Disciplinary & Grievance Policy Handbook

a) Persons Subject to Discipline

This policy applies to everyone working with Smile Charity Uganda. It is a policy that the following procedures should be followed when a volunteer is being disciplined or dismissed. The procedure provides that in normal cases a series of warnings will be given before discipline or dismissal be contemplated. The stages of the procedure that apply when discipline or dismissal is being contemplated comply with the statutory Uganda dismissal and grievance procedures.

b) Persons to conduct this policy

Disciplinary proceedings will be initiated and administered by the person who is in charge of Human Resource Management, the Disciplinary Committee, the Administrator and the Director.

The Board may conduct disciplinary procedures in case of issues concerning the Director. Such discipline, when needed, will be conducted under the supervision of another designated person according to the Board and SCU agreement or the Lawyer when necessary.

In case of international partners, the Director and the Board, or the designated persons, will initiate and administer the disciplinary proceedings.

c) Basis of Discipline

Some of the matters that may give rise to disciplinary proceedings include, but are not limited to:

v Displaying, holding to and/or promulgating doctrines contrary to the fundamental belief, core values and vision of Smile Charity Uganda

v Defiance or failure to submit to constituted authority.

v Moral or ethical failure including, but not limited to sexual misconduct or anything related to that, use of drugs, use of weapons, theft, misappropriation of funds or property, and other financial transgressions.

v Dishonesty, fraud, perjury, and other misrepresentations.

v Spreading false rumours about another.

v Using the name of Smile Charity Uganda, properties, information and dedicated working time for personal interests

v Causing dissension or division within the Organization.

v Violence or abuse directed toward others, especially a child or vulnerable adult.

v Judgment of guilt by a criminal court of law.

v Abuse of power

d) Discipline and appeal for official volunteers

An official Volunteer as a holder of any responsibility, is in a position of trust in Smile Charity Uganda. These include the Head of Departments and their assistants, the local and international Volunteers, etc.

Trust

The factors of trust limit the possibility of a person working with Smile Charity Uganda:

Harassment/Bullying

Smile Charity Uganda prohibits all Volunteers or anyone working with the Organization from inappropriate, unwelcome, or offensive conduct, whether verbal, visual and physical. Harassment is illegal and will not be tolerated in any form.

Acts that show sexual interest or a choice to make the sexual dimension overt in a relationship. It may include but not be limited to: inappropriate communication regarding sexual matters, touching, and other actions; unnecessary inquiry into personal matters such as questions of a sexual nature; inappropriate touching or kissing; making sexual advances or suggestions; making a any beneficiary or colleague look at, or pose for pornographic pictures or images is an offence and severe measures will be taken.

e) General Procedures and considerations

Committee Members

Members of the Investigation Committee and the Discipline Committee will be persons respected for their integrity, spiritual stature, capability of communicating, and lack of bias in the case at hand (Galatians 6:1-2).

Confidentiality and Disclosure

Disciplinary proceedings will be conducted with confidentiality in all aspects of the proceedings; however, there is no guarantee of confidentiality within disciplinary proceedings for any participant.

It may be necessary to disclose the facts and circumstances of the charge, including the identities of the accused person and those submitting the allegation, in connection with investigating and remedying the charge and considering and carrying out possible restoration.

In addition, the findings and conclusions of the disciplinary proceeding maybe announced to appropriate parties who were an integral part of the proceedings,

If a member of the Investigation Committee or a member of the Discipline Committee is contacted by the press, law enforcement authorities, lawyers or other individuals associated with civil/criminal proceedings, or other persons not involved with the disciplinary proceedings of Smile Charity Uganda but seeking information, this must be requested in writing and with clear reasons to the Board through the Director

Procedures for Disciplinary Proceedings

The person responsible for the case will be contacted immediately. No information may be disclosed without the permission of the concerned appropriate authority unless otherwise required by law. The findings, conclusions and records of the disciplinary proceedings may be communicated to the Management.

A record of the findings and conclusions will be entered or kept in the worker’s file and may be conveyed with the file if the worker seeks to transfer from one organization to another. Smile Charity Uganda reserves the right, within their discretion, to disclose any information to outside parties as they determine appropriate under the circumstances.

Since proceedings permits the offender to testify on behalf of himself/herself, such evidence shall not be released to use in any civil proceeding in which the he may become involved without agreement with Smile Charity Uganda. It is essential that all records, whether of investigation or of discipline, be guarded carefully lest they become the basis of gossip or unauthorized use. All records shall be filed with by authority in charge.

All disciplinary matters shall be reported to the Management and the Board

Step 1: Counselling and verbal warning

Step 1 creates an opportunity for the Human Resource Manager or the Immediate Supervisor to bring attention to the existing performance, conduct or attendance issue. The HR Manager should discuss with the Staff /Volunteer the nature of the problem or the violation of SCU policies and procedures. The HR Manager is expected to clearly describe expectations and steps the Staff /Volunteer must take to improve his or her performance or resolve the problem.

Within five business days, the HR Manager will prepare written documentation of the verbal counselling. The Staff /Volunteer will be asked to sign this document to demonstrate his or her understanding of the issues and the corrective action.

Step 2: Written warning

The Step 2 written warning involves more-formal documentation of the performance, conduct or attendance issues and consequences.

The Human Resource Manager or the Immediate Supervisor or director will meet with the Staff /Volunteer to review any additional incidents or information about the performance, conduct or attendance issues as well as any prior relevant corrective action plans. Management will outline the consequences for the Staff /Volunteer of his or her continued failure to meet performance or conduct expectations.

A formal performance improvement plan requiring the Staff or Volunteer's immediate and sustained corrective action will be issued within five business days of a Step 2 meeting. The written warning may also include a statement indicating that the Staff /Volunteer may be subject to additional discipline, up to and including termination, if immediate and sustained corrective action is not taken.

Step 3: Suspension and final written warning

Some performance, conduct or safety incidents are so problematic and harmful that the most effective action may be the temporary removal of the Staff /Volunteer from the workplace. When immediate action is necessary to ensure the safety of the Staff /Volunteer or others, the Human Resource Manager, the Director or the Immediate Supervisor may suspend the Staff /Volunteer pending the results of an investigation.

Depending on the seriousness of the infraction, the Staff /Volunteer may be suspended without pay. Nonexempted/hourly employees may not substitute or use an accrued paid vacation or sick day in lieu of the unpaid suspension. HR will provide guidance to ensure that the discipline is administered without jeopardizing the exemption status.

Pay may be restored to the Staff /Volunteer if an investigation of the incident or infraction absolves the Staff /Volunteer of wrongdoing.

Step 4: Recommendation for termination of employment

The last and most serious step in the progressive discipline process is a recommendation to terminate employment. Generally, SCU will exercise the progressive nature of this policy by first providing warnings, issuing a final written warning or suspending the Staff /Volunteer from the workplace before proceeding to a recommendation to terminate employment. However, SCU reserves the right to combine and skip steps depending on the circumstances of each situation and the nature of the offense. Furthermore, Staff/volunteer may be terminated without prior notice or disciplinary action.

Management's recommendation to terminate employment must be approved by Human resources (HR) Manager or the designated personnel. Final approval may be required from the CEO or designate.

Appeals Process

Staff/Volunteer will have the opportunity to present information about the incident that the management has used to issue disciplinary action. The purpose of this process is to provide insight into extenuating circumstances that may have contributed to the employee's performance or conduct issues while allowing for an equitable solution.

If the Staff /Volunteer does not present this information during any of the step meetings, he or she will have declared her/himself guilty.

f) Performance and Conduct Issues Not Subject to Progressive Discipline

Behaviour that is illegal is not subject to progressive discipline and may result in immediate termination. Such behaviour may be reported to local law enforcement authorities.

Similarly, theft, substance abuse, intoxication, fighting and other acts of violence at work are also not subject to progressive discipline and may be grounds for immediate termination.

The Staff /Volunteer will be provided copies of all progressive discipline documentation, The Staff /Volunteer will be asked to sign copies of this documentation attesting to his or her receipt and understanding of the corrective action outlined in these documents.

Copies of these documents will be placed in the employee's official personnel file.

g) Investigations

An investigation is a fair and unbiased method of collecting evidence regarding allegations

made against a member of staff prior to any formal action being considered. The process of

investigation allows the suspect the opportunity to answer any issues of concern raised

against them and provide their own statement of events, together with any mitigation.

Investigations are to be confidential when necessary.

The purpose of this policy and procedure is to ensure that concerns regarding the conduct or performance of Staff/Volunteer, which require formal investigation, are investigated in a fair and consistent manner. Such investigation may arise during the operation of other policies such

as Disciplinary and Grievance Policy, Code of Conduct, Communication Policy … and will also usually be a preliminary step which may lead to action being taken in accordance with one of a number of Trust policies, e.g. Managing Performance and Capability or Disciplinary policies.

The policy identifies the circumstances in which an investigation will be necessary, the steps

which should be taken in carrying out an investigation, the rights of staff during the process

and potential outcomes. The circumstances which give rise to the need for an investigation

may also require consideration being given to suspending a member of staff, in which case

the Suspension Policy and Procedure should be invoked.

SCU aims to ensure that where allegations are made against Staff/Volunteer, it follows a fair

and clear investigation into those allegations. SCU recognizes that this can be a stressful

time for Staff/Volunteer and seeks to complete investigations in a timely manner and involve third party when it is necessary.

Duties

The Human Resources Manager is responsible for the implementation of this policy and is responsible for the provision of Human Resources support to the parties involved with investigations under this policy, providing professional support and guidance on the application of this policy

• give support and advice to management in the execution of this and related

policies and advise on questions of employment law and procedure

• where necessary, attend investigation interviews
• liaise, and discuss matters arising
• support in the presentation of findings.

All members of staff

All members of staff have a duty to co-operate with an investigation carried out in accordance

with this policy and should be supportive of colleagues who report any incidents or

concerns to their line manager. They should also:

• if allegations are made against them, give a clear and concise account of them

version of events, supplying any supporting evidence where necessary

• if an allegation is made against a colleague and they are invited for investigation

interview, give an honest and first-hand account of events, supplying supporting

evidence where necessary.

• ensure they attend a formal hearing, if required as a witness
• Maintain confidentiality within all aspects of the investigation process.

h) Procedure of Investigations

v Conducting an Investigation

In all cases where an incident, allegation or problem regarding an employee has arisen and

there may be a need for formal action, a fair and thorough investigation into all the

circumstances will be undertaken. In most situations, however, there will be a requirement to

complete an initial informal fact-finding investigation to determine how the case proceeds.

This should be completed wherever practicable within 2 working days by the line manager.

If, after discussion with HR, the outcome of the fact-finding investigation is to progress to a

formal investigation and the HR will identify a Case Manager (Director, Trustee…) and which

could be themselves who should appoint the Investigating Officer.

v Case Manager

The Case Manager will oversee the entire case ensuring that the Investigating Officer is

provided with the necessary time to undertake the investigation and that the process is

progressing appropriately and timescales are being adhered to. The Case Manager will

usually be a more Senior manager to the individual’s line manager. The Case Manager will

usually be the person who informs the Trustees, Staff/Volunteers, in the first instance, of the

allegations made against them and confirms this in writing.

The Case Manager is the general point of contact on issues around the investigation. On

completion of the investigation, the Investigating Officer should submit an impartial,

evidence-based report to the Case Manager, who will decide whether there is a case to

answer or other action is required.

v Investigating Officer

The role of the Investigating Officer is to conduct a fair, full, thorough and balanced

investigation, focusing on the incident or allegations made, and to present the facts of the

case, in an objective and unbiased way, in an impartial report to the Case Manager. The

Investigating Officer should look for evidence that supports and/or undermines the

allegations. The investigation will always be carried out with support from the HR

department and provide coaching where required. The Investigating Officer will be appointed

by the Case Manager. Decisions about who will be the Investigating Officer will take into

account time, capacity and experience. The Investigating Officer will be given dedicated time

to carry out their remit within the time frames of the policy and should raise any concerns

regarding capacity to complete the investigation on time with the Case Manager. If it is not

appropriate for the line manager to act as the Investigating Officer then a manager from

another area should be appointed to investigate.

An Investigating Officer should:

• be given terms of reference by the Case Manager that set out exactly what they are

expected to investigate

• aim to establish the facts of the matter by collecting relevant evidence, such as

witness statements, written documents, physical evidence and a summary of

findings

• be fully conversant with this policy and linked policies
• ensure that the member of staff is clear of allegations made against them
• organize investigation meetings and send out invitation letters
• ensure confidentiality is maintained during an investigation to protect the integrity of

an investigation and all staff involved

• maintain an impartial stance and approach each investigation with an open mind
• treat all staff involved in investigations with dignity and respect
• be up to date on their equality, diversity and human rights training
• provide a note-taker to transcribe the notes of the investigation meetings
• keep the Case Manager, member of staff/volunteer where there is one, informed of progress

When conducting an investigation an Investigating Officer should:

Ø be provided with clear guidance on the allegations they are required to investigate

Ø as outlined in the Case Manager’s letter

Ø plan how the investigation will be conducted and decide in what order evidence will

Ø be collected and who should be interviewed

Ø gather from the employee names of witnesses to be interviewed and any other

Ø supporting evidence, they wish to be considered

Ø collect all relevant evidence and consider what the evidence shows

Ø liaise with HR throughout the investigation

Ø produce their findings in a factual and evidence-based report to the Case Manager

Ø for their decision

Ø attend any hearing which may be convened, where required

v Informing the employee

Once the decision to hold a formal investigation has been made, the employee will be

informed of this fact in writing by the Case Manager within three working days. They will be

told:

• that the investigation is taking place
• the nature of the allegation
• the matters that are currently the subject of investigation, in as much detail as is

possible

• the name of the Investigating Officer
• the anticipated timescale and their right to representation during any meeting to

discuss the areas of concern

The Suspect will not, at this stage, have a right to see written complaints or witness

Statements and they will be set aside in order to conduct safely the investigations.

They will however have a right to have sufficient and necessary details of the allegations to

make a response when they attend the investigation meeting.

v Investigation Procedure

The use of images from CCTV footage for an investigation or disciplinary purpose can be

used. Additional footage can be requested by both sides and made available to view. Should

there be a difference of opinion then further advice should be sought from the Case Manager

whose decision will be final.

The Investigating Officer should ensure that a note-taker is available at all interviews

conducted as part of the investigation.

Guidance and support from the appropriate HR representative will be available. Investigations

should be concluded as speedily as possible but at the latest within 12 weeks.

v Involving other agencies or statutory bodies in the investigation

Depending on the nature of the allegations it will be necessary to involve other agencies or

statutory bodies in the investigation. For example, where allegations relating to child or adult

protection is raised; it will be appropriate to involve the relevant professionals from the local

authority and the police. In particular, an allegation of abuse made against a person who

works with children must be reported within 24 hours to the Local Authority Designated

Officer under the provisions of local authority Child Protection and Safeguarding Procedures.

v Criminal offences and police involvement

Where a criminal offence is alleged, the Case Manager will check with the police to obtain

their advice on whether it is safe to proceed with an internal investigation, or parts of the

internal investigation, in regard to the police’s own collection of evidence. If the police request

the internal investigation be put on hold this will be taken into consideration and discussed

with HR. However, it will not automatically delay or prevent investigation. Regular contact

by the Case Manager with the police will be required to move the case forward with the view

those cases will not be held for longer than eight weeks where possible.

v Meeting with the employee and other staff

The Staff/Volunteer whose conduct is being investigated should always be interviewed as part of the investigation process and their comments recorded, signed and dated. If the suspect

does not return the signed notes within five working days, and without good reason, then

unsigned notes may be entered into the investigation report. Members who wish to have their own record of the meeting are able to make their own written notes. However, the use of recording devices is prohibited. The employee has the right to submit a written statement as part of investigation meeting. All staff who are being interviewed as part of the investigation will receive a letter of invitation to an investigation meeting.

v Completing the investigation

On completion of the investigation, the Investigating Officer will prepare a factual and

evidence-based report and initially share with the supporting HR representative. The

Investigating Officer will then discuss their findings with the Case Manager.

The Case Manager should then decide whether or not, on the basis of the Investigating

Officer’s report, there is a case to answer and whether further action should be taken. This

could be either informal or formal action under the appropriate policy and procedure.