8.07 Disciplinary and Dismissal Procedure
1. Disciplinary Rules
The preschool requires good standards of discipline from its employees, together with satisfactory standards of work. These disciplinary procedures apply to misconduct or failure to meet standards of performance or attendance. Preschool may commence disciplinary action at any stage as it deems appropriate.
The purpose of the procedure is to be corrective rather than punitive and it should be recognised that the aim of this procedure is to help and encourage employees to achieve and maintain standards of conduct, attendance and job performance and to ensure consistent and fair treatment for all employees whilst ensuring that the Preschool rules and standards are maintained by employees.
2. Examples of Misconduct/Poor Performance
Employees are expected to perform their work to the standard normally expected of a person in your role and/or to any standard reasonably required by their line managers.
Disciplinary procedures are likely to be started in the following cases (note that the list is not exhaustive).
Poor time keeping
Misuse of Preschool facilities
Failure to follow the Preschool prescribed procedures
Failure to meet the Preschool’s quality standards
Unauthorised absence from work
Unacceptable performance
Time wasting
Contravention of minor safety regulations
Disruptive behaviour
Inappropriate behaviour towards a colleague
Very minor instances of any matter listed as gross misconduct.
3. Examples of Gross Misconduct
The following is a non-exhaustive list of examples of offences which amount to gross misconduct
Dishonesty including theft or fraud
Falsification of Preschool records including timesheets and expense claims
Serious insubordination including refusal to adhere to, or comply with any legal, morally or socially acceptable requests from a manager or supervisor or any improper conduct towards a manager, supervisor or colleague
Violent, abusive or intimidating conduct
Deliberate or serious negligent damage to Preschool property or toward children, members of staff, a guest or the public
Discrimination, harassment or bullying of any nature
Unauthorised use or disclosure of confidential information
Attending work (or work related functions without the consent of Preschool) under the influence (or in possession) of alcohol or non-medically prescribed drugs
Any action likely to bring the Preschool in to disrepute
Breach of Health and Safety rules which endanger Health and Safety of others
Failure to report or attempt to cover up any serious incident
Failure to comply with the Preschool Child or Data Protection policies
Deliberate provision of incorrect information on any job application or CV
Convictions for any serious offence while an employee of the Preschool
4. Disciplinary Meetings and Procedure
Employees may, if they wish, be accompanied by a fellow employee or a trade union official of their choice at any investigatory or disciplinary meeting. Preschool reserves the right to refuse the choice of companion if he/she will prejudice the disciplinary proceedings (e.g. because of conflict of interest). During the meeting the companion may ask questions, may confer with the employee and may address the meeting but not respond to questions on the employee's behalf, represent the employee if the employee does not wish them to do so or prevent the employee from stating their case. Except for some acts of gross misconduct, the following procedure will always be adopted.
5. Disciplinary Procedure
Informal action for minor problems
Minor breaches of conduct or instances of poor performance will normally be dealt with through regular supervision and/or meetings with management.
Formal Procedure
General: The following three step procedure will be followed each time the Preschool is contemplating any formal level of discipline or dismissal. The level of disciplinary action will be appropriate to the seriousness of your alleged misconduct or poor performance. The possible levels of disciplinary action are set out below.
If the employee has a disability and needs any adjustments made to the procedure/arrangements, they should alert the Preschool as soon as possible.
All parties (including witnesses) must keep the disciplinary procedure (including any initial investigation) and the documentation confidential, unless the Preschool reasonably decides otherwise. Nothing in this policy will prevent disclosure by the employee where such disclosure would be protected under the Public Disclosure Act 1998.
If the employee is accused of serious misconduct or serious negligence they may be suspended whilst a full investigation (and, where appropriate, a meeting) of the case is undertaken. The employee will be suspended for as long as reasonably necessary. It will be made clear that suspension is not considered a disciplinary action.
Step 1: Preliminary Action
A thorough investigation will be carried out as soon as possible. The person conducting the investigation will be decided by the Preschool Committee. Investigatory meetings may be held with the employee and other relevant people. If it is decided that formal action is required, a clear summary of the complaint(s) will be drawn up, indicating the evidence that supports each complaint.
A letter will then be sent to the employee confirming the nature of the complaint (and enclosing appropriate evidence), requesting that the employee attends a disciplinary meeting, stating the level of disciplinary action that could be imposed if the complaint is upheld and, confirming the employee's right to be accompanied by a work colleague or trade union representative. The employee should be provided with sufficient information to enable them to prepare for the disciplinary meeting.
Step 2: The Meeting
Where the employee's companion cannot attend an arranged meeting they should inform the author of the letter in advance whenever possible giving reasons and suggesting another reasonable time falling within 5 days of the previous date.
If the employee fails to attend the meeting, Preschool will normally arrange another meeting. However, if the employee fails to attend the rearranged meeting without good reason a decision may be taken in their absence.
The meeting will occur at a reasonable time and place. The employee must take all reasonable steps to attend.
The person conducting the meeting (normally not the person who investigated the matter) can decide on the order of the meeting and on procedural and other matters and will be a person with authority to take any disciplinary action. The person conducting the meeting will be decided by the Committee.
At the meeting the case given against the employee will be presented in full and the employee will be given the opportunity to comment on and challenge evidence presented. The employee will be given the opportunity to state their case and question the case against them.
Where appropriate, witnesses will be asked to attend to give evidence for the Preschool and/or for the employee. The Preschool reserves the right to interview the witnesses in private and in the absence of the employee and their companion where it thinks it is appropriate to do so.
At the end of the meeting the meeting chair will call an adjournment before coming to a decision. The chair will then convene the meeting and/or write to the employee to confirm the decision made and any disciplinary action and the reasons for the action imposed, informing the employee of the right to appeal if they are not satisfied with the decision. In the case of a warning, an explanation of what improvement is expected will be given, along with how long the warning will last and that the consequences of failure to improve or further cases of misconduct or poor performance may result in further disciplinary action at an appropriate level. If the complaint(s) are upheld, a copy of the letter will be placed on the employee’s personnel file for the requisite period. This letter should be sent to the employee within 5 working days of the date of the meeting.
Step 3: Appeal
The employee has the right to appeal (even after dismissal) against any disciplinary or dismissal decision or disciplinary action imposed. Unless otherwise notified to the employee, the disciplinary action imposed will stand (even though the employee has lodged an appeal) unless and until it has been overturned on appeal.
The employee may request (in writing within 7 days of receipt by the employee of the notification of the decision) for the matter to be referred to appeal. The letter should set out as fully as possible the grounds for appeal and should be sent to the Chair of the Committee.
The employee will then be invited in writing to attend a further meeting. Where possible, this will be conducted by a sub-committee of the Preschool Committee so far unconnected with the process. The employee may choose a work colleague or trade union representative to accompany them as before.
The sub-committee hearing the appeal may decide to uphold the decision in whole or in part, to recommend an alternative course of action, to overturn the decision in whole or in part and then take any appropriate remedial action.
A final decision will be communicated to the employee in writing. This will be done within 5 working days of the appeal meeting.
6. Levels of Formal Disciplinary Action
For minor breaches of discipline, failure to achieve satisfactory standards or a repetition of a minor disciplinary offence, an oral warning may be appropriate after the above procedure has been followed. The oral warning and the reasons for it being given will be noted on the employee's files but it will normally be removed after 6 months in the absence of further offences or unsatisfactory performance.
For more serious offences or performance issues, or a failure to improve or maintain improvements sufficiently or there are new performance or conduct issues following an oral warning, a written warning may be issued after following the above procedure. A copy of the written warning will be placed on the employee's file. This will normally be removed after 9 months in the absence of further offences or unsatisfactory performance.
If there is still a failure to improve or maintain improvements satisfactorily, or if the offence or performance issue is sufficiently serious to warrant a Final Written Warning, but not serious enough to warrant dismissal, or there are new performance or conduct issues after a written warning has been given, a Final Written Warning will be appropriate after following the procedure outlined above. This warning will specify that the consequences of a failure to comply will normally be dismissal. A copy of the Final Written Warning will be placed on the employee's file. This will normally be removed after 12 months in the absence of further offences or unsatisfactory performance.
The employee will not be dismissed for a first breach of discipline or performance standards except in the case of gross misconduct or gross negligence. If the employee has still failed to reach or maintain the prescribed standards set out in the Final Written Warning, or there are new performance or conduct issues after a Final Written Warning has been given, or the employee is guilty of gross misconduct or gross negligence, dismissal is possible after following the above procedure. In exceptional circumstances, alternative disciplinary action may be taken.
Dismissal will be with contractual notice (or pay in lieu where appropriate) except for cases of gross misconduct or gross negligence where the employee will be dismissed without notice or pay in lieu of notice or of accrued non-statutory holiday pay.