Disciplinary Policy
Review date – October 2011
Disciplinary Policy
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 1
Disciplinary Policy
Review date – October 2011
Contents:
1
Disciplinary Framework
Page 3
2
Criminal Offences outside Employment
Page 4
3
Information Governance
Page 4
4
Disciplinary Hearings
Page 4
5
Range of Sanctions
Page 5
6
Suspension of Employment
Page 6
7
Appeals
Page 6
8
Approval
Page 6
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 2
Disciplinary Policy
Review date – October 2011
1. Disciplinary Framework:
1.1
YPAS requires good standards of discipline from its staff members. This
policy applies to any misconduct and is referred to in the Contract of
Employment but is not contractual.
1.2
The purpose of the policy is to be corrective rather than punitive and it should
be recognised that the existence of the policy is to help and encourage staff
members to achieve and maintain standards of conduct and attendance and
to ensure consistent and fair treatment.
1.3
Where possible YPAS will try to resolve matters through informal discussion
and supervision sessions. This will not prevent the Board of Trustees
instigating disciplinary proceedings at their discretion.
1.4
If the conduct of staff members falls and (after warnings) remains below the
level which is acceptable, dismissal may be considered.
1.5
Summary dismissal without notice will take place if an act of gross misconduct
is committed. Gross misconduct is any deliberate act by an employee that is
detrimental to the good conduct of YPAS’s business and the provision of the
services YPAS offers.
1.6
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The following is a non-exhaustive list of examples of actions which amount to
misconduct falling short of gross misconduct:
Unauthorised absence from work
Lateness / poor timekeeping
Unacceptable performance
Smoking on YPAS premises
Time wasting
Contravention of minor safety regulations
Disruptive behaviour
Unauthorised use of the telephone, internet or email system
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The following is a non-exhaustive list of examples of offences which amount
to gross misconduct:
Theft of YPAS property or theft from a client, visitor or colleague
Dishonesty
Falsification of YPAS records
Gross negligence
Failure to comply with relevant statutory or regulatory requirements
Serious insubordination
Violent, abusive or intimidating conduct towards clients, visitors or colleagues
1.7
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 3
Disciplinary Policy
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Review date – October 2011
Abuse of a client (if a sexual relationship develops between a client and a
member of staff this will always be regarded as abuse)
Deliberate damage to YPAS property
Sexual, racial or other harassment
Unauthorised use or disclosure of confidential information relating to YPAS
Attending work under the influence of alcohol or non-medically prescribed
drugs
Rudeness to clients or visitors
Any action likely to bring YPAS into disrepute
Accepting a gift which could be construed as a bribe
Unauthorised sleeping on duty
Breach of Health and Safety rules which endanger the health and safety of
others
Failure to disclose correct information in the application for employment
Conviction of any serious criminal offence whilst an employee of YPAS
Breach of the YPAS e-mail and internet policy
2. Criminal Offences outside Employment:
If a staff member is charged with, or convicted of a criminal offence outside of
YPAS’s business, they will not automatically be subject to disciplinary action.
However, matters will be investigated to determine the nature of the offence
and how it may have implications for the role. If there is any doubt over
continued ability to carry out duties and or functions of the job, disciplinary
action and possibly dismissal may result noting that conviction for any serious
offence whilst an employee of YPAS may amount to gross misconduct.
Alternatively, consideration may be given for redeployment, unrelated to the
offence.
3. Information Governance:
Disclosures of confidential information or disclosures of any data of a personal
nature can result in prosecution for an offence under the Data Protection Act 1998 or
an action for civil damages under the same Act in addition to any disciplinary action
taken by the YPAS.
4.
4.1
Disciplinary hearings:
Disciplinary action will not be taken until the case has been fully investigated.
4.2
At all stages, staff members will be advised of the nature of the complaint and
given the opportunity to state their case.
4.3
The hearing panel will consist of three members: senior operational manager,
chief executive and a member of the Board of Trustees. In the absence of a
board member, an external professional will be sought.
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 4
Disciplinary Policy
Review date – October 2011
4.4
Staff members will be given at least 5 working days notice of a disciplinary
hearing and any papers to be used at the hearing will be made available at
least 3 working days before the hearing.
4.5
Staff members may be accompanied by a fellow employee or a trade union
official at any disciplinary hearing.
4.6
Where practicable, the disciplinary decision with notes taken will be provided
to you within 7 working days of the hearing.
5.
Range of Sanctions:
5.1
Except for acts of gross misconduct, the following procedure will normally be
adopted.
5.2
Minor breaches of discipline or failure to achieve satisfactory standards, a
formal verbal warning will be given, by a line manager. This will lapse after 12
months in the absence of further offences.
5.3
For more serious offences, or in the event of further minor transgressions, a
written warning will be given. This warning will usually be given by a line
manager, which will lapse after 12 months in the absence of further offences.
5.4
In the event of further repetition of the misconduct or a failure to comply with a
requested improvement, or in the case of misconduct or failure to comply with
standards which do not amount to gross misconduct but which warrant a first
and final warning, a final written warning will be issued by a line manager.
This warning will specify that the consequences of a failure to comply will
usually be dismissal. This will lapse after 12 months in the absence of further
offences.
5.5
In the event of any further misconduct or failure to achieve satisfactory
standards or in the case of misconduct not amounting to gross misconduct but
warranting dismissal, dismissal may result.
5.6
In cases of gross misconduct, dismissal will usually be imminent without
notice or pay in lieu of notice. In exceptional circumstances, or mitigating
circumstances, alternative disciplinary action may be taken.
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 5
Disciplinary Policy
Review date – October 2011
6.
Suspension of Employment:
6.1
Where it is considered appropriate to do so, YPAS reserve’s the right to
suspend employment until a hearing is held. Suspension will be with full pay,
which will be confirmed in writing.
6.2
Suspension of employment will not usually be for more than five days.
However, an extension may be required to complete any necessary
investigations. YPAS will notify of the suspension extension, including the
next step within the process including, where possible, the expected
investigation completion date.
7.
Appeals:
7.1
If a staff member is dissatisfied with any disciplinary decision, they may
appeal within 5 working days of the disciplinary decision to the Board of
Trustees.
7.2
Appeals against dismissal or other sanctions short of dismissal and cases
involving trade union officials where the matter relates to unlawful industrial
action will be heard by a hearing panel, all other appeals will be heard by the
chief executive.
7.3
The decision of the ‘Appeal Panel’ is final.
8.
Approval:
Policies and Procedures are approved by YPAS’s Chief Executive Officer and
Ratified by the Board of Trustees and reviewed on an annual basis.
Policy approved by:
Monique Collier (Chief Executive Officer).
Signature:
Date: 29/10/11
Through YPAS’s Policy Review System, all policies are reviewed annually from the date of approval
Page 6