurance Group Ratification date: May 2013 Review date: May
2 Contents 1 Policy Statement Principles Procedure Scheme of Delegation Equal Opportunities Monitoring Part 2 Discipline Procedure
3 1 Policy Statement 1.1 The Disciplinary Policy applies to all staff who are outside their probationary period, and is in accordance with all legal requirements and ACAS guidance. The policy aims to encourage employees to achieve and maintain the required standards of conduct, performance and attendance. It ensures fairness and consistency in the treatment of individuals. In cases where an employee fails to attain the required standard the disciplinary policy will be instigated and this may result in disciplinary action. Where the policy is not explicit on any particular issue, the ACAS Code and guidance will be followed. 1.2 Disciplinary issues concerning the Chief Operating Officer or Chief Clinical Officer will be referred to NHS England. Cases will be progressed by the Board of NHS England in accordance with the principles and procedures set out in this policy. 1.3 Where necessary, appropriate individuals from outside the organisation may take part in these procedures either in the role of investigator, HR support or as a member of any Disciplinary panel. 1.4 This policy does not form part of any employee s contract of employment and may be amended from time to time. 2 Principles 2.1 Alleged breaches of conduct, performance or attendance will be fully investigated before any disciplinary action is taken and where appropriate, the manager will attempt to resolve the matter through informal discussion with the employee. 2.2 Managers considering whether or not an issue should be progressed to a disciplinary hearing should discuss the matter with an HR Representative before making a decision. 2.3 All cases of suspected fraud within the Organisation must initially be referred to the Director of Finance and Local Counter Fraud Specialist prior to a full investigation being initiated as required under the Standing Financial Instructions. This is to assess the case and exercise discretion as to the need to involve others or whether to allow the matter to be dealt with internally. If the latter is preferred, the following procedure will apply (Please refer to the Whistleblowing policy). 2.4 No disciplinary action will be taken against a trade union representative without firstly discussing with the relevant full time officer. 2.5 Employees will be informed in writing of the issues causing concern and will be given the opportunity to present their views in writing before any decision is made at a disciplinary hearing. 2.6 Employees are entitled to be accompanied at all formal meetings by a Trade Union 3
4 Representative or CCG work colleague. At management s discretion, a colleague from a different NHS organisation may be allowed to attend if it is not practicable to be accompanied by a staff member of the CCG. If the employee has been requested to attend a disciplinary hearing they must inform the Chair of the Disciplinary Panel of their chosen work colleague or staff representative, at least 2 working days in advance of the meeting. The employee may not insist on being accompanied by a colleague whose presence would prejudice the meeting or who might have a conflict of interest. It would also be unreasonable for an employee to ask to be accompanied by a colleague from a remote location when someone suitably qualified was available on site. Should there be any dispute regarding the chosen companion that cannot be resolved, the matter will be escalated to the HR Representative. 2.7 Employees are required to attend all meetings relating to the disciplinary process. If they, or their companion, are unable to attend the arranged meeting, they must give notice and reasons why they are unable to attend. The meeting will then be rescheduled to a mutually convenient time, which will be within 10 working days of the original date. If the representative is not able to attend either the original or rescheduled date, the employee must select a different representative. However, where an employee fails to attend such meetings without reasonable grounds, then the meeting may be held in their absence. The employee will be informed of this in writing. 2.8 The line manager will appoint an investigator not directly connected with the allegations and produce a report with recommendations. In some circumstances, this person may be from outside the organisation. If an employee has a valid objection to the person appointed to undertake the investigation or to hear the case, they must raise this objection in writing, clearly stating their reasons, to the HR Representative. 2.9 The level of disciplinary action to be taken will be determined according to the seriousness and nature of the alleged misconduct. Once the formal disciplinary procedure has been initiated, subsequent misconduct within the warning period may lead to further, and perhaps more serious, disciplinary action, which may ultimately lead to dismissal Warnings are active from the date of issue for the periods detailed in Section 7.1, except in exceptional circumstances No employee will be dismissed for a first instance of misconduct: summary dismissal may only occur in the case of Gross Misconduct The employee will have the right of appeal against any disciplinary warning or sanction issued in the formal stages of the procedure. Please refer to Part 2, Section 6 of the procedure Appeals This procedure will not apply to employees in their probationary period The organisation will ensure that all managers who are responsible for disciplinary 4
5 issues are suitably trained and have the necessary knowledge and skills Should an employee raise a complaint either under the Grievance Policy or the Prevention of Harassment and Bullying at Work Policy whilst subject to action under this policy, the disciplinary process may be temporarily suspended in order to deal with the grievance. Where an initial investigation into the complaint, conducted by another manager, finds that the grievance and disciplinary cases are related, it may be appropriate to deal with both issues concurrently. If the grievance complaint is found to have no bearing on the matters being investigated under this policy then the disciplinary proceedings will continue from the point at which they were suspended. In any event, advice should be sought from a HR Representative 2.16 Data is held and destroyed in accordance with the provisions of the Data Protection Act 1998 and any Authority policy which derives from that Act All matters relating to any part of this procedure will be treated in strict confidence. Any breach of this confidentiality may render those responsible liable to a formal investigation which may result in disciplinary action. However, it must be remembered that legislation requires the accused to be made aware of the allegations against them and the name(s) of those making the allegations, along with witnesses Internal witnesses will be expected to co-operate with the investigation, provide a statement and, if required, attend a hearing A note taker should be appointed to take notes of the Disciplinary Hearing and any Appeal Hearing or alternatively, the hearing may be recorded and a typed transcript made. The employee may request a copy of the notes. 3 Procedure This procedure is detailed in Part 2 and should be read in conjunction with the flow chart. 4 Scheme of Delegation Informal procedure Line Manager or equivalent level manager from within the organisation. Formal procedure Line manager or equivalent level manager from within the organisation or the line manager s direct manager if the line manager has been previously involved or implicated. Appeal following formal Line Manager s manager or equivalent who procedure has not previously been involved or implicated. Hearings at First or Chaired by a Senior Manager of Band 8a or 5
6 Second Stage which will not result in Dismissal Hearings which could lead to Dismissal Appeal against dismissal above eg Head of Department and other manager or HR Representative. Chair has casting vote. Chaired by a Senior Manager of 8a or above eg Head of Department plus one other manager and HR representative. Chaired by a Director or above plus one other senior manager and HR representative. 5 Equal Opportunities 5.1 In applying this policy, the Organisation will have due regard for the need to eliminate unlawful discrimination, promote equality of opportunity, and provide for good relations between people of diverse groups, in particular on the grounds of the following characteristics protected by the Equality Act (2010); age, disability, gender, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, and sexual orientation, in addition to offending background, trade union membership, or any other personal characteristic. 5.2 As part of the Organisation s equal opportunities monitoring, all disciplinary hearings are monitored on a rolling annual basis. Subsequently information may be held on the disciplinary monitoring register longer than the duration of the warning itself. 6 Monitoring 6.1 The policy and procedure will be reviewed at least every three years by the Human Resources Representative giving due consideration to legislative changes which may impact on this policy and procedures. 7 Part 2 Discipline Procedure 1. PROCEDURE 1.1 If an employee fails to meet the required standards of performance, conduct or attendance, they may be subject to this disciplinary procedure. At all stages the employee will be told of the reason for using the procedure. Management will ensure that the changes in performance, conduct or attendance required and the timescales involved are reasonable, achievable and where possible agreed by all parties. Please refer to the Management of Sickness policy and the Capability (Managing Work Performance) policy for further information and guidance. Further misconduct, or expiry of the review period without improvement, may lead to progressive disciplinary action which may ultimately result in dismissal. This procedure may also apply where cases of unacceptable conduct take place outside 6
7 the working environment which brings the organisation into disrepute. 2. INFORMAL STAGES 2.1 Where there is an identified failure in performance, the procedure in the Managing Work Performance Policy will be implemented. Where unsatisfactory progress is made towards the agreed performance level, the formal stages of the Disciplinary Policy will apply. 2.2 Where levels of attendance are a cause for concern, the procedure in the Management of Sickness Absence policy will be implemented. If absence levels continue to cause concern, and an underlying medical condition has not been identified, the formal stages of the Disciplinary Policy will apply. 2.3 In cases of suspected minor misconduct in relation to conduct or behaviour, the following process will be followed: The employee s line manager will speak to the individual, in private, as soon as possible after an issue comes to light. This will be a two-way discussion aimed at establishing the circumstances and encouraging improvement. This is an informal meeting and there is no right to be accompanied If, during the discussion, it becomes evident that there is no issue, the manager will confirm to the employee that no formal disciplinary investigation will be necessary Where an improvement in conduct is required, the manager will make sure the employee understands what needs to be done, and over what period of time. The required improvement, the length of the review period and any sanctions imposed, for example withdrawal of flexi time, will be confirmed in writing following the meeting and the letter will also include the consequences of a failure to improve Further meetings will be held to review progress during, and at the end of, the review period. Notes of all meetings will be taken and the employee will have an opportunity to comment on them If, during the initial discussion, it becomes obvious that the matter may be more serious, the meeting will be adjourned and the employee advised that an investigation will be instigated under the formal stages of the disciplinary procedure. If managed informally there is no right to be accompanied by a staff side representative or workplace colleague to the meeting with the line manager. 3. FORMAL STAGES 3.1 Before any disciplinary hearing is held, an investigation will take place to establish the facts of the case (Please refer to flowchart). This will normally be in the form of a fact find meeting where notes will be taken, together with any other relevant evidence. However in exceptional circumstances and with advice from an HR Representative, other forms of evidence alone may be sufficient. For example in the case of short-term persistent absence, absence records, return to work interviews and Occupational Health reports may be used as the basis for disciplinary 7
8 proceedings. 3.2 Normally the investigation process should take no longer than 4 weeks. Where it is not possible to complete the process within this timescale, the reasons for the delay will be recorded and the expected date for completion of the investigation process communicated in writing to all parties involved. An employee is entitled to be accompanied at the investigation meeting by a Trade Union Representative or a workplace colleague. Managers Authorised to Take Disciplinary Action 3.3 To ensure fairness and impartiality, where reasonably practicable, the disciplinary panel should consist of no less than two members. The meeting will be led by a manager who has not been previously involved in the matter, in consultation with either another impartial manager or an HR Representative. Where dismissal is a possibility, the disciplinary hearing will be conducted a panel of three, by a Manager authorised to dismiss, another Manager and an HR Representative. (Please refer to Part 1, Section 4 of the Policy Scheme of Delegation). Decisions will be made unanimously if possible but if not by the majority or in the event of a Panel of two members, the Chair will have the deciding vote. 3.4 The outcome of a disciplinary hearing will generally fall into one of the following categories:- Case dismissed no case to answer No action required The employee is required to attend counselling or retraining First written warning Final written warning Dismissal Other sanction Also see 3.12 of the procedure for further sanctions. First Written Warning 3.5 If the issue is serious, a First Written Warning will normally be issued and will be kept on the employee s personal file for 12 months. A copy of the written warning will be kept on file but should be disregarded for disciplinary purposes after 12 months from the date of issue. Final Written Warning 3.6 If the issue is more serious or if there is a still an active First Written Warning in place and insufficient improvement has been made or further misconduct occurs, a Final Written Warning will normally be issued and will be kept on the employee s personal file for 24 months. A copy of the written warning will be kept on file but should be disregarded for disciplinary purposes after 24 months from the date of issue. 8
9 Dismissal with Notice 3.7 If, within 12 months of the issue of a Final Written Warning, further misconduct occurs or insufficient improvement has been made, the employee will normally be dismissed with notice. 3.8 The Chair of the panel will arrange for the employee to be provided with written reasons for dismissal, the date on which the employment will terminate, their entitlement to pay, and the right of appeal. (Please refer to Part 2, Section 6 of the procedure Appeals) 3.9 The Organisation reserves the right to make a payment in lieu of notice. Summary Dismissal 3.10 Where behaviour or misconduct is sufficiently serious to constitute proven gross misconduct (see examples in Appendix A) the employee will normally be summarily dismissed without notice. In exceptional cases, for example where there is strong mitigation, an alternative level of warning or sanction may be applied. Please refer to section 3.12 of the procedure The employee will be provided with written reasons for dismissal, the date on which the employment will terminate and the right of appeal. (Please refer to Part 2, Section 6 of the procedure Appeals) Potential Additional Sanctions 3.12 Additional sanctions may be included after discussion with an HR Representative who will be able to advise on the appropriateness, equity and viability of any further sanction. These can include, but are not limited to:- Demotion or transfer to another job or location Deferred increment Loss of privileges e.g. removal of right to self-certificate absence and the requirement for all absences to be covered by a medical certificate, removal of flexi-time. 4. SUSPENSION 4.1 Suspension is a neutral act and does not constitute disciplinary action or sanction. It is only to be invoked when an individual's continued presence at work places themselves/other person(s) or the organisation at risk, or is likely to hamper any investigation. If appropriate, suspension should be effected as soon as possible after the matter to be investigated comes to light or a need for suspension is identified. Suspension will always be on full pay and should be for as brief a period as possible. It is expected that suspension will be no longer than 4 weeks, but may be extended in exceptional circumstances. Employees who are suspended will be informed in writing of the reasons for the suspension. The necessity or otherwise for suspension, will be agreed between the manager and an HR Representative. 9
10 4.2 Should it be concluded that no further action is necessary following investigation, a briefing session should be held between the individual, their trade union representative or work colleague if required, and their manager prior to a return to normal duties. 5. THE DISCIPLINARY HEARING 5.1 A disciplinary hearing (See Appendix B) will normally be held by a panel consisting of a manager, who has not been previously involved in the matter, who will act as the Panel Chair. They will either be accompanied by another appropriate manager or an HR Representative, or in some cases both. Please refer to Part 1, Section 4 of the Policy Scheme of Delegation). 5.2 Before the disciplinary hearing the employee will be advised in writing of the purpose of the meeting and details of the complaint or allegation being considered, covering all issues to be discussed. The individual will be given a minimum of 5 working days notice of the disciplinary hearing. If the individual, or their chosen companion, is not available to attend on the date proposed, the Organisation will endeavour to offer an alternative reasonable date within 10 working days of the original date wherever possible. Note: This meeting will normally only be rearranged once, except in exceptional circumstances. 5.2 Should either party wish to call any witnesses to the disciplinary hearing they must give at least 3 working days notice to the Disciplinary Panel. Each party is responsible for arranging attendance of its own witnesses except in the case where an employee is suspended where the organisation will invite witnesses on the employee s behalf. 5.3 All relevant facts and evidence will be made available to the employee at least 5 working days prior to the disciplinary hearing. Additional information gathered by the employee, that they wish to present at the meeting, must also be made available to the disciplinary panel at least 2 working days prior to the meeting. 5.4 Either party may present evidence including details of previous live warnings, witness statements, call witnesses and have the opportunity to ask questions. 5.5 Adjournments may be called by the panel at any time during the hearing should new facts emerge which require investigation or clarification. If the employee becomes distressed an adjournment may be called in order for them to regain their composure. Should the employee be unable to continue, the meeting will be adjourned to a later date. 5.6 At the conclusion of the evidence, an adjournment must be held in order that there can be a period of dispassionate reflection by the disciplinary panel to consider whether the allegation(s) are proven and what action, if any, is to be taken. Where possible, both parties will be verbally informed of the outcome after the adjournment. 5.7 The employee will be advised in writing of the outcome of the disciplinary hearing within 7 working days unless a longer period is specified and can be justified. If 10
11 disciplinary action is taken, the employee will be informed of the required improvements which are necessary and if applicable details of timescales for achievement, the duration of the warning and the consequence of a failure to improve performance as required, in line with Section 3.1.The letter must include the date of the disciplinary hearing, the reason for issuing the warning as well as details of any sanctions which may be imposed. It should also be noted whether the employee invoked their right to be accompanied. The right of appeal will also be included. 6. APPEALS 6.1 An employee in receipt of a disciplinary warning or notice of dismissal has the right of appeal. 6.2 Appeals, outlining the grounds on which the appeal is being made, must be lodged in writing to the person specified in the notification letter within 5 working days of the receipt of the written notice of disciplinary action or dismissal. The letter must include details of their grounds for appeal. In exceptional circumstances this period may be extended. 6.3 The employee must submit details of their grounds for appeal, plus any new evidence they wish to present, to the Appeal Hearing Panel at least 3 working days prior to the appeal meeting. 6.4 Appeals will be heard within 5 weeks of receipt of the letter requesting the appeal but either party may, with the consent of the other and in exceptional circumstances, be entitled to extend this period. 6.5 The employee must be given at least 5 working days notice of the date of the appeal hearing. 6.6 The Appeals Hearing Procedure (Appendix C) must be followed. 6.7 Appeals will normally be heard by a more senior manager to the person taking the first instance disciplinary action unless directed otherwise by the Chief Operating Officer. Appeals will include an HR representative wherever possible. 6.8 The employee will have the right to be accompanied at the Appeal Hearing by either a staff side representative or workplace colleague although their non-attendance will not delay the hearing. 6.9 Both parties must provide to the Appeal Hearing Panel, a full written statement of case including the grounds upon which the appeal is presented/resisted, with copies of any documents the party concerned intends to use in evidence, and, the identities of any witnesses the party concerned intends to call, at least 3 working days prior to the Appeal Hearing The decision of the panel will be communicated to both parties verbally, following the adjournment wherever possible, and in any case will be confirmed later in writing (again to either party), no later than 5 working days after the Appeal Hearing. 11
12 6.11 The decision of the appeal panel is final. 7. DURATION OF WARNING / RECORDS 7.1 The duration of warnings will be as follows:- First written warning Final written warning 12 months 24 months 7.2 A copy of the warnings will be kept on file but should be disregarded for disciplinary purposes after 12/24 months from the date of issue. Elaine Edwards HR Business Partner April
13 Appendix A Examples of Gross Misconduct Theft Fraud Assault Bringing the Organisation into Serious Disrepute Computer Misuse eg accessing adult sites during work time Serious Breaches of Health and Safety Bullying and Harassment Serious Insubordination (this list is not exhaustive and may include other behaviour of a serious nature) 13