Our Disciplinary Policy is to help and encourage you to improve, achieve and maintain standards of conduct, attendance and job performance. It also enables us to deal effectively with those carers who do not comply with the Company standards of conduct, attendance and performance in the workplace.
The purpose of the Disciplinary Procedure is the achievement of positive improvements by Carers where shortcomings or failures are identified. Any failure to attain required standards will be brought to the attention of the Carer concerned at the earliest opportunity wherever possible via the informal procedure detailed below.
Informal Procedure
This procedure is used where the lapse in performance or conduct can reasonably be said to be minor and an isolated instance. Such matters are addressed promptly by a Care Coordinator or a Care Manager by the way of an informal advisory discussion. If the required improvement does not take place they will consider the use of a formal procedure. A note of the discussion will be made on your internal profile.
Examples where Informal Procedure may be appropriate include: |
Infrequent lateness |
Carelessness |
Lack of effort |
Minor insensitive behaviour towards other carers or office team |
Not completing daily notes on time |
Formal Procedure
The Formal Procedure will be applied where you do not respond appropriately or adequately to informal action or when our care management team consider that the breach of conduct that is believed to have occurred is too serious to be dealt with informally.
In using the Formal Procedure and determining whether you have committed ‘misconduct’ or ‘gross misconduct’, the burden of proof required on a dispassionate and objective assessment of the facts is the balance of probability.
When conduct is unsatisfactory this is usually referred to as ‘misconduct’ and can vary in its degree of seriousness. Where an incident is very serious it is known as ‘gross misconduct’, and one incident can be sufficient to warrant dismissal. The following list illustrates behaviour likely to constitute misconduct and gross misconduct, but it is neither exclusive nor exhaustive and there may be other matters, which are sufficiently serious to warrant inclusion.
Misconduct
Misconduct is defined as behaviour which, in the view of edyn care, would not normally destroy the relationship of trust between the company and you; however, the behaviour is serious enough to warrant action short of dismissal. The following list illustrates conduct likely to amount to misconduct, but again this list is neither exclusive nor exhaustive:
Misconduct examples: |
Absenteeism and lateness, e.g. frequent late arrival at work; failure to comply with requirements to notify sickness absence; unauthorised absence from the workplace; |
Last minute cancellation (within 48 hours of starting package) without documented reasons |
Not submitted quality assurance documentation in a timely manner e.g MAR chart or PRN |
Dishonesty e.g making unauthorised private phone calls |
Refusal to obey a lawful and reasonable instruction of a Registered Care Manager or member of care management team; |
Minor insensitive behaviour towards other carers or office team |
Failure to carry out the normal duties of the role |
Not reporting issues to the care management team |
Unreasonable or unacceptable conduct e.g abusive language or behaviour |
Threatening violence whilst at work to a colleague, care recipient or member of the public |
Breach of company policies and procedure e.g health and safety, confidentially or personal records |
Accepting significant gifts (i.e a series of presents) without authorisation - cash gifts cannot be accepted at all times, and gifts should never be more than of £25 value |
Incapability as result of being under the influence of alcohol or illegal drugs at work |
Incurring motoring offences whilst on edyn.care business |
Abuse of email, social media or portal |
The distinction between misconduct and gross misconduct is often a matter of degree and some of the examples under misconduct may be of such an extreme nature that they amount to gross misconduct. Alternatively, there may be instances when examples demonstrated under Gross Misconduct, depending upon all of the circumstances, may amount to misconduct.
Gross Misconduct
Gross misconduct is defined as behaviour, which in the view of edyn care fundamentally destroys the trust between the company and you and thereby warrants immediate dismissal. The following list illustrates conduct likely to amount to gross misconduct, but this list is neither exclusive nor exhaustive:
Gross Misconduct examples: |
Theft or misappropriation or malicious damage to company, fellow carers, care recipients or other providers |
Falsifying records or financial translation sheets which result in gain to the individual |
Physical violence towards colleagues, service users, service providers or other members of the public |
Serious incapability as a result of being under the influence of alcohol or illegal drugs at work |
Discriminatory behaviour relating to sexual orientation, race, gender, disability, religion or belief against other employees, service users and providers or members of the public. edyn care operates a zero-tolerance approach |
Fraudulent or false claims of harassment or victimisation. |
Bribing or attempting to bribe another individual, or personally taking or knowingly allowing another person to take a bribe |
Serious breach of Company policies and procedures |
Serious negligence which causes substantial loss, damage or injury |
Non-compliance with health and safety rules and regulations where it endangers the well-being of the Carer or others |
Unauthorised deliberate access to information held by the Company whether held on electronic or manual systems |
Unauthorised disclosure of information classified as confidential by the Company |
Falsification or omission of information for personal gain, for example, on an application form, medical questionnaire |
Downloading inappropriate information from the internet, e.g. pornography |
Victimisation or bullying (either in person or via email, etc.); and |
Concerns meeting and Investigation
Before disciplinary proceedings can take place, a wholly impartial concerns meeting will be undertaken to collect information relating to the allegations and to determine whether the case should proceed to an investigation.
Upon receipt of the concerns meeting report, the relevant line manager will decide what action, if any, should be taken. Three courses of action are available:
There is no case to answer. In such circumstances, you will be told immediately.
That the matter can be resolved through guidance, supervision or further training;
That there is a case to answer and that a disciplinary meeting requires to be convened.
Before the disciplinary meeting the you 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. If you are not available to attend on the date proposed, we will endeavour to offer an alternative reasonable date within 5 working days of the original date. Note: This meeting will normally only be re-arranged once, except in exceptional circumstances.
Should either party wish to call any witnesses to the disciplinary meeting they must give at least notice to each other, and have full responsibility for arranging the attendance of these witnesses.
Either party may present evidence including details of previous relevant warnings, witness statements, call witnesses and have the opportunity to ask questions. An adjournment must be held in order that there can be a period of reflection by the Disciplinary Panel to consider what action, if any, is to be taken. Where possible, both parties will be verbally informed of the outcome after the adjournment. Relevant outcomes will be shared with the appropriate bodies including the Multi Agency Safeguarding hub (CQC, DBS and police where applicable).
You will be advised in writing of the outcome of the disciplinary meeting within 7 working days unless a longer period is specified and can be justified. If disciplinary action is taken, you 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 via email. Within the email you will will receive the reason for issuing the warning as well as details of any disciplinaries which may be imposed. It will also include whether the carer invoke their right to be accompanied and the right of appeal will also be included.
Warnings and Disciplinaries
The outcome of the disciplinary meeting will generally fall into one of the following categories:
Case dismissed - no further action required
The Carer is required to attend supervision or retraining
Verbal warning
First written warning
Final written warning
Termination
Other possible disciplinaries may involve suspension, transfer to another post or location, or the right to self-certificate sickness absence.
The above sanctions may be applied as follows:
Verbal Warning: In cases of an initial or minor issue, the verbal warning is appropriate. A verbal warning lasts 1 month.
First Written Warning: If the issue is more serious or if there is still an active Verbal Warning in place and insufficient improvement has been made or further misconduct occurs, a First Written Warning will normally be issued. A first written warning will normally be valid for 6 months from the date of the disciplinary meeting.
Final Written Warning: If the issue is even more serious or if there is still an active First Written Warning in place and insufficient improvement has been made or further misconduct occurs, a Final Written Warning will be issued. A final written warning will normally be valid for 12 months from the date of the disciplinary meeting. In exceptional cases validity may be longer.
Terminated with notice: If within 12 months of the issue of a Final Written Warning further misconduct occurs or insufficient improvement has been made, you will normally be terminated with notice. You will be provided with written reasons for dismissal, the date on which they will be terminated, your entitlement to pay, and the right of appeal.
Summarily Terminated: Where behaviour or misconduct is sufficiently serious to constitute gross misconduct, the Carer will normally be summarily terminated - i.e. without notice. The Carer will be provided with written reasons for dismissal, the date on which the contract will terminate and the right of appeal.
Expiry of Warnings
A record of any disciplinary sanction will be placed on your profile. A disciplinary will be considered to be spent and the record removed from the file provided that the your conduct has been considered to be satisfactory throughout the period following the imposition of the disciplinary.
Appeals
Any Carer who receives a disciplinary warning, other sanction or notice of dismissal has the right of appeal. Appeals must be lodged in writing with the Office via email within 10 working days of the date of the written notice of the sanction. This period may be extended only in exceptional circumstances. The notice of appeal must state the grounds of the appeal.
Appeals will be heard within 15 working days of the receipt of the notice of appeal by a more senior member of the management team than the person taking the action at first instance. Where possible, all appeal panels will include a senior Registered Care Manager / representative of Human Resources. Both parties to the appeal must provide a full written statement of the case including the grounds upon which the appeal is made/resisted together with copies of any documents to which reference will be made. All documents and the details of witnesses, if any must be notified to all parties, 5 working days before the hearing takes place.
The decision of the Appeal Hearing is final.
Criminal Offences
Disciplinary action should not be taken automatically against a you because you have been arrested, charged or convicted of a criminal offence, as the matters may not be work-related and may have no relevance or impact within the workplace. Each case will be carefully considered by us according to the particular circumstances.
Disciplinary action may be considered in circumstances where, for example, the Carer has been convicted and the nature of the conviction or sentence or both:
Impairs the business or reputation of edyn care and/or;
Makes the individual unsuitable for continued employment given the nature of the business of the Company or the Carer’s role;
Would be unacceptable to other staff.
Should disciplinary action be progressed, the normal investigative policy and procedure of investigation is to be followed to address the issue, as described in the Policy and Procedure.
Where a Carer is unable to attend work because they are under arrest or remanded in custody, disciplinary action should not be commenced as the Carer may ultimately be innocent. The position should be addressed by consideration of special or unpaid leave until the position is clarified.
Suspension
Suspension is not in itself regarded as a disciplinary action and does not involve any prejudgement, or imply that any misconduct has taken place. It is a neutral act to enable an investigation of the allegations made. A short period of suspension with full pay may be helpful or necessary, although it should only be imposed after careful consideration. It should also be kept under review and brought to an end as quickly as possible allowing for full investigation.
In cases of alleged gross misconduct or when other circumstances dictate that it is inappropriate for you to remain at the normal place of work, our Registered Care Manager will consider whether suspension is appropriate in the circumstances. Where it is found there is a case to answer, a formal disciplinary meeting will be convened.
A Carer suspended from duty will be given written confirmation of the suspension and the reason for this action. Whilst on suspension, a Carer must remain contactable and must be available to attend for any investigation/disciplinary meeting during normal working hours (9am - 5.30pm Monday - Friday), unless mutually agreed otherwise. A Carer who is suspended from duty shall, throughout the period of suspension, continue to receive full pay.
Whilst a Carer is on suspension, they should not attempt to contact colleagues connected to the case with the exception of their Trade Union representative, work colleague (who is to accompany them at any subsequent meeting, if proven that there is a case to answer) or the Registered Care Manager.