Disciplinary Procedure

Policy Overview

The disciplinary procedure applies to all employees of The Norfolk Childcare Company. It will be invoked when Management's concerns about an employee's activities, conduct, or job performance cannot be resolved through more informal measures.

This procedure does not form part of any employee's employment contract, and it may be amended at any time. We may also vary this procedure, including any time limits, as appropriate in any case.

The intention of this Policy is to:

• Give staff a guide on the rules surrounding the disciplinary procedure
• Give Management a guide on the rules and what to do when carrying out an investigation or disciplinary meeting.

Who is this policy aimed at?

This policy applies to all The Norfolk Childcare Company LTD employees, Volunteers, students, temporary staff, or anyone working for or on behalf of The Norfolk Childcare Company LTD.

Where does this Policy Apply?

• Any location The Norfolk Childcare Company operates

Table of Contents

The Procedure. 3

Strike System (Informal) 3

Number of strikes and escalation.. 3

How long will strikes be on my record. 4

Can I appeal a Strike?. 4

What can I receive a strike for?. 4

Levels of Authority. 4

Disciplinary Procedure (Formal) 5

Stage 1 - Investigation.. 5

Stage 2 – Disciplinary Hearing. 6

Stage 3 – Appeal Process. 7

Disciplinary Penalties. 7

Gross Misconduct 8

Duration of Penalties. 8

Alternatives to Dismissal 8

Examples of Gross Misconduct 8

Example of Misconduct 9

Staff Improvement System.. 9

Policy Commencement and Review.. 9

Introduction

Minor conduct issues can often be resolved informally between you and your setting manager. These discussions should be held privately and without undue delay whenever there is a cause for concern. Where appropriate, a manager may decide to give you an informal warning. This will be given in the form of a Strike. While Strikes are informal, you will be referred for disciplinary if you receive 3 in 12 months. Formal steps will be taken under this procedure if the matter is not resolved or if the informal discussion is inappropriate (due to the severe nature of the allegation against you). You will not usually be dismissed for the first act of misconduct unless we decide it amounts to gross misconduct or you have not yet completed your probationary period. Our legal obligations as an employer are detailed in the ACAS Code of Practice on disciplinary and grievance procedures.

The Procedure

We aim to deal with disciplinary matters sensitively and fairly. All employees must treat all information connected to the disciplinary and its investigation as confidential. Where there has been a serious allegation of misconduct or gross misconduct and/or there are serious concerns regarding the employee's capability, we aim to establish the facts quickly. No disciplinary action will be taken until the matter has been thoroughly investigated.

You will be informed if a formal complaint is made against you, and if necessary, you may be suspended on full pay pending the outcome of the investigation and disciplinary.

Strike System (Informal)

The strike system is a new system that deals with minor breaches of policy and rules in settings. Carrying out a disciplinary investigation is a stressful and time-consuming endeavour, and we don't want to take everyone's time up for minor issues.

Strikes are intended as gentle reminders to make slight changes to your work or follow policy and guidelines more closely. If a more serious breach of policy or conduct occurs then it will be dealt with more strongly with a full disciplinary investigation.

Number of strikes and escalation

Even though strikes are meant as pre-emptive measures to improve behaviour and quality, there must be a limit before more serious steps happen.

With strikes, you may receive any of the following before the matter(s) are escalated to a disciplinary investigation:

• Any 3 offences of any combination in a 12-month rolling period
• If an incidence is more severe or further strikes won't improve conduct.

Once you have hit 3 strikes, the person issuing the 3^rd Strike will be required to refer this to a director for a potential disciplinary investigation. Someone after your 3rd offence will contact you if the decision has been made.

If the staff member has a disciplinary on record for the reason the Strike is given, then this will not be classed as a strike but will be referred to as a disciplinary investigation.

If the issuer feels a strike or an additional Strike will not suffice, they may forgo giving multiple Strikes and skips straight to referring for an investigation. For example, you may have a strike for being late, and instead of a second, or maybe a third, we go straight to an investigation.

How long will strikes be on my record?

Strikes will remain on your record for your entire time with us. They will form part of supervisions etc. This does not mean that they will be used in disciplinary events during your career with us. As mentioned above, each Strike will only be used in disciplinary matters for up to 12 months after they have been issued.

Can I appeal a Strike?

No. Strikes themselves can not be appealed as they act as an informal warning system. If your number of strikes reaches 3 and you are the subject of a disciplinary investigation, the investigator will investigate the facts of each Strike. Any issues you had with the strikes and any evidence can be raised during the investigation.

While you can't appeal the Strike itself, you can raise how to person giving the Strike acted in this situation. You must do this within 7 days to a Director.

What can I receive a strike for?

Below is a list of examples that you may get a strike for. This list is not exhaustive, and other misconduct may be deemed as a strike even not listed here. In addition to this, if severe enough, offences below may be treated as a disciplinary investigation rather than a strike.

• Lateness (Under 10 minutes, see sickness & absence policy for more information)
• Attitude/Behaviour
• Conduct with children
• Paperwork (incorrect or not completing something you should)
• A minor breach of policy
• Not completing timesheet
• Incorrect Uniform

Levels of Authority

Nursery Managers have the authority to suspend an employee pending an investigation. The Decision Maker and directors only has the authority to dismiss an employee.

Nursery managers also have the authority to instigate a disciplinary investigation and issue a strike.

Disciplinary Procedure (Formal)

We aim to deal with disciplinary matters sensitively and fairly. All employees must treat all information connected to the disciplinary and its investigation as confidential.

Where there has been a serious allegation of misconduct or gross misconduct and/or there are serious concerns regarding the employee's capability, we aim to establish the facts quickly. No disciplinary action will be taken until the matter has been thoroughly investigated.

You will be informed if a formal complaint is made against you, and if necessary, you may be suspended on full pay pending the outcome of the investigation and disciplinary.

Stage 1 - Investigation

• We will investigate any allegations/concerns quickly and thoroughly to establish whether a disciplinary hearing should be held.
• Where possible, the investigation will be carried out by a management team member who has not been involved in the incident to remain impartial. While every effort will be made to do this, even meaning a member of Management from another setting carrying out the investigation may not always be possible. This may cause delays in some cases.
• The purpose of the investigation is to establish a balanced view of the facts relating to the allegations against you. The amount of investigation will depend on the nature of the allegations and will vary from case to case. It may involve interviewing and taking statements from you and any witnesses and/or reviewing relevant documents.
• Investigation interviews are solely for the purpose of fact-finding and will be led by a member of the management team/room leader. No decision will be taken on the disciplinary until after the disciplinary hearing.
• You are generally not allowed to bring a companion to an investigatory interview.
• However, we may allow you to bring a work colleague or trade union representative in exceptional circumstances. If you wish to be accompanied, you should contact either Jayne Freear or Jonathan Tricks to discuss the reasons for your request. This must be done 24 hours before a meeting.
• Any additional misconduct that is not in the original scope discovered during the investigation stage has to be referred back to the investigation issuer. This must not be added in retrospectively and will be treated as a separate investigation unless (See next bullet point)
• If the misconduct is part of the scope of the original investigation, then you may include this a proceed as planned.

Suppose the investigations lead us to reasonably believe there are grounds for disciplinary action. In that case, we will write to you outlining the allegations against you, the basis of the allegations and the potential consequences.

If there is sufficient evidence before an investigation, we may forgo a full investigation and move straight to stage 2. This will only occur if there is substantial evidence of wrongdoing.

In the case of lateness or absence, then previous return to work meetings may count as stage 1 in this scenario. See absence and sickness policy for more details.

You will be invited to a disciplinary hearing to discuss the matter. You will be sent any copies of evidence that may be referred to in the hearing (e.g. witness statements (or a summary of the statements if the witness's identity remains confidential and minutes of meetings).

Stage 2 – Disciplinary Hearing

• We will hold the disciplinary meeting to discuss the allegations. You will have the right to bring a companion to the meeting, and a companion may be a work colleague or trade union representative. You must inform us before the meeting which your chosen companion is. If your companion is unreasonable (for example, there may be a conflict of interest), we may require you to choose someone else.
• If you or your companion cannot attend the meeting, you should inform us immediately, and we will arrange an alternative time and date. You must make every effort to attend the meeting, and failure to do so without good cause may be treated as misconduct in itself.
• Suppose you persistently fail to reply to invitations or persistently fail to attend the arranged hearing without good cause. In that case, it may be carried out in your absence, and you will be notified of the decision in writing. You will retain the right to appeal.
• The Disciplinary Hearing Decision-maker will be decided as someone who has also had no prior involvement in either the incident in question or the investigation where possible. This also may be a member of the management team from another setting. This may not always be possible, but efforts will be made to achieve this. This may cause delays in some cases.
• During the meeting, we will go through the allegations against you and the evidence that has been collated. You will be able to state your case and call relevant witnesses (provided you provide advance notice and we agree to their attendance, statements emails by the witness will also count as long as the has been verified as original and authentic by the investigator) to support your case.
• We may adjourn the disciplinary meeting if we need to carry out further investigations, and you will be given a reasonable opportunity to consider new information.
• You will be notified of the decision in writing, usually within 10 working days of the hearing.
• You will be allowed to appeal the decision. If you wish to appeal, you should state your entire grounds in writing, and the email should be sent to Jonathan Tricks or Jayne Freear, The Norfolk Childcare Company, within seven working days from the date of the decision was communicated to you.
• Any additional misconduct not in the original scope discovered during the disciplinary hearing stage must be treated as a new Stage 1 Investigation. The Decision Maker may instruct the original investigation to start a new investigation into the new misconduct. Unless (See next bullet point), this new misconduct must not be added retrospectively and will be treated as a separate investigation unless (See next bullet point).
• If the misconduct is part of the scope of the original investigation, then you may include this a proceed as planned; you may adjourn the meeting to refer back to the investigator to investigate further if you feel more information is needed.

We will always give you enough time to prepare for any disciplinary hearing. Usually, this will be 7 days unless mutually agreed longer. In some cases where the incident involves a safeguarding issue, this may be brought down to 24-hour minimum notice. For example, this could be because a child has been injured or severe breaches of safeguarding rules.

Stage 3 – Appeal Process

• The appeal meeting will be conducted impartially by a Director, where possible, who has not previously been involved in the case.
• You may bring a companion to the meeting, and the companion may be a work colleague or trade union representative (as stated above).
• We may adjourn the appeal hearing if further investigations need to be carried out, and you will be given a reasonable opportunity to consider any new information before the hearing is reconvened.
• We will inform you in writing of our final decision as soon as possible, usually within 10 working days of the appeal hearing.
• The appeal decision-maker has the power to reduce the outcome of the disciplinary hearing. It has the power to increase punishment outcomes if they believe the decision-maker was too lenient in their decision or has made an error.
• Suppose any additional information has come to light about the accused of any other misconduct that has happened that was not part of the original investigation. In that case, the appeal decision-maker can refer back to the original investigator to start an additional investigation into the additional misconduct. This can't be added to any previous investigation and must be treated as a new investigation.
• If the misconduct is part of the scope of the original investigation, then you may include this a proceed as planned; you may adjourn the meeting to refer back to the investigator to investigate further if you feel more information is needed.
• There is no legal right to appeal beyond this stage.

Disciplinary Penalties

In the first instance, where less serious offences are concerned, the employee concerned is more than likely to receive a verbal warning. This warning will be recorded and a copy maintained in the employee's personnel file with a timescale for improvement or not re-offend.

If further action becomes necessary and there is already an active warning on your record, or the misconduct is sufficiently severe, a written warning will be given. This warning will be recorded and a copy maintained in the employee's personnel file for a specified period.

Suppose the employee continues to fail to meet the required standards and there is already an actively written warning on record, or the misconduct is sufficiently severe. In that case, a final written warning will be issued indicating that further behaviour of a similar nature within a specified period could result in dismissal. This warning will be recorded and a copy maintained in the employee's personnel file for a specified period.

If the employee fails to meet the required standards and there is already a final active warning on record, or the matter amounts to gross misconduct, dismissal may be authorised.

Gross Misconduct

In the case of gross misconduct, the nursery reserves the right to dismiss an employee without notice (or payment in lieu of notice) if, after investigation and hearing, the Management is satisfied that there is sufficient justification for so doing.

Duration of Penalties

Under normal circumstances, warnings will be valid for the following periods. However, these may vary according to the nature of the occurrence and may, therefore, be determined that it can be extended at our discretion.

• Verbal warning - 12 months
• Written warning - 18 months
• Final written warning - 24 months.

Warnings will be disregarded for future disciplinary purposes on expiry, but a record shall stay on your file.

Alternatives to Dismissal

In some cases, we may, at our discretion, consider alternatives to dismissal or where misconduct has occurred. These may be authorised by the Decision Maker and will usually (but not limited to) be accompanied by a final written warning/written warning. Examples include:

• Demotion
• Transfer to another setting
• A period of suspension without pay
• Loss of seniority
• Loss of overtime
• Reduction in pay

Examples of Gross Misconduct

Examples of what would constitute a gross misconduct offence include (but are not limited to):

• Theft or the unauthorised possession of property belonging to the nursery, its employees or customers.
• Assault on any employee or persons associated with the nursery, including bullying.
• Breach of confidence, i.e. the divulging of confidential information relating to the running of the nursery, its employees, parents or children.
• Dishonesty includes using any funds, expenses, or allowances for any other purpose the nursery has delegated them.
• Being under the influence of drugs or alcohol whilst on duty.
• Severe or persistent breaches of safety rules or policies.
• Fraud includes falsification of work records, expense claims or references.
• Signing/clocking in and out for another employee.
• Giving false times on the timesheet.
• Physical assault or abuse towards a child, e.g. hitting a child in chastisement, mishandling a child or harsh disciplinary actions.
• Discrimination or harassment in any way against a person.
• Persistent failure to follow nursery documentary systems and procedures
• Extreme insubordination.
• Putting a child in harms way either intentionally or unintentionally
•  

Example of Misconduct

Further behaviour that could constitute gross misconduct is not limited to the above list. Examples of what would constitute a misconduct offence include:

• Minor breaches of our policies [including the Sickness Absence Policy, Mobile Phone and Social Media Policy, and Health and Safety Policy].
• Minor breaches of your contract.
• Damage to, or unauthorised use of, our property.
• Poor timekeeping.
• Time wasting.
• Unauthorised absence from work/unacceptable attendance levels.
• Refusal to follow instructions.
• Excessive use of our telephones for personal calls.
• Excessive personal email or internet usage.
• Obscene language or any other offensive behaviour.
• Negligence in the performance of your duties.
• Smoking in non-smoking areas

Please note that these lists are not exhaustive and significantly severe; an example of misconduct might be classed as gross misconduct.

Staff Improvement System

The staff improvement system is a method that can be used either in place or in addition to disciplinary action. The idea of the staff improvement system (SIS) is after misconduct or poor performance; it will guide the staff member on how to improve their performance.

During your disciplinary, if deemed productive, the decision-maker will assign you to start an SIS and dictate who will monitor this and set out goals, time frames and repercussions if goals are not met.

The system's monitor will carry out regular checks to make sure the staff member is making improvements and is on track to meet the goals set out in the time frame. This should be no less than once a month.

If the staff member does not reach their goal, this will be referred back to the disciplinary procedure, and another investigation will occur.

The time frame of the SIS will be set out in the beginning and will be a realistic time frame to make improvements. This method is used where more support is needed for the staff member or minor conduct in question.