Disciplinary Procedures

Disciplinary procedures can be helpful in highlighting difficulties with individual workers within an organisation and can be used as a means to manage and improve poor performance.

In cases other than where potential questions of serious misconduct arise, disciplinary procedures should only begin if informal discussions and support have failed. Informal (spoken) warnings can be used for minor breaches and as a way of ensuring that workers understand what conduct is appropriate/inappropriate. Such approaches have as much to do with to do with good management and support of workers than with disciplinary action.

Some organisations use verbal warnings as part of their formal disciplinary procedure.

When developing/reviewing your organisation’s disciplinary procedure you should ensure that all workers (both paid and volunteer):

• understand that it relates to them – without exception.

• understand how it links to your organisation’s care and protection framework and the procedures which underpin this.

• know what action will be taken, the stage(s) at which action will be taken, when and by whom.

• understand that they have a right to respond to any allegation made against them and a right of appeal.

It is important that:

• No disciplinary action is taken without appropriate grounds for such action. Any disciplinary action should be justified and therefore based on information and facts which can generally be verified. In relation to child protection concerns which allege the involvement of a worker, the organisation must ensure that its own internal investigation does not compromise the work of the child protection agencies (i.e. Police and/or Social Work).

• When making a referral to the List whilst the outcome of a child protection investigation is still pending and your organisation believes that a worker’s conduct does constitute harm or risk of harm to a child AND s/he has been moved away from access to children, it will be fully entitled to make a referral to the List before the external child protection agencies have completed their investigation. The content of your organisation’s written report (reference) will need to state that an external investigation is being carried out and that the outcomes from this are, at the point of making the referral, unknown. Scottish Ministers will expect your organisation to provide evidence to support the referral.

• Workers understand that suspension does not constitute disciplinary action. Immediate suspension should be considered where a worker’s conduct is likely to bring their own or another person’s safety and/or well being into question.

Suspension should always be carried out in accordance with the organisation’s Disciplinary Procedures. Workers should always be informed of the reason for their suspension and given the opportunity to make a statement should they wish to. The worker should then be notified in writing of the reasons for the suspension. Organisations should make sure that clearly specified time limits are set for periods of suspension.

It is not appropriate to refer an individual to the List whilst they are suspended. Although suspension will remove the individual from access to children/young people it is important to understand that it is only a temporary measure used to allow organisations to review a concern. A referral to the List can only be made where an organisation has decided to permanently remove an individual from access to children because s/he is considered to have harmed a child or placed a child at risk of harm.

• Matters are dealt with in a specified timescale unless external circumstances dictate that the organisation is unable to reach a conclusion (e.g. where the child protection agencies are carrying out an investigation).

• No worker is dismissed for a first occasion of misconduct unless it is gross misconduct. Gross misconduct includes (for example):

• violence;
• theft;
• fraud;
• serious negligence resulting in injury and damage to premises or individuals;
• dangerous incapability caused by substance misuse;
• gross insubordination;
• the deliberate abuse/harm/neglect of a child or young person.

• Workers understand why disciplinary action is being taken against them and, where they are dismissed, understand the reasons for this.

Accurate records are kept which include a summary of all steps taken by the organisation; for example minutes of meetings or interviews, records of any prior warnings, records of any earlier complaints/concerns raised about the individual which were managed through support etc.

Example of good practice

The Scottish Archery Association has developed detailed Disciplinary Regulations (published May 2004). For information on how to obtain a copy of these guidelines you should contact the Association through their website www.scottisharchery.org.uk