3 HELLO! Mark Mortimer MBE Human Resource Adviser Plymouth City Council Wendy Wood Assistant Human Resource Adviser Plymouth City Council
4 TODAY House Keeping Introductions Aim and objectives Discipline Grievances Share experience
5 DISCLAIMER The information contained within this presentation is for guidance only. This presentation is to provide information and reflects our understanding of legislation at the time of writing. We do not accept any responsibility for any results obtained from the use of this information, expressed or implied. As such, it should not be used as a substitute for legal advice. Before making a decision or taking any action you should consult with your legal adviser.
6 HOUSEKEEPING Fire Alarms Mobile Phones Toilets Breaks Q & A
7 INTRODUCTIONS Who are you? Company? Role in the company? What do you hope to get from this session?
8 AIM & OBJECTIVES Aim - To coach managers to operate and apply a disciplinary/grievance procedure. To appreciate the need to set standards To know when to discipline To know how to proceed To know what to consider To appreciate the legal framework To learn from stories
9 WHY DISCIPLINE? Rules are observed Standards are maintained Methods of dealing with shortcomings in performance or conduct Help an undisciplined or poorly performing employee to become effective Potentially reduce the need for dismissals ACAS Code
10 WHEN TO DISCIPLINE Distinguish small d and big D discipline Overturning established behaviour is often resented Always deal with potential or actual breaches of discipline on the first occasion Use disciplinary procedures if problem persists
11 ESSENTIALS OF DISCIPLINE Immediate and specific Investigation Hold meeting (hearing) Consequences On-going support Right of appeal
12 MISUSES OF DISCIPLINE To establish, change or reintroduce rules To deal with collective or group problems To enhance personal or sectional power To teach employees the rules To use someone as an example to others
13 CONSISTENCY Between sites Between employees Between occasions Between penalty
14 ESSENTIAL FEATURES OF A DISCIPLINARY PROCESS Dealt with quickly Policy & Procedure must be in writing Specify to whom policy & procedures apply Specify the level of management which have the authority to take disciplinary action Provide for individuals to be informed of the complaints against them and to state their case before decisions are reached
15 ESSENTIAL FEATURES OF A DISCIPLINARY PROCESS(Contd.) Give individuals the right to be accompanied by a fellow employee of their choice or an accredited Trade Union representative Ensure that disciplinary action is not taken until the case has been carefully investigated Ensure that except for gross misconduct, no employees are dismissed for a first breach of discipline Explanation for any penalty imposed Provide right of appeal
16 DISCIPLINARY ACTION Reasonable belief balance of probability Concrete proof of guilt is not essential BUT
17 DISCIPLINARY ACTION Employer must have: Genuine belief Reasonable grounds Followed a reasonable investigation Concluded, on the balance of probability, that the employee has committed an act of misconduct
18 FAIR REASON FOR DISMISSAL Conduct Capability Redundancy Statutory Restriction (i.e. driving ban in a driving job) Some Other Substantial Reason (SOSR)
19 TEST OF FAIRNESS The determination of whether the dismissal was fair or unfair shall depend on whether in the circumstances (having regard to the size and administrative resources of the employer s undertaking) the employer acted reasonably or unreasonably in treating it as sufficient reason for dismissing the employee and that question shall be determined in accordance with equity and the substantial merits of the case
20 GROSS MISCONDUCT Behaviour on the part of the employee which is incompatible with continued employment Entitles employer to dismiss without notice Does not mean a dismissal without a fair procedure
21 EXAMPLES OF GROSS MISCONDUCT Theft from company or colleague Deliberate falsification of claims for financial reimbursement with the intention of obtaining from the company a payment to which the claimant is not entitled Fighting Drunkenness Serious breaches of safety rules Serious breach of child protection procedures Damaging company property
22 EXAMPLES OF GROSS MISCONDUCT (CONTD) Refusing to obey a reasonable management instruction Sexual or racial harassment Serious insubordination Bring the company into serious disrepute The above list is not exhaustive
23 CAPABILITY PERFORMANCE CASES Conduct is deliberate, blameworthy or careless Incapability is usually a lack of skill or ability What is the evidence of poor performance? How long has the performance been unsatisfactory? Consider training, redeployment, demotion Make warning sufficiently long to give time to improve Monitor during warnings
24 INVESTIGATIONS Independent, fair and objective investigation Evidence from witness/es Obtain written, signed statements Person conducting the investigation should not be directly involved in any subsequent disciplinary hearing Separate workshop on conducting investigations on request
25 ARRANGE A MEETING (HEARING) Completed investigations? Arrange meeting in private Consider location of meeting room Advise employee give details so they can prepare Plan the timing at least 48 hours notice Arrange for a company representative to be present as a note taker and witness for the company
26 NATURAL JUSTICE A right to be informed of the case against the employee o Allegations o Supporting evidence A right to make representations before a decision is made o Challenging evidence o Arguments on rules etc.
27 NATURAL JUSTICE (Contd.) A right to an unbiased hearing o Open mind o Previous involvement
28 CONDUCTING A DISCIPLINARY MEETING (HEARING) Statement of complaint (allegations) Employees reply General questioning Summary ALWAYS Adjournment to consider Decision
29 CONSIDERATIONS Only if on the basis of the evidence you believe employee has committed offence Is offence defined in policy/procedure? Have other employees committed similar act(s)? Are there mitigating/exacerbating circumstances? Misconduct? - Warnings Serious misconduct? dismissal with notice Gross misconduct? summary dismissal No employee to be dismissed for first breach of discipline unless gross misconduct
30 FOLLOW UP Reconvene Advise a decision verbally Confirm right of appeal Written confirmation
31 APPEALS PROCESS Procedure Grounds for Appeal Independent person not previously involved to hear appeal Conclusions Feedback
32 HOW TO AVOID EMPLOYMENT TRIBUNAL Treat all employees in the same way Follow up possible disciplinary action quickly Know, observe and follow your disciplinary procedure Keep records carefully Do not dismiss unless gross misconduct or current final warning exists Use the appeal process
33 DISCIPLINARY RULES (CONTD ) Gross Misconduct The contract has irretrievably broken down Dismissal without notice Did they know they could lose their job? Have they signed their contract to confirm they have read and understood the handbook in which the disciplinary rules are contained?
34 LET S TAKE A BREAK
35 WELCOME BACK
36 GRIEVANCES It is important that employees have a vehicle through which they can raise matters of concern and dissatisfaction in relation to their employment. They should know, through the detail of their statement of main terms/contact of employment, the procedure that they should follow. Attempts should be made to resolve informally in the first instance mediation may assist.
37 GRIEVANCE RAISED DURING DISCIPLINARY? Consider suspending the disciplinary procedure for a short period while the grievance is dealt with. Consider bringing in another manager to deal with Consider bringing in another manager to deal with the disciplinary process.
38 TYPICAL GRIEVANCE PROCEDURE Grievance policy and procedure has the same format as discipline policy and procedure Typical procedure: o Discuss problem with manager o Discuss problem with managers superior (as appropriate) o Refer problem to grievance meeting (hearing)
39 EMPLOYEE ASSISTANCE PROGRAMME (EAP) Benefits to your organisation Having an EAP is a clear demonstration of a commitment to employee well-being. Happier employees with healthier attitudes and better wellbeing are able to focus more effectively at work, have higher morale and are more engaged. It also supports you as a manager, team leader or supervisor, as more demands are placed upon you and improves the management of absenteeism by addressing individuals concerns or problems early.
40 EMPLOYEE ASSISTANCE PROGRAMME (EAP) (Contd.) Staffed by professionals Your EAP is provided by Workplace Options, an expert provider of employee support services. Staff comprise a team of highly trained and qualified professionals who are experts in fields such as well-being, family matters, relationships, debt management, employment issues, consumer rights, counselling, and much more.
41 EMPLOYEE ASSISTANCE PROGRAMME (EAP) (Contd.) Available 24 hours a day, 7 days a week 365 days a year Confidential - No-one at work will know that an individual has contacted EAP unless they choose to disclose this. Accessible by a variety of methods - including phone, , our website and via instant messaging.
42 EMPLOYEE ASSISTANCE PROGRAMME (EAP) (Contd.) Informative - Information and resources on a whole range of work, family and personal issues. No limit - to the number of issues you can gain support on. Independent -completely impartial.
43 CASE STUDY ONE You come in on Tuesday morning to be told by another manager that two members of your team had a heated argument on their way out last night. Apparently Gary bought a car from Tony but is now refusing to pay all the money as he thinks there is something wrong with the car. Gary comes into work with a black eye. You ask him what happened and he said Tony punched him downstairs at reception. The incident has been reported to the police. Tony is due in soon, what action are you going to take?
44 CASE STUDY TWO You dismiss someone during a Disciplinary Hearing and whilst you are confident of the decision you have made, you neglected to follow correct procedure and did not conduct an investigation prior to the hearing. The employee seeks advice from a solicitor. What can the employee claim against the company?
HR ADVISORY BULLETIN 1 Discipline & Grievance V1 January 2012 Protect DISCLAIMER The information contained within this pamphlet is for guidance only. The purpose of this pamphlet is to provide information
DISCIPLINARY PROCEDURE 1 Purpose and Scope 1.1 The Disciplinary Procedure provides for warnings to be given for failure to meet the Employer s standard of job performance, conduct (whether during working
JIB NATIONAL WORKING RULES 19 AND 20 19. DISCIPLINARY AND DISMISSAL PROCEDURE 19.1 INTRODUCTION For the avoidance of doubt, the term operative includes apprentice for the purpose of this Rule The behaviours
Disciplinary Procedures for Support Staff (covering unsatisfactory performance and misconduct) 1. Introduction It is important that all members of staff are aware of the standards required of them at work
SUPPORT STAFF DISCIPLINARY AND DISMISSAL PROCEDURE SUPPORT STAFF DISCIPLINARY AND DISMISSAL PROCEDURE 1. INTRODUCTION 1.1 The Procedure has been established to help and encourage members of staff to achieve
Disciplinary Rules and Procedures The following is intended to provide a brief introduction to this subject. It explains some of the key basic ideas relating to disciplinary rules and procedures and should
DISCIPLINARY PROCEDURE 1. PURPOSE AND SCOPE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst at work or representing the council.
Disciplinary Procedure 1. Purpose and Scope This procedure is designed to help and encourage employees to achieve and maintain acceptable standards of conduct and performance whilst ensuring the fair and
Discipline Policy 1. Introduction This policy set outs how Monitor will deal with employee conduct which falls below the expected standard. It is Monitor s aim to use the policy as a means of encouraging
PEOPLE AND ORGANISATIONAL DEVELOPMENT HUMAN RESOURCES DISCIPLINARY POLICY AND PROCEDURE Author/Role Fiona Munro, Human Resources Date of Risk Assessment (if applicable) N/A Date of Equality Impact Assessment
DISCIPLINARY PROCEDURE This procedure accompanies Woking Mind disciplinary policy Document History Version Date Drafted by Authorised by Reason for revision This policy was approved on 10/08/2011 and will
Appendix 1 Glasgow Kelvin College Disciplinary Policy and Procedure Document Control Information Status: Responsibility for Document and its implementation Responsibility for document review: Current version
Discipline P o l i c y a n d P r o c e d u r e 1 Purpose and Scope This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct. This procedure applies to
1. Scope and Purpose NEWMAN UNIVERSITY DISCIPLINARY POLICY AND PROCEDURE 1.1 Newman University [hereafter referred to as the University] recognises disciplinary rules and procedures are necessary for the
DOCUMENT INFORMATION Origination/author: Judith Coslett, Head of Human Resources This document replaces: Local Disciplinary and Dismissal Procedure 05 Date/detail of consultation: Staff Forum and Unison
CROWTHORNE PARISH COUNCIL DISCIPLINARY PROCEDURE Adopted by Council - 5 November 2013 Table of Contents 1 PURPOSE AND SCOPE:... 2 2 PRINCIPLES:... 2 3 THE PROCEDURE FOR MISCONDUCT AND GROSS MISCONDUCT:...
ST JUST IN PENWITH TOWN COUNCIL DISCIPLINARY PROCEDURES Introduction This procedure is designed to help and encourage all employees to achieve and maintain acceptable standards of conduct and job performance.
Staff Disciplinary Procedure 1. Principles This procedure is to help ensure consistent and fair treatment for all staff and to ensure compliance with natural justice. The supervisor/manager will make preliminary
Wotton-under-Edge Town Council Disciplinary Procedure Adopted March 2015 1. PROCEDURE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct
Policy Title: Disciplinary & Grievance Policy Ref: BPC 008 Author: Philip Miskel Evoy & Lynn Gibbon Date: January 2013 Version 2 Review Date: January 2014 Introduction This policy is designed to ensure
DISCIPLINARY PROCEDURE 1. Purpose and Scope 1.1 The Company s procedure is designed to help and encourage all workers to achieve and maintain standards of conduct, attendance and job performance. The Company
WISBOROUGH GREEN PARISH COUNCIL DISCIPLINARY PROCEDURE 1. PURPOSE AND SCOPE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst
1. PURPOSE AND SCOPE DISCIPLINARY PROCEDURE This procedure is designed to help and encourage all Council employees to achieve and maintain high standards of conduct whilst at work or representing the Council.
STAFF DISCIPLINE, CONDUCT AND GRIEVANCE PROCEDURE 1. Introduction Disciplinary issues arise when problems of conduct or capability are identified by the employer and management seeks to address them through
Disciplinary and grievance procedures Draft Acas Code of Practice June 2004 This Code of Practice provides practical guidance to employers, workers and their representatives on: The statutory requirements
Human Resources People and Organisational Development Disciplinary Procedure for Senior Staff AUGUST 2015 1. Introduction 1.1 This procedure applies to Senior Staff. Senior Staff includes: 1.1.1 the Vice-Chancellor
United Biscuits UK Ltd Disciplinary and Grievance Policy June 2015 Contents 1. Introduction... 3 2. Disciplinary Policy... 3 2.1. Aims of Policy... 3 2.2. Responsibilities... 3 2.3. Legal Framework within
Disciplinary and dismissal procedure Introduction The disciplinary policy complies with the ACAS statutory Code of Practice on discipline and grievance. The policy aims to ensure that all employees are
HUMAN RESOURCES POLICIES AND PROCEDURES DISCIPLINARY Date of Policy 1993 Date policy to be reviewed 09/2014 Policy written by SFC/HR Risk Register Ref (s) HR7 Impact Assessed EDG Date Impact assessed 10/2012
DISCIPLINARY PROCEDURE May 2012 1 Introduction The Disciplinary Procedure applies to all SESTRAN employees. Its main aims are to promote fairness, equity and order in the treatment of individuals and in
St Crispin's School Policy Staff Disciplinary Policy Version Date Changes or reason for Update Date Approved Number Created V1 1999 First Issue 1999 V2 04/ 2005 New Issue from the LEA 04/2005 V3 02/2007
Page 1 of 7 Trinity Academy Disciplinary Policy Policy Statement The purpose of the Disciplinary Procedure is to give staff members every opportunity to improve standards of behaviour and conduct and to
NHS North Somerset Clinical Commissioning Group HR Policies Managing Discipline Approved by: Quality and Assurance Group Ratification date: May 2013 Review date: May 2016 1 Contents 1 Policy Statement...
Manchester Young Lives Disciplinary Procedures Policy Reviewed Review Date September 2016 Page 1 of 5 C O N T E N T S 1 Purpose & Scope 2 Principles 3 Procedure 4 Acas Code of Practice 5 Gross Misconduct
Otley Town Council Disciplinary Policy Date Approved: 17 th February 2014 Revision Date: OTLEY TOWN COUNCIL DISCIPLINARY POLICY 1.0 Introduction 1.1 This policy is based on and complies with the 2009 ACAS
Disciplinary Policy and Procedure Policy The success of the University is dependent on its most important resource, its staff. It is therefore vital that all employees are encouraged to work to the best
DISCIPLINARY AND GRIEVANCE PROCEDURES We provide an overview of what employers should include in their procedures. CASH PAYMENT Employers can dismiss an employee, even if they have not heard an outstanding
Management Guidance This document provides additional guidance for managers, employees and HR in the handling of disciplinary issues. It includes the Research Council s Disciplinary policy and procedure
CTC KINGSHURST ACADEMY STAFF DISCIPLINARY POLICY AND PROCEDURE POLICY REFERENCE: POL017S Policy History Policy Ref & Version Date Amendments/Actions Next Compulsory Review Date POL017S V1.0 1 st September
Disciplinary Policy 1. Policy Statement The University expects all employees to conduct themselves in an appropriate manner in their day to day work, including in their dealings with colleagues, students
Introducing the Acas Code of Practice on Disciplinary and grievance procedures This folder contains one copy of the Acas Code of Practice on disciplinary and grievance procedures and six easy to follow
need help to resolve a problem? Lets sort it out together Solving StaffGuide RP2K190 Introduction to Solving Problems Tesco wants you to enjoy work, celebrate success and learn from experience, as described
Newcastle University disciplinary procedure Contents 1. INTRODUCTION... 1 2. RIGHT OF REPRESENTATION... 3 3. TRADE UNION REPRESENTATIVES... 3 4. SCHEDULING OF FORMAL MEETINGS AND APPEALS... 3 5. INVESTIGATION...
DISCIPLINARY POLICY APPROVED BY South Gloucestershire Clinical Commissioning Group Quality and Governance Committee December 2015 Date of Issue: December 2015 Version No: 2.0 Date of Review: November 2017
Greenhead College Discipline and Grievance (Senior Postholders) reviewed 02/15 1 GRIEVANCE PROCEDURE FOR SENIOR POSTHOLDERS: GUIDANCE 1. If a Senior Postholder has a grievance relating to her/his employment
Disciplinary policy This policy forms part of your contract of employment. The councils are entitled to introduce minor and non-fundamental changes to this policy by notifying you of these changes in writing
Disciplinary procedure At Dandelion Education we follow our legal obligations as an employer at all times including dealing with any disciplinary matter in a fair and consistent manner. We have a policy
CAPABILITY POLICY 1.0 INTRODUCTION Monitor endeavours to ensure that its employees deliver an acceptable standard of performance for their role. It is Monitor s aim to use this policy as a means of encouraging
MODEL DISCIPLINARY PROCEDURE FOR SMALL ORGANISATIONS Employers should comply with the Acas Code of Practice for disciplinary and grievance procedures which can be downloaded from www.acas.org.uk/dgcode2009.
for Schools 2 July 2014 Contents 1 Introduction... 1 1.1 What is the policy about?... 1 1.2 Who does the policy apply to?... 1 1.3 Core Principles... 1 1.3.1 Misconduct... 1 1.3.2 Gross misconduct... 2
JOINT AGREEMENT ON GUIDANCE ON DISCIPLINARY PROCEDURES IN FURTHER EDUCATION COLLEGES BETWEEN THE ASSOCIATION OF COLLEGES (AoC) AND ASSOCIATION FOR COLLEGE MANAGEMENT (ACM) ASSOCIATION OF TEACHERS & LECTURERS
Category Human Resources Document Name Disciplinary Policy Accountable Body RADIUS Trust Reference HR.P2 Date Ratified 13 th August 2015 Version 1.5 Last Update August 2015 Related Documents Name Support
Disciplinary Policy & Guidance Adopted from Wokingham Borough Council s Model Policy. The document has been annotated as follows where responsibility is held at both levels: Wokingham Borough Council (Winnersh
NETHERAVON ALL SAINTS CE PRIMARY SCHOOL DISCIPLINARY PROCEDURE FOR ACADEMY TEACHING AND SUPPORT STAFF Adopted by Netheravon All Saints Academy Trust on 23/9/15 Signed (Chair of Governors): 1 Index Section
DISCIPLINARY PROCEDURE INTRODUCTION These procedures are compliant with the ACAS code of practice and are designed to help and encourage staff at Pilgrims Hospice to achieve and maintain required standards
OBJECTIVES AND GUIDING PRINCIPLES The objective of this procedure is to set out the standards of conduct expected of all staff and to provide a framework within which managers can work with employees to
DISCIPLINARY POLICY AND PROCEDURE Date of Publication: April 2013 Agreed by: Vice Chancellor s Executive March 2013 Page 1 of 13 Policy 1.0 Introduction The purpose of the disciplinary policy and procedure
Appendix X Disciplinary Procedure This procedure applies where formal disciplinary action is commenced on or after 11 December 2013 1 Purpose 1.1 This procedure is designed to help and encourage all employees
Principal D. Geraghty Staff Disciplinary Policy and Procedure Human Resources Policy And Procedure Description For DISCIPLINE Our Priorities Sound finances and value for money Excellent children s services
1. Disciplinary Policy ROYAL BOROUGH OF WINDSOR & MAIDENHEAD Disciplinary Policy & Procedure 1.1. General The following rules and procedure form part of the statement of written particulars of employment
LEC SUPPORT SERVICES & TRAINING WING BRITISH FORCES GERMANY LEC NOTICE No 41 Revised 18 Jun 14 DEPENDANT EMPLOYEE DISCIPLINARY AND APPEAL PROCEDURES General 1. The disciplinary procedure is designed to
CODE OF PRACTICE ON DISCIPLINARY AND GRIEVANCE PROCEDURES ADVISORY CONCILIATION AND ARBITRATION SERVICE MAY 2000 CONTENTS Page Preamble...3 Introduction...4 Section 1 - Disciplinary practice and procedures
Copplestone Primary School Staff Discipline Policy Reviewed Adopted on Signed F & P Every 2 Years Staff Discipline Policy Page 1 Introduction The Governing Body of Copplestone Primary is committed to ensuring
HR Services Employee Handbook Staff Disciplinary Procedures 1. Introduction 1.1 These disciplinary procedures will apply to all members of staff at UEL (except to staff designated as senior postholders,
Guildford Diocese Education Trust Academies in partnership with the Guildford Diocese Education Trust The Education Centre, The Cathedral, Guildford, Surrey GU2 7UP Tel: 01483 450423 Staffing: Disciplinary
Legal Topic Note LTN 22 January 2013 DISCIPLINARY AND GRIEVANCE ARRANGEMENTS 1. This LTN provides guidance on: the disciplinary process: how councils can deal with concerns about employee misconduct or
DISCIPLINARY PROCEDURE 1 POLICY STATEMENT & SCOPE 1.1 The College aims wherever possible to resolve informally matters of potentially unsatisfactory conduct, attendance or poor performance, without resorting
LNCT Local Negotiating Committee for Teachers December 2014 circular 12 IMPLEMENTING A TEACHING PROFESSION FOR THE 21ST CENTURY Code of Discipline for Teachers: Disciplinary and Appeals Procedure 1. INTRODUCTION
Liverpool City College Student Regulations 1. It is necessary to have a minimum number of rules in the interests of the whole organisation. 2. The rules set standards of performance and behaviour whilst
Policy Purpose/statement/reason for being Disciplinary and Dismissals Policy E.G - MIP is designed to strengthen the effectiveness of individual s contribution to the Council s success. Purpose The Disciplinary
NHS WALES Local Health Boards DISCIPLINARY PROCEDURE AND RULES 1. POLICY STATEMENT 1.1 It is the policy of Local Health Boards to promote good employment relations between them and their staff. Consequently
1. PURPOSE AND SCOPE MIND IN CROYDON DISCIPLINARY AND DISMISSAL PROCEDURE The purpose of this procedure is to ensure the maintenance of the safe and effective operation of Mind in Croydon and its various
March 2015 Code of Practice 1 CODE OF PRACTICE ON DISCIPLINARY AND GRIEVANCE PROCEDURES Published by TSO (The Stationery Office) and available from: Online www.tsoshop.co.uk Mail, Telephone, Fax & E-mail
POLICY Security Classification Disclosable under Freedom of Information Act 2000 Yes POLICY TITLE Disciplinary Policy and Procedures (POLICE STAFF) POLICY REFERENCE NUMBER A050 VERSION 1.0 POLICY OWNERSHIP
Grievance Any concern, problem or complaint that an employee raises with their employer DISCIPLINE AND GRIEVANCE WORKSHOP Why important? Staff morale Employment tribunal claims Constructive unfair dismissal
BOROUGHBRIDGE TOWN COUNCIL S DISCIPLINARY AND GRIEVANCE POLICY 1 HALL SQUARE, BOROUGHBRIDGE, NORTH YORKSHIRE, YO51 9AN www.boroughbridge.org.uk email@example.com Tel: 01423 322956 BOROUGHBRIDGE