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DPS Handbook April 2022
17 May 2022
DPs Digital
Unit 18 Sleaford Business Park
East Road Industrial Estate
Sleaford NG34 7EQ
Sections:
- Anti-bribery policy
- Communications policy
- Data retention policy New
- Disciplinary and dismissal procedure policy
- Equal opportunities policy
- Family friendly policies
- Flexible working policy
- GDPR Policy
- Grievance procedure
- Homeworking policy
- Performance and Capability at Work policy
- Sickness and attendance policy
- Substance misuse policy
- Time off for dependant’s policy
- Whistleblowing policy
Anti-bribery policy
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PRINCIPLES
- The Employer values its reputation for ethical behaviour. The Employer aims to ensure compliance with all anti-bribery laws and regulations. Bribery is giving someone a financial or other advantage to induce them to perform their functions or activities improperly, or to reward them for having already done so.
- An employer will also be liable for failing to implement adequate procedures to prevent bribery by officers, employees, business partners and agents. It is therefore important that all persons (employees, officers, business parties and agents) familiarise themselves with and adhere to this policy.
- It is The Employer’s policy to conduct business in an honest way, and without the use of corrupt practices or acts of bribery to obtain an unfair advantage. The Employer will apply a ‘zero tolerance’ approach to any acts of bribery or corruption by any employees, officers, business partners or agents.
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Our anti-bribery principles are:
- The offer, gift, solicitation, or acceptance of bribes (whether cash or any other inducement) to any person or company, wherever they are situated, by any employee, agent or other person or body acting on behalf of The Employer, in order to gain any commercial, contractual or other advantage is strictly prohibited;
- No company officer, employee, business partner, or agent may offer payments (or anything else of value) to other parties to make those parties act in a manner that will assist The Employer in obtaining or retaining business;
- No company officer, employee, business partner, or agent may request, agree to receive, or accept payments (or anything else of value) except in accordance with this policy;
- The Employer operates a zero-tolerance approach to corruption by any officers, employees, business partners or agents working on its behalf; and
- The Employer requires any officers, employees, business partners or agents to report any suspicious activity that may violate this policy.
- Any employee found to have violated this policy and procedures will be subject to disciplinary action, which may include summary dismissal. Any failure to report known or suspected violations may also lead to disciplinary action.
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GIFTS, ENTERTAINMENT, AND HOSPITALITY
- Gifts, entertainment, and hospitality include the receipt or offer of gifts, meals or tokens of appreciation and gratitude, or invitations to events, functions, or other social gatherings, in connection with matters related to The Employer’s business.
- Gifts, entertainment, and hospitality can amount to bribery if they are of a nature or scale which shows they were given with the intention of inducing improper conduct from the recipient. Gifts and hospitality are allowed if provided simply to improve a relationship and/or network provided they are reasonable and proportionate.
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In order to provide clear guidance The Employer has adopted the following non exhaustive framework for the treatment of gifts and entertainment, whether given to other parties or received:
- Business gifts that can be accepted can only be of insignificant/nominal value (such as a bottle of wine, flowers, chocolates, or branded merchandise). Any other gifts of more significant value should be discussed with your Line Manager and then refused or returned;
- Offering or accepting a gift in the form of cash, or cash equivalent vouchers, is strictly prohibited;
- ‘Quid pro quo’ arrangements (something offered for something in return) are strictly prohibited;
- All gifts and hospitality involving travel and overnight accommodation requires prior approval from Line Managers;
- Gifts or hospitality which could influence or appear to influence decisions made on behalf of The Employer should be refused;
- The acceptance and offer of casual entertainment such as business lunch/dinners, is acceptable within reasonable bounds, as long as it is a normal and appropriate extension of business courtesy;
- Employees must ensure that offering or accepting a gift or hospitality does not create or appear to create a conflict of interest for those involved;
- Employees should not offer unjustified advantages to others, directly or indirectly, in connection with business dealings either in monetary form or as some other advantage;
- Employees should avoid making gifts that could create an appearance of impropriety. No gifts should be given to public officials or other civil servants.
- Customer and supplier hospitality should not be offered as an incentive for the recipient to make a favourable decision.
- No donations should be made to any person, firm, or company on behalf of The Employer without the prior written authorisation of your line manager. Donations to political parties and charities which are directly linked to business and/or gaining a business advantage are strictly prohibited.
- This is guidance only and each case should be considered on an individual basis. Employees should exercise prudence at all times and The Employer recognises that decisions as to what is acceptable may not always be easy. In the event of any doubt, always consult your line manager for guidance.
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GIFTS AND ENTREUPANEUR REGISTER
- The Employer values transparency and will maintain a gifts, entertainment, and hospitality register. Any form of gift which exceeds a nominal value, and entertainment or corporate events of any value, must be appropriately recorded in the register.
- In the event that an impermissible gift, entertainment, or hospitality has been given or accepted, this transaction must still be recorded in the register.
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COMPLAINT’S PROCEDURE
- The prevention, detection and reporting of bribery is the responsibility of all employees. If you feel that any action taken by The Employer or any individual has contravened this policy you should, in the first instance, contact your line manager to discuss, or if the suspected contravention is by your line manager, their line manager.
Communications policy
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PRINCIPLES
- The Employer expects all its electronic and computer facilities to be used in an effective and professional manner and encourages all employees to develop the skills necessary to do so. These facilities are provided by The Employer at its own expense for its own business purposes to assist its employees in carrying out their duties effectively. It is the responsibility of each employee to ensure that this technology is used for proper business purposes and in a manner that does not compromise The Employer or its employees in any way.
- This policy applies to the use of The Employer’s technology whilst at work and also when using The Employer’s technology from outside work e.g., when dialling in from home or using a laptop when away on business. This policy document is to be read in conjunction with the disciplinary procedure. If you have any questions about the application of this policy, please contact your line manager.
- Misuse of the internet or email can expose both employees and The Employer to legal or financial liability. For example, employees may enter into unintended contracts, breach copyright or licensing arrangements, incur liability for defamation or harassment or introduce viruses into the system. This policy is designed to safeguard both employees and The Employer from such liabilities. It is important that all employees read it carefully and ensure that any use of the internet or email is in accordance with its terms.
- This policy applies to employees of The Employer, workers and other contractors who have access to The Employer’s computer systems. Any reference to an employee is a reference to a worker or contractor also. It also applies to personal use of email or the internet where individuals identify themselves as associated with The Employer. The Employer may occasionally modify this policy to take account of changes in technology, law and best practice and will notify employees in writing of any change.
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USE OF COMPUTERS AND EQUIPMENT
- The Employer may provide computers, laptops, and other equipment for use by employees for business purposes only.
- Employees are responsible for the safe keeping of equipment issued to them and for the physical and virtual security of the data and software accessed on it or stored thereon.
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E-MAIL
- Although the primary reason for allowing employees access to email is to help perform duties more effectively, occasional, and essential personal use of email will be allowed provided that it does not interfere with the performance of work duties.
- Employees must be aware that email is not an informal communication tool but has the same authority as any other communication to and from The Employer and should be regarded as published information.
- Email, just like any other form of communication, should reflect the highest professional standards at all times. Employees should keep messages brief and to the point, ensure that an appropriate heading is inserted in the subject field and that they check the spelling and grammar before sending. They should also double check the recipient before pressing the send button – not only can it be embarrassing if a message is sent to the wrong person, but it can also result in the unintentional disclosure of confidential information about The Employer.
- Employees should not transmit anything in an email or fax message that they would not be comfortable writing (or someone else reading) in a letter or a memorandum. Emails leave a retrievable record. Even when employees think that information has been deleted, it can remain on computers and on The Employer’s back-up system. Emails can be recovered as evidence in court proceedings or reviewed by regulators. Electronic messages are admissible as evidence in legal proceedings and have been used successfully in libel and discrimination cases.
- Employees should never assume that internal or external messages are necessarily private and confidential, even if marked as such. The internet is not a secure means of communication, and third parties may be able to access or alter messages which have been sent or received. Employees should not send any information in an email which they would not be happy being publicly available. Matters of a sensitive or personal nature should not be transmitted by email unless absolutely unavoidable and if so, should be clearly marked in the message header as highly confidential. The confidentiality of internal communications can only be ensured if they are delivered personally by hand.
- Internet messages should be treated as non-confidential. Anything sent through the internet passes through a number of different computer systems all with different levels of security. The confidentiality of messages may be compromised at any point along the way unless the messages are encrypted.
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OFFENSIVE MESSAGES
- Employees must not download, send (or store) offensive, demeaning or disruptive messages or images by fax or email. This includes, but is not limited to, messages inconsistent with The Employer’s equal opportunities policy and includes without limitation any sexist or racist material or any material which could be offensive on the grounds of, without limitation, a person’s disability, gender reassignment, their age, their sexual orientation, their marital or civil partnership status or their religion or belief.
- Employees should therefore not place on the system or send any message or image which could be regarded as personal, potentially offensive, or frivolous to any recipient or to any other person (even if not sent to them).
- If employees receive an email or a fax containing material that is offensive or inappropriate to the office environment, then they must delete it immediately. Under no circumstances should such mail or fax be forwarded either internally or externally.
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THE INTERNET
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Access to the internet during working time should be limited to matters relating to employment and be for business purposes only. Any unauthorised use of the internet is strictly prohibited. Unauthorised use includes but is not limited to:-
- Visiting sites, connecting, posting, or downloading any information unrelated to their employment and in particular pornographic or other offensive or illegal material;
- Engaging in computer hacking and other related activities;
- Attempting to disable or compromise security of information contained on The Employer’s computers;
- Perpetration of any form of fraud or software, music or film piracy;
- Sending offensive or harassing material to other users;
- Downloading of commercial software or any copyrighted materials belonging to third parties, unless this is covered or permitted under a commercial agreement or other such licence;
- Hacking into unauthorised areas;
- Publishing defamatory and/or knowingly false material about The Employer, colleagues and/or customers on social networking sites;
- Revealing confidential information about The Employer in any personal online posting, upload, or transmission; and
- Introducing any form of malicious software into The Employer’s network.
- Postings placed on the internet may display The Employer’s address. For this reason, Employees should make certain before posting information that the information reflects the standards and policies of The Employer. Under no circumstances should information of a confidential or sensitive nature be placed on the internet.
- Information posted or viewed on the internet may constitute published material. Therefore, reproduction of information posted or otherwise available over the internet may be done only by express permission from the copyright holder. Employees must not act in such a way as to breach copyright or the licensing conditions of any internet site or computer programme.
- Employees must not commit The Employer to any form of contract through the internet.
- If employees produce, collect and/or process business-related information in the course of their work, the information remains the property of The Employer. This includes such information stored on third-party websites such as webmail’s service providers.
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Access to the internet during working time should be limited to matters relating to employment and be for business purposes only. Any unauthorised use of the internet is strictly prohibited. Unauthorised use includes but is not limited to:-
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SOFTWARE
- Only authorised software is to be installed on The Employer’s equipment. Employees must not install any other software on The Employer’s computers without prior written permission from the IT department.
- All software used on The Employer’s computers must be properly licensed. If unlicensed software is found on The Employer’s computers, the licence fee must be paid and a fine can be imposed. If the unlicensed software is not authorised by The Employer the employee will be personally liable for the licence fee and fine. The Employer reserves the right without prior notice to remove any unauthorised software and delete all non-company data and files from its computers.
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SOCIAL MEDIA
- All Instant Messaging, Blogging and activity on Facebook, Twitter, Instagram, Myspace, or any other social media site is strictly prohibited during working hours and on The Employer’s computers. Private blogs must not contain any reference to The Employer or its’ activities.
- The Employer operates or may operate in the future accounts on social media websites for the promotion of activities and events and as a method of communication. Any official account on any social media website may only be set up with written consent from your line manager. Only authorised employees may use these accounts to post online and access to the account by unauthorised employees is strictly prohibited. All information posted on the internet must comply with confidentiality and data protection policies and copyright laws must be respected, with references or sources cited appropriately
- Any employee who becomes aware of inappropriate or distasteful social networking activity should maketheir line manager aware of this as soon as possible.
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PASSWORDS
- Employees must not allow other employees to use their password. If it is anticipated that someone may need access to an employee’s confidential files in their absence, they should arrange for the files to be copied to somewhere where that person can access them or give them access to the relevant personal folders.
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VIRUSES
- When using The Employer’s email system, be vigilant. Computer viruses are often sent by email and can cause significant damage to The Employer’s information systems.
- Any files or software downloaded from the internet or brought from home must be virus checked before use. Employees should not rely on their own pc to virus check any such programmes but should refer direct totheir line manager/ IT department. If you suspect that a file may contain a virus, do not open it and contact your line manager/ IT department immediately.
- Employees must not run any ‘.exe’ files. These should be deleted immediately upon receipt without being opened.
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INTERCEPTION OF COMMUNICATIONS
- The Employer reserves the right to monitor, intercept and read any internal or external email or fax or to listen to or record any telephone conversation for the purposes of monitoring and record keeping to establish facts, to establish compliance with regulatory or self-regulatory procedures, to prevent or detect crime, to investigate or detect the unauthorised use of The Employer’s telecommunication system or to ascertain compliance with The Employer’s practices or procedures. The Employer may also monitor, intercept, read, listen, or record communications to check whether communications are relevant to the business. The Employer also reserves the right to monitor internet usage to check compliance with obligations as set out above.
- The Employer has a right to protect the security of its systems, check that use of the system is legitimate, investigate suspected wrongful acts and otherwise comply with legal obligations imposed upon it.
- The Employer also reserves the right to read employees’ emails to check for business emails whilst they are absent or out of the office. The Employer may also access Employees’ voicemail to check for business calls whilst they are absent or out of the office. It may therefore be unavoidable that some personal messages will be read or heard.
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MOBILE TELEPHONES
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Where appropriate, The Employer may provide Employees with a mobile telephone and ‘hands free’ equipment sets for usage in vehicles. This equipment remains, at all times, the property of The Employer and must be returned immediately upon request and/or upon termination of employment. Employees provided with mobile telephones must comply with the following rules:
- It is strictly prohibited to use mobile telephones whilst driving in a ‘handheld’ position. The Employer adopts a zero-tolerance approach to this and noncompliance may result in disciplinary action, up to and including summary dismissal, being taken against you.
- All Employees provided with mobile telephones should use the telephone predominantly for work related purposes Is private usage allowed? All usage should be reasonable and sensible.
- Mobile telephones should not be used abroad without the prior written permission of your line manager who must sanction the lifting of the ‘call barring’ facility. All personal calls made abroad, and all work-related calls made abroad (except where prior approval has been sought and given) must be paid for by the employee.
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Where appropriate, The Employer may provide Employees with a mobile telephone and ‘hands free’ equipment sets for usage in vehicles. This equipment remains, at all times, the property of The Employer and must be returned immediately upon request and/or upon termination of employment. Employees provided with mobile telephones must comply with the following rules:
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BREACHES OF THIS POLICY
- The Employer considers this policy to be extremely important. If an employee is found to be in breach of this policy, then they will be disciplined in accordance with the disciplinary procedure. In certain circumstances, breach of this policy may be considered gross misconduct resulting in immediate termination of employment without notice or payment in lieu of notice. In addition, or as an alternative, The Employer may withdraw internet or email access.
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E-MAIL USER GUIDELINES
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Style and language:
- All emails should be addressed and signed off in a polite manner i.e. Dear/ Hello, Regards.
- Emails do not always translate the emotion or feelings that were intended. Therefore, clear concise language should be used, and a review conducted to ensure that the message would not be misinterpreted.
- Do not use slang or expletives. This is not acceptable business language.
- If communicating a difficult issue, it may be appropriate to save as a draft and return to the email later to check the context and message given.
- Lower case should be used in the majority of communications. Capital letters may be used to highlight or accentuate a point but may be interpreted as aggressive.
- ‘Urgent stamps’ should only be used if they reflect the nature of the communication.
- Check your email inbox at least once a day for new messages. Please ensure that you delete any unwanted emails, always reply with history, as the ongoing dialogue will be stored in one place rather than on a number of emails. Do not repeat an email request. It may be appropriate to follow up in person or via the telephone.
- Conduct regular ‘housekeeping’: delete out-dated items and those items that have been superseded by later messages.
- Manage the communication contained in emails. Remember they can be stored and printed and used as documentary evidence in libel, harassment, or disciplinary cases.
- Remember data protection laws and only include suitable and relevant information regarding individuals.
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Sending Emails
- Ensure you title all emails and that this accurately reflects the content of the message.
- If you are sending an attachment, explain what it is in the document
- Check the attachment prior to sending it to ensure it is the correct document.
- Prior to sending an email, check the distribution list, re-read it, use spell check and ensure that it is conveying the correct messages to the readers.
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Receiving Emails
- If you have been sent an email with an attachment and you are unsure what it contains, clarify this with the sender. This is particularly important if it is an .exe file. Do not open this file without checking its content as this can result in importing a virus into The Employer’s network with serious consequences where disciplinary action may be taken.
- Never open email attachments where the sender is unknown to you, or where the subject matter is nothing to do with our business. Emails with curious messages or enticing subjects are used to encourage recipients to open email attachments that trigger viruses.
- Do not open or respond to any ‘chain letters’.
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Style and language:
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COMPUTER/ LAPTOP USER GUIDELINES
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General
- Laptops/workstations must be protected by passwords or other access control methods.
- Back up takes place automatically when logged onto the server.
- Ensure that the virus detection software is on your laptop/workstation. If new updates are downloaded follow instructions to re-boot your system.
- Should you have had to load software from a diskette, CD Rom or other external source, it must be checked for viruses by the virus checker on your system.
- If you have to leave your laptop/workstation unattended, ensure that it is either password locked or in the case of a laptop out of sight and locked away.
- Laptops must not be left unattended in cars, as they are specifically uninsured in this situation.
- Do not use your laptop/workstation for any other purpose than that which it was supplied for. It is not appropriate to utilise your laptop or workstation for personal use such as playing games. Use of the internet should be for business purpose only.
- The theft or loss of your laptop should be reported immediately to your manager.
- Laptop users who utilise battery power should discharge the battery completely once a week.
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General
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PASSWORDS
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General
- Please do not share your password with anyone.
- Make your password easy to remember but difficult to guess. In particular avoid any personal references such as car number plates; repeated characters or recognisable words. Good passwords are a mixture of letters, numbers, and punctuation characters.
- Ensure that you use a screen saver for when you may wish to leave your workstation unattended for a short time. This should be of an appropriate nature – professional – no pin-ups or offensive material.
- Do not allow anyone else to use your laptop or workstation whilst you are still logged on. Remember that you are responsible for all actions, which are carried out, under your user account.
- Remember to close down your laptop/workstation at the end of the working day.
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General
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VIRUSES
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General
- If your virus checker or a fellow employee advises that a mail attachment has a virus, contact our service provider immediately, and telephone the person who sent you the message to advise them that their computer has a virus infection.
- If you are told that you have a virus on your laptop/workstation then you should contact our service provider immediately.
- If your laptop/workstation behaves irregularly by running slower than normal or displays odd characters or messages, changes locations etc then please contact our service provider.
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General
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SOCIAL MEDIA USER GUIDELINES
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General
- Change the privacy settings on your profile so that only people you have accepted as friends can see your content.
- Review who is on your ‘friends list’ on your personal profile. In most situations you should not accept friend requests from clients or customers.
- Ensure personal blogs have clear disclaimers that the views expressed by the author are theirs alone and do not represent the views of The Employer. Make your writing clear that you are speaking on behalf of yourself and not on behalf of The Employer. Ensure that any information published on the internet complies with The Employer’s confidentiality and data protection policies.
- Ensure that you are always respectful towards The Employer, other Employees and workers, clients, and customers. You should be aware that any disrespectful comments might be seen as libellous.
- The Employer trademarks and logos may not be used without written consent.
- Be aware that in and out of work, at all time, you are an ambassador for The Employer. Any actions captured via images, posts or comments online can reflect on The Employer.
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General
USER GUIDELINES
Data retention policy New
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INTRODUCTION
- The Employer holds many different types of documents containing a variety of data, including customer details, employee information as well as confidential information about the organisation and how it operates. These documents are a vital part of our business and it is important that we ensure that we protect the documents and information contained in them in order to ensure the smooth running of the business and also to comply with the requirements laid down by law.
- We have outlined the procedures laid down for retention, review and destruction of documents held by us. The purpose of this policy is to ensure that we only hold documents for as long as necessary and that once they are no longer required, they are destroyed in accordance with the procedures laid down in this policy.
- This policy supplements our Data Protection Policy.
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PURPOSE
- This policy sets out The Employer’s approach to managing its information to ensure that records and documents are preserved in line with business and legislative requirements and that data is not retained for any longer than necessary.
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SCOPE
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This Data Retention Policy applies to:
- all staff, volunteers, consultants, contractors, trustees and, as appropriate,partnership organisations, partner staff and third parties of The Employer.
- all records that are created, handled, stored, or processed by The Employer,electronically (soft copy) or in paper (hard copy) form.
- All those people or groups to whom this policy applies should, as appropriate, be aware of this policy.
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This Data Retention Policy applies to:
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POLICY STATEMENTS
- Any exceptions or variations to compliance with this policy must be approved by the HR department.
- When preparing tender documents and/or negotiating contracts with third parties for services thatinvolve retaining and managing records, reference to this policy will help ensure that consistent data retention obligations are met.
- The intention is that only one copy of a record is retained but ensure that before you destroy any records in circumstances where you believe multiple copies of a record exist that at least one copy (or the original) is retained.
- Suppliers and their subcontractors must have their own defined retention policy, which must be supported by documented retention requirements and procedures and which mirrors this policy in all material respects.
- Unless suppliers (where they act as Data Processors) have a legal obligation to do so, they should not retain The Employer’s data after they have finished providing services to The Employer.
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TYPES OF RECORD AND THEIR RESPECTIVE RETENTION PERIOD
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The relevant types of record are:
- Accounting and Finance.
- Contracts.
- Corporate Records.
- Correspondence and Internal Memoranda.
- Personal Information.
- Electronic Records.
- Grant Records.
- Insurance Records.
- Legal.
- Miscellaneous.
- Personnel Records.
- Tax Records.
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ACCOUNTING AND FINANCE
- Annual Audit Reports and Financial Statements:Permanent.
- Annual Audit Records, including work papers and other documents that relate to the audit: 7 years after completion of audit.
- Annual Plans and Budgets:7 years.
- Bank Statements and Cancelled Cheques:7 years.
- Employee Expense Reports:7 years.
- Interim Financial Statements:7 years.
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CONTRACTS
- Contracts and Related Correspondence (including any proposal that resulted in the contract and all other supportive documentation): 7 years after expiration or termination.
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CORPORATE RECORDS
- Corporate Records (minutes, signed minutes of the Board and all committees, record of incorporation, articles of incorporation, annual corporate reports):Permanent.
- Licenses and Permits:Permanent.
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CORRESPONDENCE AND INTERNAL MEMORANDA
- General Principle: Most correspondence and internal memoranda should be retained for the same period as the document to which they pertain or support. For instance, a letter pertaining to a particular contract would be retained as long as the contract (7 years after expiration). It is recommended that records that support a particular project be kept with the project and take on the retention time of that particular project file.
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Correspondence or memoranda that do not pertain to documents having a prescribed retention period should generally be discarded sooner. These may be divided into two general categories:
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Those pertaining to routine matters and having no significance. These should be discarded within five years. Some examples include:
- Routine letters and notes that require no acknowledgment or follow up, such as notes of appreciation, congratulations, letters of transmittal, and plans for meetings.
- Form letters that require no follow up.
- Letters of general inquiry and replies that complete a cycle of correspondence.
- Letters or complaints requesting specific action that have no further value after changes are made or action taken (such as name or address change).
- Other letters of inconsequential subject matter or that definitely close correspondence to which no further reference will be necessary.
- Chronological correspondence files.
- Please note that copies of interoffice correspondence and documents where a copy will be in the originating department file should be read and destroyed unless that information provides reference to or direction to other documents and must be kept for project traceability.
- Those pertaining to non-routine matters or having significant lasting consequences should generally be retained permanently.
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Those pertaining to routine matters and having no significance. These should be discarded within five years. Some examples include:
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RETAINING PERSONAL INFORMATION
- This section sets out the data retention policies and procedure of The Employer, which are designed to help ensure compliance with legal obligations in relation to the retention and deletion of personal information.
- Personal information that is processed by The Employer for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes.
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Without prejudice to the point immediately above, The Employer will usually delete personal data falling within the categories set out below at the date/time set out below:
- Information about a computer and about visits to and use of this website (including an IP address, geographical location, browser type and version, operating system, referral source, length of visit, page views and website navigation paths:2 years.
- Information provided when registering with our website (including email address): 2 years
- Information provided when completing a profile on our website (including a name, gender, date of birth, interests and hobbies, educational details):2 years.
- Information provided for subscribing to email notifications and/or newsletters (including a name and email address): Indefinitely or until the client chooses to ‘unsubscribe’
- Information provided when using the services on the website, or that is generated during the use of those services (including the timing, frequency and pattern of service use): Indefinitely.
- Information relating to any subscriptions made (including name, address, telephone number, email address and sector sought):2 years or until consent is withdrawn
- Information posted to our website for publication on the internet: 5 years after post.
- Information contained in or relating to any communications sent through the website (including the communication content and meta data associated with the communication): 2 years following contact.
- Any other personal information chosen to be sent:2 years following contact.
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Notwithstanding the other provisions of this section, The Employerwill retain documents (including electronic documents) containing personal data:
- to the extent that The Employer is required to do so by law;
- if The Employer believes that the documents may be relevant to any ongoing or prospective legal proceedings;and to establish, exercise, or defend The Employer’s legal rights (including providing information to others for the purposes of fraud prevention and reducing credit risk).
- if explicit consent is given by the data subject. Consent is requested at least every 2 years from candidates seeking contract roles and at least every 12 months for candidates seeking permanent employment.
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ELECTRONIC DOCUMENTS
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Electronic Mail: Not all email needs to be retained, depending on the subject matter.
- All e-mail—from internal or external sources – is to be deleted after 12 months.
- Staff will strive to keep all but an insignificant minority of their e-mail related to business issues.
- The Employer will archive e-mail for 90 days after the staff has deleted it, after which time the e-mail will be permanently deleted.
- Staff will take care not to send confidential/proprietary information held by The Employerto outside sources.
- Electronic Documents: including Office 365 and PDF files, retention also depends on the subject matter.
- The Employer does not automatically delete electronic files beyond the dates specified in this Policy. It is the responsibility of all staff to adhere to the guidelines specified in this policy.
- In certain cases, a document will be maintained in both paper and electronic form. In such cases the official document will be the electronic document.
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Electronic Mail: Not all email needs to be retained, depending on the subject matter.
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INSURANCE RECORDS
- Certificates issued to The Employer: Permanent
- Claims Files (including correspondence, medical records, etc.): Permanent
- Insurance Policies (including expired policies): Permanent
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LEGAL FILES AND PAPERS
- Legal Memoranda and Opinions (including all subject matter files): 7 years after close of matter
- Litigation Files:1 year after expiration of appeals or time for filing appeals
- Court Orders: Permanent
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MISCELLANEOUS
- Policy and Procedures Manuals – Original:Current version with revision history
- Annual Reports:Permanent
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PERSONNEL RECORDS
- Employee personnel records (including individual attendance records, application forms, job or status change records, performance evaluations, termination papers, withholding information, garnishments, test results, training and qualification records):6 years after separation
- Employment contracts – Individual: 6 years after separation
- Employment records correspondence with employment agencies and advertisements for job openings:3 years from date of hiring decision
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TAX RECORDS
- General principle: The Employer must keep books of account or records as are sufficient to establish amount of gross income, deductions, credits, or other matters required to be shown in any such return.
- These documents and records shall be kept for as long as the contents thereof may become material in the administration of state, and local income, franchise, and property tax laws.
- Tax-exemption documents and related correspondence:Permanent
- Tax bills, receipts, statements:7 years
- Tax returns:Permanent
- Sales/use tax records:7 years
- Annual information returns:Permanent
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The relevant types of record are:
Disciplinary and dismissal procedure policy
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POLICY STATEMENT
- The aim of the disciplinary procedure is to provide a framework within which managers can work with employees to maintain satisfactory standards of conduct and to encourage improvement where necessary.
- It is our policy to ensure that any disciplinary matter is dealt with fairly and that steps are taken to establish the facts.
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GENERAL PRINCIPLES
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This procedure does not apply to agency workers or self-employed contractors. It is for guidance only and does not form part of your contract of employment. This procedure does not apply to cases involving:
- genuine sickness absence;
- proposed redundancies; or
- poor performance or capability.
- Minor conduct issues can normally be resolved informally between you and your manager. These discussions should be held in private and without undue delay whenever there is cause for concern. In some cases, an informal verbal warning may be given. Formal steps will be taken under this procedure if the matter is not resolved, or if informal discussion is not appropriate (for example, because of the seriousness of the allegation).
- Except in cases of gross misconduct, you would not normally be dismissed for a first act of misconduct. We will normally give you a warning and a chance to improve. We may not always apply this principle if your probationary period has not yet been completed.
- Any steps under this procedure should be taken promptly unless there is a good reason for delay. We may vary any time limits if it is reasonable to do so.
- If you have difficulty at any stage of the procedure because of a disability, you should discuss the situation with your manager or a member of the Human Resources department as soon as possible.
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This procedure does not apply to agency workers or self-employed contractors. It is for guidance only and does not form part of your contract of employment. This procedure does not apply to cases involving:
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CONFIDENTIALITY
- Our aim during an investigation or disciplinary procedure is to deal with matters sensitively and with due respect for the privacy of any individuals involved.
- All employees must treat as confidential any information communicated to them in connection with an investigation or disciplinary matter.
- You will normally be told the names of any witnesses whose evidence is relevant to disciplinary proceedings against you, unless, in our discretion, we believe that a witness’s identity should remain confidential.
- Witnesses must treat as confidential any information given to them in the course of an investigation, including the identity of any employees under investigation.
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INVESTIGATIONS
- The purpose of an investigation is for us to establish a fair and balanced view of the facts before deciding whether to proceed with a disciplinary hearing. This may involve reviewing any relevant documents, interviewing you and any witnesses, and taking witness statements.
- Investigative interviews are solely for the purpose of fact-finding and no decision on disciplinary action will be taken until after a disciplinary hearing has been held.
- You do not normally have the right to bring anyone to an investigative interview. However, we may allow you to bring a companion if it helps you to overcome a difficulty caused by a disability, or any difficulty in understanding English.
- You must cooperate fully and promptly in any investigation. This will include informing us of the names of any relevant witnesses, disclosing any relevant documents to us and attending any investigative interviews.
- The amount of investigation required will depend on the nature of the allegations and will vary from case to case.
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SUSPENSIONS
- In cases of alleged gross misconduct, we may need to suspend an employee from work while an investigation or disciplinary procedure is on-going. The suspension will be for no longer than necessary and we will confirm the arrangements to you in writing. While suspended you should not visit our premises or contact any of our clients, customers, suppliers, contractors, or employees, unless you have been authorised to do so by your line manager.
- Suspension of this kind is not a disciplinary sanction and does not imply that any decision has already been made about your case. You will continue to receive your full basic salary and benefits during the period of suspension.
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WRITTEN INFORMATION
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Following any investigation, if we consider there are grounds for disciplinary action, we will inform you in writing of the allegations against you and the basis for those allegations. This will normally include:
- a summary of relevant information gathered during the investigation;
- documents which will be used at the disciplinary hearing; and
- witness statements which will be used at the hearing, except where a witness’s identity is to be kept confidential, in which case we will give you as much information as possible while maintaining confidentiality.
- You will have a reasonable opportunity to consider this information before the hearing.
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Following any investigation, if we consider there are grounds for disciplinary action, we will inform you in writing of the allegations against you and the basis for those allegations. This will normally include:
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DISCIPLINARY HEARING
- We will give you written notice of the date, time, and place of the disciplinary hearing, which will normally be held between two days and one week after you receive the written notice.
- The hearing will be chaired by your line manager. A member of Human Resources may also be present. You may bring a companion with you to the disciplinary hearing (see Right to be accompanied, below).
- You must take all reasonable steps to attend the hearing. Failure to attend a hearing without good reason may be treated as misconduct in itself. If you or your companion cannot attend at the time specified, you should inform us immediately and we will seek to agree an alternative time.
- The purpose of the disciplinary hearing is to review the evidence and to enable you to respond to any allegations that have been made against you. If you have a companion, he or she may make representations to us and ask questions but should not answer questions on your behalf. You may confer privately with your companion at any time during the hearing.
- It will not normally be necessary for witnesses to be questioned or cross-examined at the disciplinary hearing but, in exceptional cases, the manager responsible may decide in conjunction with Human Resources that a fair hearing could not be held otherwise.
- The disciplinary hearing may be adjourned if we need to carry out any further investigations. For example, we may decide to re-interview witnesses in light of any points that have been raised at the hearing. You will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened.
- As soon as possible following the disciplinary hearing, we will inform you in writing of our decision (including details of any misconduct that we consider you have committed, and the disciplinary sanction to be applied) together with the reasons for our decision. We will also inform you of your right of appeal. Where possible we will also explain this information to you in person.
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APPEALS
- If you wish to appeal you should do so in writing to your line manager’s line manager within one week of the date on which you were informed of the decision.
- We will give you written notice of the date, time, and place of the appeal hearing. This will normally be between two days and one week after you receive the written notice. In cases of dismissal the appeal will be held as soon as possible
- Where practicable, the appeal hearing will be held by a manager who is senior to the person who conducted the disciplinary hearing. You may bring a companion with you to the appeal meeting.
- If you raise any new matters in your appeal, we may need to carry out further investigation prior to the appeal hearing. If any new information comes to light, we will provide you with the details. You will have a reasonable opportunity to consider this information before the hearing.
- Following the appeal, we may:
- confirm the original decision; or
- revoke the original decision; or
- substitute a different disciplinary sanction.
- We will inform you in writing of our final decision as soon as possible after the appeal hearing. Where possible we will also explain this to you in person. There will be no further right of appeal.
- The date on which any dismissal takes effect will not be delayed pending the outcome of an appeal. However, if the appeal is successful, you will be reinstated with no loss of continuity or pay.
- Right to be accompanied:
- You may bring a companion to any disciplinary or appeal hearings under this procedure. The companion may be either a trade union official or a colleague. You must tell your line manager who your chosen companion is, in good time before the hearing.
- Acting as a companion is voluntary and employees are under no obligation to do so. Employees will be allowed reasonable time off from duties without loss of pay to act as a companion.
- If your choice of companion is unreasonable, we may ask you to choose someone else. For example, this may be the case:
- if in our opinion your companion may have a conflict of interest or may prejudice the hearing; or
- if your companion works at another site and someone reasonably suitable is available at the site at which you work; or
- if your companion is unavailable at the time a hearing is scheduled and will not be available for more than five working days.
- We may, at our discretion, allow you to bring a companion who is not an employee or union official (for example, a member of your family) where this will help overcome a particular difficulty caused by a disability, or where you have difficulty understanding English.
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DISMISSALS AND DISCIPLINARY ACTION
- We aim to treat all employees fairly and consistently. Disciplinary action previously taken against other employees for similar misconduct will usually be taken into account but should not be treated as a precedent. Each case will be assessed on its own merits. Depending on the seriousness of the matter any of the following stages may be omitted.
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Stage 1: verbal warning
- You may be given a verbal warning for a minor act of misconduct where you have no other active warnings on your disciplinary record.
- The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
- A record of the warning will be placed permanently on your personnel file and will remain active for six months from the date it is given, after which time it will normally be disregarded in deciding the outcome of future disciplinary proceedings. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period.
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Stage 2: first written warning
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A first written warning will usually be given for:
- first acts of misconduct where there are no other active warnings on your disciplinary record; or
- minor misconduct where there is an active verbal warning on your record.
- The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
- The warning will be placed permanently on your personnel file and will remain active for six months from the date it is given, after which time it will normally be disregarded in deciding the outcome of future disciplinary proceedings. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period.
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A first written warning will usually be given for:
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Stage 3: final written warning
- A final written warning will usually be given for:
- misconduct where there is already an active written warning on your record; or
- cases where there is no active written warning on file, but we consider that the misconduct is sufficiently serious to warrant a final written warning.
- The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
- The warning will be placed permanently on your personnel file and will normally remain active for 12 months or, if we decide that the matter is more serious, for a longer period. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period. After the active period it will normally be disregarded in deciding the result of future disciplinary proceedings. In exceptional cases verging on gross misconduct, a warning may remain active indefinitely.
- A final written warning will usually be given for:
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Stage 4: dismissal
- We may decide to dismiss you in the following circumstances:
- misconduct where there is an active final written warning on your record; or
- gross misconduct regardless of whether you have received any previous warnings.
- Gross misconduct will usually result in summary dismissal, that is, dismissal without notice or payment in lieu of notice. In cases not involving gross misconduct you will be given your full contractual notice period, or payment in lieu of notice.
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As a guideline (and by means of illustration only) the following are examples of what may constitute gross misconduct:
- Falsification of records such as Expense/Time Sheets, overtime claims, customer orders.
- Theft, fraud or intent to defraud.
- Extensive abuse of the Company’s facilities e.g. personal telephone calls, e-mail, Internet or postal service for personal use
- Reckless or serious misuse of Company vehicle.
- Falsification of information on appointment.
- Sleeping on duty.
- Rudeness to customers of the Company.
- Viewing, downloading and copying of pornographic or other offensive material
- Sending defamatory, abusive, sexist, or racist messages
- Knowingly using Company systems to create and/or distribute viruses
- Creating and/or distributing illegal copies of software
- Hacking attacks on Company systems or third party systems
- Disclosing Company passwords to access Company computers
- Accepting a gift which could be construed as a bribe.
- Sexual, racial or any other form of harassment.
- Conviction for any serious criminal offence whilst an employee.
- Wilful damage to the property of the Company or other employees.
- Assault within the work place
- Inability to work effectively due to the influence of alcohol or illegal drugs.
- Unauthorised disclosures of confidential information.
- Unauthorised absence.
- Serious insubordination.
- Breach of Health and Safety rules
- Smoking
- This list must not be regarded as exhaustive, but merely illustrative.
- We may decide to dismiss you in the following circumstances:
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Alternative sanctions short of dismissal
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In appropriate cases we may consider some other sanction short of dismissal, such as:
- demotion;
- transfer to another department or job;
- period of suspension without pay;
- loss of seniority;
- reduction in pay;
- loss of future pay increment or bonus;
- loss of overtime.
- These sanctions may be used in conjunction with a written warning.
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In appropriate cases we may consider some other sanction short of dismissal, such as:
FORMAL DISCIPLINARY PROCEDURE
Equal opportunities policy
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EQUAL OPPURTUNITIES STATEMENT
- It is The Employer’s policy not to discriminate against its workers and/or employees because of their gender, marriage and civil partnership, sexual orientation, marital status, any gender reassignment, race, religion or philosophical belief, colour, nationality, ethnic or national origin, disability or age, pregnancy and maternity or trade union membership or the fact that they are a part-time worker or a fixed-term employee. The Employer will not tolerate discrimination by association and/or by perception and will not tolerate discrimination arising from disability. The Employer will not tolerate discrimination, because of any of the above grounds, of customers and/or clients in the provision of goods and services.
- The following paragraphs deal with the specific categories of workers and areas of work which we have identified as potentially giving rise to equal opportunities issues and provides more specific guidance on the parameters of our policy and approach to equal opportunities.
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TO WHOM DOES THIS POLICY APPLY?
- This policy applies to The Employer’s employees, whether permanent, temporary, or casual, part-time or on fixed-term contracts, and to individuals such as agency staff and consultants.
- In addition, all workers have a duty to act in accordance with this policy, and therefore to treat colleagues with dignity at all times, and not to discriminate against or harass other members of staff, whether junior or senior to them. The Employer will not tolerate any discriminatory practices or behaviour and any such conduct may be viewed as gross misconduct entitling The Employer to dismiss you summarily.
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PERSONNEL RESPONSIBLE FOR IMPLEMENTATION OF POLICY
- The Human Resources department has overall responsibility for the effective operation of this equal opportunities policy and for ensuring compliance with the relevant statutory framework prohibiting discrimination.
- All members of staff are responsible for the success of this policy and must ensure that they familiarise themselves with the policy and act in accordance with its aims and objectives.
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SCOPE AND PURPOSE OF POLICY
- The Employer will not unlawfully discriminate because of gender, sexual orientation, marriage and civil partnership, gender reassignment, race, religion or philosophical belief, colour, nationality, ethnic or national origin, disability or age, pregnancy and maternity, trade union membership, or part-time or fixed-term status (“Protected Characteristics”).
- This policy applies, without limitation, to the advertising of jobs and recruitment and selection; to training and development; opportunities for promotion; to conditions of service, benefits and facilities and pay; to health and safety and to conduct at work, to grievance and disciplinary procedures and to termination of employment including redundancy.
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You are also prohibited from harassing another employee and/or worker on any of the grounds under 4.1. Harassment is defined as any unwanted conduct, related to any of the Protected Characteristics set out in paragraph 4.1 above, that has the purpose or effect of violating your dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment. It is not the intention of the perpetrator that is important when considering whether harassment has taken place but your perception of the behaviour. Harassment can range from extremes such as violence to less obvious forms such as ignoring someone. Forms of harassment might include (without limitation):
- Physical contact;
- Bullying;
- Unwelcome remarks about someone’s race or marital status or any other Protected Characteristic;
- Persistent criticism;
- Jokes, offensive language, gossip, lewd or suggestive comments;
- Posters, obscene gestures, graffiti;
- Isolation, non-co-operation, and exclusion from social activities;
- Coercion for sexual favours;
- Failure to safeguard personal confidential information;
- Unnecessary body contact; threatened or actual assault or violence;
- Deliberate exclusion from conversations or work activities because of any Protected Characteristic;
- Display of “pin ups”, pornography, inflammatory or abusive literature or graffiti:
- Using email or the internet for the purpose of bullying or making abusive or offensive remarks related to any Protected Characteristic.
- You should be aware that, as well as committing a disciplinary offence, an individual found to have discriminated against a fellow employee/worker in the course of their employment may be personally liable to compensate the victim. In addition, harassment for whatever reason may constitute a crime under the Protection from Harassment Act 1997 punishable by imprisonment and/or a fine.
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FORMS OF DISCRIMINATION
- Discrimination may be direct or indirect and it may occur intentionally or unintentionally. Direct discrimination occurs where someone is treated less favourably because they have one of the Protected Characteristics or are thought to have a Protected Characteristic as set out in paragraph 4.1 or because they associate with someone who has a Protected Characteristic.
- Indirect discrimination occurs when an unjustifiable requirement, condition or practice is imposed, apparently to all individuals, but has the effect that certain groups of individuals (who share a Protected Characteristic as set out in paragraph 4.1) cannot comply with it or are put at a particular disadvantage.
- Discrimination also includes victimisation (less favourable treatment because of action taken to assert legal rights against discrimination or to assist a colleague in that regard) and harassment.
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BREACHES OF THE POLICY
- If you believe that you may have been disadvantaged because of any of the Protected Characteristics listed at paragraph 4.1 (or for any other reason) you are encouraged to raise the matter through The Employer’s grievance procedure. If you believe that you may have been harassed because of any Protected Characteristic listed at paragraph 4.1 (or for any other reason), you are encouraged to raise the matter through our grievance policy. Allegations regarding potential breaches of this policy will be treated in confidence and investigated in accordance with the relevant procedure.
- Workers who make such allegations in good faith will not be victimised or treated less favourably as a result. False allegations of a breach in this policy, which are found to have been made in bad faith will, however, be dealt with under our disciplinary procedure and may result in summary dismissal on grounds of gross misconduct.
- The Employer will not tolerate retaliation against, or victimisation of any employee involved in bringing of a complaint of harassment or bullying under The Employer’s procedure. Such retaliation or victimisation will itself constitute a disciplinary offence, which may in appropriate circumstances lead to dismissal.
- If, after investigation, you are proven to have harassed any other worker or otherwise act in breach of this policy, you will be subject to disciplinary action. Such behaviour may constitute gross misconduct and, as such, may result in summary dismissal. The Employer will always take a strict approach to serious breaches of this policy.
- As this policy applies equally to The Employer workers’ relations with clients and suppliers, if, after investigation, you are proven to have discriminated against or harassed a client or supplier you will also be subject to disciplinary action.
Family friendly policies
Maternity leave and pay policy
- ELIGBILITY
- Maternity Leave
- All Employees who are employees and provide the correct notice (see below), regardless of their
length of service, are entitled to 52 weeks Maternity Leave. Payment is made either at the
Maternity Allowance (MA) or the Statutory Maternity Pay (SMP) rate.
- All Employees who are employees and provide the correct notice (see below), regardless of their
- Statutory Maternity Pay (SMP)
- Employees with at least 26 weeks continuous service at the 15th week before the expected week of childbirth (known as the Qualifying Week or QW) and whose average earnings are at least as much as the lower earnings limit for National Insurance contributions qualify for SMP. It is the Company’s responsibility to determine whether or not an Employee qualifies for SMP.
- SMP amounts to 6 weeks at 90% of your average salary plus 33 weeks at the lesser of (i) the
Employee’s salary and (ii) the figure specified by the Department for Work and Pensions (please
contact HR for further information). - Any maternity leave in excess of 39 week SMP period is unpaid (i.e., Additional Maternity Leave
from week 40 up to the statutory maximum of 52 weeks). - SMP usually starts when you take maternity leave. However, your SMP will start automatically if
you’re off work for a pregnancy-related illness in the 4 weeks before the week (Sunday to
Saturday) that your baby is due.
- Maternity Allowance
- Employees with less than 26 weeks continuous service by the Qualifying Week may be eligible to
claim Maternity Allowance at the rate specified by the Department for Work and Pensions (and
possibly other benefits) for the 26 weeks for Ordinary Maternity Leave. Further information is
available through local social security offices or Jobcentres. Maternity Allowance must be
claimed through the Benefits Agency.
- Employees with less than 26 weeks continuous service by the Qualifying Week may be eligible to
- Maternity Leave
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BENEFITS
- All benefits (except wage or salary) continue to accrue during your Maternity Leave.
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ANTENATAL CARE
- All pregnant Employees are entitled to reasonable time off for antenatal care. Antenatal care is not
restricted to medical examinations but can also include relaxation classes and parent craft classes. - Except for the first appointment, the Employee must be prepared to produce:
- a certificate from a registered medical practitioner, registered midwife or registered health
visitor confirming pregnancy; and - an appointment card or some other documentation showing that an appointment has been made.
- a certificate from a registered medical practitioner, registered midwife or registered health
- All pregnant Employees are entitled to reasonable time off for antenatal care. Antenatal care is not
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NOTICE OF INTENDED MATERNITY LEAVE START DATE
- Pregnant Employees will be required to inform their Line Manager of their intention to take maternity
leave by the 15th week before the baby is due unless this is not reasonably practicable. The following
information should be provided in writing:- confirmation of pregnancy;
- the date the baby is expected to be born, (or the expected week of childbirth (“EWC”); and
- when maternity leave is to start.
- A copy of the maternity certificate (Mat B1) must be enclosed with this letter, which would normally be
signed by the GP or Midwife at some point following the 20th week of pregnancy. If necessary, a copy may
be requested from the GP or Midwife, as this provides employer with formal confirmation of pregnancy. - Employees have the right to alter the date maternity leave is to start, providing that they give at
least 28 days’ notice (unless this is not reasonably practicable). - The Employer will respond to requests to take maternity leave within 28 days, setting out the date on
which the individual is expected to return to work based on her taking the full entitlement to maternity
leave.
- Pregnant Employees will be required to inform their Line Manager of their intention to take maternity
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EARLIEST START DATE
- The earliest date on which maternity leave can start is the 11th week before the expected week of childbirth (“EWC”).
- If a pregnant Employee is absent from work with a pregnancy related illness within 4 weeks of the start of the EWC, the maternity leave period will automatically commence on the first day of the absence. If the baby is premature and is born before the maternity leave period is due to commence, the maternity leave period will automatically start on the day the baby is born.
- Employees should inform their Line Manager, in writing, as soon as is reasonably practicable that any absence is wholly or partly due to pregnancy, in order to ensure that all relevant rights are preserved.
- If a pregnant Employee is absent from work within four weeks of the start of the EWC with a non-pregnancy related illness, maternity leave is unaffected and the normal sickness absence rules apply.
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KEEPING IN TOUCH DAYS (KIT)
- You will be allowed to work up to a maximum of 10 days without losing SMP. These days will be called Keeping in touch days (KIT). If you work more than 10 days, you will lose one week’s SMP for each week or part week that you work under your contract for the employer paying your SMP.
- KIT days will be paid at the rate specified on the Employees Contract of Employment.
- Any days that are worked do not have the effect of extending the total duration of the leave period. SMP is not affected and will continue to be paid out but will count towards the contractual pay.
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RETURN TO WORK
- We will assume that you will take all 52 weeks of your Statutory Maternity Leave. If you take the full
52 weeks, you don’t need to give notice that you are coming back. However, we would encourage you to do
so. - Employees who wish to return to work at the end of the total maternity leave period (i.e., Ordinary plus
Additional Maternity Leave) are not required to inform The Employer of their intention to do so. It will
be assumed that, unless their Line Manager is informed otherwise, Employees intend to return from
maternity leave at the end of the Additional Maternity Leave. - Employees who wish to return to work at any time before the end of Ordinary Maternity Leave (or if they
are entitled to it before the end of Additional Maternity Leave) must give 8 weeks written notice of the
date on which they intend to return. - If an Employee does not provide 8 weeks’ notice of her intention to return to work before the end of
Ordinary or Additional Maternity Leave, The Employer may choose to delay the return to work until 8
weeks’ notice has been given. - Employees may not return to work for 2 weeks following childbirth.
- If an Employee is unable to return to work at the end of Additional Maternity Leave due to illness,
normal sickness absence rules will apply.
- We will assume that you will take all 52 weeks of your Statutory Maternity Leave. If you take the full
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PROTECTION FROM UNFAIR TREATMENT
- All Employees have the right not to be subjected to unfair treatment as a result of pregnancy or because
they have taken maternity leave. This right starts as soon as their Line Manager is informed of the
pregnancy and lasts up until the end of maternity leave period.
- All Employees have the right not to be subjected to unfair treatment as a result of pregnancy or because
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ANNUAL LEAVE
- Employees on maternity leave will continue to accrue annual leave.
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RETURNING TO WORK
- When returning to work after Ordinary Maternity Leave (the first 26 weeks of your Statutory Maternity
Leave), you have a right to the same job and the same terms and conditions as if you hadn’t been away. - This also applies when you come back after Additional Maternity Leave (the last 26 weeks of your
statutory Maternity Leave). However, if it is not reasonably practical to return to your original job
(for example, because the job no longer exists) you do not have the same right. In that case, you will
be offered alternative work with terms and conditions.
- When returning to work after Ordinary Maternity Leave (the first 26 weeks of your Statutory Maternity
Paternity leave and pay policy
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ELIGIBILITY
- What is paternity leave?
- You might be eligible for:
- 1 or 2 weeks paid Paternity Leave (“PL”)
- up to 26 weeks paid Additional Paternity Leave (“APL”), if your child was due or placed
for adoption before 5 April 2015 - Shared Parental Leave (“SPL”), if your child was due or placed for adoption on or after
5 April 2015 (see the Shared Parental Leave policy) - You can only take Additional Paternity Leave if your partner returns to work.
- If your child was due or placed for adoption on or after 5 April 2015 you are not
entitled to take APL.
- You might be eligible for:
- Qualifying for PL
- You will qualify for PL if:
- you are an employee;
- you are the biological father of the child or spouse/civil partner/partner of the
child’s mother or adopter; - you have or expect to have responsibility or main responsibility, for the child’s
upbringing; - you are taking paternity leave to care for the child or support child’s mother or
adopter in caring for the child; - have been employed continuously with The Employer for 26 weeks by the end of the
qualifying week (“QW”) which is 15th weeks before the expected week of childbirth or
notified by the Adoption Agency that they have been matched with a child; and - you give the correct notice (see below)
- You will qualify for PL if:
- Qualifying for APL
- You will qualify for APL if, in addition to meeting the qualifying requirements of PL:
- you remain employed with The Employer until the week before the first week of your APL
and either - the child’s mother has been entitled to maternity leave, statutory maternity pay or
maternity allowance in respect of her pregnancy and has returned to work; or - the child’s adopter has been entitled to adoption leave, statutory adoption pay in
respect of the child’s adoption and has returned to work; and - you give the correct notice (see below)
- you remain employed with The Employer until the week before the first week of your APL
- You will qualify for APL if, in addition to meeting the qualifying requirements of PL:
- Statutory Paternity Pay
- To be entitled to receive statutory paternity pay the Employee’s average weekly earnings in the
8 weeks up to and including the 15th week before the expected week of confinement must exceed
the lower earnings limit for National Insurance purposes. - If you are not entitled to statutory paternity pay a form will be issued from payroll explaining
why not. This form can be used to apply for income support.
- To be entitled to receive statutory paternity pay the Employee’s average weekly earnings in the
- What is paternity leave?
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RATES
- Statutory paternity pay shall be paid at the figure specified by the Department for Work and Pensions
(please contact HR for further information) or at 90% of the Employee’s average salary if the amount is
lower. - In respect of statutory paternity pay during APL, the child’s mother or your co-adopter must have
returned to work without having at least 2 weeks of their maternity allowance, statutory maternity pay,
or statutory adoption pay left. Your entitlement to statutory paternity pay will equate to the number of
weeks of remaining maternity allowance, statutory maternity pay or statutory adoption pay when the
child’s mother or your co-adopter returned to work. - Any Additional Paternity Leave taken after the end of your partner’s Statutory Maternity Pay, Maternity
Allowance or Statutory Adoption Pay period is unpaid.
- Statutory paternity pay shall be paid at the figure specified by the Department for Work and Pensions
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DURATION
- For PL
- An Employee may take one week or two consecutive weeks. Leave cannot start before the birth. You
are not entitled to take two separate one week periods of leave or a period of leave that is
less than one week. - A week is the same amount of days as an Employee normally works in a week. You receive the same
amount of leave if your partner has multiple births. - PL can commence on any day after the child is born or placed for adoption and must be taken
within 56 days of the child’s birth or placement. If the child is born prematurely, PL can be
taken up to 56 days after the first day of the expected week of childbirth. - Employees are encouraged to discuss this with their Line Manager, but, in any event, The
Employer will try to accommodate the Employee’s preference.
- An Employee may take one week or two consecutive weeks. Leave cannot start before the birth. You
- For APL
- (“APL”) can be taken as a minimum of 2 weeks up to a maximum of 26 weeks (depending on how much
unused leave your partner has) if your partner has returned to work and must be taken in
multiples of complete weeks and as one period. - APL must be taken in the period beginning 20 weeks after the child’s birth or placement and
ending 12 months after that date of birth or adoption. - Employees are encouraged to discuss this with their Line Manager, but, in any event, The
Employer will try to accommodate the Employee’s preference.
- (“APL”) can be taken as a minimum of 2 weeks up to a maximum of 26 weeks (depending on how much
- For PL
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NOTIFICATION
- For PL
- Birth
- The Employee’s Line Manager must be notified of an Employee’s intention to take PL no
later than the 15th week before the expected week of childbirth. This should be done
using the form SC3, available from payroll. The Employee must inform The Employer of:- the baby’s due date
- when you want your leave to start (e.g., the day of the birth or the week after
the birth) - if they want 1- or 2-weeks’ leave
- Where such notification is not reasonably practicable, for example, where the child is
born prematurely, the Employee should notify their Line Manager as soon as practicable. - You don’t have to give a precise date when you want to take leave (e.g., 1 February). Instead, you can give the general time (e.g., the day of the birth or 1 week after the birth).
- The Employee’s Line Manager must be notified of an Employee’s intention to take PL no
- Adoption
- The Employee’s Line Manager must be notified within 7 days of being informed by the Agency that they have been matched with a child. This should be done using the form SC4, available from payroll. Where this is not reasonably practicable, for example, where a child is placed with an Employee at short notice, the Employee should notify their Line Manager as soon as reasonably practicable.
- Employees should take particular care to ensure that the information contained in the forms is accurate.
- Variation of Notice
- An Employee can vary the date of commencement of PL provided that written notification is provided to their Line Manager 28 days before the date on which PL was originally intended to begin. Again, where the ircumstances mean that an Employee was not able to give this length of notice, the Line Manager should be notified of the variation as soon as reasonably practicable.
- Birth
- For APL
- Birth
- The Employee’s Line Manager must be notified in writing of an Employee’s intention to
take (“APL”) at least 8 weeks before you would like to start. The Employee must complete
form SC7, available from payroll. The Employee must also give their Line Manager a
written ‘mother declaration’ from the child’s mother detailing her return-to-work date
and the amount of SMP (if applicable) and leave outstanding to her.
- The Employee’s Line Manager must be notified in writing of an Employee’s intention to
- Adoption
- The Employee’s Line Manager must be notified in writing of an Employee’s intention to take (“APL”) at least 8 weeks before you would like to start it. The Employee must complete from SC8 or SC9, available from payroll. The Employee must also give their Line Manager a written ‘adopter declaration’ from the child’s co-adopter detailing their return-to-work date and the amount of SMP (if applicable) and leave outstanding to them.
- Within 28 days of receipt of your leave notice The Employer will request from you:
- a copy of the child’s birth certificate; or
- documentary evidence issued by the adoption agency that matched you with the child and confirms the name and address of the adoption agency, the date on which you were notified that you had been atched with child and the date the agency expected to place the child with you.
- the name and address of the mother’s/adopter’s employer or business address if they are self-employed.
- You have 28 days to provide The Employer with this information.
- The Employer will write to confirm the start and finish dates of your APL within 28 days of receiving your leave notice form and the mother’s/adopter’s declaration.
- Variation of Notice
- An Employee can vary the start date and/or end date of their APL provided that written notification is provided to their Line Manager 6 weeks before the date on which their original APL was intended to begin. Again, where the circumstances mean that an Employee was not able to give this length of notice, the Line Manager should be notified of the variation as soon as reasonably practicable.
- Birth
- For PL
-
CONTINUING TERMS AND CONDITIONS
- When the Employee is on PL /APL they will continue to be:
- entitled to the benefit of the terms and conditions of employment (excluding wages and salary) which would have applied had the employee not been absent; and
- bound by any obligations arising under these terms and conditions that are not inconsistent with the right to take PLAPL.
- When the Employee is on PL /APL they will continue to be:
-
ANNUAL LEAVE
- Employees on paternity leave will continue to accrue annual leave.
-
KEEPING IN TOUCH DAYS (KIT)
- You will be allowed to work up to a maximum of 10 days without losing statutory paternity pay. These
days will be called Keeping in touch days (KIT). If you work more than 10 days, you will lose one week’s
statutory paternity pay for each week or part week that you work under your contract for the employer
paying your statutory paternity pay. - KIT days will be paid at the rate specified on the Employees Contract of Employment or as agreed with
the Company. - Any days that are worked do not have the effect of extending the total duration of the leave period.
Statutory paternity pay is not affected and will continue to be paid out but will count towards the
contractual pay.
- You will be allowed to work up to a maximum of 10 days without losing statutory paternity pay. These
- RETURNING TO WORK
- When you return to work after 26 weeks or less of PL and/or APL, you have a right to the same job and
the same terms and conditions as if you hadn’t been away. This protection also applies where you take up
to four weeks’ parental leave in addition to your Additional Paternity Leave. - Where you have taken more leave than this, you should also return to the same job with the same terms
and conditions unless it is not reasonably practicable for you to return to your original job. You will
then be offered suitable alternative work.
- When you return to work after 26 weeks or less of PL and/or APL, you have a right to the same job and
- LEAVE FOR ANTENATAL APPOINTMENTS
- An Employee can take unpaid leave to accompany a pregnant woman to 2 antenatal appointments if they’re:
- the baby’s father
- the expectant mother’s spouse or civil partner
- in a long-term relationship with the expectant mother
- the intended parent (if you’re having a baby through a surrogacy arrangement)
- The Employee can take up to 6 and a half hours per appointment.
- You can apply for leave immediately if you’re a permanent employee. You’ll need to have been doing a job
for 12 weeks before you qualify if you’re an agency worker.
- An Employee can take unpaid leave to accompany a pregnant woman to 2 antenatal appointments if they’re:
Shared parental leave policy
- ABOUT THIS POLICY
- This policy outlines the arrangements for shared parental leave and pay in relation to the birth or
adoption of a child. - This policy applies to employees. It does not apply to agency workers or self-employed contractors.
- This policy does not form part of an Employee’s contract of employment and we may amend it at any time.
- This policy outlines the arrangements for shared parental leave and pay in relation to the birth or
- FREQUENTLY USED TERMS
- The definitions in this paragraph apply in this policy.
- Expected week of childbirth (EWC): the week, beginning on a Sunday, in which the doctor or midwife
expects your child to be born. - Parent: One of two people who will share the main responsibility for the child’s upbringing (and who may
be either the mother, the father, or the mother’s partner if not the father). - Partner: your spouse, civil partner or someone living with you in an enduring family relationship, but
not your sibling, child, parent, grandparent, grandchild, aunt, uncle, niece or nephew. - Qualifying Week: the fifteenth week before the EWC.
- WHAT IS SHARED PARENTAL LEAVE?
- Shared parental leave (SPL) is a form of leave that may be available if your child is expected to be
born (or placed for adoption) on or after 5 April 2015. - It gives you and your partner more flexibility in how to share the care of your child in the first year
after birth or adoption than simply taking maternity and paternity leave. Assuming you are both
eligible, you will be able to choose how to split the available leave between you and can decide to be
off work at the same time or at different times. You may be able to take leave in more than one block.
- Shared parental leave (SPL) is a form of leave that may be available if your child is expected to be
- ENTITLEMENT TO SPL
- You are entitled to SPL in relation to the birth or adoption of a child if:
- you are the child’s mother, and share the main responsibility for the care of the child with the
child’s father or with your partner; - you are the child’s father and share the main responsibility for the care of the child with the
child’s mother; or - you are the mother’s partner and share the main responsibility for the care of the child with
the mother (where the child’s father does not share the main responsibility with the mother).
- you are the child’s mother, and share the main responsibility for the care of the child with the
- The following conditions must also be fulfilled:
- you must have at least 26 weeks continuous employment with us by the end of the Qualifying Week,
and still be employed by us in the week before the leave is to be taken; - the other parent must have worked (in an employed or self-employed capacity) in at least 26 of
the 66 weeks before the EWC and had average weekly earnings of at least £30 during 13 of those
weeks; and - you and the other parent must give the necessary statutory notices and declarations as
summarised below, including notice to end any maternity leave, statutory maternity pay (SMP) or
maternity allowance (MA) periods.
- you must have at least 26 weeks continuous employment with us by the end of the Qualifying Week,
- The total amount of SPL available is 52 weeks, less the weeks spent by the child’s mother on maternity
leave (or the weeks in which the mother has been in receipt of SMP or MA if she is not entitled to
maternity leave). - If you are the mother you cannot start SPL until after the compulsory maternity leave period, which
lasts until two weeks after birth [or four weeks for factory workers]. - If you are the child’s father or the mother’s partner, you should consider using your two weeks’
paternity leave before taking SPL. Once you start SPL you will lose any untaken paternity leave
entitlement. SPL entitlement is additional to your paternity leave entitlement.
- You are entitled to SPL in relation to the birth or adoption of a child if:
- OPTING IN TO SHARED PARENTAL LEAVE AND PAY
- Not less than eight weeks before the date you intend your SPL to start, you must give us a written
opt-in notice giving:- your name and the name of the other parent;
- if you are the child’s mother, the start and end dates of your maternity leave;
- if you are the child’s father or the mother’s partner, the start and end dates of the mother’s
maternity leave, or if she is not entitled to maternity leave, the start and end dates of any
SMP or MA period; - the total SPL available, which is 52 weeks minus the number of weeks’ maternity leave, SMP or MA
period taken or to be taken; - how many weeks of the available SPL will be allocated to you and how many to the other parent
(you can change the allocation by giving us a further written notice, and you do not have to use
your full allocation); - if you are claiming statutory shared parental pay (ShPP), the total ShPP available, which is 39
weeks minus the number of weeks of the SMP or MA period taken or to be taken); - how many weeks of available ShPP will be allocated to you and how much to the other parent. (You
can change the allocation by giving us a further written notice, and you do not have to use your
full allocation); - an indication of the pattern of leave you are thinking of taking, including suggested start and
end dates for each period of leave (see paragraph 9 and paragraph 10 for information on taking
leave). This indication will not be binding at this stage, but please give as much information
as you can about your future intentions; and - declarations by you and the other parent that you both meet the statutory conditions to enable
you to take SPL and ShPP.
- Not less than eight weeks before the date you intend your SPL to start, you must give us a written
- ENDING YOUR MATERNITY LEAVE
- If you are the child’s mother and want to opt into the SPL scheme, you must give us at least eight
weeks’ written notice to end your maternity leave (a curtailment notice) before you can take SPL. The
notice must state the date your maternity leave will end. You can give the notice before or after you
give birth, but you cannot end your maternity leave until at least two weeks after birth. - You must also give us, at the same time as the curtailment notice, a notice to opt into the SPL scheme
(see paragraph 5) or a written declaration that the other parent has given their employer an opt-in
notice and that you have given the necessary declarations in that notice. - The other parent may be eligible to take SPL from their employer before your maternity leave ends,
provided you have given the curtailment notice. - The curtailment notice is binding and cannot usually be revoked. You can only revoke a curtailment
notice if maternity leave has not yet ended and one of the following applies:- if you realise that neither you nor the other parent are in fact eligible for SPL or ShPP, in
which case you can revoke the curtailment notice in writing up to eight weeks after it was
given; - if you gave the curtailment notice before giving birth, you can revoke it in writing up to six
weeks after birth; or - if the other parent has died.
- if you realise that neither you nor the other parent are in fact eligible for SPL or ShPP, in
- Once you have revoked a curtailment notice you will be unable to opt back into the SPL scheme, unless
paragraph 6.4(b) applies.
- If you are the child’s mother and want to opt into the SPL scheme, you must give us at least eight
- ENDING YOUR PARTNER’S MATERNITY LEAVE OR PAY
- If you are not the mother, but the mother is still on maternity leave or claiming SMP or MA, you will
only be able to take SPL once she has either:- returned to work;
- given her employer a curtailment notice to end her maternity leave;
- given her employer a curtailment notice to end her SMP (if she is entitled to SMP but not
maternity leave); or - given the benefits office a curtailment notice to end her MA (if she is not entitled to
maternity leave or SMP).
- If you are not the mother, but the mother is still on maternity leave or claiming SMP or MA, you will
- EVIDENCE OF ENTITLEMENT
- You must also provide on request:
- A copy of the birth certificate (or if you have not yet obtained a birth certificate, a signed
declaration of the child’s date and place of birth); and - The name and address of the other parent’s employer (or a declaration that they have no
employer).
- A copy of the birth certificate (or if you have not yet obtained a birth certificate, a signed
- You must also provide on request:
- BOOKING YOUR SPL DATES
- Having opted into the SPL system, you must book your leave by giving us a period of leave notice. This
may be given at the same time as the opt-in notice or later, provided it is at least eight weeks before
the start of SPL. - The period of leave notice can either give the dates you want to take leave or, if the child has not
been born yet, it can state the number of days after birth that you want the leave to start and end.
This may be particularly useful if you intend to take paternity leave starting on the date of birth and
wish to take SPL straight afterwards. - Leave must be taken in blocks of at least one week.
- If your period of leave notice gives a single continuous block of SPL, you will be entitled to take the
leave set out in the notice. - If your period of leave notice requests split periods of SPL, with periods of work in between, we will
consider your request as set out in paragraph 10, below. - You can give up to three period of leave notices. This may enable you to take up to three separate
blocks of SPL (although if you give a notice to vary or cancel a period of leave this will in most cases
count as a further period of leave notice; see paragraph 11) .
- Having opted into the SPL system, you must book your leave by giving us a period of leave notice. This
- PROCEDURE FOR REQUESTING SPLIT PERIODS OF SPL
- In general, a period of leave notice should set out a single continuous block of leave. We may be
willing to consider a period of leave notice where the SPL is split into shorter periods with periods of
work in between. It is best to discuss this with your manager and HR in good time before formally
submitting your period of leave notice. This will give us more time to consider the request and
hopefully agree a pattern of leave with you from the start. - If you want to request split periods of SPL, you must set out the requested pattern of leave in your
period of leave notice. We will either agree to the request or start a two-week discussion period. At
the end of that period, we will confirm any agreed arrangements in writing. If we have not reached
agreement, you will be entitled to take the full amount of requested SPL as one continuous block,
starting on the start date given in your notice (for example, if you requested three separate periods of
four weeks each, they will be combined into one 12-week period of leave). Alternatively, you may:- choose a new start date (which must be at least eight weeks after your original period of leave
notice was given), and tell us within five days of the end of the two-week discussion period; or - withdraw your period of leave notice within two days of the end of the two-week discussion
period (in which case the notice will not be counted and you may submit a new one if you
choose).
- choose a new start date (which must be at least eight weeks after your original period of leave
- In general, a period of leave notice should set out a single continuous block of leave. We may be
- CHANGING THE DATES OR CANCELLING YOUR SPL
- You can cancel a period of leave by notifying us in writing at least eight weeks before the start date
in the period of leave notice. - You can change the start date for a period of leave by notifying us in writing at least eight weeks
before the original start date and the new start date. - You can change the end date for a period of leave by notifying us in writing at least eight weeks before
the original end date and the new end date. - You can combine split periods of leave into a single continuous period of leave by notifying us in
writing at least eight weeks before the start date of the first period. - You can request that a continuous period of leave be split into two or more discontinuous periods with
periods of work in between. We will consider any such request as set out in paragraph 10. - A notice to change or cancel a period of leave will count as one of your three period of leave notices,
unless:- the variation is a result of your child being born earlier or later than the EWC;
- the variation is at our request; or
- we agree otherwise.
- You can cancel a period of leave by notifying us in writing at least eight weeks before the start date
- PREMATURE BIRTH
- Where the child is born early (before the beginning of the EWC), you may be able to start SPL in the
eight weeks following birth even though you cannot give eight weeks’ notice. The following rules apply:- If you have given a period of leave notice to start SPL on a set date in the eight weeks
following the EWC, but your child is born early, you can move the SPL start date forward by the
same number of days, provided you notify us in writing of the change as soon as you can. (If
your period of leave notice already contained a start date which was a set number of days after
birth, rather than a set date, then no notice of change is necessary.) - If your child is born more than eight weeks early and you want to take SPL in the eight weeks
following birth, please submit your opt-in notice and your period of leave notice as soon as you
can.
- If you have given a period of leave notice to start SPL on a set date in the eight weeks
- Where the child is born early (before the beginning of the EWC), you may be able to start SPL in the
- SHARED PARENTAL PAY
- You may be able to claim Statutory Shared Parental Pay (ShPP) of up to 39 weeks (less any weeks of SMP
or MA claimed by you or your partner) if you have at least 26 weeks’ continuous employment with us at
the end of the Qualifying Week and your average earnings are not less than the lower earnings limit set
by the government each tax year. ShPP is paid by employers at a rate set by the government each year. - You should tell us in your period of leave notice(s) whether you intend to claim ShPP during your leave
(and if applicable, for what period). If it is not in your period of leave notice you can tell us in
writing, at least eight weeks before you want ShPP to start.
- You may be able to claim Statutory Shared Parental Pay (ShPP) of up to 39 weeks (less any weeks of SMP
- OTHER TERMS DURING SHARED PARENTAL LEAVE
- Your terms and conditions of employment remain in force during SPL, except for the terms relating to
pay. - Annual leave entitlement will continue to accrue at the rate provided under your contract. If your SPL
will continue into the next holiday year, any holiday entitlement that cannot reasonably be taken before
starting your leave can be carried over [and must be taken immediately before returning to work unless
your manager agrees otherwise]. You should try to limit carry over to one week’s holiday or less. Carry
over of more than one week is at your manager’s discretion. Please discuss your holiday plans with your
manager in good time before starting SPL. All holiday dates are subject to approval by your manager. - If you are a member of the pension scheme, we will make employer pension contributions during any period
of paid SPL, based on your normal salary, in accordance with the pension scheme rules. Any employee
contributions you make will be based on the amount of any shared parental pay you are receiving unless
you inform your line manager that you wish to make up any shortfall.
- Your terms and conditions of employment remain in force during SPL, except for the terms relating to
- KEEPING IN TOUCH
- We may make reasonable contact with you from time to time during your SPL although we will keep this to
a minimum. This may include contacting you to discuss arrangements for your return to work. - You may ask or be asked to work (including attending training) on up to 20 “keeping-in-touch” days (KIT
days) during your SPL. This is in addition to any KIT days that you may have taken during maternity
leave. KIT days are not compulsory and must be discussed and agreed with your line manager. - You will be paid at your normal basic rate of pay for time spent working on a KIT day and this will be
inclusive of any shared parental pay entitlement. Alternatively, you may agree with your line manager to
receive the equivalent paid time off in lieu.
- We may make reasonable contact with you from time to time during your SPL although we will keep this to
- RETURNING TO WORK
- If you want to end a period of SPL early, you must give us eight weeks’ written notice of the new return
date. If have already given us three period of leave notices you will not be able to end your SPL early
without our agreement. - If you want to extend your SPL, assuming you still have unused SPL entitlement remaining, you must give
us a written period of leave notice at least eight weeks before the date you were due to return to work.
If you have already given us three period of leave notices you will not be able to extend your SPL
without our agreement. You may instead be able to request annual leave or ordinary parental leave
subject to the needs of the business. - You are normally entitled to return to work in the position you held before starting SPL, and on the
same terms of employment. However, if it is not reasonably practicable for us to allow you to return
into the same position, we may give you another suitable and appropriate job on terms and conditions
that are not less favourable, but only in the following circumstances:- if your SPL and any maternity or paternity leave you have taken adds up to more than 26 weeks in
total (whether or not taken consecutively); or - if you took SPL consecutively with more than four weeks of ordinary parental leave.
- if your SPL and any maternity or paternity leave you have taken adds up to more than 26 weeks in
- If you decide you do not want to return to work you should give notice of resignation in accordance with
your contract.
- If you want to end a period of SPL early, you must give us eight weeks’ written notice of the new return
Adoption leave and pay policy
- ELIGIBILITY
- To qualify, you must be:
- To qualify for adoption leave you must be an employee;
- be newly matched with a child by an approved adoption agency or local authority;
- comply with notification requirements (see below); and
- provide evidence of the adoption upon request.
- Adoption leave is a ‘day one’ right so employees no longer need to have 26 weeks’ continuous service to
be eligible. - Adoption leave and pay are not available in circumstances where a child is not newly matched for
adoption, for example, where the Employee is a stepparent adopting an existing child of the family. - Where a couple adopt jointly, only one partner may take adoption leave. Where an adoptive mother elects
to take adoption leave, the adoptive father can, if eligible, take paternity leave and/or shared
parental leave. - Some surrogate parents are eligible for adoption leave. Further clarification can be provided upon
request.
- To qualify, you must be:
- TIME OFF
- The main adopter will be entitled to paid time off work (up to 6 hours per day) for up to five adoption
appointments after they have been matched with a child/children. The secondary adopter will be entitled
to unpaid time off work for up to two appointments.
- The main adopter will be entitled to paid time off work (up to 6 hours per day) for up to five adoption
- DURATION OF LEAVE
- All eligible Employees are entitled to 52 weeks Adoption Leave. The Employer will assume that the
Employee will take their full entitlement (i.e., 52 weeks) unless notified to the contrary by the
Employee. Adoption leave can start:- up to 14 days before the date the child starts living with you (UK adoptions)
- when the child arrives in the UK or within 28 days of this date (overseas adoptions)
- the day the child’s born or the day after (if you’ve used a surrogate to have a child)
- All eligible Employees are entitled to 52 weeks Adoption Leave. The Employer will assume that the
- STATUTORY ADOPTION PAY (SAP)
- Employees on adoption leave will be entitled to receive SAP during Adoption Leave, where they have
average weekly earnings of no less than the lower earnings limit for the payment of National Insurance
contributions. - SAP amounts to 6 weeks at 90% of salary plus 33 weeks at the lesser of (i) the Employee’s salary and
(ii) the figure specified by the Department for Work and Pensions (please contact your Line Manager for
further information). - Any adoption leave in excess of 39 weeks SAP period is unpaid.
- Employees on adoption leave will be entitled to receive SAP during Adoption Leave, where they have
- FINANCIAL SUPPORT
- Employees who have average weekly earnings below the Lower Earnings Limit for National Insurance
contributions do not qualify for SAP. They should contact their adoption agency, as they may be able to
receive financial support. Financial support may be available through Housing Benefit, Council Tax
Benefit or Tax Credits. Further information is available from the local Jobcentre Plus office or Social
Security office.
- Employees who have average weekly earnings below the Lower Earnings Limit for National Insurance
- BENEFITS
- All benefits (except wages or salary) continue to accrue during Adoption Leave.
- NOTICE OF INTENDED ADOPTION LEAVE START DATE
- We encourage Employees to discuss with us their plan for adoption as soon as possible in order that we
can discuss and endeavour to accommodate any time off work required. Adopting Employees will be required
to notify their Line Manager of their intention to take adoption leave within no more than 7 days of
being informed by the adoption agency that they have been matched with a child unless this is not
reasonably practicable. The following information should be provided in writing:- the date on which the child is expected to be placed with the Employee; and
- the date on which the Employee wishes their adoption leave to commence.
- A copy of the Matching Certificate from the adoption agency must be enclosed with this notification from
the Employee as evidence of their entitlement to take adoption leave. - Employees have the right to alter the date adoption leave is to start, providing that they give at least
28 days’ notice (unless this is not reasonably practicable). - The Employer will respond within 28 days to requests to take adoption leave, setting out the date on
which the Employee is expected to return to work, based on the full entitlement to adoption leave being
taken.
- We encourage Employees to discuss with us their plan for adoption as soon as possible in order that we
- KEEPING IN TOUCH DAYS (KIT)
- You will be allowed to work up to a maximum of 10 days without losing SAP. These days will be called
Keeping in touch days (KIT). If you work more than 10 days, you will lose one week’s SAP for each week
or part week that you work under your contract for the employer paying your SAP. - KIT days will be paid at the rate specified on the Employees Contract of Employment.
- Any days that are worked do not have the effect of extending the total duration of the leave period. SAP
is not affected and will continue to be paid out but will count towards the contractual pay.
- You will be allowed to work up to a maximum of 10 days without losing SAP. These days will be called
- RETURN TO WORK
- Employees who wish to return to work at the end of the statutory adoption leave period are not required
to inform the Company of their intention to do so. it will be assumed that, unless the Company is
informed otherwise, Employees intend to return from adoption leave at the end of the 52 weeks. - Employees who wish to return to work at any earlier time must give 8 weeks written notice of the date on
which they intend to return. - If an Employee does not provide 8 weeks’ notice of their intention to return to work The Employer may
choose to delay the return to work until 8 weeks’ notice has been given.
- Employees who wish to return to work at the end of the statutory adoption leave period are not required
- PROTECTION FROM UNFAIR TREATMENT
- All Employees have the right not to be subjected to unfair treatment (up to and including dismissal)
because they have taken or requested adoption leave. If you consider you have been subject to any unfair
treatment you are encouraged to implement the Company grievance procedure.
- All Employees have the right not to be subjected to unfair treatment (up to and including dismissal)
- ANNUAL LEAVE
- Employees on adoption leave will continue to accrue annual leave during the Adoption Leave period.
- Employees are expected to clear any existing annual leave balances prior to the start of adoption leave,
as annual leave cannot be carried forward from one annual leave year to the next. - There are different rules in the case of overseas adoptions which are not covered here. Further
information can be provided upon request.
Other parental and dependant leave
- Employees that have worked for the Company continuously for at least 52 weeks and are parents of a child under
the age of 18 years, are entitled to 18 weeks unpaid parental leave for each child, and which may, by agreement,
be added to normal maternity, paternity, shared parental or adoption leave. Leave must be taken in blocks or
multiples of one week, and no more than 4 week’s leave can be taken in any one year for any one child. - All employees have the right to reasonable time off to deal with an emergency involving a dependant. This will
usually be unpaid unless taken as holiday leave, but individual cases will be assessed on their merits.
Flexible working policy
- INTRODUCTION
- The purpose of this policy is to explain the statutory right to request flexible working and to set out The Employer’s process in respect of any flexible working application.
- Any request will be handled objectively and fairly, and employees will not be less favourably treated because they asked for flexible working arrangements.
- ELIGIBILITY
- This Policy applies to an individual who:
- is an employee of The Employer; and
- has been employed continuously by The Employer for 26 weeks at the date the application is made; and
- has not made another application to work flexibly within the previous 12 months.
- Such an individual is referred to in this policy as “the Applicant”. Agency workers and office holders do not have a statutory right to request flexible working. Any request will be considered on a case by case basis.
- An Employee’s Line Manager will be happy to discuss with them whether their circumstances qualify in terms of this Policy.
- This Policy applies to an individual who:
- WHAT VARIATIONS CAN APPLICANTS REQUEST?
- Applicants can request a variation of their terms and conditions of employment where this relates to:
- hours of work;
- the times they are required to work; or
- working from home.
- Applicants can request a variation of their terms and conditions of employment where this relates to:
- THE REQUEST PROCESS
- NOTIFICATION
- The Applicant is responsible for initiating any request to work flexibly. The request should be made in writing (“the Application”) to the Applicant’s Line Manager. The Application must at least:
- state that it is an application for flexible working;
- describe what variation the Applicant seeks to their working pattern and what date they would like this to commence;
- describe how they think this will benefit/effect both the employee and The Employer and how this could be accommodated;
- give the date of any previous Application, if one has been made; and
- state if the request is made in relation to the Equality Act 2010, for example, as a reasonable adjustment for a disability.
- The Applicant is responsible for initiating any request to work flexibly. The request should be made in writing (“the Application”) to the Applicant’s Line Manager. The Application must at least:
- THE MEETING
- As soon as possible and normally within 7 days of receipt, the Applicant’s Line Manager will contact the Applicant to arrange a meeting, which will normally take place within 14 days of receiving the request. Applicants are entitled to be accompanied by a work colleague or trade union representative, and Applicants should arrange for attendance of their companion. An The Employer HR representative may also be present at the meeting. At this meeting, the Applicant and their Line Manager should discuss the request in more detail. Alternative proposals or compromises, which might accommodate the Applicant’s request, should also be discussed.
- If an Applicant does not attend the arranged meeting and any subsequently rearranged one without a reason, then The Employer may deem the application to be withdrawn. Before reaching a decision to close the application The Employer will endeavour to find out and consider the reasons for non-attendance.
- CONSIDERATION OF THE REQUEST
- The final decision will be at the discretion of the Applicant’s Line Manager and the HR representative. The Application will be carefully considered, taking into account the individual circumstances of the case and other relevant factors, including, but not limited to:
- any additional costs involved in granting the Application;
- any effect on The Employer’s ability to meet customer demand;
- the re-organisation of work amongst existing employees which would be required;
- ability or inability to recruit other employees to compensate for any change;
- any impact on quality;
- any impact on performance;
- the amount of work available during the period the Applicant proposes to work;
- any planned structural changes within The Employer; and
- any legal obligations (for example Health and Safety Requirements or restrictions imposed under the Working Time Regulations).
- In considering the request, The Employer will carefully look at the benefits of the requested changes in working conditions for the employee and the business and weigh these against any adverse business impact of implementing the changes.
- The Applicant’s Line Manger and the HR representative will consult with other members of management or other employees who would be directly affected by the request as deemed appropriate in order to ascertain the feasibility of agreeing to the Application.
- The Employer will carefully consider the request but are under no statutory obligation to grant a request to work flexibly if it cannot be accommodated by the business on any of the following grounds:
- unacceptable burden of any additional costs;
- an inability to reorganise work amongst existing staff;
- an inability to recruit additional staff;
- a detrimental impact on quality;
- a detrimental impact on the business’ ability to meet customer demand;
- a detrimental impact on performance;
- insufficient work during the periods the employee proposes to work;
- where there are planned structural changes, for example, where The Employer intends to reorganise or change the business and considers the flexible working changed may not fit with these plans.
- In considering these business reasons The Employer will be careful not to discriminate against employees because of their protected characteristics’ such as where flexible working arrangements would be a reasonable adjustment for a disabled employee.
- The final decision will be at the discretion of the Applicant’s Line Manager and the HR representative. The Application will be carefully considered, taking into account the individual circumstances of the case and other relevant factors, including, but not limited to:
- THE DECISION
- As soon as possible and normally within 21 days of the meeting, the Line Manager will write to the Applicant to confirm the decision, to either:
- accept the request and establish a start date and any other action, such as a review date for discussions regarding how the arrangements are working and whether any other adjustments are necessary;
- to confirm a compromise agreed at the discussion, such as a temporary agreement to work flexibly; or
- reject the request, setting out clear business reasons (one or more as set out in the paragraph above), how these apply to the Application and details of the appeal process.
- In the event The Employer receives more than one request to work flexibly from different employees, requests will be considered in the order they are received. The Employer will not make value judgments about the most deserving request but will consider each case on its merits looking at the business case and likely impact of the request. In the event more than one request is received closely together, agreement cannot be reached and The Employer are unable to distinguish between the requests, then random selection may be used to reach a decision. The Employer may, at its discretion, consider calling upon volunteers from existing flexible working employees to change their contracts to other arrangements to create capacity for granting new requests to work flexibly.
- As soon as possible and normally within 21 days of the meeting, the Line Manager will write to the Applicant to confirm the decision, to either:
- APPEAL
- The Applicant is entitled to appeal against the decision if there is new information that was not available to The Employer at the time of the original decision or if the employee considers the application was not handled reasonably in line with this policy. The Applicant should contact their Line Manager, in writing, within 7 days of receiving the written decision. This should confirm that the Applicant wishes to appeal against the decision and give details of the new information available or why they consider the application was not handled reasonably.
- The Line Manager will then contact the Applicant to arrange an Appeal Meeting. This will take place as soon as possible and normally within 14 days of receiving the Applicant’s appeal. Again, Applicants are entitled to be accompanied by a work colleague or trade union representative. Applicants should arrange for attendance of their companion. The Appeal will be heard by a Director of The Employer, (the HR representative may also be present at the meeting).
- As soon as possible and normally within 14 days of the Appeal Meeting, the Director of The Employer will write to the Applicant to confirm the decision. If it has been decided to agree to the Application, the letter will provide details of the new work pattern and state the date on which the new work pattern will begin. if the Application remains unsuccessful, the letter will provide reasons for refusing the Application.
- The whole Application, including the Appeal, will be considered within three months of the date of first receiving the original request including the Appeal. If this is insufficient time, at any stage of the Application, The Employer and the Employee may agree an extension in time.
- EFFECT OF A SUCCESSFUL REQUEST
- If an Application is successful and a new work pattern is agreed, this will be a permanent alteration to the Applicant’s terms and conditions of employment, unless it is agreed that the change will be temporary or for a trial period. The Applicant will not be entitled to revert to their previous working pattern.
- The Applicant will not be entitled to submit a fresh Application for a further 12 months from the date of their initial Application.Applicants are, therefore, encouraged to carefully consider the implications of any Application before submitting it.
- The Employer does, however, retain the discretion to consider any subsequent requests from the applicant to review working patterns before the 12-month period has elapsed, but will only exercise this discretion in exceptional circumstances.
- NOTIFICATION
- UNSUCCESSFUL APPLICATION
- Where an Application has been unsuccessful, the Applicant will not be entitled to submit a fresh Application for a further 12 months from the date of their initial Application.
GDPR Policy
- IMPORTANT NOTICE
- This policy does not constitute legal advice. The policy should be tailored to reflect the Employer’s specific requirements following a data audit in accordance with the legislation, guidance and Codes of Practice issued by the Information Commissioner. This policy is designed to be used in conjunction with a Data Retention Policy and a Data Security Policy, which will be standard across your organisation and not specific to HR. It is recommended that specific legal advice is taken to ensure your compliance.
- This policy assumes that you do not send data outside the EU or engage in automation/profiling.
- OVERVIEW
- The Employer takes the security and privacy of your data seriously. We need to gather and use information or ‘data’ about you as part of our business and to manage our relationship with you. We intend to comply with our legal obligations under the relevant legislation in respect of data privacy and security. We have a duty to notify you of the information contained in this policy.
- This policy applies to current and former employees, workers, volunteers, apprentices and consultants. If you fall into one of these categories then you are a ‘data subject’ for the purposes of this policy. You should read this policy alongside your contract of employment (or contract for services) and any other notice we issue to you from time to time in relation to your data.
- The Employer has separate policies and privacy notices in place in respect of job applicants, customers, suppliers and other categories of data subject. A copy of these can be obtained from your line manager.
- The Employer has measures in place to protect the security of your data in accordance with our Data Security Policy. A copy of this can be obtained from your line manager.
- The Employer will hold data in accordance with our Data Retention Policy. A copy of this can be obtained from your line manager.We will only hold data for as long as necessary for the purposes for which we collected it.
- The Employer is a ‘data controller’ for the purposes of your personal data. This means that we determine the purpose and means of the processing of your personal data.
- This policy explains how The Employer will hold and process your information. It explains your rights as a data subject. It also explains your obligations when obtaining, handling, processing or storing personal data in the course of working for, or on behalf of,The Employer.
- This policy does not form part of your contract of employment (or contract for services if relevant) and can be amended by The Employer at any time. It is intended that this policy is fully compliant with the relevant legislation. If any conflict arises between those laws and this policy, The Employer intends to comply with the relevant legislation.
- DATA PROTECTION PRINCIPLES
- Personal data must be processed in accordance with six ‘Data Protection Principles.’ It must:
- be processed fairly, lawfully and transparently;
- be collected and processed only for specified, explicit and legitimate purposes;
- be adequate, relevant and limited to what is necessary for the purposes for which it is processed;
- be accurate and kept up to date. Any inaccurate data must be deleted or rectified without delay;
- not be kept for longer than is necessary for the purposes for which it is processed; and
be processed securely.
- We are accountable for these principles and must be able to show that we are compliant.
- Personal data must be processed in accordance with six ‘Data Protection Principles.’ It must:
- HOW WE DEFINE PERSONAL DATA
- ‘Personal data’ means information which relates to a living person who can be identified from that data (a ‘data subject’) on its own, or when taken together with other information which is likely to come into our possession. It includes any expression of opinion about the person and an indication of the intentions of us or others, in respect of that person. It does not include anonymised data.
- This policy applies to all personal data whether it is stored electronically, on paper or on other materials.
- This personal data might be provided to us by you, or someone else (such as a former employer, your doctor, or a credit reference agency), or it could be created by us. It could be provided or created during the recruitment process or during the course of the contract of employment (or services) or after its termination. It could be created by your manager or other colleagues.
- We will collect and use the following types of personal data about you:
- recruitment information such as your application form and CV, references, qualifications and membership of any professional bodies and details of any pre-employment assessments;
- your contact details and date of birth;
- the contact details for your emergency contacts;
- your gender;
- your marital status and family details;
- information about your contract of employment (or services) including start and end dates of employment, role and location, working hours, details of promotion, salary (including details of previous remuneration), pension, benefits and holiday entitlement;
- your bank details and information in relation to your tax status including your national insurance number;
- your identification documents including passport and driving licence and information in relation to your immigration status and right to work for us;
- information relating to disciplinary or grievance investigations and proceedings involving you (whether or not you were the main subject of those proceedings);
- information relating to your performance and behaviour at work;
- training records;
- electronic information in relation to your use of IT systems/swipe cards/telephone systems;
- your images (whether captured on CCTV, by photograph or video);
- [ADD ANY OTHER TYPES OF PERSONAL DATA WHICH YOU HOLD FOR EMPLOYEES/WORKERS/CONSULTANTS]; and
- any other category of personal data which we may notify you of from time to time.
- HOW WE DEFINE SPECIAL CATEGORIES OF PERSONAL DATA
- ‘Special categories of personal data’ are types of personal data consisting of information as to:
- yourracial or ethnic origin;
- your political opinions;
- your religious or philosophical beliefs;
- your trade union membership;
- your genetic or biometric data;
- your health;
- your sex life and sexual orientation; and
- any criminal convictions and offences.
- We may hold and use any of these special categories of your personal data in accordance with the law.
- ‘Special categories of personal data’ are types of personal data consisting of information as to:
- HOW WE DEFINE PROCESSING
- ‘Processing’ means any operation which is performed on personal data such as:
- collection, recording, organisation, structuring or storage;
- adaption or alteration;
- retrieval, consultation or use;
- disclosure by transmission, dissemination or otherwise making available;
- alignment or combination; and
- restriction, destruction or erasure.
- This includes processing personal data which forms part of a filing system and any automated processing.
- ‘Processing’ means any operation which is performed on personal data such as:
- HOW WILL WE PROCESS YOUR PERSONAL DATA?
- The Employerwill process your personal data (including special categories of personal data) in accordance with our obligations under the 2018 Act.
- We will use your personal data for:
- performing the contract of employment (or services) between us;
- complying with any legal obligation; or
- if it is necessary for our legitimate interests (or for the legitimate interests of someone else). However, we can only do this if your interests and rights do not override ours (or theirs). You have the right to challenge our legitimate interests and request that we stop this processing. See details of your rights in section 12 below.
- We can process your personal data for these purposes without your knowledge or consent. We will not use your personal data for an unrelated purpose without telling you about it and the legal basis that we intend to rely on for processing it.
- If you choose not to provide us with certain personal data you should be aware that we may not be able to carry out certain parts of the contract between us. For example, if you do not provide us with your bank account details we may not be able to pay you. It might also stop us from complying with certain legal obligations and duties which we have such as to pay the right amount of tax to HMRC or to make reasonable adjustments in relation to any disability you may suffer from.
- EXAMPLES OF WHEN WE MIGHT PROCESS YOUR PERSONAL DATA
- We have to process your personal data in various situations during your recruitment, employment (or engagement) and even following termination of your employment (or engagement).
- For example (and see section 7.6 below for the meaning of the asterisks):
- to decide whether to employ (or engage) you;
- to decide how much to pay you, and the other terms of your contract with us;
- to check you have the legal right to work for us;
- to carry out the contract between us including where relevant, its termination;
- training you and reviewing your performance*;
- to decide whether to promote you;
- to decide whether and how to manage your performance, absence or conduct*;
- to carry out a disciplinary or grievance investigation or procedure in relation to you or someone else;
- to determine whether we need to make reasonable adjustments to your workplace or role because of your disability*;
- to monitor diversity and equal opportunities*;
- to monitor and protect the security (including network security) of The Employer, of you, our other staff, customers and others;
- to monitor and protect the health and safety of you, our other staff, customers and third parties*;
- to pay you and provide pension and other benefits in accordance with the contract between us*;
- paying tax and national insurance;
- to provide a reference upon request from another employer;
- to pay trade union subscriptions*;
- monitoring compliance by you, us and others with our policies and our contractual obligations*;
- to comply with employment law, immigration law, health and safety law, tax law and other laws which affect us*;
- to answer questions from insurers in respect of any insurance policies which relate to you*;
- running our business and planning for the future;
- the prevention and detection of fraud or other criminal offences;
- to defend The Employer in respect of any investigation or litigation and to comply with any court or tribunal orders for disclosure*;
- [INSERT ANY OTHER TIMES WHEN YOU MAY PROCESS PERSONAL DATA]; and
- for any other reason which we may notify you of from time to time.
- We will only process special categories of your personal data (see above) in certain situations in accordance with the law. For example, we can do so if we have your explicit consent. If we asked for your consent to process a special category of personal data then we would explain the reasons for our request. You do not need to consent and can withdraw consent later if you choose by contacting your line manager.
- We do not need your consent to process special categories of your personal data when we are processing it for the following purposes, which we may do:
- where it is necessary for carrying out rights and obligations under employment law;
- where it is necessary to protect your vital interests or those of another person where you/they are physically or legally incapable of giving consent;
- where you have made the data public;
- where processing is necessary for the establishment, exercise or defence of legal claims; and
- where processing is necessary for the purposes of occupational medicine or for the assessment of your working capacity.
- [PUBLIC SECTOR EMPLOYERS MAY WISH TO ADD ADDITIONAL RELEVANT CATEGORIES CONTAINED IN CLAUSE 9 OF 2018 ACT]
- [IF EMPLOYER INTENDS TO PROCESS INFORMATION ABOUT CRIMINAL CONVICTIONS THIS SHOULD BE EXPLAINED, ALONG WITH THE REASONS FOR IT IN ACCORDANCE.]
- We might process special categories of your personal data for the purposes in paragraph 7.2above which have an asterisk beside them.In particular, we will use information in relation to:
- your race, ethnic origin, religion, sexual orientation or gender to monitor equal opportunities;
- your sickness absence, health and medical conditions to monitor your absence, assess your fitness for work, to pay you benefits, to comply with our legal obligations under employment law including to make reasonable adjustments and to look after your health and safety; and
- your trade union membership to pay any subscriptions and to comply with our legal obligations in respect of trade union members.
- [EMPLOYER TO ADD ANY OTHER REASONS FOR PROCESSING SPECIAL CATEGORIES OF PERSONAL DATA]
- We do not take automated decisions about you using your personal data or use profiling in relation to you. [IF AUTOMATION/PROFILING IS USED THEN EXPLAIN]
- SHARING YOUR PERSONAL DATA
- Sometimes we might share your personal data with group companies or our contractors and agents to carry out our obligations under our contract with you or for our legitimate interests. [EMPLOYER TO ADD OTHER SITUATIONS]
- We require those companies to keep your personal data confidential and secure and to protect it in accordance with the law and our policies. They are only permitted to process your data for the lawful purpose for which it has been shared and in accordance with our instructions.
- [EMPLOYER TO SET OUT THE LEGITIMATE ACTIVITIES WHICH THIRD PARTIES DO, SUCH AS PAYROLL.]
- We do not send your personal data outside the European Economic Area. If this changes you will be notified of this and the protections which are in place to protect the security of your data will be explained. [EMPLOYER TO CONFIRM WHETHER DATA WILL BE SENT OUTSIDE THE EU AND IF SO, WHAT PROTECTIONS ARE IN PLACE.]
- HOW SHOULD YOU PROCESS PERSONAL DATA FOR THE EMPLOYER?
- Everyone who works for, or on behalf of,The Employer has some responsibility for ensuring data is collected, stored and handled appropriately, in line with this policy and The Employer’sSecurity and Data Retention policies.
- The Human Resources department is responsible for reviewing this policy and updating the Board of Directors on The Employer’s data protection responsibilities and any risks in relation to the processing of data. You should direct any questions in relation to this policy or data protection to this person.
- You should only access personal data covered by this policy if you need it for the work you do for, or on behalf of The Employer and only if you are authorised to do so. You should only use the data for the specified lawful purpose for which it was obtained.
- You should not share personal data informally.
- You should keep personal data secure and not share it with unauthorised people.
- You should regularly review and update personal data which you have to deal with for work. This includes telling us if your own contact details change.
- You should not make unnecessary copies of personal data and should keep and dispose of any copies securely.
- You should use strong passwords.
- You should lock your computer screens when not at your desk.
- [Personal data should be encrypted before being transferred electronically to authorised external contacts. [Speak to IT for more information on how to do this.]]
- Consider anonymising data or using separate keys/codes so that the data subject cannot be identified.
- Do not save personal data to your own personal computers or other devices.
- Personal data should never be transferred outside the European Economic Area except in compliance with the law and with authorisation from your line manager.
- You should lock drawers and filing cabinets. Do not leave paper with personal data lying about.
- You should not take personal data away from Company’s premises without authorisation from your line manager.
- Personal data should be shredded and disposed of securely when you have finished with it.
- You should ask for help from your line manager if you are unsure about data protection or if you notice any areas of data protection or security we can improve upon.
- Any deliberate or negligent breach of this policy by you may result in disciplinary action being taken against you in accordance with our disciplinary procedure.
- It is a criminal offence to conceal or destroy personal data which is part of a subject access request (see below). This conduct would also amount to gross misconduct under our disciplinary procedure, which could result in your dismissal.
- [EMPLOYER TO ADD ANY OTHER RULES]
- HOW TO DEAL WITH DATA BREACHES
- We have robust measures in place to minimise and prevent data breaches from taking place. Should a breach of personal data occur (whether in respect of you or someone else) then we must take notes and keep evidence of that breach. If the breach is likely to result in a risk to the rights and freedoms of individuals then we must also notify the Information Commissioner’s Office within 72 hours.
- If you are aware of a data breach you must contact your line manager immediately and keep any evidence you have in relation to the breach.
- SUBJECT ACCESS REQUESTS
- Data subjects can make a ‘subject access request’ (‘SAR’) to find out the information we hold about them. This request must be made in writing. If you receive such a request you should forward it immediately to your line manager who will coordinate a response.
- If you would like to make a SAR in relation to your own personal data you should make this in writing to your line manager. We must respond within one month unless the request is complex or numerous in which case the period in which we must respond can be extended by a further two months.
- There is no fee for making a SAR. However, if your request is manifestly unfounded or excessive we may charge a reasonable administrative fee or refuse to respond to your request.
- YOUR DATA SUBJECT RIGHTS
- You have the right to information about what personal data we process, how and on what basis as set out in this policy.
- You have the right to access your own personal data by way of a subject access request (see above).
- You can correct any inaccuracies in your personal data. To do you should contact your line manager.
- You have the right to request that we erase your personal data where we were not entitled under the law to process it or it is no longer necessary to process it for the purpose it was collected. To do so you should contact your line manager.
- While you are requesting that your personal data is corrected or erased or are contesting the lawfulness of our processing, you can apply for its use to be restricted while the application is made. To do so you should contact your line manager.
- You have the right to object to data processingwhere we are relying on a legitimate interest to do so and you think that your rights and interests outweigh our own and you wish us to stop.
- You have the right to object if we process your personal data for the purposes of direct marketing.
- You have the right to receive a copy of your personal data and to transfer your personal data to another data controller. We will not charge for this and will in most cases aim to do this within one month.
- With some exceptions, you have the right not to be subjected to automated decision-making.
- You have the right to be notified of a data security breach concerning your personal data.
- In most situations we will not rely on your consent as a lawful ground to process your data. If we do however request your consent to the processing of your personal data for a specific purpose, you have the right not to consent or to withdraw your consent later. To withdraw your consent, you should contact your line manager.
- You have the right to complain to the Information Commissioner.You can do this be contacting the Information Commissioner’s Office directly. Full contact details including a helpline number can be found on the Information Commissioner’s Office website (www.ico.org.uk). This website has further information on your rights and our obligations.
Grievance procedure
-
INTRODUCTION
- It is The Employer’s policy to ensure that employees with a grievance relating to their employment can use a procedure which can help to resolve grievances as quickly and as fairly as possible. The Employer reserves the right to depart from the precise requirements of this procedure when it is expedient to do so.
-
INFORMAL DISCUSSIONS
- In the first instance you should talk to your immediate supervisor, to see if the matter can be resolved locally.
-
FORMAL PROCEDURE
- Stage 1
- If the issue cannot be resolved by your immediate supervisor, or if you feel that the grievance has not been resolved by any action taken or not taken by your immediate supervisor, or it is not appropriate to raise the matter with your immediate supervisor, then you should raise the matter in writing to your line manager.
- Your line manager will arrange a meeting with you to discuss the matter. You will receive a formal invitation to attend the meeting and have the right to be accompanied by a work colleague or trade union representative. Following the meeting your line manager will notify you of his/her decision in writing with the right of appeal.
- If you are satisfied, then no further action will be taken.
- Stage 2
- In any instance where the issue cannot be resolved satisfactorily, you have the right of appeal to your line manager’s line manager. You should, within five working days of the date of the decision at Stage 1, appeal in writing (setting out the grounds of your appeal) to that manager.
- You will be entitled to have a meeting with that manager to discuss the matter. You will receive a formal invitation to this meeting and will have the right to be accompanied at this meeting by a work colleague or trade union representative. The manager will endeavour to give his/her decision within seven working days of the date of the meeting. The manager’s decision is final.
- Stage 1
Homeworking policy
-
GENERAL STATEMENT?
- The Employee is sympathetic to the idea of occasional homeworking. This is especially so where an employee’s work can be carried out more effectively at home. In addition, The Employer recognises the environmental benefits (i.e., less commuting to the office) of homeworking. However, there are some categories of our employees who, by the nature of their work, are required to work at The Employer’s premises.
- , The Employer will monitor the effect of the home-worker’s absence from the workplace. Namely, the loss of face-to-face interaction.
- There may be occasions where staff regularly work at home for all or part of their working week. Where this applies, it is our policy to safeguard the individual’s health, safety, and welfare, so far as is reasonably practicable.
-
WHAT IS HOMEWORKING?
- Home working is when:
- your contractual place of work is at home, for either some or all of your working week
- you work from home on an ad-hoc basis (remote working)
- you work away from your contractual base (mobile working)
- The Employerwill also consider any requests for working at another location.
- Home working is when:
-
IS HOMEWOKRING RIGHT FOR YOU?
- The role should be one that can be carried out just as well at home as in the office. Staff working from home should also possess certain attributes:
- Happy to spend long periods on their own
- Self-disciplined and motivated
- A resilient personality who doesn’t let setbacks get them down
- Confident working without supervision
- Able to separate work from home life
- The role should be one that can be carried out just as well at home as in the office. Staff working from home should also possess certain attributes:
-
PROCEDURE
- The prospect of working from home may be raised by managers or employees; either individuals or groups. Employees who consider that working from home is an option should discuss this with their line manager.
- Working from home, by its very nature, is often individual to the job and the employee concerned. Accordingly, appropriate arrangements should be decided between the employee and manager and a timescale for implementation agreed.
- Consideration should be given to the guidance within this policy to ensure that everything is in place. Particular attention is drawn to matters relating to health and safety, ICT, confidentiality, contact, training and support and the contract of employment.
- Consideration should be given to different approaches to managing employees who are working from home, such as managing outputs and deliverables. This relies on collaborative working between the employee and the line manager and regular review of performance targets and workload levels.
-
EQUIPMENT AND TECHNOLOGY
- The Employer will provide any equipment we deem to be reasonably required to work from home. This could include the cost of installing, repairing, maintaining, or replacing equipment in your home. Equipment never ceases to be our property, and you must:
- Ensure it is used exclusively by you and only for the purposes we provided it for
- Use it in accordance with our other policies
- Take reasonable care for it
- It remains your responsibility to ensure that you have appropriate equipment whilst working from home. We are not responsible for the cost of installing, repairing, maintaining, or replacing equipment in your home.
- We are not responsible for associated costs of you working from home, such as internet access, heating, lighting, electricity, and telephone calls. You must also ensure that your workspace is adequately lit, in line with health and safety requirements.
- If you are disabled, we will bear the cost of any reasonably necessary equipment that allows you to carry out your work properly.
- Any equipment provided by us must be returned either on the termination of your homeworking arrangement or on the termination of your employment.
OR
AND
- The Employer will provide any equipment we deem to be reasonably required to work from home. This could include the cost of installing, repairing, maintaining, or replacing equipment in your home. Equipment never ceases to be our property, and you must:
-
TAXATION AND INSURANCE
- Employees working at or from home are responsible for any tax or mortgage implications arising out of their homeworker status. It is strongly recommended that employees investigate any likely tax and mortgage implications before they commence any homeworking arrangement. Staff may also wish to take advice from their recognised trade union.
- The Employer has Employers’ Liability Insurance which covers its legal liability for personal injury to employees while acting in the course of their employment. This cover extends to situations where the employee is working at or from home.
- Incidents which may result in claims against The Employer’s insurance cover must be reported to the member of staff’s line manager. Major incidents must be reported immediately by telephone to the member of staff’s line manager or as soon as is reasonably possible if the incident occurs outside office hours.
-
DATA SECURITY
- Homeworkers must comply with The Employer’s GDPR, Data Retention, and Communications policies.
- Homeworkers are responsible for the security of all data, whether held on disc/encrypted memory stick or paper and must ensure it is stored securely to maintain confidentiality of information from members of the family or visitors.
- Sensitive material or personal data must be disposed of by recognised methods using office based shredding equipment or other means. Further information on data protection is held within The Employer’s GDPR policy.
- It is the homeworker’s responsibility to ensure that the following points are adhered to at all times:
- Users must take due care and attention of portable computer devices when moving between home and another of The Employee’s sites
- Due to the high incidence of car thefts, laptops or other portable equipment must never be left unattended in cars or taken into vulnerable areas
- Users will not install or update any software onto a The Employer owned portable computer device
- Users will allow the installation and maintenance of The Employee’sinstalled Anti-Virus updates immediately
- No family members may use any equipment provided by The Employee. Equipment provided by The Employeris supplied for the staff members’ sole use
- The Employermay at any time, and without notice, request a software and hardware audit and may be required to remove any equipment at the time of the audit for further inspection. All homeworkers must co-operate fully with any such audit
-
VISITS TO THE HOMEWORKER
- Arrangements should be made to permit an appropriate manager to visit the homeworker at home for purposes connected with work. This should be by prior arrangement and at a mutually convenient and reasonable time.
-
CONTRACTUAL TERMS
- If the employee is an occasional or regular home worker, there will be no requirement to issue a variation to the substantive contract of employment.
- The contracts of employment for permanent home workers will need to reflect the fact that their normal place of work is home. It should be noted that employees whose normal place of work is home may still be expected to attend one The Employer’s offices from time to time (e.g., to attend team meetings).
- All other terms and conditions of employment remain unchanged by a home working application.
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EXPENSES
- For occasional and regular home workers, car mileage expenses will only be paid for those miles travelled which are over and above the number of miles which the home worker would previously have incurred by having to travel into the office and return home on a daily basis, i.e., their normal commuting journey.
- For permanent home workers, car mileage expenses would be payable for work related journeys beginning and ending at the home base.
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HEALTH, SAFETY, AND WELLBEING
- Manager’s Responsibilities
- Managers have a general duty regarding health and safety of employees and others, under the relevant legislation.
- Many of the health and safety issues around homeworking are no different from those of conventional office working, including issues around the workstation, seating, display screen equipment (DSE), electrical wiring, lighting, heating, ventilation and slipping or tripping hazards. For example, work with DSE can give rise to back pain or repetitive strain injury (RSI), stress or visual discomfort if adequate precautions are not taken. The Health and Safety (Display Screen Equipment) Regulations require managers to assess and reduce risks, ensure workstations meet minimum requirements, plan breaks or changes of activity, provide eye tests on request and provide health and safety training and information.
- As part of that general duty, managers must ensure that risk assessments, including DSE self-assessment are undertaken.
- Managers should be particularly vigilant regarding signs of isolation, anxiety, and stress likely to be experienced as a result of lockdown and homeworking. This should be discussed at regular 1 to 1 meetings and where appropriate support and learning resources should be signposted. We would also encourage managers to review the frequency of both 1 to 1 meetings and team meetings to help maintain working relationships.
- Employees’ responsibilities
- assess their workstation by following the guidance
- take regular breaks
- take reasonable care of their own health, safety, and wellbeing and that of others who may be affected by what they do or do not do
- co-operate on health and safety matters and use work items and equipment correctly
- report any issues which may be a risk to their own or others’ health
- discuss as soon as possible with their manager any disability or any other special circumstances where an adjustment to working arrangements is required
- keep in touch with colleagues to avoid feelings of isolation and tell their manager if they are feeling stressed or anxious
- Manager’s Responsibilities
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REVIEW OF A HOMEWORKING AGREEMENT
- Any home working arrangement should be reviewed periodically (at least once a year). This will allow both parties to assess whether the arrangement is still appropriate.
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TERMINATION OF A HOMEWORKING AGREEMENT
- The Employer reserves the right to terminate the homeworking agreement if it reasonably considers it to be ineffective. A notice of one month shall be given.
Performance and Capability at Work policy
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INTRODUCTION
- The Employer endeavours to ensure that its employees deliver an acceptable standard of performance for their role. It is The Employer’s aim to use this policy as a means of encouraging employees to improve performance wherever possible and provide help and support to restore and maintain effective contribution. However, poor performance can ultimately result in dismissal.
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PURPOSE
- The purpose of this policy is to describe the required standards of performance and the consequences of a failure to deliver to the standards.
- It also sets out the procedural steps which The Employer will take in response to performance which falls short of those standards. They are designed to ensure fair and consistent treatment of staff.
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SCOPE
- This policy applies equally to full time and part time employees on a permanent or fixed term contract.
- This policy applies where there is a genuine lack of capability displayed in the work that the employee is asked to deliver (e.g. lack of skill, aptitude, knowledge or ability).
- It does not apply to cases of poor attendance or wilful poor performance. In those circumstances the Attendance and Absence Policy and the Discipline Policy will be invoked respectively. Nothing in this policy prevents The Employer from taking action under those policies if considered appropriate. Exceptionally, a very serious failure to meet performance standards (eg negligence which amounts to gross misconduct) may lead to your dismissal without prior warnings and without a notice period under the terms of the Discipline Policy.
- This policy does not form part of any employee’s contract of employment. The Employer may change it from time to time and may depart from it depending on the circumstances of any case.
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WHAT WE EXPECT FROM OUR STAFF
- We expect staff to:
- carry out their job to the standard that is expected of and required for the role and understand the impact of their job performance on colleagues and customers.
- Clarify expectations, tasks, objectives and behaviours with their line manager if they are unclear about them.
- Engage fully in their induction, the setting of their objectives and the assessment and monitoring of their performance through The Employer’s probation procedures and following the completion of probation through a process of performance review to develop their skills, knowledge and performance in their role to the highest possible standard.
- bring all relevant issues which may affect their work and performance to the attention of their line manager at the earliest possible opportunity.
- co-operate with their manager to help improve any aspects of their work and performance which are considered to be unsatisfactory.
- attend meetings to discuss any aspects of their performance which are considered unsatisfactory as requested to do so.
- We expect staff to:
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WHAT STAFF CAN EXPECT FROM The Employer
- We commit to:
- treat performance issues fairly and consistently.
- Take action promptly and look into the root causes of the performance issue.
- be clear about the required improvement and the relevant timescales.
- give appropriate support, help and where necessary training, to improve performance.
- deal with minor unsatisfactory performance issues through informal intervention.
- instigate the formal procedure only if there is no significant and lasting improvement in performance following informal intervention.
- dismiss staff with appropriate notice if they do not perform their role to the required standards after being given the appropriate opportunity to improve as set out in this policy and procedure.
- We commit to:
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CAUSES OF UNSATISFACTORY PERFORMANCE/ LACK OF CAPABILITY
- There are a number of factors which may affect a member of staff’s ability to perform the job to the standard required. Appropriate consideration should be given to factors put forward by members of staff, where those factors are supported by evidence.
- Unsatisfactory performance caused by carelessness, lack of effort or negligence may not be a capability issue but may be a misconduct issue which will be addressed under The Employer‘s Disciplinary Procedure (below).
- Unsatisfactory performance which is the result of poor behaviour or attitude may be viewed as misconduct depending on the circumstances. Similarly, unsatisfactory performance may be caused by health issues.
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INFORMAL PROCESS
- In the first instance, performance issues should normally be dealt with informally between you and your line manager as part of day-to-day management. You are encouraged to have early and open dialogue with your line manager or other senior managers about your performance and any anticipated failures in meeting standards.Informal discussions may cover the following issues:
- clarification of the required standards;
- identification of areas of concern;
- identification of the likely causes of poor performance;
- any training, coaching or support needed in order to help you meet the required standard; and setting a time period for improvement and review.
- You may be given a verbal warning by your line manager, but this will not be considered to be a formal sanction and they will be disregarded for the purposes of any formal proceedings under this policy. Where informal discussions have not resulted in a satisfactory improvement after a reasonable period of time, The Employer may give you further verbal warnings or may invoke the formal procedure set out below.If poor performance is due to a domestic, personal, or work-related problem, you must explain this to your line manager. These situations will be dealt with sensitively.
- In the first instance, performance issues should normally be dealt with informally between you and your line manager as part of day-to-day management. You are encouraged to have early and open dialogue with your line manager or other senior managers about your performance and any anticipated failures in meeting standards.Informal discussions may cover the following issues:
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FORMAL CAPABILITY PROCEDURE
- The formal procedure will be used for cases of serious under performance or where the informal procedure has not resulted in improvement. There are three stages under the formal procedure. These stages are detailed below.
- Preliminary Steps including Investigations:
- The Employer will normally investigate to decide if there are grounds for taking formal action.
- The investigation will depend on the circumstances but may involve reviewing your human resources (HR) file including any appraisal records, gathering any relevant documents, monitoring your work and, if appropriate, interviewing you and/or other individuals confidentially regarding your work. You and other employees involved are expected to co-operate fully with an investigation and will be asked to maintain the confidentiality of any discussions held.
- If The Employer considers that there are grounds for taking formal action over alleged poor performance, you will be required to attend a meeting to discuss the matter (Capability Hearing).
- You will first be notified in writing of The Employer’s concerns, the reasons for those concerns,and the likely outcome The Employer decides, after the Capability Hearing, that your performance has been unsatisfactory.
- You will also be provided with the following where appropriate:
- A summary of relevant information gathered as part of any investigation.
- A copy of any relevant documents which will be used at the Capability Hearing.
- Any documents which you intend to rely on at the Capability Hearing must be submitted to HR within a reasonable time before the hearing. The Employer will give you written notice of the date, time and place of the Capability Hearing.
- The hearing will be held as soon as reasonably practicable, but not before you have had a reasonable amount of time, usually 5 working days, to prepare your case based on the information provided to you.
- Procedure at Capability Hearings:
- HR will select an employee of appropriate seniority not previously involved in the matter to conduct the Capability Hearing. The Capability Hearing will be attended by a member of HR.
- You are entitled to bring a companion to a Capability Hearing (see section 12 below).If you or your companion cannot attend the Capability Hearing you should inform The Employer immediately and an alternative time can usually be arranged.
- You must make every effort to attend because a failure to attend without good reason may be treated as misconduct in itself. Alternatively The Employer may have to take a decision based on the available evidence without having met with you.
- You may ask relevant witnesses to appear, provided you give The Employer sufficient advance notice to arrange their attendance.
- You will be given the opportunity to respond to any information given by a witness.
- The aims of a Capability Hearing will usually include:
- Setting out the required standards that The Employer believes you have failed to meet and going through the evidence of this;
- allowing you to ask questions, present evidence, call witnesses, respond to evidence and make representations;
- establishing the likely causes of poor performance including any reasons why any measures taken so far have not led to the required improvement;
- identifying whether there are measures, such as additional training, support or supervision, which may improve performance;
- where appropriate, discussing targets for improvement and a time-scale for review; and explaining the consequences of a failure to improve.
- A Capability Hearing may be adjourned if The Employer needs to gather any further information or give consideration to matters discussed at the hearing. You will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened.The Employer will inform you in writing of the decision and the reasons for it usually within 5working days of the Capability Hearing. Where possible this will also be explained to you in person.
- First Capability Hearing (first warning).
- If The Employer decides that your performance is unsatisfactory following a first Capability Hearing you will be given a first written warning setting out:
- the areas in which you have not met the required performance standards;
- targets for improvement;
- any measures, such as additional training, support or supervision, which will beprovided to you with a view to improving performance;
- the period for review and the system for monitoring your performance; and
- the consequences of failing to improve.
- If The Employer decides that your performance is unsatisfactory following a first Capability Hearing you will be given a first written warning setting out:
- At the expiry of the review period The Employer will write to inform you of the outcome:
- if your line manager is satisfied with your performance, that no immediate further action will be taken; or
- if your line manager is not satisfied that your performance has met the required standard, that the matter will be progressed to a second Capability Hearing; or
- if your line manager feels that there has been a substantial but insufficient improvement, that the review period will be extended. The warning will be retained permanently on your HR file but will normally only remain active for six months from the end of the review period, after which time it will be disregarded for the purposes of the future actions taken under this policy.
- Second Capability Hearing (final written warning).
- If your performance has not improved by the date of expiry of the review period set out in a first written warning, or if there is evidence of further poor performance whilst your first written warning is still active, The Employer may decide to hold a second Capability Hearing.If The Employer decides that your performance is unsatisfactory following the second Capability Hearing, you will be given a final written warning setting out:
- The areas in which you have not met the required performance standards;
- Targets for improvement;
- Any measures, such as additional training, support or supervision, which will beprovided to you with a view to improving performance;
- The period for review and the system for monitoring your performance.
- The consequences of failing to improve.
- At the expiry of the review period The Employer will write to inform you of the outcome:
- if your line manager is satisfied with your performance, that no immediate further action will be taken; or
- if your line manager is not satisfied that your performance has met the required standard, that the matter will be progressed to a third Capability Hearing; or
- if your line manager feels that there has been a substantial but insufficient improvement, that the review period will be extended.
- The warning will be retained permanently on your HR file but will normally only remain active for twelve months from the end of the review period, after which time it will be disregarded for the purposes of the future actions taken under this policy.
- If your performance has not improved by the date of expiry of the review period set out in a first written warning, or if there is evidence of further poor performance whilst your first written warning is still active, The Employer may decide to hold a second Capability Hearing.If The Employer decides that your performance is unsatisfactory following the second Capability Hearing, you will be given a final written warning setting out:
- Third Capability Hearing (dismissal or other sanction).
- If your performance has not improved by the date of expiry of the review period set out in a final written warning, or if there is evidence of further poor performance whilst your final written warning is still active, The Employer may decide to hold a third Capability Hearing.If The Employerdecides that your performance is unsatisfactory following the third CapabilityHearing, The Employermay decide to:
- dismiss you;
- demote you; or
- redeploy you into another suitable job.
- a decision to dismiss must be approved by the employee’s line manager and a member of The Employer’s Senior Management Team. Dismissal will normally be with full notice or payment in lieu of notice.
- If your performance has not improved by the date of expiry of the review period set out in a final written warning, or if there is evidence of further poor performance whilst your final written warning is still active, The Employer may decide to hold a third Capability Hearing.If The Employerdecides that your performance is unsatisfactory following the third CapabilityHearing, The Employermay decide to:
- A record of a disciplinary sanction, other than dismissal, will be retained permanently on your HR file but will normally only remain active for twelve months from the date of the sanction after which time it will be disregarded for the purposes of any future actions taken under this policy.If your performance is still poor whilst the sanction is active, The Employer may decide to reinvoke this procedure at the third Capability Hearing stage.
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APPEALS AGAINST DISMISSAL (APPEAL HEARING)
- The notice of intention to appeal against dismissal should be made in writing within five working days of written confirmation of dismissal.
- The purpose of an appeal against dismissal is for an employee to have his/her case reviewed and for the Chair to decide whether the dismissal applied is fair, reasonable, consistent, and soundly based.
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ROLES AND RESPONSIBILITIES
- Employees have a responsibility to comply with this policy adhering to it sterms and conditions and be responsible for their performance.
- Managers should ensure that this policy is applied within their own area. Any queries on the application or interpretation of this policy must be discussed with HR prior to any action being taken for poor performance.
- HR will provide operational support and advice to the organisation to enable the effective management of capability issues under this policy.Specifically, HR has a responsibility to:
- Ensure the communication, maintenance, regular review and up datingof this policy
- Monitor and review delivery and impact of this policy.
- Ensuring managers are sufficiently trained to implement this policy.
- In consultation with the recognised Trade Unions, The Head of Human Resources will exercise delegated authority for and be responsible for the ongoing review and updating of this Policy to ensure compliance with changes in statutory requirements and operational delivery, including responsibility for identifying the appropriate process for the regular evaluation of the effectiveness of this policy.
- Any review and revisions of this policy will be undertaken by HR and will be in consultation with the The Employer’s recognised trade unions.
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EQUALITY
- An Equality Analysis has been carried out on this policy and procedure.The Employer has aduty to monitor the application of the policy in relation to protected characteristics under Equality legislation. This is reported annually in The Employer’s Equality Monitoring Report.If any aspect of the capability procedure causes you difficulty on account of any disability that you may have, or if you need assistance because English is not your first language, you should raise this issue with HR, who will make appropriate arrangements.
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RIGHT TO BE ACCOMPANIED
- Employees may be accompanied by a fellow worker or trade union official at any formal meetings that are held to discuss a failure to meet or sustain there quired standards of performance. This includes attendance at any appeal meetings. In exceptional circumstances The Employer will consider a request from an employee to be accompanied by a person other than a Trade Union official or fellow worker.
- It is not usually the case that employees will be represented at the informal stage of the procedure. However, if requested by the employee this will not be unreasonably refused, provided it does not delay the discussion.
–DECLARATION:
I have read and understood The Employer’s Capability Policy and agree to abide by its principles.
Signature………………………………………………………
Date……………………………………………………………………
Print Name……………………………………………………
PLEASE RETURN TO HUMAN RESOURCES
DISCPLINARY PROCEDURE
Sickness and attendance policy
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ABSENCE & SICK LEAVE PAYMENTS
- Time off is permitted for maternity, paternity, adoption, and dependency matters.
- Apart from Statutory Sick Pay (SSP) at the prevailing rate for over 3 qualifying days absences, subject to eligibility, any payment made to you for periods when you are absent from work for reasons other than the above will be entirely at the discretion of your line manager.
- In exercising such discretion, they may consider whether there is any evidence of the system being abused, the level and pattern of absence and the steps taken to hasten a return to work, together with any other factors considered to be relevant.
- Prolonged or frequent absence may render you liable to dismissal.
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RETURN TO WORK
- When you return to work after a period of absence in excess of [ ] days , a return-to-work interview will be conducted to ensure you are fully recovered and to help you avoid future absences.
- Subject to medical consent, you will be expected to make yourself available for light duties if you are not fit for your ordinary job. The Employer reserves the right to alter your salary to a level commensurate with the duties actually undertaken.
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EMPLOYEE’S OBLIGATIONS
- If you cannot attend work, or expect to be late for work, for any reason then you must let us know as soon as possible.
- You must phone your line manager by [ ] to let us know of your absence.
- If you are unable to phone personally, you must ensure that a message is passed to the above on your behalf;
- Communications by text message are unacceptable;
- On a day that you report in sick, you will notify as above by the end of the day if you expect to be off work on the next working day (including on-call days) so that work can be re-scheduled;
- For each day that you can’t work after the first day, that you phone in each day as above unless you have been issued with a medical certificate for a longer period, when you must convey this to the office;
- If you are sick for more than three consecutive days, you must submit a Self-Certification Form. If your sickness lasts longer than seven consecutive days, you must submit a Medical Certificate signed by your doctor. The certificate should cover all days of illness, not just working days;
- When you return to work, a return-to-work interview will be conducted where any medication being taken will be noted. Where medication is prescribed, you are also required to fill in amedication notification form.
- The Employer reserve the right to withdraw employee self-certificated sick leave entitlement where abuse is suspected. Where that right has been withdrawn a doctor’s certificate will be required for any sick leave taken.
- If you cannot attend work, or expect to be late for work, for any reason then you must let us know as soon as possible.
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MEDICAL HISTORY
- You must have disclosed to The Employer at the time your employment commenced or as soon as you are aware after this, all and any past or existing medical conditions, which may now, or at any time in the future, affect your ability to perform your duties. If it transpires that you have not disclosed any such conditions, you may, in appropriate circumstances, be liable to summary dismissal for gross misconduct.
- The Employer reserves the right to require you to undergo a medical examination by a qualified medical practitioner at The Employer’s expense. You have consented to this requirement and also to the disclosure of the results of that medical in your application for employment. The Employer will treat such results in confidence at all times.
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CAPABILITY PROCEDURE
- Where absences are short term but multiple in nature and the employee’s attendance record is unacceptable, The Employer’s capability procedure may be initiated, which can include the giving of warnings and possibly dismissal. Whether or not such action is taken will in part depend on whether there is an underlying long-term health problem causing the absences or whether the absences are for unconnected reasons.
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REASONABLE ADJUSTMENTS
- The Employer will comply with its obligations to make reasonable adjustments under Equality legislation.
- The Employer will, wherever possible, consider all reasonable adjustments which could be made in respect of an employee’s work in order to facilitate their return to work or to assist them after a return to work. Such adjustments may include a reduction in hours, the transfer of certain duties to other employees, physical adjustments, and retraining. Such adjustments may be adopted on a temporary or permanent basis depending on the circumstances of each case.
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ABSENCE DUE TO PREGNANCY RELATED ILLNESS, ETC
- Absences due to pregnancy-related illness, maternity leave and time off for antenatal appointments, paternity leave, parental leave, and other statutory leave will not be taken into account when reviewing an individual’s attendance record. Please see the relevant policies or the HR department for details of time off rights.
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REPRESENTATION
- Employees will be entitled to be accompanied by a trade union representative or a work colleague to any meetings which could result in a formal warning or some other disciplinary action. This will not normally include the attendance reviews described above unless a possible outcome of that meeting is a formal warning or other disciplinary action in which case the employee will be advised in advance so that they can arrange for a companion.
Substance misuse policy
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POLICY AIMS
- The Employer has a policy on drugs and alcohol which aims to ensure that employees are aware of their responsibilities and duties to The Employer and fellow employees, and to ensure that The Employer complies with the law. This Policy applies to all employees and contractors, agency staff, consultants and any other individual working for, at or on behalf of The Employer.
- It defines The Employer’s intent with regard to its obligations under the Health & Safety at Work etc. Act 1974, the Road Traffic Act 1988, the UK’s Transport and Works Act 1992 and other legislation relevant to alcohol and drug abuse (Misuse of Drugs Act 1971).
- For the purposes of this policy the term ‘drug’ includes:
- substances covered by the Misuse of Drugs Act 1971;
- prescribed and over-the-counter drugs, barbiturates, hallucinogens;
- solvents and any other substances.
- For the purposes of this policy the term ‘drug’ includes:
- Individuals who enter the workplace having consumed alcohol or drugs can have a devastating effect not only on their own safety but on that of their colleagues as well. Some prescription drugs may have an adverse effect on performance and each individual has a duty to understand the effects that these drugs can have.
- The Employer therefore requires all participants in its operations to be in a fit condition whilst engaged in its operations. This requires that the use or misuse of drugs and alcohol is prohibited.
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RESPONSIBILITY
- All employees of The Employer are responsible for ensuring that the policy is complied with at all times.
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DISCIPLINARY ACTION
- Those persons who are found to be working with blood alcohol levels above the legal driving limit or under the influence of drugs at the time of random screening will be liable to face the disciplinary procedure including Summary Dismissal for Gross Misconduct, under The Employer’s disciplinary procedure.
- Any person who is discovered in the possession of and/or in the trading of drugs will be reported to the police, and may be subject to disciplinary action, including Summary Dismissal for Gross Misconduct, under the The Employer’s disciplinary Procedure.
- Breach of this policy, including failing to give a specimen for testing when required by The Employer, may be deemed by The Employer to be Gross Misconduct and could result in Summary Dismissal.
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COMPANY RULES
- Do not report for duty whilst under the influence of alcohol or having taken drugs.
- No alcohol or drugs shall be bought onto, or consumed within, the workplace.
- Do not attend work whilst taking prescribed or non-prescribed drugs without first checking with your doctor/pharmacist about the risk of the drugs affecting your fitness for work and then informing your supervisor by filling out a medication notification form. This will then be kept in your personal file.
- Do not abuse substances that may be legally used in the workplace but can be the subject of abuse, e.g. glue and solvents.
- To ensure that the workplace is kept free of the dangers which can be associated with alcohol or drugs, entry to the workplace will be refused to employees, suppliers, subcontractors and visitors who have, or who are suspected of having, recently consumed alcohol or taken drugs.
- Do not cover up for, or collude with, colleagues whose behaviour is, or could be, affected by taking any drugs or consumption of alcohol.
- Persons are required to make themselves available for unannounced screening for drugs and alcohol. Forewarning would send a signal to the employees who could change their behaviour regarding alcohol and drug use before the test.
- Screening during employment will be carried out by an independent company that uses proven scientific methods.
- This screening is carried out by the Testing Company on a number of staff selected at random each year and may occur at any time or times in that year
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‘FOR CAUSE’ TESTING/ RIGHT OF SEARCH
- Any accident, incident, or occurrence where there are reasonable grounds to suspect that it was due to the acts or omissions of an employee, and where drugs and alcohol may be a contributory factor, may culminate in the testing of that employee for drugs or alcohol. ‘For Cause’ testing can also arise when there is reasonable suspicion that an employee has been misusing alcohol or drugs.
- Where testing takes place the individual will be expected to sign a written consent to be tested. Failure to give consent, or refusal to supply the urine sample, will be considered to be a breach of these rules and may lead to disciplinary action being taken.
- The Employer reserves the right to search employees or any employee property held on The Employer’s premises or employees’ work spaces or their company car at any time if The Employer has reasonable grounds to believe that the prohibition on substances is being or has been infringed.
- If an employee refuses to comply with the search procedure, such refusal will normally be treated as amounting to gross misconduct and will entitle The Employer to take disciplinary action up to and including summary dismissal.
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OUTCOME OF TESTING
- If, having undergone a medical examination, it is confirmed that the employee has been positively tested for drugs and/or alcohol, or the employee admits to having a drug and/or alcohol problem, The Employer reserves the right to suspend the employee from work on full pay to allow it to decide whether to deal with the matter under the terms of the disciplinary procedure or to refer the employee for treatment and rehabilitation.
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SAFEGUARDS
- If you have an alcohol or drugs problem, you must speak to a doctor or qualified medical practitioner and inform your supervisor. If you are receiving treatment for rehabilitation and refuse to attend or continue with your treatment you may be dismissed.
- Absence for treatment and rehabilitation will be regarded as normal sickness.
- The Employer recognise that relapses may occur. Further medical advice may be sought in an attempt to ascertain how much more treatment/rehabilitation time is likely to be required for a full recovery. At The Employer’s discretion, more treatment or rehabilitation may be given in order to help the employee to recover fully. However, where any employee, having received treatment, suffers a relapse such relapse may be considered to be an act of Gross Misconduct, and may result in Summary Dismissal.
- This policy will be monitored and reviewed regularly in consultation with employees.
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CONFIDENTIALITY
- The Employer assures all employees that any drug or alcohol problem will be treated in strict confidence, subject to the provisions of the law.
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HELP
- The Employer encourages any employee with an alcohol or drug problem to seek help voluntarily.
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INFORMATION
- The Employer is committed to providing employees with general information about the effects of drugs and alcohol on health and safety. This information is provided for information only, and nothing in this section reduces employee’s obligations under this policy.
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Drugs
- Depressants, Stimulants and Hallucinogens are covered by the Misuse of Drugs Act 1971 in which they are classified as either Class A, B or C (as defined in Schedule 2 to the Act).
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DEPRESSANTS
- Opiates such as Heroin, Morphine and Opium are in this category and are either sniffed, swallowed, smoked or injected. These drugs are also classed as narcotics and are classified as Class A. Use of these drugs can lead to increased tolerance leading to both physical and psychological dependency. Sustained use of these drugs can cause a user to centre his lifestyle on the drug’s procurement and use.
- Cannabis is usually smoked or eaten, and short-term effects can lead to loss of concentration and slowed reactions leading to impaired work performance. Longer-term effects can result in psychological dependence, respiratory problems, and lung cancer.
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STIMULANTS
- Amphetamines are sniffed, swallowed, or injected. These increase pulse rate and blood pressure. Use can result in anxiety and panic and increasing risk of both emotional and physical dependence with increasing use. Chronic effects can also lead to a reduced resistance to infection and a loss of appetite leading to weight loss.
- Cocaine, and its derivatives, is sniffed, smoked, or injected. Use can lead to psychosis and delusions. Repeated use can lead to high risk of dependence. Extreme effects can be encountered when using cocaine when prepared as crack such as heart failure or heart attack.
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HALLUCINOGENS
- These can include Lysergic acid diethylamide (LSD) and hallucinogenic amphetamines (MDMA, Ecstasy). These drugs are generally ingested and effects can range from anxiety and panic to extreme perceptual disorders leading to reckless behaviour.
- Phencyclidine (PCP, angel dust) can be sniffed or smoked and can lead to irregular breathing, hallucinations in the short term and severe depression and psychosis coupled with violent behaviour.
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BARBITATES
- Barbiturates are swallowed as capsules or injected. These can produce a high risk of dependence especially when mixed with other drugs or alcohol.
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HALLUCINOGENS
- Magic mushrooms can be eaten fresh or prepared by drying or brewing like tea for swallowing. The hallucinogenic effects shown are similar to those given by LSD.
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SOLVENTS
- Solvents are volatile drugs that can include cigarette lighter fluids (and associated hydrocarbons), cleaning fluids, adhesives and aerosol preparations. Misuse of these items can lead to severe intoxication and disorientation with increasing risk of heart and brain damage with increasing use.
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MEDICINES/ RESTRICTED DRUGS
- Prescribed drugs can be misused. These are drugs that have been prescribed by a Medical Practitioner or have been obtained through a pharmacist, which can have considerable health risks if misused, especially if used in conjunction with other types of drugs.
- Examples of medicines/prescribed drugs can be Tranquillisers such as Benzodiazepines (e.g.: Diazepam, Valium (Diazepam), Librium, Activan, Serenid, Normisson) which can be swallowed or injected. These drugs have severe risks of both physical and psychological dependence.
- Other examples can be Anti-Depressants, Sleeping Pills and some medicines such as remedies for coughs and colds.
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ALCOHOL
- All drinks containing alcohol such as beer, wine, spirits and including so called “low alcohol” products are included in this category.
- Alcohol is absorbed into the bloodstream and is carried to all parts of the body including the brain. It affects the part of the brain, which controls judgement and physical co-ordination. Excessive and regular consumption can result in dependency and can lead to the medical condition of alcoholism based on the tolerance to the alcohol and the inability by the individual to limit intake. Nausea and vomiting can occur from an excess of alcohol and very large doses can lead to poisoning or death from inhalation or suffocation.
- Chronic effects of heavy, sustained use are alcoholic hepatitis, cirrhosis, liver cancer and other liver diseases. The risks of other diseases such as coronary heart disease, strokes and high blood pressure are also compounded by high usage. Alcoholics face a higher risk of developing stomach complaints such as peptic ulcers as well as suffering from psychological conditions such as anxiety, depression and irreversible mental deterioration.
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GUIDANCE
- You should avoid consuming alcohol in the eight hours preceding work
- You must be aware that the number of alcohol units consumed can be cumulative, e.g. four units can be broken down by the body in eight hours but twelve units can take 24 hours. Every person is different, and the consumption of food does not affect the level of alcohol in the body.
Time off for dependant’s policy
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INTRODUCTION
- With effect from 15 December 1999, the Employment Relations Act introduced a new entitlement to a short amount of unpaid time off, for staff to make arrangements to deal with specific circumstances involving a dependant.
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DEFINITIONS OF A DEPENDANT
- A dependant is the husband, wife, child, or parent of the employee.
- A dependant could also be someone who lives in the same house as the employee, such as a partner, elderly aunt, or grandparent, but not a lodger, tenant, or employee, such as a live-in au pair.
- In cases of illness or injury, or where care arrangements break down, a dependant may also be someone who reasonably relies on the employee for assistance.
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SITUATIONS TO TAKE TIME OFF
- Reasonable time off during working hours may be taken in connection with one or more of the following:
- when a dependant falls ill;
- when a dependant is injured or assaulted;
- when a dependant gives birth;
- to make longer-term arrangements for a dependant who is ill or injured;
- the death of a dependant (in addition to any Special Leave);
- an unexpected incident involving a child of the employee when the child is at an educational establishment;
- when there is an unexpected disruption or breakdown in care arrangements for a dependant.
- Please note that illness for these purposes includes mental illness.
- Reasonable time off during working hours may be taken in connection with one or more of the following:
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HOW MUCH TIME OFF MUST BE ALLOWED?
- There is not a set limit to the amount of time off which can be taken. In most cases, the amount of leave will be one or two days at the most, but this will depend on individual circumstances although an employee may be able to take a longer period of leave under other arrangements with the employer. For example, if a child falls ill, the leave should be enough to help the employee cope with the crisis – to deal with the immediate care of the child, visiting the doctor if necessary and to make longer term care arrangements. It does not mean that the employee may take two weeks leave to look after a sick child.
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NOTIFICATION
- The Act requires that staff should notify their employer of the reason for their absence and how long they expect to be away from work, as soon as reasonably practicable. If an employee returns to work before it was possible to contact his/her employer, he/she should still tell them the reason for the absence on their return to work.
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JURY SERVICE
- An employee called for jury service must tell their line manager as soon as they are summonsed and provide a copy of their summons if requested.Depending on our needs, we may request that an employee applies to be excused or defer their jury service. Employees must claim loss of earnings for attendance at jury service. The reimbursed sum must be reported to the us, so that a corresponding deduction may be made from the employee’s subsequent salary payment.
- If selected for Jury Service you should advise your line manager immediately. You will, when attending Court, be entitled to claim from the authorities certain payments in respect of fares and subsistence. You will also receive a daily attendance allowance. You are expected to claim all these allowances. The Employerwill deduct from your salary an amount equivalent to the attendance allowance. You should obtain the appropriate form from the Court and pass it to the Human Resources Department. Should the attendance allowance exceed daily pay, we will deduct one day’s pay for each day of absence.
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PENSION SCHEME TRUSTEES
- You have the right to time off or to attend relevant training if you are a pension scheme trustee. The Employer will grant a reasonable amount of time. In coming to a decision as to what constitutes a reasonable amount it time, we will consider:
- How much time is generally taken to perform the relevant duty;
- How much time ought to be taken to perform the relevant duty; and
- The effect of your absence on The Employer.
- Your time off will be paid.
- You have the right to time off or to attend relevant training if you are a pension scheme trustee. The Employer will grant a reasonable amount of time. In coming to a decision as to what constitutes a reasonable amount it time, we will consider:
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TIME OFF FOR PUBLIC DUTIES
- Under s.50 of the Employment Rights Act 1996, employees who hold certain public positions have the right to reasonable unpaid time off during working hours. The provisions cover:
- Justices of the Peace (also known as magistrates);
- School Governors;
- independent prison monitors in Scotland;
- members of a local authority;
- members of a statutory tribunal;
- members of a relevant health body;
- members of a relevant education body;
- members of the Environment Agency or the Scottish Environment Protection Agency;
- members of Scottish Water;
- lay observers of conditions in court custody and under escort;
- members of visiting committees of immigration removal centres; and
- members of visiting committees of immigration short-term holding facilities.
- Requests for time off will be considered objectively and on their merits factoring in all of the circumstances, including (but not limited to) whether or not reasonable notice was given, how much time is reasonably required for the activity, how much time off has already been taken by the employee, and how the employee’s absence will impactThe Employer’s business.
- Under s.50 of the Employment Rights Act 1996, employees who hold certain public positions have the right to reasonable unpaid time off during working hours. The provisions cover:
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VOLUNTEER RESERVE FORCES
- Employees who are required to attend training exercises, summer camps etc. as part of their commitment to the Volunteer Reserve Forces (i.e. Territorial Army; Royal Navy Reserve; Royal Marine Reserve; RAF Reserves) will have to use their normal leave entitlement. There is no legal obligation upon the School to grant additional time off for training.
- In the event of a national emergency, the School recognises the additional obligations placed on Reserve Force members and will treat such cases accordingly.
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STUDY LEAVE POLICY
- From 6 April 2010 employees with at least 26 weeks’ continuous service have a statutory right to request unpaid time off for study or training; this is described as ‘time to train’. Requests made under ‘time to train’ must be supported by evidence showing how the study or training will improve:
- the employee’s effectiveness at work; and
- the performance of The Employer’s business.
- There is no statutory limit on the length of time that can be requested for such study or training.
- Employees requesting study leave (paid or unpaid) through the ‘time to train’ provisions described above, should give as much notice as possible (at least six weeks).
- From 6 April 2010 employees with at least 26 weeks’ continuous service have a statutory right to request unpaid time off for study or training; this is described as ‘time to train’. Requests made under ‘time to train’ must be supported by evidence showing how the study or training will improve:
Whistleblowing policy
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INTRODUCTION
- The Employer are committed to the highest standards of openness, probity, and accountability.
- An important aspect of accountability and transparency is a mechanism to enable staff and other members of The Employer to voice concerns in a responsible and effective manner. It is a fundamental term of every contract of employment that an employee will faithfully serve his or her employer and not disclose confidential information about the employer’s affairs. Nevertheless, where an individual discovers information which they believe is likely to show serious malpractice or wrongdoing within the organisation then this information should be disclosed internally without fear of reprisal, and there should be arrangements to enable this to be done independently of line management (although in relatively minor instances the line manager would be the appropriate person to be told).
- Legal protection is given to employees against being dismissed or penalised by their employers as a result of publicly disclosing certain serious concerns. The Employer has endorsed the provisions set out below to ensure that no members of staff should feel at a disadvantage in raising legitimate concerns.
- It should be emphasised that this policy is intended to assist individuals who believe they have discovered malpractice or impropriety. It is not designed to question financial, or business decisions taken by theEmployernor should it be used to reconsider any matters which have already been addressed under harassment, complaint, disciplinary or other procedures.
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DEFINITION
- As a whistleblower,you’re protected from being subjected to a detriment if you are:
- a worker.
- revealing information of the right type by making what is known as a ‘qualifying disclosure’.
- revealing it to the right person and in the right way making it a ‘protected disclosure’.
- ‘Worker’ has a special and wide meaning for these protections. As well as employees it includes agency workers and people who aren’t employed but are in training with employers.
- To be protected, you need to make a qualifying disclosure.
- You need to reasonably believe that the disclosure is being made in the public interest and that malpractice in the workplace is happening, has happened or will happen.
- Disclosures which can be characterised as being of a personal rather than public interest will not be protected.
- The types of malpractice the law covers are:
- criminal offences.
- failure to comply with a legal obligation.
- miscarriages of justice.
- threats to people’s health and safety.
- damage to the environment.
- The law also covers a deliberate attempt to cover-up any of these.
- It’s important to remember, however, that you may not be protected if you break another law in blowing the whistle.
- For your disclosure to be protected by law, you must make it to the right person and in the right way.
- If you make a qualifying disclosure to your employer, or through procedures which your employer has authorised, the law protects you.
- You can also complain to the person who is responsible for the area that is of concern to you. For example, you might raise concerns about health and safety with your health and safety representative.
- For a disclosure to a ‘prescribed person’ to be protected, you must fulfil the following requirements:
- reasonably believe that the information is substantially true.
- reasonably believe you are making the disclosure to the right ‘prescribed person’.
- In certain circumstances you can also make disclosures to others. These include disclosures:
- to your legal adviser
- to a government minister
- ‘in other cases’ to others such as a professional standards body.
- However, there are different sets of rules as to when each of these disclosures will be protected. For example, the rules covering disclosures ‘in other cases’ are extremely strict, among other things, you must not be acting for personal gain.
- If you’re unsure, you should always get professional advice before you go ahead and make a disclosure.
- Anything you say to a legal adviser to get advice is automatically protected.
- As a whistleblower,you’re protected from being subjected to a detriment if you are:
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AIMS OF THE POLICY
- This Policy is designed to ensure that you can raise your concerns about wrongdoing or malpractice within our organisation without fear of victimisation, subsequent discrimination, disadvantage, or dismissal.
- It is also intended to encourage and enable you to raise serious concerns within our organisation rather than ignoring a problem or ‘blowing the whistle’ outside.
- This Policy aims to:
- encourage you to feel confident in raising serious concerns at the earliest opportunity and to question and act upon concerns about practice.
- provide avenues for you to raise those concerns and receive feedback on any action taken.
- ensure that you receive a response to your concerns and that you are aware of how to pursue them if you are not satisfied.
- reassure you that you will be protected from possible reprisals or victimisation if you have made any disclosure in good faith.
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RAISING A CONCERN
- There are a number of ways in which an employee can raise a concern within our organisation. This can be done face to face, in writing or by telephone.
- Line managers play an important role in supporting employees and can help with resolving concerns swiftly or escalating through the appropriate channels where necessary. Line managers are aware of the services that The Employerhave to offer and can help employees to access those that may be useful. They can also signpost to other external services that may be appropriate.
- Employees should raise their concern with a more senior manager if they feel unable to approach their line manager, they feel their line manager may be involved or where they have already done so and do not feel appropriate action has been taken to resolve the concern.
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RAISING A CONCERN EXTERNALLY
- The Employer recognise there may be matters that cannot be dealt with internally and external authorities will need to become involved. Where this is necessary,The Employer reserve the right to make such a referral without an individual’s consent.
- In the majority of instances, you should use the internal informal or formal procedures outlined below to express your concerns. There may, however, be exceptional or urgent circumstances where you consider it appropriate to contact an external agency. Such agencies could include: the Serious Fraud Office, the Crown Prosecution Service, police forces, the Financial Conduct Authority the Department for Business, Innovation and Skills, Enterprise & Regulatory Reform, Designated Professional Bodies (ICAEW,ICAS,ICAI, IPA, Law Society), Recognised Supervisory Bodies, Recognised Professional Bodies, the Panel on Takeovers and Mergers, the Society of Lloyd’s, the Bank of England, local authorities, the Charity Commission for England and Wales, the Office of the Scottish Charity Regulator and HM Revenue & Customs.
- If you feel the need to obtain general advice or feel unsure as to whether you should raise an issue under this policy, before doing so, you may contact the independent charity, Public Concern at Work www.pcaw.co.uk (0207 404 6609 or whistle@pcaw.org.uk). They provide free, confidential legal advice on whistleblowing matters. However, remember you are not permitted to disclose any confidential information to them.
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ANONYMOUS DISCLOSURE
- The identity of the individual raising the disclosure will be kept confidential, if so requested, for as long as possible, provided that this is compatible with a proper investigation.
- In view of the protection afforded to an individual raising a genuine concern, it is considered desirable that they disclose their name. However, there may be special or unusual circumstances where an individual considers it necessary to make an anonymous disclosure.
- Where an anonymous disclosure occurs, the disclosure will be accepted and treated equally with those bearing a name. Anonymous claims can at times be more difficult to investigate as there is not the option to seek further information during investigation, and claimants cannot be contacted to discuss the outcome, however this should not act as a barrier to making an anonymous disclosure if the individual feels that this is the best course of action for them.
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HOW WE WILL DEAL WITH YOUR CONCERN
- The Employerwill always respond to your concerns. Do not forget that testing out your concerns is not the same as either accepting or rejecting them.
- Where appropriate, the matters you raise may:
- be investigated by Managers, internal audit or through the disciplinary process;
- be referred to the police;
- be referred to the external auditor;
- form the subject of an independent inquiry.
- In order to protect individuals and those accused of misdeeds or possible malpractice, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take. The overriding principle is the protection of public interest. Concerns or allegations which fall within the scope of specific procedures (for example grievance or sexual harassment) will normally be referred for consideration under those procedures.
- Some concerns may be resolved by agreed action without the need for investigation. If urgent action is required this will be taken before any investigation is conducted.
- As soon as possible after a concern has been received, the Manager with whom you raise your concern will refer it to a senior staff member and you will be written to (in confidence) within 10 working days:
- acknowledging that your concern has been received;
- indicating how wepropose to deal with the matter;
- giving an estimate of how long it will take to provide a final response;
- telling you whether any initial enquiries have been made;
- supplying you with information on staff support mechanisms; and
- telling you whether further investigations will take place and if not, why not.
- The amount of contact between the Managers/Directors considering the issues and you will depend on the nature of the matters raised, the potential difficulties involved and the clarity of the information provided. If necessary, The Employer will seek further information from you.
- Where any meeting is arranged, which can be away from the offices or your place of work if you so wish, you can be accompanied by a union or professional association representative or a friend.
- The Employer will take steps to minimise any difficulties which you may experience as a result of raising a concern. For instance, if you are required to give evidence in criminal or disciplinary proceedings, The Employerwill arrange for you to receive independent legal advice about the procedure.
- The Employer accept that you need to be assured that the matter has been properly addressed and so subject to legal constraints, will inform you of the outcome of any investigation.
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CONFIDENTIALITY AND ANONYMITY
- Normally, the best way to raise a concern is to do so openly, as this makes it easier for us to investigate and provide feedback.
- Any disclosures made under this procedure will be treated in a sensitive manner. The Employerrecognise that the employee may want to raise a concern in confidence, i.e. they may want to raise a concern on the basis that their name it is not revealed without their consent.
- The Employerwill respect any request for confidentiality as far as possible, restricting it to a ‘need to know basis’. However, if the situation arises where it is not possible to resolve the concern without revealing the employee’s identity (for example in matters of criminal law), The Employer will advise the employee before proceeding. The same considerations of confidentiality should be afforded to the employee(s) at the centre of the concern, as far as appropriate.
- Employees may choose to raise concerns anonymously, i.e. without providing their name at all. If this is the case, the investigation itself may serve to reveal the source of information.
- Employees are therefore encouraged, where possible to put their names to concerns raised. However, raising a concern anonymously is preferred to silence about potential serious wrongdoing.
- When anonymous concerns are raised, they will be treated as credible, unless they are obviously a hoax, and investigated so far as possible.
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HARASSMENT OR VICTIMISATION
- The Employer are committed to good practice and high standards and to being supportive of you as an employee.
- The Employer recognise that the decision to report a concern can be a difficult one to make. If you honestly and reasonably believe what you are saying is true, you should have nothing to fear because you will be doing your duty to your employer, your colleagues and those for whom you are providing a service.
- The Employer will not tolerate any harassment or victimisation of a whistleblower (including informal pressures) and will take appropriate action to protect you when you raise a concern in good faith and will treat this as a serious disciplinary offence which will be dealt with under the disciplinary rules and procedure.
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UNTRUE ALLEGATIONS
- If you make an allegation in good faith and reasonably believing it to be true, but it is not confirmed by the investigation, The Employerwill recognise your concern and you have nothing to fear. If however, you make an allegation frivolously, maliciously or for personal gain, appropriate action that could include disciplinary action, may be taken.
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REPORTING BY NON-EMPLOYEES
- Whilst the majority of disclosures will be made by employees, there is scope within the legislation for non-employees to raise whistleblowing concerns. This may include customers, partners, volunteers, or other persons. Members of the public may also feel they wish to pursue a matter they feel is in the public interest
- The procedure will not differ from that of an employee.
- It is worthy of mention that non- employees may not follow the procedure as prescribed and may take other routes to disclosure; as such it is important to be vigilant when considering or taking into any account any complaint made by individuals who are not directly employed by or associated with The Employer.