Disciplinary Policy of High Peak CVS

1 General Principles

1.1 Other than in cases of proven gross misconduct, the purpose of disciplinary proceedings is to modify an employee's behaviour to enable them to work in a manner consistent with the organisation's policies and practices.

1.2 It is expected that in most instances, disciplinary matters will be resolved through informal discussions and through supervision.

1.3 The formal procedure outlined in Section 2 has been designed to ensure that the action taken is fair and is applied consistently throughout the organisation.

1.4 The outcome of informal discussions will not be recorded on personal files. Formal warnings will, however, be kept on file for the following periods.

Verbal Warnings: 6 months

Written Warnings: 12 months

The Line Manager will meet with the employee to review their performance or conduct before formal warnings are removed from the employee's file.

2 The Procedure

2.1 All disciplinary matters will be fully investigated by the employee's Line Manager or, in the case of the Chief Officer, by a named trustee, and will, where appropriate, be dealt with by means of a formal hearing. Unless there are exceptional circumstances, this investigation will normally take no more than 10 working days and will include a decision about the need for a hearing.

2.2 In the event that a formal hearing is deemed necessary, the employee will be informed immediately and will be notified in writing (to their home address) within 5 working days and at least 10 working days beforehand of the details, nature and procedure of the hearing.

2.3 All formal hearings (except Appeals) will be conducted by the Chair of the Personnel Sub-Committee or their nominee(s) and another trustee and shall not, except in exceptional circumstances, include the Chair of the Committee.

2.4 The employee will have the right to be accompanied by a colleague, friend or advisor who can assist in the presentation.

2.5 Any written statement to be presented at a formal hearing at any stage, together with the names of any witnesses to be called, must be made available to all parties at least 5 full working days in advance of the hearing.

2.6 The Chief Officer may suspend an employee on full pay while a disciplinary matter is being investigated. Such suspension must be confirmed in writing, with reasons, within 3 full working days of the suspension. A decision to suspend the Chief Officer may be made only by the Chair of the Personnel Sub-Committee.

2.7 Following the hearing, the Panel will consider the facts in private (including any suspension) and will, wherever possible, give the decision and the reasons for it on the day of the hearing. The outcome will be notified in writing to the employee within 5 full working days of the hearing.

2.8 The employee will have the right of appeal against any decision resulting. This must be lodged with HPCVS within 10 full working days of the date of the notifying letter. The Chair of the Personnel Sub-Committee will then set the date for the appeal (see 2.10 and B1.1 below) and will notify the employee of this within five working days.

2.9 Minutes will be kept of all formal hearings (including appeals) and copies made available to all parties. Such minutes will be retained at least for the length of the employee's employment with High Peak CVS.

2.10 Any appeal will be heard within two calendar months of the date of the original decision.

2.11 Possible Outcomes of Hearings where the complaint is found proven

2.11.1 Four Levels of warning are available:

Verbal Warning: If the conduct or performance is not of the required standard (minor offences).

First Written Warning: If the incident is of a more serious nature or if the conduct or performance following a verbal warning continues to be unsatisfactory (for subsequent minor offences or a more or serious offence).

Final Written Warning: If the incident is of a very serious nature or if the conduct or performance following a written warning continues to be unsatisfactory (for further misconduct. This should make clear dismissal may follow failure to improve).

Dismissal: If the incident is of a nature to warrant dismissal or if the conduct or performance following a final written warning continues (with appropriate notice if there is insufficient improvement).

Procedure: It is considered "good practice" in employment law that the person involved in the investigation should NOT be the same person who presents the case to management.

2.11.2 Summary Dismissal

Summary dismissal may take place following cases of proven Gross Misconduct, whereupon dismissal may be without notice or pay in lieu of notice.

2.12 In relation to the above, the organisation reserves the right to instigate the procedure at any stage deemed appropriate and/or if necessary to omit any particular stage depending on the severity of the misconduct or failure to perform.

2.13 Gross Misconduct

The following disciplinary offences will be regarded as Gross Misconduct and may lead to summary dismissal. The list is not exhaustive.

• theft, fraud and deliberate falsification of records
  
• conviction of a criminal offence directly related to or impinging upon employment
  
• physical violence
  
• abuse of users or the rights of users of services
  
• deliberate damage to or serious abuse of the organisation's property or name
  
• serious insubordination
  
• bringing the employer into serious disrepute
  
• serious incapability whilst on duty brought on by alcohol or illegal drugs
  
• unlawful discriminatory action
  
• serious bullying or harassment
  
• serious negligence which causes or might cause unacceptable loss, damage or injury
  
• serious infringement of health and safety rules
  
• serious breach of confidence (subject to the Public Interest (Disclosure) Act 1998)

ANNEX A: CONDUCT OF FORMAL HEARINGS

A1 The Chair will outline the procedure to be followed

A2 The Line Manager or employee will detail the case against the employee

A3 Both sides may:

• call witnesses and present written statements (see 2.5 above)
• question witnesses

A4 The employee will be given the opportunity to make a final statement

A5 Following this, the Panel will consider the facts in private and will, wherever possible, give the decision and the reasons for it immediately after the hearing. The outcome will be confirmed in writing to the employee within 5 full working days and will include notice of the employee's right of appeal, to be lodged within 10 full working days of the date of the letter.

ANNEX B: APPEALS

B1 General Principles

B1.1 The employee must lodge with High Peak CVS notice of their wish to appeal within 10 full working days of the date of the letter confirming the outcome of the original hearing. A Chair and Panel will be appointed for the Appeal who will:

• Arrange for the Appeal to be heard within 15 full working days of the employee's request being received
• Notify the employee in writing of the time and place of the Appeal
• Ask the employee to provide a full written statement of the grounds for the Appeal, to be deposited 5 full working days prior to the hearing. A copy will be made available to the Chair of the original hearing.

B1.2 The Appeal Panel must not include any persons forming the original disciplinary Panel

B1.3 Appeals will be dealt with in a formal hearing. The employee may bring a friend/advisor who can assist in the presentation.

B1.4 The decision of the Appeals Panel will be final.

B2 Conduct of Appeal

B2.1 The Chair will outline the procedure

B2.2 Firstly, the employee and then the Chair of the original hearing will present their statements.

B2.3 Witnesses may be called and written statements presented by the employee, by the Chair of the original hearing and by the Chair.

B2.4 Opportunity will be available for witnesses, the Chair of the original hearing and the employee to be questioned by both the Chair of the Appeal, by the Chair of the original hearing and by the employee

B2.5 Firstly, the Chair of the original hearing and the employee will be given an opportunity to make a final statement.

B2.6 Following the hearing, the Appeal Panel will consider the facts in camera and will, wherever possible, give their decision and the reasons for it immediately after the hearing. The outcome will be confirmed in writing to the employee within 5 full working days of the Appeal hearing.

SAMPLE TIMETABLE
Based on working days and taking maximum times (2002 calendar)

1 Incident reported 1 April

2 Investigation completed by 15 April [10 days later]

3 Employee notified 22 April [5 days later]

4 Hearing and decision 6 May [10 days later]

5 Decision notified 13 May [5 days later]

6 Appeal lodged 27 May [10 days later]

7 Written statement(s) 5 June [5 days prior]

8 Appeal hearing 15 June [30 days after original hearing]

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