The Camphill Village Trust Policies and Procedures
Workplace concerns procedures Revision History Version
Date
Author
Distribution
Status
4.0
January 2014
FW
Trustees
Approved
4.1
June 2016
FW
Trustees
Approved
5.0
March 2019
FW
SMT/Employee Forum/InBrief
Approved
Contents Page Employee concerns procedure (grievance procedure) - if you are worried about anything to do with your work
3
Dignity at work procedure (bullying and harassment policy & procedure) - if you are experiencing behaviour that is unacceptable to you
6
CVT concerns procedure (disciplinary procedure) - if we become concerned about your conduct or performance
11
Suspensions policy - this policy explains how we approach suspensions
17
Safeguarding guide - this guide explains the safeguarding context
22
Decision procedure - if we are considering requiring you to leave or taking some other significant action Mediation policy - when mediation might be appropriate
25
27
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Introduction Who are these procedures for? These procedures are for employees working in the charity and all other workers within the legal meaning of that word (Section 230 Employment Rights Act 1996). For instance, this would include bank or relief staff. Non-contractual These procedures do not form part of your contract of employment (except where we have said that a particular provision does form part). This means that we have been able to include more details and explanations, so you can understand more about the purpose of this procedure and how it works. We hope including more details will also support us to act fairly without meaning we have broken your contract of employment if by mistake we overlook some of the specific details in practice. It also means we can retain some flexibility, for instance, to respond differently in circumstances we have not anticipated. You may wish to refer to the ACAS Code of Practice on disciplinary and grievance procedures (www.acas.org.uk) or contact ACAS on 08457 474747 for general advice and additional information about your legal rights. What happens if your employment ends? If you are dismissed, you will still be able to exercise your right of appeal under the CVT concerns procedure. If you leave our employment before a CVT concerns procedure has concluded, then we reserve the right to continue with the procedure so that we can reach as decision as to what would have happened had you not already left our employment. This is most common were there are serious safeguarding concerns involved. If you leave our employment while a dignity at work complaint or any other concern is being considered under the employee concerns procedure, then at our discretion we may continue with the next step in the procedure (whether that is an appeal or formal meeting) but there will be no automatic right of appeal. We may also simply conclude the procedure by writing to you with our conclusions on the matter. After your employment has ended, you may still raise a concern with us in writing and we will look into the matter before giving you a written response.
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Employee concerns procedure (Grievance procedure) The purpose of this procedure We hope that this procedure will help us to listen to and acknowledge your concerns. We are committed to treating your concerns seriously and to responding quickly and effectively. We hope any concerns you may have will usually be resolved within this community context through what this procedure calls informal discussions. If your concerns are not resolved informally in this way, we hope this procedure will support you to raise your concerns in a more formal way. When to use this procedure Please use this procedure if you are worried about anything to do with your responsibilities or our activities. This could include, for example, our practices, health and safety, or unfair treatment. In some circumstances, you may wish to refer to our whistle-blowing procedure. If you are concerned about the support and care or the freedom to make choices being given to someone we support within your community, you may find it helpful to look at our safeguarding policy. You must raise concerns of a safeguarding nature directly with an appropriate person. If you feel you are being treated in a way that you find unacceptable and might be considered to be bullying or harassment, please look at the dignity at work procedure. How to use the procedure Informal discussions If you have any concerns, we ask you to raise them in the first instance directly with your manager or the relevant manager. We hope that your concerns will normally be resolved informally in this way. However, if your concerns are not resolved in this way, you may wish to write and request that your concerns are considered formally under this procedure. You will then have a written response from us within two weeks explaining who will formally consider your concerns. Depending on the circumstances, this may be the same manager or another manager who has been asked to take a fresh look at the situation. Stage one – formal meeting The person who is formally considering your concerns will arrange a meeting with you. They will write to you after the meeting with a written response and remind you that you can appeal if you wish. You may invite a companion to the meeting.
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Stage two – appeal If you are still concerned, you may appeal by writing within one week explaining the reasons for your appeal. Your appeal will usually be heard by one or two, usually more senior, people from the charity. They will arrange to meet you. They will write to you after the meeting with a written response. Their decision will be final. You may invite a companion to the meeting. How this procedure works In writing It helps us to understand your concerns if you set out your concerns in writing. It is helpful if you say what action you would like us to take that would resolve your concerns. Notes We will usually produce notes of the meeting or summarise what you have said to us when we write to you after the meeting. We will give you the opportunity to tell us in writing if we have missed out anything of significance or written something that is not accurate. Fact-finding We may need to look into your concerns to make sure we have all the relevant facts before responding to your concerns. We may have started this before meeting with you and the factfinding may need to continue after meeting with you. In some circumstances, the person formally considering your concerns may organise for someone else to conduct a fact-finding. A companion You are welcome to ask for a workplace colleague or trade union representative to come with you to help you for the stage one formal meeting and stage two appeal meetings. Your companion may speak at the meeting on your behalf to explain your concerns, sum up your concerns and respond to any view we express at the meeting. They may ask questions on your behalf but they should not usually answer questions for you. They may ask for a short break to talk privately with you. Please provide details of your companion before the meeting. Support You may also wish to use our Employee Assistance Programme which is provided by Workplace Options. Their contact details are: FREEPHONE: 0800 243 458 E-MAIL: assistance@workplaceoptions.com WEBSITE: www.workplaceoptions.com LOG-IN DETAILS: camphill (user name) employee (password) Through the EAP both practical information and counselling is available. Information is available online and can be provided over the phone or by post. Counselling is offered over the telephone, in a face-to-face setting close to your work or home, via webmail or live connect (instant chat). More information and advice You may wish to refer to the ACAS Code of Practice on disciplinary and grievance procedures (www.acas.org.uk) or contact ACAS on 08457 474747 for general advice and additional information about your legal rights.
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Confidentiality If we are given sensitive or private information during this procedure, we will treat it with respect and deal with it in an appropriate manner. In some circumstances, because of our responsibilities we may decide we have to look into your concerns even though you may not want this to happen. We will always talk to you about this before we do so. Writing to you So that the situation is clear for everyone, after a stage one formal meeting we will write to you outlining your concerns, our fact- finding, and subsequent decision and we will remind you of any appeal available to you. We will write to you with a similar written response after a stage two appeal meeting. We will usually write within two weeks of the meeting. If we cannot respond to your concerns within this time, we will explain why and let you know when you can expect a written response. Flexibility This procedure is not intended to be prescriptive. We may wish to adapt the procedure in order to respond differently in circumstances we have not anticipated. However, we will honour our commitment to the underlying principles of fairness and respect. Internal reporting Managers are expected to promptly report the receipt of a request for a concern to be considered formally to the responsible HR Lead who will advise, in liaison with others, who should consider the concerns at a formal meeting. All appeals should be reported to the Director of HR & Governance. We hope you will find this procedure provides a fair and effective way to resolve your concerns.
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Dignity at work procedure (Bullying and harassment policy & procedure) The purpose of this procedure We believe everyone should be treated with respect and we will not accept behaviour that we believe adversely affects someone’s dignity. We will treat very seriously any complaint of such behaviour. We recognise that you may find raising a complaint of this sort particularly difficult and so we have designed this procedure with that in mind. We believe everyone needs to take responsibility for managing their working relationships positively and constructively.
What helps? Welcome new arrivals Be fair and just with people Respect people’s rights and their individuality Say when you don’t understand and ask for help, and make it possible for other people to do so too Admit you make mistakes and change your mind, and accept that other people can do so too Express your feelings, opinions and values, and welcome other people doing so too Say ‘no’ to unreasonable requests and explain why, and accept ‘no’ from others
We hope any concerns you may have will usually be resolved through what this procedure calls informal discussions. When you do feel you need to complain in a more formal way, we hope this procedure will support you to do so. We will treat very seriously any complaint that you have been victimised as a result of making a complaint in good faith. When to use this procedure Please use this process when you feel that you are experiencing behaviour that you find unacceptable, like bullying or harassment. You may be experiencing such behaviour from an individual or group of individuals. They may be a workplace colleague, someone else working with us or providing services to us, someone using our services or someone visiting us.
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The Camphill Village Trust Policies and Procedures You may find it useful to consider the descriptions of behaviour in the box below. Definitions of these terms vary and overlap - it is not necessary for you to find a ‘label’ before you use the procedure. The most important consideration is not what the behaviour might be called but whether the behaviour is unacceptable by reasonable, normal standards and is disadvantageous, unwelcome or unacceptable to you. Harassment involves unwanted conduct that has the purpose or effect of violating a person’s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for that individual. It can be the result of a single incident or the result of persistent behaviour. The legal definition of harassment requires that the unwanted conduct is related to a relevant protected characteristic – age, disability, gender reassignment, race, disability, religion and belief, sex and sexual orientation – but we will take seriously complaints of conduct relating to other personal characteristics. Bullying is not specifically defined in law, but ACAS uses the following definition: ’Bullying may be characterised as offensive, intimidating, malicious or insulting behaviour, an abuse or misuse of power through means intended to undermine, humiliate, denigrate or injure the recipient'. Bullying involves behaviour that demeans, devalues or intimidates. A person who is being bullied can feel worthless or threatened. It can involve the abuse or misuse of position. It is rarely a single incident and is more often a build-up of many small incidents, which often involve persistent criticism. It does not normally include a single incident where the stress of the moment causes behaviour to get worse for a brief period. It may involve shouting, personal insults, comments on social networks, and public humiliation. It may also involve more subtle methods such as ignoring or leaving a person out. Behaviour that is considered bullying by one person may be considered firm management by another. Most people will agree on extreme cases of bullying and harassment but it is sometimes the ‘grey’ areas that cause most difficulty. Bullying and harassment can take place outside of work and may involve the use of social media. Examples of harassing or bullying behaviour include: spreading rumours which cause harm embarrassing or insulting remarks or behavior jokes or comments about someone’s appearance verbal abuse unwelcome sexual advances – touching, standing too close, displaying suggestive pictures and asking for sexual favours leaving a person out or picking on them unfair treatment overbearing supervision or misusing a position of power making threats or comments about job security without foundation deliberately undermining a competent person by overloading them with work and criticising them constantly ridiculing or demeaning someone picking on them or setting them up to fail preventing individuals progressing by intentionally blocking opportunities copying critical information about someone to others who do not need to know
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The Camphill Village Trust Policies and Procedures How to use the procedure Informal discussions You can try to deal with the situation informally but what you should do informally depends on how serious the behaviour you feel you are experiencing is, and what you actually feel able to do about it. Before raising your complaint formally using this procedure, if you feel able to, talk or write to the people involved, to make it clear to them that their behaviour is unwanted and unacceptable to you and that you want their behaviour to stop. They may not realise the effect of their behaviour on you and that it is unwanted. You may find it helpful to keep a written note of your conversations in case this informal approach does not stop their unacceptable behaviour. You may find it helpful to talk to a colleague to check your view of the situation, to get some support and to help you gain the confidence to handle the situation yourself. You may want to ask them to come with you when you speak to the people involved or you may want to ask them to speak for you initially. You may find it helpful to keep a record of what is happening. You might include what is being said and done and how you are feeling together with a note of the dates you made the record. You might also keep copies of anything else relevant. You may also find it helpful to talk informally with your manager or with another manager with whom you feel comfortable or with someone from HR. They will listen carefully, explain this procedure, help you to identify possible courses of action and help you to decide what you want to do. They may seek further advice from their manager and from HR. Because we have a responsibility to provide a safe, non-discriminatory, harassment-free workplace, they may decide, immediately or after waiting to see if you are able to improve the situation informally, that we need to respond even though you may not want us to. We will usually let you know if this is so. They may decide that the situation is so serious that we need to investigate and consider the complaint further using the CVT concerns procedure. As a result, we cannot commit to maintain confidentiality but we will seek to respond to situations sensitively and discretely. Formal complaints If an informal approach to the other people involved does not stop their behaviour, or if their behaviour is of a serious nature, then you should write to your manager. If you feel unable to write to your manager please discuss your situation with another manager with whom you feel comfortable or someone from HR. You should tell them that you want to complain formally as part of this procedure. Your complaint will be properly looked into, sensitively and discretely, and as soon as possible. Another person from inside or outside the charity may be asked to become involved. We might ask someone of the same sex as you to help if you are complaining of being sexually harassed or ask someone who has had relevant training or experience. The person who undertakes the fact finding will ask you to meet with them to discuss your complaint. You may invite a workplace colleague to come with you to this meeting.
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The Camphill Village Trust Policies and Procedures They will meet with the other people involved to tell them you have made a complaint and explain the nature of the complaint and give them the opportunity to respond. They may invite a workplace colleague to come with them to this meeting In some circumstances, we may feel that it is in everyone’s best interest if alternative work arrangements are made while we look into the situation further. If so, we will discuss this option with you and we will offer it to the other people involved. The fact finding will then be considered at a formal meeting held under stage one of the employee concerns procedure. If at any stage the CVT concerns procedure is initiated by us, we will tell you this is happening. Any formal meeting to be held under the CVT concerns procedure may then be put on hold. We will let you know when the employer concerns procedure has concluded and the outcome but we may not be able to tell you in detail. We will then discuss with you how you wish to proceed and whether you wish to continue with the employee concerns procedure.
How this procedure works Complain promptly We ask you to raise any complaint with us promptly. This will help to make sure that everyone involved can clearly recall the events leading up to your complaint. Confidentiality Unfortunately, no-one in the charity is able to guarantee that what you tell us will be treated in confidence and not shared with anyone else. If we are given sensitive or private information during this procedure, we will treat it with respect and deal with it in an appropriate manner. We will expect you, and anyone else involved, to take similar care. In writing If you make a formal complaint, we will ask you to confirm your complaint in writing. If you ask us, we will help you to do this. A companion You are welcome to ask for a workplace colleague or trade union representative to come with you to help you at any formal meetings held as part of this procedure. Your companion may speak at the meeting on your behalf to explain your concerns, sum up your concerns and respond to any view we express at the meeting. They may ask questions on your behalf but they should not usually answer questions for you. They may ask for a short break to talk privately with you. Please provide details of your companion before the meeting. Fact-finding After a formal complaint, we will meet everybody concerned to look into your complaint further. Notes We will usually take notes during the meeting or summarise what you have said to us when we write to you after the meeting. We will share notes of the meeting with you so you can tell us in writing if we have missed out anything of significance or written something that is not accurate.
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The Camphill Village Trust Policies and Procedures Support Whether you are making a complaint or the subject of the complaint you might find it helpful to have external support. You may wish to use our Wellbeing Programme, currently provided by PPC. PPC aims to provide emotional and practical support to assist people to address whatever issues they face. There is a free and confidential 24 hour counselling and information service – telephone 0800 282 193. Free face to face counselling is also available from them. Counselling can provide personal support whilst the situation is being sorted out and help you identify any patterns of behaviour you have that are contributing to the situation. Training can also be helpful. For instance, being able to speak up and express yourself clearly is an important skill for positive personal relationships and support to develop assertiveness skills may be helpful. Please contact someone from HR in confidence if you think such training might be useful. More information and advice You may wish to refer to the ACAS Code of Practice on disciplinary and grievance procedures (www.acas.org.uk) or contact ACAS on 08457 474747 for general advice and additional information about your legal rights. False complaints We take complaints seriously, so please be aware that we regard making false or malicious complaints as a serious matter for which we may want to use the employer concerns procedure. Flexibility This procedure is not intended to be prescriptive. We may wish to adapt the procedure in order to respond differently in circumstances we have not anticipated. However, we will honour our commitment to the underlying principles of fairness and respect. We may consider arranging mediation. More information about mediation is given in a separate section. Internal reporting Managers are expected to promptly let the HR Lead know of a formal complaint, who will the advise, in liaison with others, who should conduct the fact-finding and consider the concerns at a formal meeting and will notify the Director of HR & Governance. We hope never to have to use this procedure. If we do, we hope that it will provide a safe and fair framework for a solution to be found.
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CVT concerns procedure (Disciplinary procedure) The purpose of this procedure Everyone needs to maintain certain standards of conduct and performance. We believe that this procedure will help us maintain those standards. We hope most concerns can be resolved through what this procedure calls informal discussions. Sometimes we may feel it is necessary for us to use the more formal parts of this procedure. We hope this procedure will then support us to treat you fairly.
When we will use this procedure We will use this procedure if we become worried about your conduct or your performance. Our decision procedure will apply in most other circumstances where we are considering asking you to leave.
How we will use the procedure Informal discussions If we become worried that your conduct or performance is below the standards we need, your manager will talk with you informally about our concerns. We hope that we will be able to sort out most of our concerns informally in this way. If our concerns are about your performance we will talk with you to try to find out why your performance is below the standards we need. We will explain clearly the standards needed and the gap between these standards and your current performance. We will identify and agree with you any actions needed from us to help you improve. This may include offering you further advice, guidance or training or offering access to counselling where your performance problems are related to your personal life. We will develop an action plan, if appropriate, and review your performance within an agreed time period. We may verbally give an informal warning that if your performance does not meet the standards needed within the specified time period that we will continue to use this procedure which may result in more serious consequences including ultimately your dismissal. If our concerns are about your conduct, we may verbally give an informal warning that if there is any further similar unacceptable conduct within a certain specified period (usually six or 12 months) then we will continue with this procedure which may result in more serious consequences including ultimately your dismissal. If an informal warning has been given, then a note will be retained on your personnel file. Any work reference we give about you will not refer to informal warnings. Serious concerns In some circumstances, we may consider that our concerns are so serious that we need to recognise their seriousness formally using this procedure.
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The Camphill Village Trust Policies and Procedures Stage one – formal meeting The person who formally considers your concerns will arrange a meeting with you. You may invite a companion to the meeting. After the meeting, they will inform you in writing within one week of their decision, the reasons for it, and that you may appeal. Stage two – appeal Your appeal will usually be heard by one or two, usually more senior, people from the charity. They will arrange to meet you (usually within four weeks). After the meeting, they will inform you in writing of their decision. Their decision will be final.
How this procedure works Suspension Where for instance the concerns are particularly serious or where the safeguarding policy is being followed, we may require you to stop all or part of your responsibilities, impose such restrictions on your activities as we think necessary. This is done for the protection of everyone involved. It does not mean that a decision has been made about what has happened or the appropriate outcome. Fact-finding We will not make any decisions until we feel confident that we have done all we can to look into the situation fully. This may involve us meeting with you. You are welcome to have a workplace colleague come with you if you would find that helpful. Usually we will arrange for the fact-finding to be carried out by someone who is not going to be a decision-maker at a formal meeting. They will collect and present the documentary evidence and supporting statements. They will be invited to attend the formal meeting to answer questions. We share with you relevant information we obtain during our fact-finding before the formal meeting. A companion You are welcome to ask for a workplace colleague or trade union representative to come with you to help you at any formal meetings held as part of this procedure. Your companion may speak at the meeting on your behalf to explain your concerns, sum up your concerns and respond to any view we express at the meeting. They may ask questions on your behalf but they should not usually answer questions for you. They may ask for a short break to talk privately with you. Please provide details of your companion before the meeting. We will try to agree a date and time for the meeting that suits everyone. If your companion cannot attend on the date and time we first suggest, you may suggest another date and time that is within five days of the date we suggested. If that date is not practicable for us, then a further date will be arranged. Your chosen companion may have a reasonable period of time off work both before and after the meeting to help them to fulfil their responsibilities. They should arrange this with their manager. You might find it helpful to have external support. You may also wish to use our Wellbeing Programme, currently provided by PPC. PPC aims to provide emotional and practical support to assist people to address whatever issues they face. There is a free and confidential 24 hour counselling and information service – telephone 0800 282 193. Free face to face counselling is also available from them.
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The Camphill Village Trust Policies and Procedures We may identify in discussion with you a workplace colleague who is willing to offer you friendship and emotional support. We will identify someone to act as a point of contact for you to support two-way communication and to liaise with you about practical matters. More information and advice You may wish to refer to the ACAS Code of Practice on disciplinary and grievance procedures (www.acas.org.uk) or contact ACAS on 08457 474747 for general advice and additional information about your legal rights. An opportunity to explain We will not make any decisions without first giving you the opportunity to respond to the fact-finding and talk about the situation with us in a formal meeting. To help you to prepare to talk with us, we will always write to tell you about our concerns and the reasons for them before meeting with you formally. We will give you a copy of this procedure and remind you that you may bring a companion with you. If we think a possible outcome is that you might be dismissed we will tell you. We will also give you an opportunity at the meeting to tell us about anything you would like us to take into account as a reason why a lesser outcome would be appropriate (for instance, your previous good record with us or a family situation that is seriously affecting you). We may take into account factors like seniority or the absence of a good record, when considering the appropriate outcome. You may ask for further statements to be obtained or questions to be put to people or people to come to the meeting to make a statement on your behalf or to answer questions. You will need to let us know in plenty of time so the necessary arrangements can be made. Whether any further statements are obtained, or questions are put, or anyone else attends the formal meeting is a decision for the decision-maker, or the chair of the decision-making panel, to make at their discretion. Postponement or adjournment We will not make any decisions until we feel confident we have done all we can, to look into the situation fully. So, if we feel it is necessary we will postpone our meeting with you or, if the meeting has already started, stop it and resume it later. Notes We will keep notes of our meetings with you and give you copies of our notes if you appeal. We will ask you to tell us in writing if you consider we have missed out anything of significance or written something that is not accurate. Confidentiality If we are given sensitive or private information during this procedure, we will treat it with respect and deal with it in an appropriate manner. Time to consider After any formal meeting we hold with you, we will take time to think about and discuss the situation before we reach a decision. This may be as little as a half an hour or a few days depending on how
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The Camphill Village Trust Policies and Procedures complicated the issues we need to consider are. We may meet with you to give you our decision or simply write to you. Outcomes As a result of a formal meeting and its findings, we may decide to take no further action, warn you of possible future consequences, impose appropriate consequences, or dismiss you. We will tell you in writing the reasons for our decision within one week and remind you that you can appeal against the decision. Warning of future possible consequences We may formally warn you that if there is any further similar unacceptable conduct or your performance has not met the standards needed within a specified time period then we may use this procedure again with more serious consequences including your dismissal. We will give you a written record of that formal warning. Except with the most serious concerns, you would usually receive at least one written formal warning (a formal warning or a final warning) before we would consider your dismissal. For unacceptable conduct, the specified time period will normally be twelve months but in some serious situations where we had been seriously considering your dismissal the period specified may be longer. For concerns about your performance, a shorter time period, for instance, three months, is more likely. Any work reference we give about you will refer only to formal warnings that had not expired while you were still working with us. All formal warnings, whether or not expired, may be taken into account when considering whether or not you have a good record with us when considering the appropriate outcome at a formal meeting or at an appeal meeting. All informal and formal warnings given in the previous three years may be taken into consideration during redundancy selection processes. Examples of conduct that may lead to our ultimately dismissing you with notice after one or more formal warnings include: failure to meet performance standards poor practice, attendance or timekeeping failure to work in a facilitative way using Great Interactions being absent without good reason being careless or negligent failing to follow agreed care plan or risk assessments failing to carry out reasonable instructions not following health & safety or data protection requirements not following our policies and procedures failure to maintain professional standards of conduct behaviour which could undermine our reputation, including, for instance, inconsiderate behaviour towards our people we support, neighbours, customers, visitors or suppliers behaviour which could undermine working relationships or relationships with anyone involved in our charity any conduct which places people we support, co-workers or their families, guest or local volunteers, employees, customers, visitors or suppliers at risk
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The Camphill Village Trust Policies and Procedures Appropriate consequences We may impose any consequences we consider appropriate and necessary as a result of your conduct or performance being unacceptable. We will look for consequences that, in our opinion, will support you to improve your conduct or performance, will protect others from the potential effects of any similar unacceptable conduct or no improvement in your performance, and/or will prevent a similar situation occurring. It is a term of your employment that we may at our discretion impose one or more of the following consequences: require you to attend training or obtain a relevant qualification within a specified period change a term or practice relating to your employment (like, for instance, requiring daily telephone reporting during sickness absence or increase the amount of supervision sessions) reduce your pay and your responsibilities move you to an alternative role suspend you without pay for a period, or withhold a discretionary payment (like, for instance, a pay increase or a performance bonus). Dismissal without notice We need high levels of trust between everyone living and working in our charity to fulfil our purpose. When this trust is seriously undermined, with no reasonable prospect of it being restored because of the risks involved, we are likely to consider your dismissal without notice and without you having had any previous formal warnings. We will not dismiss you because of a single incidence of unsatisfactory conduct unless we consider your conduct so serious that we believe we have no choice but to do so. Examples of conduct so serious that you may be dismissed without notice and without an earlier formal warning: serious poor practice or abusive or neglectful practice theft, fraud, serious misuse of our property, name, or funds serious loss, damage or injury caused deliberately or by reckless or seriously negligent behaviour deliberately accessing internet sites containing pornographic, offensive or obscene material assault, actual or threatened refusal to carry out a reasonable instructions with potentially serious consequences, serious disregard for health & safety or data protection requirements or other policies and procedures, a serious breach of confidentiality serious failure to maintain professional standards of conduct bringing the charity into serious disrepute, conduct which could seriously damage our reputation, including, for instance, inappropriate behaviour towards our beneficiaries, neighbours, customers, visitors, suppliers or external agencies conduct which seriously undermines working relationships, including discrimination, victimisation, harassment or bullying any conduct which places people we support, guest or local volunteers, employees, SL carers, customers, visitors or suppliers at serious risk
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The Camphill Village Trust Policies and Procedures Appealing If you are not satisfied with the decision or any action we decide to take, you may appeal by writing within one week explaining the reasons for your appeal. If at all possible, the people who hear your appeal will not be the same as the people who met with you as part of this procedure. They may confirm, cancel or decrease the action you are appealing against, but not increase it. You may ask a companion to come with you to any meeting held as part of your appeal. You may wish to appeal because, for example, you think the procedure, or the findings and outcomes were unfair, or because you have new information that you believe may be relevant. An appeal will not prevent the implementation of the decision of the formal meeting. It is at our discretion whether implementation is put on hold. Flexibility This procedure is not intended to be prescriptive. We may wish to adapt the procedure in order to respond differently in circumstances we have not anticipated. However, we will honour our commitment to the underlying principles of fairness and respect. Internal reporting Managers are expected to promptly let the HR Lead know when there are concerns that may be addressed formally, who will the advise, in liaison with others, on who should conduct the factfinding and consider the concerns at a formal meeting. The Director of HR and Governance should be advised of any appeals. We hope that we will use this procedure rarely. When we do we hope that it will help us to treat you fairly.
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Suspension Policy What is suspension Suspension is where, for a temporary period, we require you to cease your work responsibilities. Your pay continues during a period of suspension. Suspension is not a finding of responsibility and is sometimes described as a neutral act. It is fair to say that this is often not what people feel about suspension when they experience it. What is meant by this description is that at the time of suspension, no decision has been made as to what happened or what needs to happen as a result.
Why suspensions sometimes are considered necessary Suspensions usually happen when an incident, allegation, disclosure, alert, or complaint gives rise to serious concerns that need to be looked into and then, if still thought necessary, addressed through the CVT Concerns Procedure. There are a number of reasons why suspension may be considered necessary, the primary ones are set out in the box below. Possible reasons for suspension to protect people we support from the possibility of harm to protect the person suspended from further allegation to prevent the possibility of a repetition or continuation of the alleged concerns to prevent evidence being altered or removed to protect the people we support and our staff from being put under undue influence or pressure to protect the integrity of any investigation or fact-finding to protect the person suspended from being accused of attempting to alter evidence or influence witnesses to protect the assets and reputation of the charity The most common context for suspension within CVT is following a safeguarding referral to the local authority’s safeguarding team. The difficulty about suspensions in this context is that we are not permitted to share any further information details or to proceed with own factfinding until given permission by the local and this can delay the process. Please see the Safeguarding Guide for more information.
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Our policy on suspensions We will: take proportionate and considered action balancing our primary responsibility for the wellbeing of the people we support with the needs and interests of our staff consider carefully the particular circumstances of each situation before deciding whether suspension is appropriate and, if so, the form it might take and to keep that decision under review confirm the suspension and the terms of the suspension in writing as soon as possible to the person suspended provide a point of contact to keep the person suspended informed about what is going on and respond to their questions or requests provide access to counselling and advice during a suspension to the person suspended. where appropriate, discuss and agree to provide access to internal charity news for the person suspended reach a decision on how to proceed in as timely a manner as is possible and where the local authority safeguarding team is involved to encourage them to respond and make decisions in a timely manner.
How a decision to suspend is made It is important that suspensions do take place when it is appropriate for them to take place, so where there might be any doubt as to whether or not suspension is the appropriate response the HR Lead should be consulted. A decision to suspend needs to be authorised by an SMT member. Where the circumstances indicate there is an immediate need for suspension, this action should be taken by local management and the decision will reviewed later by the Operations Director or their Deputy. In a safeguarding context involving suspected abuse, or abusive, or serious poor practice suspension will usually be the appropriate response. However, this does not mean it is the only and inevitable response. Each situation will be considered carefully in the context of its particular circumstances to ensure it is a proportionate and reasonable response before action is taken.
How long a suspension might last Suspension lasts as long as is necessary in the circumstances. Usually a suspension will last until the conclusion of the CVT Concerns Procedure and a decision reached as to what happened and what should happen next, however this is not always the case and as the factfinding progresses it may be appropriate for the need for suspension to be reviewed. It is not desirable for anyone involved that a suspension lasts any longer than is necessary and every effort is made to make sure that concerns are dealt with in a timely manner. However, it is important for everyone that proper fact-finding takes place and a fair process is followed and this can take time, especially, for instance, if the police are involved or the local
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The Camphill Village Trust Policies and Procedures
authority prefers to investigate first, or an external fact-finder is involved, or the matter is complex and/or involves a number of witnesses. We are required to notify the local authority’s safeguarding team of any incidents of concern and has to wait on their decision as to whether to treat the incident as a potential safeguarding matter, in which case the local authority will take the lead and follow their safeguarding procedures. Until the local authority’s safeguarding team has authorised CVT to continue with its own internal procedures CVT will not be able to do so, and unfortunately this can cause delays and lengthen the period of suspension, especially if there is police involvement.
Are there any alternatives to suspension In some circumstances may be appropriate to take steps falling short of suspension, for example: restricting work duties, transferring to another area of work, making arrangements for work to be carried out from a different location, or making sure their work activities are supervised.
Suspension where the staff member lives in the community S o m e st af f live in houses rented from the charity, sometimes with their partner and children and sometimes in accommodation adjoining or within a household with people being supported. We will try to avoid asking a member of staff and their family to leave their home if at all possible. This is usually feasible if accommodation is self-contained with its own kitchen, bathroom, and living room and with its own entrance and it is possible to lock any dividing door with the main household where people are being supported and any restrictions on their engagement with neighbouring household and the community as a whole are respected. Advice must be sought from the HR Lead when the suspension of a residential member of staff is being considered.
How is a person informed of their suspension? A person to be suspended will be told verbally if practicable. The person who will inform them of their suspension will make sure if at all possible that there is an additional person present. A file note will be made of the meeting including what they were told of the reason for their suspension and their response. The person being suspended may experience shock, distress and sometimes anger. This may limit their ability to recall what is being discussed, so their suspension will be confirmed in writing.
Would they be told of the reasons for their suspension? The person being suspended will not always be told the reasons for their suspension. In a safeguarding case, what they may be told may be restricted to the fact there has been a safeguarding alert, possibly the type of alert involved and that the local authority’s safeguarding team has been informed.
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The Camphill Village Trust Policies and Procedures
It is recognised that not knowing the reasons for the suspension is very difficult for the person suspended so we will seek to obtain permission from the local authority safeguarding team to do so as soon as possible.
What may need to be discussed? The checklist sets out the kind of matters that may need to be discussed at the suspension meeting and confirmed in writing. the fact of the suspension the reasons for the suspension (as far as possible at that stage) whether there is anything they want to say in response that suspension is on full pay (for employees) the need to be available during their suspension for future meetings any expectations during the suspension, which may include, as appropriate: • to not contact other employees, people we support, their families, the local authority, suppliers, customers etc • not to come return to the community except by invitation (cover access to areas open to the public like cafes if appropriate) • that access to work emails and diary will be restricted • that will need to hand over work phone and laptop before leaving and to take any personal valuables from desk/office just in case someone else uses it in their absence any practicalities that need to be covered about handing over their work responsibilities if work email access is restricted: • what alternative arrangements need to be made for receipt of payslips • how to maintain access to In Brief, the community’s newsletter and other workrelated news, if they want to do so • how best to contact them that letter will cover who will keep them informed and updated regarding timescales and be their point of contact for information and questions, that the person can expect to keep them informed of progress that letter will provide details of the 24/7 advice and support line which provides access to counselling
Who else may be informed of a suspension The fact of a suspension is usually only shared with those who need to know. However, it may be sometimes be appropriate that relevant people we support, employees or guest volunteers are met with and informed as soon as practicable to help them to understand what is going on and why the information available to them is limited.
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The Camphill Village Trust Policies and Procedures
What will happen if the terms of a suspension are broken? Suspended employees are expected to respect and co-operate with the terms of their suspension. Any breach of the terms of suspension is considered a serious matter and will be taken into consideration if a formal meeting is held under the relevant concerns procedure and may affect its outcome. If the fact-finding does not progress to a formal meeting, a formal meeting may still be held where there appears to have been a failure to co-operate with the terms of the suspension.
Can I contact someone who I believe may have been suspended? You are expected to not contact someone who you believe may have been suspended without first getting express permission to do so from local management. Failure to do this may be considered misconduct and may be addressed under the CVT concerns procedure.
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The Camphill Village Trust Policies and Procedures
Safeguarding Guide Frequently Asked Questions Why can't information about the safeguarding alert be shared? The general principle of confidentiality in a safeguarding context is that information should only be shared on a need to know basis. CVT has a responsibility to safeguard vulnerable people, to protect the integrity of any investigation, and to protect the people from further allegations or from being suspected of undermining the investigation. It may also be the case that the person at risk has expressly stated who they are comfortable with the information being shared with and who they would not want it shared with and we would seek to respect this as far as possible.
What about malicious or false allegations? Even where it is suspected that the allegation is malicious or false, the procedures still need to be followed however it is likely that the matter will be resolved more quickly and the suspension will thus be of much shorter duration. Where there is a recorded history of such allegations, then the local authority may still consider the allegation and expect us to look into it but they may be more likely to understand that suspension may not be appropriate.
What does the local authority do following the alert? Usually a series of multi-agency strategy meetings are called and the police, CQC, and any other local authorities involved may be invited as appropriate. Where there is thought to be the possibility of a criminal offence (like assault, criminal neglect or fraud) having occurred the police would take the lead. However, CVT may undertake its own fact-finding later. The local authority may also conduct its own investigation to establish what it believes on the balance of probabilities happened. Their focus is on what action is necessary to safeguard the well-being of any vulnerable persons they identify as being at risk. They may identify organisational weaknesses contributing to the situation and that may lead to other steps being taken in relation to CVT (e.g. contract compliance inspections) or other steps CVT may need to take. In that context CVT may present its own action plan.
What does CVT do? We are contractually required to follow the local authority's safeguarding policy. Following the alert we have to wait to hear from the local authority as to how they wish us to proceed. Our experience to date is that we are often asked not to look into the allegation following the suspension until the local authority gives authority to proceed and that normally follows any police involvement and the local authority’s own investigation (if they wish to undertake one).
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The Camphill Village Trust Policies and Procedures Even where the local authority has not found abuse within the statutory definitions which involve a high threshold of substantial harm, CVT will still be expected as a responsible provider to look into the matter from a disciplinary perspective and consider under its own disciplinary procedures whether there has been abuse or abusive practice, serious poor practice, misconduct, breaches of procedure, or poor performance.
What does CVT's disciplinary procedure involve? CVT has a disciplinary procedure - it is called CVT concerns procedure. The procedure involves fact-finding, followed by an invitation to a meeting where there is the opportunity for the suspended person to be heard before a decision is made, and then the option of an appeal. The fact-finding may or may not involve an interview with the person about whom the concerns relate; that is a decision for the person undertaking the fact-finding. At the factfinding interview relevant witnesses and other evidence may be proposed to the person conducting the fact-finding. If the matter is to proceed to a formal meeting, then the fact-finding report will be shared. A companion, who may be a work colleague or trade union representative, may be brought to the formal meeting and appeal meeting.
What are the possible outcomes? The potential outcomes are: the concerns not being substantiated and no further action the concerns being substantiated and a warning given that a further incident may lead to a further warning or ultimately dismissal. A warning would often be combined with some other consequences like further training, enhanced supervision. the concerns being substantiated and being sufficiently serious to lead to dismissal, a person would be advised in advance whether or not there is a risk of dismissal as an outcome.
Can the person concerned just leave before the process has concluded? Yes. However, local authority and CVT may continue with their processes to their conclusion (including making a referral to the DBS – see below).
What does being referred to DBS mean? In certain circumstances CVT will be under a legal obligation to refer the matter to the Disclosure and Barring Service who will consider whether the matter is so serious that the individual should be barred from working in social care for a period.
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The Camphill Village Trust Policies and Procedures Until the allegation has been properly looked into by CVT and a final decision reached, CVT has to be careful not to undermine any fact-finding or prejudge the outcome. This means the information that can be appropriately shared with colleagues remains very limited for some time. Even once the process has concluded CVT will seek to preserve the person’s dignity so information will not be widely shared except so to the extent it is needed for implementation of the outcome or to promote organisational and individual learning and then only to the extent needed for that purpose.
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The Camphill Village Trust Policies and Procedures
Decision procedure The purpose of this procedure We believe it is important people are treated fairly. For this reason we wish to make sure as a minimum that we give you a chance to respond before we reach a decision and an opportunity to appeal against our decision.
When we will use this procedure We will use this procedure when we are considering your dismissal: during or at the end of a review period or an extended review period because of long-term ill-health at end of a fixed-term contract or other temporary contract without its renewal as a result of your position becoming redundant, or any other reason not related to performance or conduct.
How this procedure works Invite, meet and discuss If we consider it necessary, we may suspend you from your work responsibilities whilst we look into a situation. We will explain in writing the reasons for us contemplating your dismissal and give you an opportunity to consider what we have said and respond before we make our decision. Usually one or two people will meet with you. After the meeting, they will inform you in writing within one week of their decision, the reasons for it, and that you may appeal. Appeal (if requested) If you wish to appeal you must write to us within one week explaining the reasons for your appeal. An appeal will not prevent the implementation of the decision of the formal meeting. It is at our discretion whether implementation is put on hold. We will invite you to attend an appeal meeting (usually within four weeks). The appeal will usually be heard by one or two more senior people in the charity who did not attend the first meeting. After the appeal meeting they will write within one week to you to tell you of their decision. Their decision will be final.
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The Camphill Village Trust Policies and Procedures
A companion You are welcome to ask for a workplace colleague or trade union representative to come with you to help you at any formal meetings held as part of this procedure. Your companion may speak at the meeting on your behalf to explain your concerns, sum up your concerns and respond to any view we express at the meeting. They may ask questions on your behalf but they should not usually answer questions for you. They may ask for a short break to talk privately with you. Please provide details of your companion before the meeting. We will try to agree a date and time for the meeting that suits everyone. If your companion cannot attend on the date and time we first suggest, you may suggest another date and time that is within five days of the date we suggested. If that date is not practicable for us, then a further date will be arranged. Your chosen companion may have a reasonable period of time off work both before and after the meeting to help them to fulfil their responsibilities. They should arrange this with their manager. More information and advice You may wish to refer to the ACAS Code of Practice on disciplinary and grievance procedures (www.acas.org.uk) or contact ACAS on 08457 474747 for general advice and additional information about your legal rights. Notes We will keep notes of our meetings with you and give you a copy of our notes if you appeal. We will ask you to tell us in writing if you consider we have missed out anything of significance or written something that is not accurate. Flexibility This procedure is not intended to be prescriptive. We may wish to adapt the procedure in order to respond differently in circumstances we have not anticipated. However, we will honour our commitment to the underlying principles of fairness and respect. Internal reporting Managers are expected to promptly let the HR Lead know of a formal complaint, who will the advise, in liaison with others, who should conduct the fact-finding and consider the concerns at a formal meeting and will notify the Director of HR & Governance. We hope that we will use this procedure rarely. When we do we hope that it will help us to treat you fairly.
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The Camphill Village Trust Policies and Procedures
Mediation policy Mediation is a voluntary process involving a neutral person talking with people in dispute. It involves an independent, impartial person helping two or more individuals or groups reach a solution to a workplace dispute that's acceptable to everyone. Mediators do not make judgments or determine outcomes - they ask questions that help to uncover underlying problems, assist the parties to understand the issues and help them to clarify the options for resolving their difference or dispute. The overriding aim of workplace mediation is to restore and maintain the employment relationship wherever possible. This means the focus is on working together to go forward, not determining who was right or wrong in the past. Many kinds of dispute can be mediated if those involved want to find a way forward. It can be used at any stage in a dispute but is most effective before positions become entrenched. The mediator will meet with people individually, or together, or both individually and together, as the mediator thinks most appropriate with the aim of helping them see if they can find a satisfactory way forward that each person involved can live with. If you consider that the matter might be best resolved informally through mediation then please raise that with us. Mediation may not be appropriate in all situations, however if you suggest it we will give its use serious consideration. Similarly, if we think mediation would help resolve the matter we may suggest it to you as an option. If mediation is agreed when one of the concerns procedures is being used we will usually put the procedure on hold and resume it if the mediation does not resolve the matter. Mediation should not be arranged without it the Director of HR & Governance being informed. The mediator will be someone within the charity who has had training in mediation or an external mediator will be used. As mediation is a voluntary process, the first step would be talking with a proposed mediator to find out more about what mediation is about, before deciding if you would like to try mediation. Once everyone involved has agreed they are willing to try mediation, the mediator will become responsible for organising the mediation.
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