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SECTION 3

People Management

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Recruitment and Selection

Introduction The information given in the BIS is designed to assist everyone who is involved in the recruitment and selection process by ensuring that the club is able to fill each position with the right person. It recognises the need to employ staff who are able to carryout duties effectively, efficiently and ensure the highest quality of provision is maintained whilst meeting the safe recruitment requirements of the Care Commission. The information should reflect on each club's own Recruitment Policy taking it a step further and providing a framework for the process. It will allow you to complete each stage in sequence ensuring that the process is fair and all decisions taken can be recorded and justified. Templates are also provided that can be adapted to suit the needs of your club.

Recruitment Legislation Recruitment is subject to employment legislation, which highlights the actions a potential employer may not take, especially in the area of discrimination. Provided that the club adheres to the strict recruitment policy and procedure given within the BIS all legislation will be adhered to. The main Acts which affect recruitment include:

Asylum and Immigration Act 1996

Disability Discrimination Act 1995

Trade Union and Labour Relations Act.1992

Equal Pay Act 1970 (Amended 1983) Equal Pay Regulations

Race Relations Act 1976

Rehabilitation of Offenders Act 1974

Sex Discrimination Acts 1975 and 1986

Protection of Children (Scotland) Act 2003

The Employment Equality (Age) Regulations 2006

Statement of Equal Opportunities

All employers have a legal responsibility to ensure against direct or indirect discrimination or to harass another employee or condone this if done by others. The recruitment procedure must ensure equal opportunities for all and in particular with regard to advertising, interviewing, selection and nationality. Under the provisions of equal opportunities the Recruitment and Selection process ensures equality of opportunity for all. Further to this these principals of good practice will apply:

Employment will be solely based on merit alone and all applicants will be considered equally.

No applicant or employee will be placed at a disadvantage

Positive steps will be taken to provide increased employment opportunities for people with disabilities

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The recruitment and selection processes will be monitored by the manager to ensure that applicants are not discriminated on the grounds of:

Age Disability Race, religion, ethnic and national origin Sexual status Marital status

The chair of the panel will strive to ensure applicants are treated fairly and equally. Any selection panel member who feels that an applicant is being treated unfairly will have the right to express their concerns under the provisions of the „Whistle Blowing Policy‟.

Recruitment Planning The first task in the recruitment process is to assess exactly what vacancy is available and the requirements of the club. The need to recruit is usually due to an employee resigning or gaining promotion but can also be due to expansion. Where an employee has left the club or gained promotion it may be useful to talk to them about the position they held and if the reason they are leaving has anything to do with the job role or description. This can be done by conducting an exit interview with the employee and recording the feedback on a standard form. Usually this will be done by the club manager however depending on the structure of the club a committee member could also be present. Using the exit interview as a base the recruitment process should begin with assessing when the position needs to be filled and if existing terms and conditions are appropriate. At this time it is also recommended that the job description is reviewed and that duties are amended as required by the Management Committee and manager. The club manager and Management Committee can then revise any relevant documents and set the timescale for the process based on the answers to these questions.

The Selection Panel

The recruitment process must be planned and managed by the selection panel. The size of the selection panel will depend on the position being filled with no more than four people being involved, however a panel usually consist of 2-3 people. One member should take the role of the Chair and manage the process by carrying out the administration processes involved, e.g. sending out application packs. The panel should consist of the club manager and preferably, people with managerial experience and specialist knowledge of the job. Any Management Committee members who take part in the process should have some knowledge in childcare and recruitment & selection. Where this is not possible partner organisations such as Dundee City Council‟s Out of School Care Team should be consulted. Only people with time to see the process through to the end should be on the selection panel. Once the selection panel has been selected a timetable should be drawn up highlighting dates for the completion of each stage. Dates should be reasonable and it should be recognised that the procedure will take approximately 6 – 8 weeks.

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Template 3.1 – Exit Interview Form Template 3.2 – Recruitment Planning Form

Person Specifications A person specification is a list of knowledge, skills, experience, qualifications etc which an individual requires in order to do a job and details the minimum essential criteria required of an individual to enable them to do the job. There should be nothing included in a person specification which is not relevant to the job and each time a post is advertised the person specification should be reviewed. This document also provides protection to the selection panel in the event of claims of unfair and/or illegal treatment or discrimination. The person specification allows the selection panel to:

determine suitable methods of assessing candidates

write a job advert and decide on appropriate media placement

seek information from referees

assess candidates when short-listing

record the process and the reasons for decisions taken

The person specification is the first task of the selection panel and should be drawn up at the first meeting. Unless it is written, understood, agreed and used by the entire panel it is possible that members will use different criteria to assess candidates. If a previously used person specification exists it must be reviewed and revised, particularly in light of any changes which have been made to the job description.

Preparing a Person Specification

The starting point for preparing the person specification is the job description. Each duty and responsibility in it must be analysed to determine what skills, knowledge etc are needed. All attributes should be clearly identified as Essential or Desirable. Essential criteria are those which a person must have to do the job and desirable criteria are those which would be useful but are not required. There should be a balance of essential and desirable attributes. Make the attributes required to do the job from the outset essential, but recognise that a new employee, given adequate training, can gain certain skills/knowledge quickly. However, too few essential criteria are likely to result in a long „short-list‟. It is important to be specific when completing a person specification. Avoid vague statements or umbrella terms such as “communication skills”. Be clear as to what it is being sought.

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Qualifications and Training

This section must identify the level of formal educational/technical/professional qualifications and/or job related training required by the jobholder however guard against over reliance/emphasis on qualifications. Only qualifications which must be held should be classified as an essential requirement. Specialist job-related training may be specified, e.g. the possession of a certificate in a particular skill such as first aid. This might be essential however if the opportunity to be given the training can be obtained once in employment it should be desirable. This will also depend on the skills of existing employees, e.g. how many employees currently have a first aid certificate.

Knowledge, Skills and Experience

This is the largest part of the person specification. Knowledge may be information acquired through formal education, training, work experience or life experience. It also covers areas such as legislation, policies, procedures, practices and regulations. You must consider what a person needs to know to do the job, what they must know from the day they start and what may be found out quickly through induction training. If the body of knowledge concerned is considerable and complex then applicants must possess it prior to starting however, if it can be gained quickly then perhaps it is not an essential requirement. When analysing each duty in the job description, think about the skills required to carry them out. When specifying the experience required, distinguish between quality and quantity. Often the length of experience a person has in a particular area is used as an indicator of the skills and knowledge they will possess. However beware of assuming that a particular length of experience implies a certain level of accomplishment.

Personal Qualities

Specifying the personal qualities required of a jobholder can be difficult because of the problems of objectively assessing such attributes. Attributes such as creativity, flexibility, self reliance, ability to work unsupervised, may be included – provided you are satisfied that you can test whether candidates possess them. Do not include attributes such as good attendance, timekeeping etc. Such attributes are standard and can be checked by use of reference and at interviews.

Miscellaneous

Miscellaneous section will cover attributes which do not fit into any other category. The most important attribute is the completion and return of the Criminal Conviction Self Declaration Form and the receipt of a satisfactory enhanced disclosure (Scotland) certificate which must be an essential attribute as this will help to ensure that unsuitable candidates are not selected for interview or appointed.

Methods of Testing

Each attribute listed in the person specification must be able to be assessed objectively. Assessing can be done with the use of:

Application Form Interview References

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The method of testing each attribute must be included in the person specification.

Template 3.3 – Play Worker Person Specification Template 3.4 – Deputy/Supervisor Person Specification

Template 3.5 – Manager Person Specification

Job Descriptions Both new recruits and existing employees need to be informed of the requirements of their particular job and understand the nature of their role within the club. It is equally important for managers to be familiar with the main functions of the various jobs. This can best be achieved by a job description setting out the main duties of the job. It is good practice to have a job description for each job within the organization which is reviewed periodically to ensure that the content remains appropriate and accurately reflects the job. In particular, a job description should be reviewed prior to advertising. The job description should encompass the job purpose, areas of accountability and a broad banded list of the major tasks of the job. It should not be a detailed or exhaustive list of activities.

Template 3.6 – Play Worker Job Description Template 3.7 – Deputy / Supervisor Job Description

Template 3.8 – Manager Job Description

Advertising Vacancies The main aim of advertising the vacancy is to attract a manageable field of applicants who meet the person specification. In most cases it will be necessary to advertise the vacancy. However there may be occasions when this is not required, for example if the vacancy is similar to one which has been advertised in the previous 6 months it is possible to consider the previous applicants and appoint one of them without further advertisement. When drafting the advert the aim should be to:

Attract applicants who can and want to do the job

Discourage unsuitable applicants

Create a favourable image of the club

Summarise the main duties of the job

The advert must include:

Essential attributes drawn from the person specification

Attractive features that will make the job stand out

Any unique terms and conditions

The writer should:

Avoid using jargon and use plain English

Avoid using unnecessary words such as “A vacancy exists”

Be as specific as possible

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Avoid using meaningless adjectives As well as drafting the text of the advert the selection panel will decide where they want the job to be advertised. This could be in:

Local newspapers, e.g. Courier and Advertiser or Guide and Gazette

The Job Centre

Local shops/college The aim in choosing appropriate media must be to get an appropriate response and obtain value for money. It is vital that advertising is targeted to reduce the unnecessary cost of dealing with unsuitable applicants. The aim should be a high quality rather than a high quantity response. The manager or chairperson of the selection panel will be responsible for placing the job advert and making the necessary payment. The closing date for the job should be 1-2 weeks after the advert is due to appear in the selected media.

Template 3.9 – Play Worker Advert

Template 3.10 – Deputy / Supervisor Advert Template 3.11 – Manager Advert

Advert Response Analysis

It is recommended that after a vacancy has been advertised the panel complete an Advert Response Form. This is completed in order to track the successfulness of different media used for advertising vacancies, especially if a significant cost has been involved. The data will be collected from the application form and following the analysis the panel should make recommendations of where to advertise during the next recruitment procedure.

Template 3.12 - Advert Response

Speculative Applications

If a speculative application is received the individual should be advised of the clubs recruitment and selection procedure. They should be advised that speculative applications are not accepted and advised of the media used to advertise vacancies.

Application Packs All prospective job applicants should receive an application pack which contains:

Covering Letter Club Information Leaflet An Application Form A Self-Declaration Form and Notes A Job Description A Person Specification

The selection panel will agree in advance any other relevant information that is to be sent out. A copy of the Recruitment Policy may be included for the benefit of the applicant.

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Covering Letter

A letter thanking the applicant for their enquiry which also details the contents of the pack, the procedure and a closing date for the receipt of applications.

Template 3.13 – Application Form Covering Letter

Club Information Leaflet

This leaflet provides applicants with information about the club which they may find useful to know. It may include details of the club, e.g. name, address, capacity, operation hours etc.

Template 3.14 – Club Information Leaflet

Application Form

The application form is the key document used in short listing candidates and must ask all required and relevant questions as well as allowing the applicant to detail their knowledge, skills and experience relevant to the position. Some applicants may wish to submit a CV however by asking each applicant to complete the same application form the information required by the panel can be found easily.

Template 3.15 – Employment Application Form

Criminal Conviction Self Declaration Form and Notes

This form is essential for all childcare positions and must be completed by the applicant. The form gives applicants the opportunity to list previous convictions, disciplinary action etc. which will be contained within their enhanced disclosure (Scotland) certificate should they become employed. The benefits of using this form include:

Information which may be relevant regarding disciplinary action, police investigations and/or criminal convictions can be highlighted early in the process

Applicants have an opportunity to explain their behaviour in these circumstances allowing the panel to have a clear understanding of their history

The panel can use the information to decide if the disclosure is relevant to the position

An envelope should be included which states „Criminal Conviction Self Declaration Form‟ on the front for the applicant to place the form in and then it should be returned with the application form.

Template 3.16 – Criminal Conviction Self Declaration Form

Job Description

The Job Description details the duties the applicant will be expected to carry out if successful.

Person Specification

The Person Specification details the specific qualifications, skills and qualities the applicant must have and evidence within the application form to be short listed. All applicants must complete and return the application form and self-declaration form before being put forward for short listing. All completed applications that are received will

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be kept in a file and held by the chair of the selection panel. This file will contain all relevant documents required by the selection panel to fill the vacancy. The Chair of the selection panel will be responsible for the file and ensuring all documentation is kept up to date. A late application will only be considered if it has been received before the selection panel has drawn up the short list. Any late applications that cannot be considered for short listing will be acknowledged by letter. All applicants will be acknowledged once the short listing process is complete.

Short Listing Short listing allows the selection panel to identify those applicants who, according to the information supplied on their application form, would be capable of carrying out the job to be filled. All applicants who are short-listed will be offered a job interview. To short list the panel members will require:

Completed Application Forms

The Person Specification

Short Listing Record Form

The Short Listing Record Form enables a systematic approach to be adopted and allows the decisions which are taken, and the reasons for them, to be recorded. The Chair of the selection panel should record on the form the essential and desirable criteria from the person specification. This would be assessed from the application form. Panel members should individually assess each applicant against each criterion recording his or her assessment on the form by indicating a tick or a cross. Where a selection panel member has a doubt about an applicant‟s possession of a particular criterion, a '?' should be entered for discussion on completion of an individual assessment. When a joint discussion of the panel takes place they should compare notes, discuss and agree if each applicant meets the minimum requirements, and agree the final short list. The Chair of the selection panel must record this on the form. Throughout the process it is important to remember that applicants are assessed against the essential and desirable criteria from the person specification, not against each other. Only applicants who meet the minimum requirements - assessed by the application form - will be short listed. The aim is to identify all those who appear to be able to do the job. If the number of applicants meeting all the essential criteria is unmanageable an assessment of those applicants against the desirable criteria should reduce this list to a manageable short list for interview. If however this still results in too large a list it is possible to review the essential criteria and refine them. This allows you to include the applicants who exceed the minimum specification rather than including the applicants who barely meet it.

These approaches are fair provided there are objective and justifiable reasons for the refinements and the decisions taken are recorded.

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If only one applicant meets the minimum requirements, it is still possible to proceed to the interview stage on the basis that applicants are measured against the criteria in the person specification, not against the other applicants. If no applicant meets the minimum requirements, the job may need to be re-advertised. However, before advertising it would be worthwhile reviewing the process to ensure that suitable applicants are found the second time.

Template 3.17 – Short Listing Record Form

Declaring an Interest

A selection panel member should declare an interest if they are related to, or have had a relationship with, an applicant which may compromise or be perceived to compromise their objectivity. In such circumstances the panel member should discuss it with the Chair of the panel and, if necessary, withdraw from the selection panel.

Completing Short Listing

To close this part of the procedure it is good practice to write to all applicants to advise them of the outcome of their application. All unsuccessful applicants should be advised that they will not be invited to interview and their self declaration forms destroyed without opening them. Prior to finalising the short list who will be invited to interview the self declaration forms of successful applicants need to be opened and checked. An Interview Check Form should then be completed for each applicant based on the contents of the Self Declaration Form. The application forms should also be thoroughly checked to ensure that all required information is contained and that gaps or missing information is identified which could include:

Qualifications, modules taken or grades achieved

Gaps in education/employment history

Reasons for leaving an organisation

Reasons for applying to an organisation

The panel should take note of questions which need to be asked at this stage and decide if the applicant needs to be contacted before the short list is finalised or if the information could be obtained at the interview.

Template 3.18 – Interview Check Form

Preparation for Interview

On completion of this stage the applicants who are not being invited to interview should be notified and the successful applicants must be invited to interview by letter. Interviews must include all members of the selection panel and before notifying applicants it is important to consider the venue and the timing of the interviews. Approximately 30 - 45 minutes should be allocated for each interview allowing sufficient time for the interview itself and the note taking afterwards. In scheduling the order of interview the best method is to draw names out of a hat however some readjustment may be required for travelling reasons. The venue should also be appropriate for interviewing. It should be a room that is quiet, private and free from interruption. There must be suitable furniture which does not create

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a barrier between the interviewers and interviewee. The venue must also be accessible to applicants with any form of disability. It is advised that part of the interview should involve the candidate taking part in an activity with a group of children. The objective of this exercise is to allow the panel to see the interaction between the candidate and children as well as giving the children an opportunity to advise the panel if they like the candidate. Timing of interviews should take this part into account. When sending letters if possible give applicants at least 7 working days notice and include:

Date, time and location of interview Names and job titles of selection panel Approximate duration of interview Description of the activity they will carryout and the procedure Request to bring originals of qualifications declared Request to bring appropriate identification Invitation to applicants to give details of any special requirements Request to confirm attendance

3.19 – Invitation to Interview Letter

Template 3.20 – Unsuccessful Applicant Letter

References References are a key part of the selection process as they enable factual information given by the applicant to be checked and allow the selection panel to obtain specific information assisting the assessment against the person specification. However it is important that the information given in references is considered in the context of other evidence which emerges from the selection process and that the referee may:

Have prejudiced or malicious views about the applicant

Overrate the applicant and give a glowing reference

Be tempted to be untruthful about someone he/she either does or does not want to lose as an employee

Not have full knowledge of the applicant or the kind of work he/she is providing a reference for

References should only be obtained for short listed applicants and must be obtained before interview. This allows time for the selection panel to clarify any points with the referee and enables any discrepancies between it and the application form to be discussed at interview. This should only be done in general terms however and specific contents of a reference must not be given to the applicant. The applicant must consent to referees being contacted on the application form. In cases where consent is not given the applicant should be contacted directly for permission if they are short listed. Should consent continue to be withheld the interview can proceed but no offer of appointment can be made before written references have been received. The selection panel should discuss the candidate's two referee choices carefully to ensure that they meet the requirements and are suitable to provide a reference.

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The first referee given by the applicant must be their current or most recent employer or line manager. Should an applicant selected for interview be, or have been, in employment and not give their employer as a referee, they should be contacted before the interview to discuss the omission and either agree that the employer can be approached or, dependent upon the circumstances, identify a suitable alternative. Ideally the second referee should also be someone who knows the applicant within an employment context, e.g. a former employer/manager or another manager within the applicant‟s current employment organisation. If the applicant has never worked, for example they may be a recent school or college leaver or their previous employer may no longer be in existence, a reference from an educational establishment or other suitable alternative must be used. When sending out references it is advisable to send a standard form. This should be sent with a copy of the job description, person specification and a covering letter. It is good practice to also enclose a stamped addressed envelope for the return of the reference.

Where two references have not been received prior to interview the Chair of the panel should consider telephoning the referee and obtain an oral reference using the standard pro-forma however a written reference must also be received. The panel may wish as good practice to contact all referees by telephone to ensure accuracy of written references and seek further clarification of the candidate‟s suitability for the position. The Chair of the selection panel should attempt to contact the referee by telephone and Notes should be taken which can be used by the selection panel however a

Any member of the selection panel asked to be a referee should decline and advise the applicant to seek an alternative. In situations where this is not possible, for example if the candidate already works in the club and requires a reference from the current employer the reference must contain information which is objectively based.

Template 3.21 – Reference Request Letter Template 3.22 – Employer Reference Template 3.23 – Character Reference

Questioning The main aim of the interview is to check information already provided and obtain information from the candidates which have not already been disclosed. This will allow the panel to assess candidates against the criteria in the person specification. A set of approximately 6 – 10 standard questions covering a range of topics should be prepared in advance by the selection panel. All questions should test the knowledge and experience of the candidate and be based on the job description and person specification. The panel is not restricted to asking all candidates exactly the same set of questions and no others. For each interview the same sequence of questioning should be used and the panel should examine in turn how he or she matches each criteria in the person specification. In addition to these questions the selection panel will have the prepared list of questions in response to the information contained/not contained in the candidate‟s application forms. Any panel member can also at anytime probe candidates‟ answers and ask relevant follow up questions if required.

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Conducting the selection process fairly is achieved by assessing all candidates against the person specification of the attributes required to do the job – not by asking them all the same questions during the interview. It is important that interviewers have a clear understanding of question types and can use differing styles effectively and confidently as this is the hallmark of a good interviewer

Open

Open questions require more than a one-word answer. The purpose of open questions is to encourage candidates to open up on a particular topic in order to explore knowledge, opinions, expertise etc. The interview is mostly about drawing information from candidates and open questions should be used liberally.

Closed

Generally, closed questions require one word, or very brief answers. They are principally used to clarify points and are useful to speed up/stop a rambling response from a candidate. Replies to closed questions are factual and explicit, e.g. a name or date. Closed questions may also require a yes or no answer.

Probing

Probing questions or requests obtain more details about particular topics. Effective interviewing requires the use of probing questions. If a candidate is being vague, obtain clarification. Probing questions are likely to be used as a follow up to open questions.

Hypothetical

A hypothetical question will ask the candidate how they would deal with a particular situation. Replies to this type of question will usually be quite short and usually a „textbook‟ answer.

Behavioural

Behavioural questions are similar to hypothetical questions as they ask a candidate about a specific subject however the question will begin with „from your experience..‟ or „tell us about a time when ...‟. These questions force the candidate to respond with real life answers rather than text book responses and also provide an opportunity to evaluate their experience. This is particularly useful as research shows that how a person has dealt with a situation is the same way they will deal with that situation in the future.

Multiple

Multiple questions will ask the candidate more than one thing within the same question and is often used to link closed questions together. For example you may ask „What did your last job involve, how many staff did you supervise and what resources did you have? These questions asked separately would give short answers however when asked together provide a lot of information using only one question. Multiple questions should be used carefully as the candidate may become confused being asked more than one thing.

Scenarios

Scenarios can be useful as they can give an indication of the candidate‟s skills/knowledge in a particular area. These type of questions are also useful from the aspect of promoting safer recruitment. Questions can be adapted to suit the needs of the selection panel.

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If using scenario questions it is easy to forget that what we say we would do and what we would actually do are not always the same. Don‟t rely solely on the answers to scenario questions for making a decision on the candidates.

Summarising / Reflecting

Periodically panel members should attempt to summarise their understanding of what the candidate has said in a series of answers. This reflecting back can confirm mutual understanding or identify a discrepancy which will require follow up questions. It is important when preparing questions that the candidate is not asked more than one thing in the same question, as it is very easy to get confused. The selection panel should be aware of questions which could be interpreted as being discriminatory. However it is acceptable to ask a candidate who has indicated a disability on their application form how it may affect their ability to carry out duties of the job if the issue is dealt with positively and constructively.

Template 3.24 – Play Worker Interview Questions Template 3.25 –Deputy / Supervisor Interview Questions

Template 3.26 –Manager Interview Questions

Interviewing On the day of the interview the Chair of the panel should ensure that the appropriate seating arrangements are in place and all paperwork is copied and distributed to all members of the panel. This includes:

A Person Specification A Job Description A copy of the candidate‟s Application Form A copy of the Interview Questions An Interview Record Form An Activity Record Form

Prior to the beginning of interviews the panel will agree who will ask which questions and who will record what notes. All panel members should make themselves familiar with each application form, references and other relevant information. Each interview should follow the same format. The panel members should be introduced and their job roles explained to the candidate whilst making the approach informal helping the candidate to relax as much as possible. The Chair should then explain the format of the interview and how long it is expected to last. The order of panel members asking questions should be explained and who will be taking notes for each set of questions. All notes should be detailed and general comments should be recorded as they can be useful at the assessment stage. Before the interview questions begin the main terms and conditions should be given. This could include:

Days and Hours Salary Uniform Annual leave

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Main tasks. At this time the chair should ask the candidate to show the originals of any certificates declared in the application and a document which includes their name and National Insurance Number together with another document providing evidence of eligibility to work legally in the United Kingdom. This is an important part of the interview as recruiting a person who is not permitted to work in the UK may lead to the club being prosecuted. It is advised where there is uncertainty over the proof provided to seek further advice before proceeding to a further stage. For the purposes of the disclosure certificate the Chair should then ask to see the applicant‟s Birth Certificate, photographic identification (Passport, Driving License or photographic identification card) and one bill or statement which has their name and address on it. These should be inspected before questioning begins and photocopied after the interview is completed. The panel will then begin questioning the candidate using the list of prepared questions. All candidates will be asked the same questions and notes will be taken detailing key points of the candidate‟s answers. It should be ensured that it is the candidate‟s views that are noted and not those of the panel. Panel members should avoid giving any signal as to a desired or expected response. Once all questions have been answered and any points which have arisen clarified, the candidate should be offered the opportunity to ask questions. On completion of the formal interview the candidate should be advised of the next stage of the process which is observing the candidates interaction with children. The candidate will have been informed prior to the interview when this will take place. Where the activity session took place before the interview the candidate should be advised how long it will take before they are notified of the decision.

Template 3.27 - Interview Record Form

Activity Session

An activity session should be carefully thought out by the selection panel. There are a variety of models which could be used, the first being a formal session where the candidate is asked to lead an art activity and the second where the candidate is invited in during a session to interact with the children. It is beneficial for all panel members to be in attendance however where this is not possible the manager can record notes and feedback to the panel A formal session depending on the timing of the interviews may not be possible during club hours when children are normally in the club. In these circumstances the children could be those who are staff or Management Committees. An activity should be used which is easy to deliver, for example an art activity as it requires instructions to be given, for example making a mask or a photo frame. All required resources should be laid out and the candidate given instructions from a member of the panel as to what is required. Another model which could be used is inviting candidates into the setting during a normal session. This would create a natural atmosphere and may make the candidate and the children feel more comfortable and relaxed. Where the candidate is asked to come into a session a similar format should be used and the manager and/or panel members are looking for the same attributes as a formal session. Where panel members are unable to attend the manager can observe the candidates and feedback to the panel at a later date. During the session the panel should observe the candidate however try not to be obtrusive making the candidate feel uncomfortable. Each panel member should make notes throughout the session which may include how well the candidate:

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verbally communicated with the children

listened to the children

gave instructions

responded to individual needs

interacted with the children throughout All attributes which are observed must link to the person specification. It is important to note that the candidate should never be left alone with the children. At the end of the activity session the candidate should be advised as to how long it will take before they are notified of the decision if this has not already been done.

Template 3.28 – Activity Record Form

Testing

Another method of testing which could be used is written case studies. This is particularly useful for management positions. Case studies should be relevant to areas in the person specification and questions could be asked as part of the case study. When analysing case studies, care should be taken to ensure that the panel link outcomes to the person specification. The completion of case studies could take place before or after the interview however the candidate should be advised in advance that this is taking place. Manager interview questions can be adapted into case studies.

Assessing Candidates This will involve assessing the candidates and advising each candidate of the outcome. The successful candidate will not be offered the position but be invited to the next stage which will involve the completion of an Enhanced Disclosure (Scotland) application and only on receipt of the certificate will the position be offered. The interview should be the final assessment method and on completion a full picture will have been gathered about each candidate. From this each candidate can be rated against the criteria previously decided as required to do the job. Following the interviews a Candidate Assessment Form should be completed by each panel member for every candidate. Each panel member is required to assess each candidate against each attribute based on: Unacceptable does not meet the specification Acceptable meets the specification Good exceeds the specification Outstanding exceeds the specification to an exceptional degree When completing this form each panel member should consider all the information gathered during the process including their own interview notes. On completion of this stage a group discussion should take place allowing the panel to discuss their choices and explore any differences of opinion.

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Once a decision has been reached on who should be given the position the Chair should ensure all paperwork is filed appropriately. At this stage the successful candidate should be invited to the final stage and all others notified that they have been unsuccessful.

Giving Feedback

Unsuccessful candidates may seek an explanation of why they did not get the job and/or seek any comments on their performance during the selection process. Any such request should be treated and responded to reasonably, and with sensitivity by the Chair of the selection panel to ensure consistency of approach. If an individual is aggrieved because they feel they ought to have got the job they may well ask about the selection process. Provided the principals of the Recruitment and Selection Policy have been followed it will be quite appropriate to explain the procedure. As decisions about individuals will have been made on the basis of assessment of their attributes against the person specification, there will be notes to support the reasons they did not get the job. It should be noted that comments and information about other candidates cannot be given. The aim of feedback should be to give positive and constructive advice on both strengths and weaknesses which will assist the individual in future applications and may include:

Completion of the application form

Preparation for interview

Self-presentation at interview

Response to questioning

Feedback will probably be given by telephone but if a candidate requests a meeting this should be arranged provided it is ensured that the agenda is confined to the candidate‟s application.

Template 3.29 – Candidate Assessment Form Template 3.30 – Unsuccessful Candidate Letter

The Final Stage Once a decision has been made the selection panel will be able to take the successful candidate to the final stage of the recruitment process and will be advised of this by letter. This stage of the process is the final part before appointing a suitable candidate to the position. Before confirming an appointment the panel should satisfy themselves that the candidate is suitable for the position by:

Receiving a satisfactory Enhanced Disclosure (Scotland) Check

Completion of a health Declaration Form and follow up if required

Seeking two satisfactory references

Clarifying their knowledge, skills and experience

Seeking evidence of qualifications and training

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For the completion of the Disclosure Scotland application a verification meeting should take place. The candidate should bring all the relevant documentation stated in the information sheet which accompanied their letter inviting them to interview. The CRBS signatory should assist with the completion of the application form and be satisfied that the candidate is who they say they are. They should also ensure the information is handled appropriately in line with policy and procedure. The signatory should ensure that the first part of their Disclosure Certificate Tracking Record is completed which records basic information given on the form. A Health Declaration Form ensures that at time of employment the candidate declares they are both physically and mentally fit. Any issues raised on this form need to be followed up before the appointment is confirmed using a Medical Condition Form. Ideally two references should have been received prior to the interview stage of the process however if this has not been the case the Chair of the selection panel should ensure they are received and are satisfactory. Where relevant qualifications and/or training have been declared it is important to receive copies of the certificates received and where applicable the panel can ask to see the original. All copies should be kept in the recruitment file until such time that the candidate becomes an employee of the club. At this stage the certificates will form part of their Professional Development Log. It is good practice at this stage for the panel to be completely satisfied of their reasons for employing the candidate by completing a skills record sheet. This will allow the panel to justify their decision of employing this person and provide evidence of the candidate‟s knowledge, skills and experience which can be retained in their employee file.

Template 3.31- Final Stage Letter

Template 3.32 – Disclosure Information Sheet Template 3.33 – Disclosure Certificate Tracking Record

Template 3.34 –Health Declaration Form 3.35 – Employee Medical Condition Form

Template 3.36 – Skills Record Form

Appointing Without Disclosure

It is recognised that there may be situations where a candidate is started without the return of a disclosure. This is not recommended as good practice however in emergency situations the club may have no other option. The club‟s Recruitment Policy should state the circumstances this may be done and the procedure which must include the following:

A risk assessment of the situation is carried out by the club manager and presented to the panel. Where it is a manager position the Management Committee should carry out this procedure.

Two satisfactory references have been received and the manager or other panel member has verbally contacted both referees

The candidate has a completed a satisfactory criminal conviction self declaration form

The candidate has a completed health declaration form

The employee is closely supervised by a mentor

The employee is never left alone with a child

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It is best practice that where possible the candidate has a previous enhanced disclosure (Scotland) certificate dated within the previous 6 months.

It is important to offer the appointment on a conditional basis which should be detailed in the appointment letter.

Template 3.37 – Disclosure Risk Assessment

Return of Disclosure On receipt of the disclosure certificate from Disclosure (Scotland) the Signatory receiving the form should call a final brief meeting to ensure everyone is satisfied that the candidate is suitable and can be offered the position. It is important that should the Disclosure form contain a conviction, caution or any other relevant information the correct procedure is followed. The inclusion of an item does not automatically mean that the candidate cannot be employed however there does need to be an investigation and the correct decision taken. Consideration should be given to if the item was declared in the candidates self declaration form. Circumstances where the candidate cannot be considered for the post are those where the nature of the offence or their inclusion on certain lists, such as the Protection of Children (Scotland) Act 2003 and the candidate must be informed that they will not be offered the position. The first step in the process is the signatory and a member of the panel making an assessment of the information given on the form. This information is highly confidential and care should be taken to ensure it remains confidential. They should make notes on:

The nature of the offence

Its relevance to the post, position or profession in question

How long ago the offence took place

The person‟s age at the time

Whether it was an isolated offence or part of a pattern of offending

What is known about the person‟s conduct and character before or since

After making notes the signatory should assess the candidate for the position. It may be necessary to contact the candidate and invite them for a meeting to discuss the Disclosure and answer any questions arising from the assessment of the circumstances. The candidate should be invited to the meeting by letter and advised of the reasons that it has been called. The meeting should be fully recorded. A decision should be taken within 7 days and once taken the signatory should advise the selection panel of the decision and the Chair should inform the candidate of the decision using the appropriate letter. The remaining parts of the Disclosure Certificate Tracking Record should also be completed at this stage. If the candidate is successful the candidate should receive an appointment letter which contains details of a start date, the induction programme and any pre-employment health checks.

3.38 – Disclosure Assessment Form 3.39 - Appointment Letter

3.40 – Final Stage Unsuccessful Letter

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Recruitment Administration / Record Keeping Every recruitment and selection exercise must be fully documented. All decisions taken and the reasons for them must be recorded and records retained. This will allow the club to respond to any complaint of discrimination or other unfair treatment which may be made by an unsuccessful candidate. The Chair of the selection panel is responsible for holding a file of relevant documents which at the end of the process should contain:

Job Description / Person Specification

Job Advertisement

Information sent to applicants

Returned Forms

Short listing Form

References

Interview Notes / Test Results

Candidate Assessment Forms

Summary of Candidate Assessment Form

Copies of letters sent

Note of feedback given to unsuccessful candidates Access to all of the information will be restricted to the selection panel. The Chair of the selection panel is responsible for ensuring the completed file is retained, stored confidentially for 6 months from the date the successful candidate is notified and at the end of this period destroyed. Criminal Conviction Self-Declaration forms which belong to unsuccessful candidates and photocopies made of documents, e.g. application forms must be destroyed immediately.

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Employee Files

Introduction Employee files are kept for the purpose of:

Holding relevant information on each employee

Retaining accurate records of changing circumstances

Retaining accurate records of employee sickness, holidays, training etc. Each employee, student and volunteer should have their own staff file containing all relevant information and all the necessary information required by legislation, guidance and good practice. All files are highly confidential and to comply with data protection should be kept in a locked file only accessible by those who have a need to see the information. It is good practice to have one person who co-ordinates the information and keep documents up to date. Ideally this should be the club manager however where this is not possible another senior employee or a member of the Management Committee could have responsibility for this task. In particular information relating to disclosures and health is considered sensitive data and must be treated as strictly confidential.

Format It is advisable to keep files together and in a presentation folder with pockets clearly labelled allowing for missing documents to be easily identified. The contents of the file should be split into two parts, one which details the requirements of employment law, e.g. absence records, sickness records and the second part which is evidence based as required by the Care Commission, e.g. application form, references, induction record, training record. By holding all the information in one file it can be easily accessed and the overlap of the two parts will not affect storage or easy access.

Template 3.41 – Employee File Contents

Data Protection Act 1998

The Data Protection Act was introduced in 1998 and as a result there are strict policies and procedures in place which must be abided by when dealing with personal data whether manually or electronically. The act does not prevent employers from collecting, maintaining or using employment records however it does help strike a balance between the employers needs to keep records and the worker‟s right to a private life. All employees must be aware of the information gathered about them and its use. Further information on data protection and how it affects employers can be found in the Quick Guide to the Employment Practices Code: For Small Businesses.

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The Employee File There is basic but important information which must be kept in the employees staff file. This section of the BIS will detail each part of the file, what should be included and how to evidence the requirements.

Disclosure Information

The actual information should be held in a separate confidential file however it is important to record the date applied for, date sent, the disclosure number and date of next check.

Employee Information Form

This form contains the basic information required by the employer, e.g. name, address, medical/dietary needs, next of kin etc. This form should be completed as part of the induction process and carefully checked by the manager or senior employee carrying out induction. Any written details given by the employee should be followed up if required, e.g. a medical or dietary need and full information given on a more detailed form. It is good practice to update these forms on an annual basis however it is the responsibility of the employee to ensure this information is updated throughout the year.

Template 3.42 – Employee Information Form

Current Job Description

This should be a copy of the most up to date job description held by the employee and the date last reviewed should be clearly stated.

Correspondence

Correspondence can be useful to keep on file. Letters which detail an offer of appointment and the confirmation of acceptance must be kept as evidence however copies of other letters sent/received during the course of employment should be kept in the file.

Application Form

This should be the employees original application form fully completed at the time of recruitment.

References

This should be the employees original two reference forms fully completed at the time of recruitment.

Terms and Conditions of Employment

A signed copy of the employee‟s contract of employment should be kept in the file as well as copies of letters which amend the terms and conditions.

SSSC Registration Information

This should include evidence of the application process or a copy of the SSSC registration certificate.

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File Notes

Notes of any arising issues which need to be kept confidentially should be stored in this part of the file.

Details of Disciplinary Action

A full record of any potential or actual disciplinary action should be recorded and held on file.

Health Information

The completion of a Health Declaration Form and any further required information forms will have been carried out prior to appointment and should be kept within this section, e.g. if employee has asthma the action taken should be detailed.

Record of Induction

A signed copy of the induction record which details the training given and clearly states the employee understands the topics covered.

Record of Training

A training record which details the qualifications and training held by the employee. This may also contain a record of qualifications and training scheduled for the forthcoming year and any future requirements. This should be updated as required.

Supervision Records

Supervision records signed by both the employee and the supervisee should be held and referred to before each supervision session and before the annual appraisal takes place.

Appraisal Records

Appraisal records signed by both the employee and appraiser should be held and referred to before each supervision session helping to ensure objectives are being met by the employee. All records should be referred to before the next annual appraisal takes place.

Pension / Wages Information

Specific details of a pension taken by the employee or a signed opt out certificate should be held. Copies of any information required for the purposes of wages / tax / national insurance should also be kept.

Template 3.43 – Stakeholder Pension Form

Annual Leave Records

Include a record of annual leave taken throughout the year and copies of annual leave request forms.

Absence Records

This includes sickness absence, authorised and unauthorised absence and any records relating to any of these.

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Certificates of Sickness

Copies of the employees self certificates or medical documents should be kept on file.

Return to Work Interviews

Following every period of absence a return to work form should be completed and held on file. This also applies when an employee returns from abroad.

Exit Notes

Copies of letters relating to the employees exit as well as a copy of the exit interview carried out. These should be used as an evaluation tool and archived with the contents of the file following the employee leaving the club.

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Induction

Introduction The final part of the recruitment process is the completion of the induction programme. By carrying out a thorough and well planned induction the club is meeting its legal obligations and allowing the new employee to become part of the organisation and staff team much more quickly. It is important to follow through the induction process by establishing a structured and standardised process for a number of reasons. The objectives for carrying out induction thoroughly include:

To ensure effective integration of employees into the organisation for the benefit of both parties

To ensure employees become effective quickly in their role

To communicate the club‟s culture, structure, values and policies

To clarify the working arrangements of the new employee

To encourage commitment and motivation through a sense of belonging

To agree objectives for the initial period of employment

To explain changes in the organisation Some employers make the mistake of ignoring induction periods. Instead they leave the new employee to pick things up themselves and from existing employees, which costs time and money. This defeats the idea of induction which is to integrate the employee so that they reach their full potential as soon as possible.

Effective Induction The key to an effective induction programme is its ability to adapt to the needs of the individual undertaking induction and the current needs of the setting. For example the employee may have considerable experience in some areas or may be a student on a short term placement and require only a basic induction to the setting. The delivery of an induction programme requires an investment of time and energy from all of the staff team however the result is an employee who feels confident and comfortable within the team – this benefits the new employee and the club. When delivering induction it is important to provide all the information a new employee requires without overwhelming them. It is more appropriate to develop and deliver the programme in stages to ensure the employee is not overwhelmed or diverted from the task of integrating into the team. An induction should be given at the beginning of employment and may stretch for several weeks, or even months. During this time the quality of the induction will have an effect on how the employee visualises your club and how well they will integrate into it. Club training should encompass the club induction of all new employees on day one of employment and should be provided by a senior employee.

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Format

There is a great deal of information required to enable a new employee to work effectively within the staff team. To allow an employee to begin carrying out the tasks of the job the club should develop a tiered induction pack, the initial content only covering the areas which must be dealt with on or before the first day of work. During the initial stages of induction the new employee will be able to work as part of the staff team, carrying out some tasks and taking part in the daily routine whilst shadowing another employee. As the pack continues the new employee will be given further induction training in order of importance. Each area the employee is trained on will allow them to become more independent as an employee. As confidence grows they will be able to do more tasks themselves and induction training will continue more formally through training sessions on specific subjects and the undertaking of formal training. The length of time to carryout induction will vary depending on the number of hours the new employee will be in the club.

Responsibilities

The manager is responsible for handling the induction process however it is unlikely they will be involved during the programme. On the appointment of a new employee the manager will have selected a mentor who will take them through the programme and provide as much support and guidance during their initial period of employment. Their mentor will not carryout all training but will ensure that all training is carried out and take part in formal progress meetings with the new employee and the manager. The mentor will also provide the new employee with support on a daily basis and always be around for informal discussion if required.

The Induction Programme

The induction programme should be a standard document which takes the employee through working practices, policies and procedures however the length of time the programme takes to complete will vary each time it is used. To avoid overwhelming the employee and putting too much pressure on the mentor to provide excessive training the programme is developed to be carried out in stages with information collated in order of priority. The first section covers essential information which should be discussed with the new employee prior to their first day at the club. These should include key terms and conditions, a tour of the building, introductions, key policies and procedures and health and safety. Other priority induction areas include child protection, risk assessments, behaviour, health and safety, infection control, confidentiality and participation. Subsequent sections should be timetabled for completion over the following few weeks ensuring that not too much information is covered at one time and the employee has time to digest and understand the information given previously. The induction pack is split into two parts, the first part must be completed before the new employee takes on a role within the club independently, i.e. becomes a full member of the staff team undertaking daily duties. Until such time that the first part is completed they

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must work shadowing another employee or under the supervision of a senior employee. The second part covers much more information, in some cases supplementing what they have learned in the first part of the programme. On completion of this part the induction programme will be concluded. It is estimated that the completion of the full programme will take up to 12 weeks however a new employee with experience and/or qualifications may be able to finish the programme earlier.

The Induction Timetable The length of time allocated for induction training will vary each time it is undertaken. Factors which may affect the timing include the number of hours which can be allocated for training in the first few weeks, the number of hours the employee works in a week at the club and their previous experience. The manager should plan for the full programme to be completed within 3 months and ensure dates for progress and supervision meetings are planned regularly during this period. The timetable for induction should be loosely planned and time allocated at a minimum each week for the first 8 weeks. Regular sessions should be allocated specifically to discuss performance and progress ensuring the employee is settling into their new role. Example Timetable

Date

Tasks

On Appointment

Manager to select mentor and have initial meeting to discuss induction programme

Prior to 1st Day

Arrange meeting involving manager, mentor and new employee

Make arrangements for carrying out the programme

Mentor to go through the induction programme with the new employee

Day 1

Employee to be part of a welcome and introduction meeting

Mentor and employee to complete initial sections of induction programme

Dates for training sessions and formal progress meetings to be arranged

Week 1

Employee to shadow mentor during week and carryout some parts of induction programme

Provide employee with a copy of staff handbook

Progress meeting 1 to be arranged at the end of week 1

Week 2

Continue with part 1 of programme allowing employee to carryout some duties independently

Progress meeting 2 to be arranged at the end of week 2

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Date

Tasks

Weeks 3 & 4

Continue with induction programme Begin to identify further informal and formal

training needs Progress meeting 3 to be arranged at the

end of week 4

Weeks 5 – 12* *Timescale adaptable

Continue with induction programme during arranged weekly training sessions

Carryout formal internal training sessions Arrange calendar of formal supervision

sessions Progress meeting 4 to be arranged at the

end of week 8 and 12 if required

End of Induction

Conclude programme and ensure checklists are completed and filed

Carryout a training audit which identifies further training required

Hold first formal supervision session

Preparing for Induction The induction programme should be thoroughly planned and prepared jointly by the manager and the mentor before the new employee begins their employment. The manager should select a mentor to assist with the induction programme as soon as the appointment has been confirmed. The initial preparation should involve a review of the induction pack as it currently stands ensuring the information held in it is accurate and relevant to the position. In circumstances where the induction is for a student, volunteer or an employee returning from leave the mentor and manager should go through the basic induction content ensuring all relevant aspects are covered. Once the content has been finalised and the manager has confirmed the likely number of hours the new employee will be working a timetable for induction should be drawn up. The timetable is a guide to ensure that everything is covered and there are set times to go through the programme - however it should always be adaptable to the needs of the employee, the mentor and the manager. The timetable will include training sessions which may be applicable to other staff members who require updates on specific subjects and the manager should be aware of who requires training and work this into the timetable. Once the timetable has been finalised the manager should ensure that all the required paperwork is prepared for completion when required. This includes the checklists for induction and personnel forms such as wages information, health information etc. Ideally during the preparation for induction the new employee should come into the club to complete the first part of induction, which will cover the essential parts and the majority of paperwork. The manager should ensure that the full induction programme is prepared in advance of the new employee beginning employment and that arrangements are continually made and reviewed until the programme is complete.

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Delivering Induction The mentor will take responsibility for the delivery of the induction programme however they will not deliver the whole programme on their own. The use of different delivery styles will make the induction programme much more interesting both to the new employee and the mentor. Some of the styles which will be used include:

Verbal delivery

Written Information

Written Policy

Shadowing

Additional Training Sessions

During the first week of induction the mentor will deliver the induction folder both verbally and using written information. The new employee will also be involved in shadowing throughout the week as a way of „on the job‟ learning. As the induction programme continues the style will vary and often training sessions involving other staff will take place. The mentor may also pass some of the specialist topics to other senior staff to deliver, for example food hygiene, terms & conditions, etc. Regardless of the delivery method all parts of induction are covered in the induction folder and the new employee pack which contains the checklists to be signed off on completion of the training. As the mentor and new employee work through the induction folder they will reference many other documents and packs which form part of the induction programme. During the induction programme the persons involved in delivering induction should try to ensure that the training delivered is interesting, factual and mirrors the job which the new employee will be undertaking. They should consider that they do not:

Overwhelm the employee with too much information too soon

Deliver irrelevant training sessions

Bore the employee by the same person delivering the whole programme

Stop employees carrying out meaningful tasks to deliver training

Hinder integration into the team by carrying out too much training at one time

Checklists

During the first meeting which will take place on or before the new employee's official first day they will receive an employee induction pack. This pack contains checklists which must be completed every time they receive training. Each section requires both their signature and the signature of the person who delivered the training - whether that is their mentor or another senior employee. Only on completion of all checklists is the induction programme complete.

Template 3.44 - Induction Employee Training Record Template 3.45 – Care Induction Employee Training Record

Template 3.46 – Blank Induction Record Template 3.47 – 12 Week Induction Programme

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Progress Meetings Throughout the induction programme a number of meetings will be held which will monitor the progress of the employee. Much discussion throughout the induction will take place informally during the first few days however there will be a need to discuss progress and performance formally on a regular basis. It is the joint decision of the manager, mentor and employee as to how many meetings will be held however in our example timetable there are five scheduled. These are at the end of weeks one, two, four, eight and twelve or a concluding meeting sooner. The manager should schedule a meeting at the end of week one and timetable others according to the needs of the mentor and new employee. Dates and times should be set in advance and all meetings should be held somewhere with no interruptions and be of reasonable length. The agenda for meetings should be specific to the needs of the new employee and the mentor with both having the opportunity in advance to note what they would like discussed and prepare for the discussion. The topics which may be discussed include:

Progress of Induction Programme

Work Progress

Roles and Responsibilities

Relationships

Communication

Attitudes and Values

Attendance and Timekeeping Before beginning the meeting ensure that all the necessary documents are at hand and that the atmosphere is calm and relaxed. It is important to:

Keep to the agenda

Concentrate on the positive

Keep criticism constructive

Take time to fully cover all items on the agenda

Take time to answer the employees questions

Conclude the meeting with an action plan

From the second meeting ensure the action plan is reviewed The mentor will be responsible for the record keeping process of all progress meetings. All documents should be stored in the employee's staff file which is a confidential document with access limited to management. Concluding Induction On completion of the induction pack checklists a final meeting should be carried out which should also be attended by the manager. This meeting will conclude the programme and allow further supervision to be planned.

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This final meeting should summarise the induction programme and give all parties a chance to discuss any issues with performance and further training required. The manager should ensure all checklists are signed off and that additional paperwork is complete. This should be followed by a review of the programme and a general discussion of performance and objectives identified to take forward. On completion of this discussion the supervision and appraisal process should be arranged. Depending on how the relationship between the employee and the mentor has developed they may become the employee‟s supervisor or the manager may appoint another senior employee who will also attend this concluding meeting. A date and time will be chosen which is suitable to both parties each term for a meeting. The employee will be issued with a Supervision Contract which should be signed by them and the supervisor. The employee will also be shown the paperwork associated with supervision meetings.

Record Keeping A comprehensive document is required to complete the induction programme which refers to numerous other records held in the club. The manager should ensure that when going through the induction programme all documents are close to hand and up to date. Induction records should be signed by the employee and mentor with a date stated.

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Terms and Conditions of Employment

Introduction The legal relationship between employer and employee is a contract based on common law principles, the statutory rights of employees and further enhanced rights provided by the employer. All employees, irrespective of their hours of work, are entitled to a contract of employment agreed with them within 8 weeks of starting employment. This document will specify the main terms and conditions of employment and be signed by both the employer and the employee.

The Contract of Employment Within a contract of employment the following must be included:

Employers Name

Employees Name

Job Title

Date Employment Commenced

Date Employment to Cease (Temporary Contracts)

Place of Work and Address of Employer

Amount of Pay and Intervals between Payment

Hours of Work

Holiday Entitlement

Sick Pay Arrangements

Pension Arrangements

Notice Periods

Disciplinary / Grievance and Appeal Arrangements

It is recommended that to supplement the contract of employment a staff handbook is given to the employee which forms part of the contract.

Template 3.48 - Contract of Employment

Amendments to the Contract of Employment It is standard procedure to notify the employee when the main terms and conditions of employment are changed. This will usually happen with the employees consent, e.g. to increase the hourly rate or amend hours as agreed however a formal letter should be sent to the employee and a signed copy held in their staff file.

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There may be times where the contract of employment needs to be amended but the employee does not agree and the change needs to be enforced. In these circumstances the correct process needs to be carefully followed and advice can be sourced online or directly from agencies such as ACAS and/or an employment law solicitor should be taken before anything is actioned.

Template 3.49 – Amendment to Terms and Conditions Letter

Employee Rights Employees have a number of rights which must be met by employers. It is important to keep up to date with employment law to ensure as an employer you are providing employees with all of their statutory rights.

Protection of Employment Rights In situations where the employer changes as a result of a transfer of an undertaking, employee's rights are protected under the 2006 TUPE regulations. This means that the employee's terms & conditions do not change after the business is transferred. It is advisable before any action is taken in these circumstances to seek further information and advice from agencies dealing with employment law e.g. ACAS, BERR guidance, Employment Law Solicitors. This does not apply when a parent lead Management Committee group have a change of members.

Explanation of Main Terms Employees

A full time employee is a person who normally works 32 hours or more on average per week. It is the number of hours worked rather than how many days these hours are spread over. A part time employee is a person who normally works less than 32 hours per week. Their normal number of hours per week will be recorded on their contract of employment. It is important that their hours are recorded accurately. A holiday-relief employee will not have fixed working hours however will work as and when required by the club. A temporary employee will work a fixed number of hours for a short-term period as stated in their contract of employment, e.g. 6 months to cover maternity leave.

Employees Change in Circumstances

Change in circumstances may include:

Change of address Marriage Separation Divorce Change in bank/building society details

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The club must be informed of any change in circumstances as soon as possible. Best practice would indicate this notification be in writing and personnel files be updated.

Pay

Best practice dictates paying staff at the end of each month. The specific details of this should be negotiated between the employer, the employee and the payroll provider. It is good practice when deciding hourly rates to take into account the need for qualifications, training and experience of employees. All salaries should be reviewed in accordance with individual club's guidelines. It makes good business sense to increase hourly rates at the time as annual fee increases helping with the financial stability of the club. It is also important to ensure that there is a equal pay policy in place. Every employee is entitled to an itemised pay statement. All deductions made by the employer must be lawful and with the consent of the employee.

Hours of Work

These will vary in accordance with the job or position and each employee will work a fixed number of hours each week unless they specifically provide holiday relief cover. It is, however, vital that accurate records are kept to ensure all hours worked by each employee are accounted for. It is good practice to display club rotas, at least weekly in advance preferably at the beginning of the previous week. By following this discipline, it gives adequate time for both employee and employer to discuss any necessary amendments, ensuring the overall good planning of staff requirements. Rotas are an essential part of planning as they:

Establish a clear plan of each employee‟s working week

Establish a clear plan of labour requirements for the club

Establish a systematic control of labour costs

Employees may be asked to work additional hours (overtime) when required to cover absence, holidays etc. Where overtime is worked, an employee will receive pay or time off in lieu (TOIL). This must be agreed before the work is undertaken. TOIL should only be given where an agreement has been reached between the employee and club manager in advance of the hours worked. Time off will be equal to the number of extra hours worked with best being to take this time off within 28 days of accrual.. Where the employee wishes to be paid overtime it is good practice to pay in arrears therefore payment will be included in the following pay period of the overtime being undertaken. It is a requirement that an accurate record of hours worked are kept. This includes holding all staff rotas and/or time sheets showing the number of hours worked each day for each employee for a period of three years.

Holiday Entitlement

All clubs must ensure that employees are given the minimum statutory leave entitlement over the year which from 1st April 2009 is 5.6 weeks including the provision of public holidays.

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Leave should be calculated and totals given to each employee in advance of the leave year. Fixed holidays, e.g. Christmas and public holidays should be taken into account by the employer and employee. Part time employees are allocated holiday entitlement as a proportion of the full time entitlement. Where hours vary from week to week an average of the previous six weeks hours could be used to calculate the entitlement. On leaving employment, the employee‟s entitlement will be calculated in ratio from the beginning of the holiday year for the length of employment involved calculated in full months. Holidays already taken will then be deducted and the balance adjusted accordingly.

Other Leave / Special Leave

The club should implement procedures for other types of leave including:

Parental leave

Time off for dependants

Adoption leave

Volunteer forces For further information and guidance please refer to Absence Management and Statutory Benefits.

Sick Pay Benefits

A statutory benefit for employees is the right to Statutory Sick Pay however employers can also pay staff occupational sick pay which is determined by the employer. It is recommended that where you adopt such a scheme the number of days over a year is limited and determined by length of service. Qualifying conditions such as appropriate notification period and satisfactory return to work interviews before payment should be adopted to ensure the benefit is not abused.

Pension Entitlement

All employees must be offered the opportunity by the employer to open a stakeholder pension. Where the employee declines, an opt out certificate must be completed and held on file. It is recommended that the employer adopts a stakeholder pension scheme and keeps the appropriate information documents in the club to be given to each new employee when starting at the club.

Working Time Regulations

The working time directive came into force on 1st October 1998. The aim of the regulation is to improve the basic minimum rights of all workers and comes under the umbrella of Health and Safety The basic rights and protections that the Regulations provide are:

A limit of an average of 48 hours a week which a worker can be required to work (though workers can choose to work more if they want to).

A limit of an average of 8 hours work in 24 which night workers can be required to work.

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A right for night workers to receive free health assessments.

A right to 11 hours rest a day.

A right to a day off each week. A right to an in-work rest break if the working day is longer than 6 hours.

A right to 4 weeks paid leave per year.

Notice Periods

The specific notice period to be given by employers and employees must be detailed in the contract of employment. The minimum notice period to be given by an employer is:

at least one week‟s notice if the employee has been employed by the employer continuously for one month or more but for less than two years;

at least two weeks‟ notice if the employee has been employed by the employer continuously for two years‟ and

one additional week‟s notice for each further complete year of continuous employment for a period of less than 12 years‟ continuous employment; and at least 12 weeks‟ notice if the employee has been employed by the employer continuously for 12 years or more.

The minimum notice period to be given by an employee is:

At least one week‟s notice if employed continuously for one month or more by that employer. This minimum is unaffected by longer service

Where the contract of employment is for a fixed period notice is not required unless it is being terminated by notice before its expiry. Employees who were originally engaged on a contract specifying a fixed term of one month or less, but who are continuously employed for three months or more, are regarded for the purpose of the legislation as being employed for an indefinite period and are therefore entitled to a minimum period of notice. Where an employee is instantly dismissed for gross misconduct no noticed period need be given. The employee is entitled to be paid up to the date of dismissal including payment for accrued leave. Where an agreement has been reached between the employer and the employee, notice periods may be waived or altered to suit the situation, for example:

Holidays outstanding may be built into the notice period

Payment may be made in lieu of working notice

Instant release from the contract of employment without further payment.

Any such arrangements should be confirmed in writing.

External Workers

Clubs will use the services of external people such as Sports Development coaches who are not classed as employees and therefore do not need a contract of employment. Club

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managers should however ensure that a relevant enhanced Disclosure and appropriate agreements are in place.

Employee Handbook An employee handbook provides information on employment, benefits and comprises an integral part of the terms and conditions of employment. It could be deemed best practice to issue this to the new employee with the confirmation of employment correspondence and then formally introduced at staff induction. The contents of the handbook will vary in each club however it is recommended that it briefly covers all areas of employment and principals of care. In circumstances involving performance or a disciplinary hearing having a statement signed by the employee to say they have read and understood the contents of the handbook could be a vital piece of evidence.

Handbook Content

The following is a guide to the contents of a handbook.

Welcome Mission Statement Aims and Objectives National Care Standards Statements

Equal Opportunities

Harassment and Bullying

Data Protection Health and Safety

Managing Health and Safety

Health and Safety Arrangements

Terms and Conditions Changes in Personal Circumstances

Additional Employment

Contract of Employment

Amendments to the Contract

Probationary Period

Hours of Work

Additional Hours

Staff Rotas

Attendance and Time Keeping

Breaks

Personal Property

Care of Club Property

Appearance

Uniform

Smoking, Alcohol and Drugs

Acceptance of Gifts

Expenses

Use of Telephone

Use of Computers

Use of Vehicle

Pay and Remuneration Salary

Payments

Payslips

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Payment Method

Bonuses

Tax Queries

Underpayments / Overpayments

Pension

P60

Employee Conduct Communication

Terms and Conditions

Convictions

Job Description

Code of Conduct

Policies and Procedures

Protection of Children

Confidentiality

National Care Standards

SSSC Code of Practice

SSSC Registration

Training Requirements

Professional Development Training Methods

Induction Training

Training Plans

Internal Training

External Training

Relevant Information

Supervision and Appraisal

Absence Management Annual Leave

Public Holidays

Authorised Absence

Unauthorised Absence

Lateness

Sickness Absence

Occupational Sickness Pay

Time Off

Family Friendly Policies Maternity Rights

Paternity Rights

Adoption Leave

Parental Leave

Time off for Dependants

Flexible Working

Disciplinary / Grievance Policies Clubs Disciplinary Policy

Clubs Grievance Policy

Clubs Whistle Blowing Policy

Ending Employment Termination

Resignation

Termination on the Grounds of Ill Health

Retirement

Club Property

Exit Interview

Template 3.50 - Employee Handbook

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Training and Development

Introduction A club should recognise the important contribution that training and development makes to the continuing efficiency, standards of service, employee morale, employee development and profitability of the club. A club should further recognise that the prime responsibility for training and professional development lies with each individual.

Aims

The main aims of training and development within your club should be:

to ensure the training and development needs of all employees are met in line with the club's business objectives and current legislation

to encourage the achievement of nationally recognised qualifications

to develop multi-skilling/tasking

to promote and provide an effective career development programme to assist with succession planning

to promote continuous personal development throughout working life

to promote equal opportunities in all aspects of training and development To ensure continuous training and development is being carried out and evidenced it is important to:

Provide all employees with good induction training

Ensure health and safety training (including appropriate refresher training) is carried out regularly to meet legal responsibilities

Plan training and development activities up to a year in advance

Ensure all training and development is evidenced and training records are kept The implementation of a formal but simple club training plan communicates to staff the expectation and time guidelines on proposed training.

Annual Training Plan The planning of training and development on an annual basis begins with an organisation audit of the current level of training. It is good practice to carry this audit out at the same time each year and in the month which launches the Early Years and Childcare Partnership Training Strategy in June. Before beginning the audit it is essential to ensure all employee training records are up to date and accurate. The audit forms two strands, one for qualifications and the other for accredited training in specific areas relating to childcare and education. This audit should be carried out by the club manager and/or a member of the Management Committee and will be the first step in

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planning training and development for the following year. It will also form part of the club's training plan as required by the Care Commission and SSSC.

Template 3.51 – Annual Qualification Audit Template 3.52 – Annual Accredited Training Audit

Organisation Training Plan

After completing the audit of your organisation you should now be able to identify the training courses and levels which should be carried out by each employee. To do this you must identify the „unticked‟ boxes and match with the qualification and training requirements form, writing down the subject areas each employee requires training in and noting courses you feel may be relevant. At this stage, once the audit has been carried out, you can begin to put together a training plan based on the needs of the club. Specific training areas and courses can be identified for each employee for the year ahead. When completing the plan it is helpful for a small group to put it together and to have information on courses readily available which could include:

The Training Strategy

College Prospectuses

Partner Organisation Training Calendars

The plan should also take into account the inspection themes of the Care Commission and incorporate these into training, whether it be subjects for internal training or seeking more formal courses.

Template 3.53 - Employee Qualification and Training Requirements

Individual Training Audits

Once the initial draft of the training plan (which should meet the needs of the club) is put together the manager and/or Management Committee member should discuss training requirements with each employee at an individual training audit meeting. This should be at a scheduled date and time convenient to both parties with the employee given advance notice and asked to think about the training they would like to do in the coming year. At the meeting a standard form should be used to record the discussion and training identified. The manager should go through each course they would like the employee to attend and explain the reasons for this and then discuss any training areas the employee would like training in.

Template 3.54 – Individual Training Audit Record

Club Training Plan

After completing individual training audits the information can be collated and an overall training plan completed for the year ahead.

Template 3.55 – Organisation Training Plan

Training Records A training record is a formal process of recording training and is a valuable working document for all aspects of employment and/or business. It is important that managers

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and Management Committees ensure that they keep records of all qualifications and training carried out by the staff team. The formal process of recording an employee's training might include:

Club induction record

On/off job training record; this should list all the tasks required by a person's position of employment

Health & safety training records

Evaluation of any training A training record can be useful when evaluating and identifying outstanding training requirements, conducting employee performance reviews, compiling individual/group training plans, budgeting for training and identifying training timescales. It is a valuable working document for all aspects of employment and/or business and also aids communication between employer and trainer. It is also good practice when holding internal training to ask each participant to sign an internal training register to ensure you have evidence that they participated in the training and understood the content.

Template 3.56 – Individual Training Record Template 3.57 – Internal Training Register

Post Registration Training and Learning The new regulations laid down by SSSC state that when an employee registers with the SSSC at the appropriate level they must undertake 60 hours of Post Registration Training and Learning within the 5 year registration period and provide evidence that they have done this. This can be met through:

Study

Training

Courses

Seminars

Reading

Teaching

Other activities which advance a registrants professional development It is each employee‟s responsibility to ensure they meet their post registration training requirements however employers are expected to assist under the SSSC‟s Code of Practice for Employers. Each piece of training undertaken must be recorded on the SSSC PRTL form and, as good practice it is recommended that all staff record training on this or a similar form.

Template 3.58 – SSSC PRTL Form

Supervision It is good practice to undertake regular supervision sessions with all employees. These sessions are one to one meetings with the manager and/or a member of the Management

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Committee which allow for a general discussion and review of performance as well as the opportunity to discuss challenges, training and the employees personal development plan. The tasks of supervision for employees are:

To assist in achieving the aims and objectives of the service

To ensure the aims and objectives of the service are understood

To help understand their roles and responsibilities

To monitor performance

To facilitate good communication between the service users, staff, students/ volunteers, managers, the service and the local community

To encourage more confident and competent employees Sessions should be held no less than once a term however circumstances may arise which lead to either party requesting to increase the frequency of sessions. Both the employee and the person leading the sessions should ensure that sessions take place and where possible have an agreement to meet on the same day at the same time on a regular basis. Agenda items will be agreed in advance and both parties have the right to expect each other's attendance at the session prepared for the topics on the agenda. Topics that may be covered include:

Day-to-day working with children and young people, with parent(s)/carer(s), with colleagues, and with the Committee

Allocation/delegation of work/tasks

Monitoring of performance/progress

Approaches to working practices

Provision of constructive feedback

Evaluation and review of the Individual Development Plan Specific issues relating to grievance or disciplinary matters will be dealt with through your club‟s Grievance and Staff Disciplinary policies. Supervision sessions are an excellent opportunity to discuss issues relating to performance and recording these discussions is important to ensure that should disciplinary action be taken the employer has proof that issues were discussed and no improvement was made. Supervision sessions should be recorded and signed by both parties. The senior staff member will ensure that supervision recordings are placed in the individual‟s personal file and that the staff member receives a copy. If the supervisory relationship breaks down the senior staff should discuss the situation and another supervisor/manager or member of the Management Committee should take over the supervision meetings at the earliest opportunity.

Template 3.59 – Supervision Agenda Form Template 3.60 – Supervision Record Form

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Appraisals An important part of a manager‟s job is motivating and encouraging employees to be productive contributors. Employee appraisals are a powerful tool toward this end. By approaching the appraisal process as an on-going, positive event, you can:

Increase communication

Establish clear expectations

Reinforce good performance

Improve unsatisfactory performance

Foster a spirit of co-operation and teamwork

An annual appraisal will be held to formally review and record an assessment of the employee‟s performance, assess strengths and areas for improvement, and to draw up and implement an Individual Development Plan. The supervisor who has conducted supervision sessions throughout the year will also conduct the appraisal. Both the employee and the supervisor have the right to ask for another senior employee or member of the Management Committee to attend the appraisal.

Preparation

When leading a staff appraisal it is important to be prepared. Some points to note are:

Collect facts / training achievements / performance notes in advance

Review previous objectives

Be aware of constraints for failing to complete staff objectives

Agree a date for the appraisal and issue the appraisal form

Agree on a date for completion of self evaluation and return

On return read the comments thoroughly

Allocate time and privacy for the appraisal and minimise disruption

Try to ensure the setting is informal encouraging open conversation

Self Evaluation

There are a number of self evaluation methods which can be used as part of the appraisal process. A training skills analysis is a simple process that is useful to ascertain the current skill level of an employee and is a pro-active document when implementing a formal process. Linking in with the appraisal process allows a quick method of identifying the current skill levels of employees and assist with identifying objectives and training requirements. This allows both the employee and the employer or trainer to discuss, identify and agree the level of training required. Another method of self evaluation is focusing on the employee's job description. Asking the employee to „rate‟ themselves in each specific aspect of their own job description will also identify current skill levels and identify objectives and training requirements.

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A new training needs analysis is needed to assess the extent that the managers have enhanced their and the organisation's performance.

Template 3.61 – Employee Training Skills Analysis Template 3.62 – Manager Training Skills Analysis

Template 3.63 – Play Worker Self Evaluation Template 3.64 – Deputy / Supervisor Self Evaluation

Template 3.65 – Manager Self Evaluation

The Appraisal Process

The annual appraisal will cover the following areas:

Self Evaluation

The employee completing the section in advance and a discussion following this should be the first part of the appraisal which is briefly recorded.

Review of Job Description

An opportunity to amend the employee‟s job description should be given at this stage. Tasks carried out specifically by the employee not listed could be added to make it a more personal job description.

Review of Performance

An opportunity to discuss performance and any areas which require development as well as a reflection on positive performance.

Working Relationships

A reflection on working relationships focusing on service users as well as colleagues.

Participation

Discussion around the employees understanding of participation and their involvement in this.

Strengths and Areas for Improvement

More focused discussion on what the employee does well and where they can improve.

Objective Setting

The employee and appraiser should at this time agree on objectives for the forthcoming year. Objectives will arise from discussion throughout the appraisal and may also link in with the completion of the training audit. It is important that objectives are SMART: S - Specific M - Measurable A - Achievable R - Realistic T - Timescale

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Appraisal Feedback

Feedback as part of the appraisal process should be positive as well as negative. The more positive feedback that is given the more positive behaviour is reinforced. By applying the simple model „The 3 C‟s‟ this process will provide you with excellent appraisal interviews.

Communication

Discuss the problem/challenge Listen to each other – communication is a two way process Ask questions Establish common ground Check any assumptions Be flexible – unknown circumstances might emerge

Clarity

State problems in specific terms Stick to the facts Be tactful but tackle the problem Be direct – it is confusing if you drop hints or generalise Base discussion on behaviour – not personally Focus on what you have seen – not what you think Give the right amount of information – do not overload

Commitment

Show commitment Seek solutions from the individual where possible Share ideas and information State actions required Gain commitment / agreement Ask employee to summarise what they are going to do Give them a copy of the notes as soon as possible

3.66 - Employee Appraisal Record

Record Keeping

At the end of the appraisal the appraiser should ensure the main points of discussion and the agreed objectives are recorded. A copy should be given to the employee and a second held within the employee's staff file. A calendar of supervision sessions should then be agreed (no less than once per term) and at each session the agreed objectives are discussed.

The Manager's Appraisal

It is important that the Management Committee recognise the need to appraise club managers however it is recognised that in some clubs this maybe difficult. Each committee should at the first meeting following the AGM elect a member of the committee to appraise and supervise the manager. Where possible a person with experience of carrying out appraisals should be identified. The Out of School Care Team can assist with this where required.

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Performance Review There may be times where the performance of an employee needs to be reviewed. Prior to considering any disciplinary action relating to performance steps should be taken to improve performance informally through a variety of methods including support and supervision. Where there is a specific issue to be discussed the supervisor will add this to the meeting agenda and ensure the staff member has a copy in advance of the meeting, allowing them to be fully prepared and add their own items for discussion. When the specific issue is discussed at the meeting it will be explained to the staff member why this was put on the agenda and an open discussion on the subject will follow allowing the employee‟s own opinions and views to be listened to and recorded. At the end of the discussion on the subject it should be clear that the employee understands the issue and the proposed plan of action, for example if the subject is „clumping‟ it should be written that the staff member will be aware of situations where it occurs and will try not to get involved in it with other staff. A review date, for example the next supervision meeting should be made to discuss progress with the issue. There may also be situations where further support or training can be provided to help improve the employee‟s performance which should be followed through. In all cases a performance improvement plan should be drawn up in the event that further disciplinary action is required however it should be stated that the discussion was informal. In most cases these more informal methods should resolve any difficulties identified. If the employee fails to improve or sustain improvement the formal procedure will need to be commenced.

Template 3.67 – Performance Review Form

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Absence Management

Introduction As an organisation you will be committed to improving the health, well-being and attendance of all employees, therefore a formal process of absence management is required. By having a system in place for managing absence effectively it ensures that a fair and consistent approach to dealing with all absences and where appropriate records and tracking procedures are in place. It is the responsibility of the club to implement, monitor and review the policy. The Management Committee must ensure that there is a clear Absence Management Policy in place and that employees should be given written instruction on any absence reporting procedure and policy.

The Cost of Poor Absence Management

All clubs will have some degree of absence to manage. This can be costly, time consuming and adversely affects efficiency and morale. The implications of paying Statutory Sick Pay to employees and the additional cost of shift cover can have a financial impact on the club and de-motivate employees possibly leading to complaints due to increased workload.

Principals of an Absence Management System All absence management systems should be based on the following principles:

regular, punctual attendance is an implied term and condition of employment – each employee is responsible for achieving and maintaining good attendance.

support should be provided for employees who have genuine grounds for absence for whatever reason.

the club may contact an occupational health advisor, where appropriate

the club's Disciplinary Procedures will be used if required

confidentiality will be maintained regarding all information relating to an employee's absence in line with all Data Protection legislation.

Annual Leave It is important that as an employer you give employees, as a minimum, their statutory amount of annual leave per year. It is equally important that there is a system in place for managing employee‟s annual leave ensuring club operations are not affected during these periods.

Statutory Entitlement

From 1st April 2009 employees are entitled to a minimum of 5.6 weeks annual leave if they work full-time which is an equivalent of 28 days with no further entitlement for public

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holidays. As most employees in out of school care work part time the entitlement needs to be calculated on a pro rata basis ensuring that the statutory entitlement is given based on their contracted hours of work. All calculations should be based on a 5 day working week where 1 day equals 0.2 and totaled in hours. To calculate statutory leave for employers the following sum can be used: Example: Employee works 20 hours per week 20 x 5.6 = 112 Hours Statutory Entitlement

Fixed Entitlement

It is a requirement to ensure employees are aware of how much of their leave is fixed. For most clubs the Christmas holidays will be fixed and managers should deduct this from the statutory entitlement at the beginning of the holiday year to ensure that all employees are paid for this period. Clubs may also wish to make public holidays fixed days with the remaining entitlement being taken when the employee chooses provided the notification requirements are met and club operations are not affected.

The Leave Year

Leave years can run from anytime for a 12 month period. Popular choices include:

1st January to 31st December The first week after Christmas Holidays to the last week the following year 1st October to 30th September

Extending the leave year by allowing employees to carry forward any leave they have left should be decided by the Management Committee. Good practice dictates that all leave should be taken within the leave year however in exceptional circumstances, e.g. it isn‟t possible to take leave due to staff shortage it may be appropriate to allow an employee to carry some forward.

Annual Leave Procedure

The club must ensure at all times that they adhere to the strict staff:child ratios and maintain high standards, whilst minimising undue pressure on staff. Good managerial planning is essential to ensure that there is not a build up of holiday commitment that could cause operational difficulties within the club and that annual leave is budgeted for through good financial planning. When annual leave is authorised other staffing issues should be taken into account e.g. members of staff who may be undertaking training at that time or have already had holiday passed for the same dates. The likelihood of being able to cover the shifts must always be taken into account before granting annual leave dates. As a general rule the number of employees able to take leave on the same dates should be limited. This number will vary depending on the total number of employees the club has and the likelihood of covering shifts. Care should be taken during holiday periods to ensure that employees are not required to work 10 hour days without suitable breaks out with the club area under the provisions of the Working Time Regulations. It is advisable to monitor annual leave allocated - a record should be kept where dates of all leave granted can be recorded, e.g. a wall calendar or a Team Leave Record. In general authorisation of annual leave should be carried out by the club manager with a designated member of the Management Committee authorising their leave.

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The following procedures are good practice and should govern the annual leave request procedure:

1. All requests for annual leave should be submitted using an Annual Leave Request Form fully completed, signed and passed to the club manager. Sufficient notice periods should be in place for requests, e.g. leave lasting more than 5 days should be submitted with a minimum of 4 weeks notice prior to the first day of the requested period. Requests for annual leave for less than 5 days may be submitted with a minimum of 2 weeks notice

2. On receipt of the form the manager should record the date received on the back of the form.

3. If cover can be found the manager will confirm that the annual leave can be taken and record the information on the employees Annual Leave Record held in their staff file. In circumstances where annual leave requests need to be approved by the Management Committee the form should be passed to a committee member and authorisation given/refused as soon as possible.

4. Once it has been established whether or not the leave can be granted the tear off slip on the annual leave request form should be returned to the employee and the reverse of the form fully completed. Where it is not possible to honour the request the manager should do their best to accommodate alternative dates.

Should an employee wish to change any holiday dates they must do so in writing and agreement will be at the discretion of the manager/Management Committee. Once leave has been granted it must be recorded on an Annual Leave Record. The first, last and total number of hours/days as appropriate should be recorded and the remaining leave noted.

Template 3.68 – Annual Leave Request Form Template 3.69 – Individual Annual Leave Record

Template 3.70 – Individual Annual Absence Record Template 3.71 – Team Annual Leave Record

Template 3.72 – Return to Work from Abroad Record

Sickness Absence As an employer it is important to have a clear Absence Management Policy with regard to sickness. Appropriate systems which manage absence properly help to prevent poor absence records. It is important that club managers are cautious in their approach when dealing with periods of sickness absence by a pregnant employee and should note that all pregnancy related illness should be discounted as the club may be seen to be discriminatory.

Reporting Procedure

All staff should be given contact names and numbers of who to call on their first day of absence. It is advised that all employees who are to be absent with sickness should notify the designated person as soon as possible. It is advised that managers and Management Committee agree cut off times for reporting sickness, e.g. where a shift is due to start before 12 noon this is done between 6.45am and 7.00am or preferably the night before, and for a shift with a start time of after 12 noon contact must be made no later than 9.00am. Where a medical appointment will determine whether the employee will be

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absent all employees should be aware that they need to report before the cut off time and then advise on the outcome immediately after the appointment.

During the phone call a clear indication of the nature of the illness and a likely return date should be given. Where the employee does not feel comfortable discussing medical problems alternative arrangements should be made. At the time of the call the designated person should check with the employee if there is any relevant information they need to know about their current workload.

An Absence Report Form should be completed for all absences. The employee will be asked specific questions regarding the absence and the report will be held in their staff file with all responses being treated as private and confidential.

Template 3.73 – Absence Report Form

Template 3.74 – Individual Sickness Record Form

Short Term Sickness

When an employee reports their absence it can be quickly established if the absence is short term or likely to be long term. Short term absences are usually the result of minor aches and pains such as colds, headaches, toothache etc. The frequency of short term absences may be as a result of a medical condition, e.g. migraines and therefore this should be noted within their staff file and be taken into consideration when recording absences. Established short term absences will normally last for a period of less than 7 days (including Saturday and Sunday). During this time it is reasonable to keep in touch with the employee by telephone and have a clear policy on communication, e.g. contact on days 2, 4 and 7. All conversations should be recorded on an Employee Absence Report Form and where the employee fails to contact the club manager it is reasonable for the manager to telephone the employee at home. During the telephone conversations the employee should indicate the likely length of absence. An employee Self Certificate should be completed for the period of absence. This can be done by using a self certificate SC2 (available from GP Surgeries/online) or using the clubs own self certificate. On the eighth day of absence a medical certificate obtained from a doctor must be submitted by the employee. Where an absence exceeds 3 days the employee may be entitled to SSP and the employer should make the necessary arrangements with the payroll provider. On return to work the employee should be given a return to work interview.

Template 3.75 – Employee Self Certificate Form

Monitoring Sickness Absence

It is important to monitor absence as employers often find absence patterns emerge with individual employees. These patterns are often due to genuine influences however they should be fully investigated and measures put in place to help employees. An appropriate way of monitoring is holding records regarding the periods of sickness and identifying „trigger points‟ which would activate an investigative procedure. This could be:

4 separate periods within a 6 month period

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a period of more than 4 weeks

a specific day absence, e.g. a Monday or Friday

The First Meeting

In circumstances where a trigger point is identified it is appropriate to investigate the absence(s) by inviting the employee to a meeting where the situation can be discussed. The meeting will be a formal stage of the Absence Management Policy however the agenda will focus on providing support, guidance and methods which will help improve the employee‟s sickness absence record. The meeting should be attended by the club manager and a member of the Management Committee, normally the Staff Liaison Officer. The employee should be advised in writing of the meeting, the reasons for which it has been called and be provided with an agenda. The letter should list the periods of absence (dates and duration) to which the meeting will refer and clearly state that the object of the meeting is to provide support for the employee. The right of the employee to be accompanied by a colleague or trade union representative should also be stated. During the meeting all agenda points should be covered in a way which is unobtrusive however draws the employee‟s attention to their absence record and offers support to the employee. At the end of the meeting there should be clear outcomes of support identified which may include:

target setting

advising an improvement is required

arranging appropriate counselling

requesting a health assessment

temporary reduction or change in hours

withdrawal of right to self certificate At the end of the meeting the employee should receive a letter which details the outcomes and timescales if appropriate. All identified measures should be put in place as soon as possible and monitoring carried out through frequent supervision sessions. The letter should clearly state that failure to carry out the measures put in place or improve the absence record will result in disciplinary action being taken.

Template 3.76 – Invitation to Informal Meeting Letter

Template 3.77 – Informal Meeting Outcome Letter

Long Term Sickness

For out of school clubs long term sickness can be difficult to cope with. Decisions will need to be made regarding temporarily replacing the employee or reorganising the staff to ensure that the club continues to meet required staff:child ratios. Long term sickness will be governed by the submission of a doctor‟s certificate lasting for various periods of time. It is the duty of the employee to inform the club prior to the expiry date of the certificate if they will be returning to work. This is usually at least two days prior to its expiry date. The Manager and Management Committee should ensure that there are procedures in place to deal with long term sickness and their obligation to assist employees in their

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return to work. Long term sickness must be monitored and dealt with effectively to ensure that it does not reduce the quality of service provided. During a period of long term sickness regular communication is vital to ensure effective communication between the employee and the manager/Management Committee. There may be times where it is appropriate for the club manager and/or a representative from the Management Committee to visit the employee at home however where possible informal meetings will be held in the club. During any period of long term absence the employee must be kept informed if there is any risk to employment. Another way of helping an employee return to work is a referral to an Occupational Health Specialist. An OHS will advise an employee on their fitness for work and/or to provide an estimate of when they may safely return to work.

Requesting Medical Information

Where it is determined that the employee will be off sick for a long period the manager and Management Committee must decide if they wish to obtain a medical report on the employees condition. Prior to this being carried out the employee's consent must be received. When requesting this information the employee must be advised of:

Their right to withhold consent

Their right concerning access to the report before and after it is supplied

Their right to request amendments The report can be provided by the employee's own GP or the Management Committee can request a medical report from a doctor of their choice. Where the employee refuses they should be advised that a decision will be taken by the Management Committee should make decisions based on the information they have. During the period of absence the club should investigate whether they can help the employee return to work, for example by:

changing / reducing the hours of work

changing the work carried out by the employee

making reasonable adjustments (Under the Disability Discrimination Act 1995)

3.78 – Employee Medical Report Request Letter 3.79 – GP Medical Report Request Letter

Formal Disciplinary Procedure

Where no improvement is made in an employee‟s absence record disciplinary action can be taken however the correct process needs to be carefully followed and advice can be sourced online or directly from agencies such as ACAS and/or an employment law solicitor before anything is actioned. The procedure used should be the club's formal Disciplinary Procedure (refer to section, Disciplinary and Grievance). At formal meetings the agenda should include:

the purpose of the meeting and the implications of the procedure the shortfall between the employee‟s attendance and the required standard investigations which consider:

the reasons for absence / lateness

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whether the company can assist the employee in attaining better attendance

any mitigating circumstances

A decision will then be made about issuing the appropriate warning depending on the stage the procedure is at. Where the procedures reach the stage of dismissal the Management Committee should ensure that all possible informal/formal action has been taken and that dismissal is the last resort. Taking Disciplinary Action against an employee whilst they are on long term sickness should be a last resort after all other options have been considered. In these circumstances the correct process needs to be carefully followed and advice can be sourced online or directly from agencies such as ACAS and/or an employment law solicitor before anything is actioned. The procedure should be carefully adhered to and all decisions taken fully justified. Please refer to the Disciplinary and Grievance section of the BIS.

Return to Work

On return to work the club manager will interview the employee to ensure they are fit to return to work. The interview will be informal however a record must be kept. The interviewer must ask and record information regarding:

the illness

medical advice sought

their return to work

symptoms which could prohibit food handling

action required Action that may be required will be determined by the interview with the aim that any taken will assist the employee to carry out their normal duties. All action, its duration and an evaluation should be recorded for future reference. On completion of this form the club manager will note the absence on the employee's individual Absence Record and ensure all certificates of sickness are fully completed. At this time the manager will check the Absence Record to ensure that there is no pattern to absence, e.g. off every third Monday. Where a pattern is found or the club manager is not satisfied with the employee's return to work interview / reason for absence they must follow the procedure for monitoring sickness absence.

Template 3.80 – Return to Work Interview Record

Lateness

Persistent lateness by employees can result in wasted money and poor morale within the workforce. All incidents of lateness by employees should be recorded and raised informally within supervision sessions. Informal action should be taken and the templates for an absence meeting can be used. Where an employee fails to improve disciplinary procedures should be actioned.

Template 3.81 – Employee Lateness Record

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Absence Absence without pay is a common occurrence within the place however needs to be managed effectively to ensure that it does not affect daily club operations

Authorised Absence

As an employer it needs to be recognised that there are times where an employee requires to be absent from work however does not wish to use annual leave. A policy should be in place for managing absence. Payment for authorised absence should be agreed in advance and determined by the club rules. An example is giving an employee paid time off where there has been a death in the family. The following procedures should be applied if an employee wishes to request authorised absence:

1. All requests for authorised absence should be submitted using an Authorised Absence Record Form fully completed, signed and passed to the club manager. Sufficient notice periods should again be in place.

2. On receipt of the form the manager should record the date received on the back of the form.

3. If cover can be found the manager will confirm that the authorised absence can be taken and record the information on the employees Absence Record held in their staff file. In circumstances where absence requests need to be approved by the Management Committee the form should be passed to a committee member and authorisation given/refused as soon as possible.

4. Once it has been established whether or not the leave can be granted the tear off slip on the Absence Request Form should be returned to the employee and the reverse of the form fully completed. Where it is not possible to honour the request the manager should do their best to accommodate alternative dates.

A period of long term absence, e.g. an employee going abroad for the summer holidays should be authorised by the Management Committee. Employees should give as much notice as possible as approval may take up to 6 weeks (depending on the date of the next Management Committee meeting). Where approval is given an Absence Agreement should be drawn up and signed by the employee and club manager which outlines the agreed absence dates, the date of return and any other stipulated conditions relating to the absence. Where the absence needs to be refused full reasons should be given in writing to the employee.

Template 3.82 – Absence Request Form Template 3.83 – Absence Agreement Form Template 3.84 - Individual Absence Record

Unauthorised Absence

In out of school clubs unauthorised absence, where an employee fails to attend work, is not only a cause for concern but can leave the club in a position where it cannot meet staff: child ratios. The Absence Management Policy within the club and the implications of taking unauthorised absence need to be clear for all employees. Any incidence of unauthorised absence in the first instance should be dealt with by the club manager and recorded. The

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reasons given by the employee will determine whether further disciplinary action will be taken. It is important when managing unauthorised absence to establish the cause and ensure that it is not work related. It is helpful to offer the employee support, e.g. change in hours, period of authorised absence which may prevent further unauthorised absences. Repeated unauthorised absence or patterns of unauthorised absence will action disciplinary proceedings which should be carried out by the Management Committee.

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Disciplinary and Grievance

Disciplinary Proceedings Introduction

A disciplinary procedure is necessary in order to clarify the rights and responsibilities of the employee and management to achieve a fair and equal treatment for all concerned. The aim of the disciplinary procedure is to ensure the employee achieves and maintains the required standard of performance and conduct. In cases where club rules are breached the employee should be subject to the clubs disciplinary procedure, consisting of various stages of verbal and/or written warnings. Full investigation and consideration of circumstances must be carried out in all situations. Each stage of the warning should be followed but there are some offences which are sufficient to warrant more serious penalty immediately. In certain cases a written warning, or final written warning, may be given without first going through the initial stage. It is important when handling any disciplinary proceedings to consult with the most up to date ACAS Code of Practice: Discipline and Grievances at Work. Where an employment tribunal becomes involved they are legally required to take into account if the Code was used and can adjust compensatory awards made up to 25% either way depending on the circumstances.

Common Beliefs

Wrong Right

Discipline is to punish Discipline is primarily to encourage improvement in either work performance or conduct of the individual employee

Warnings can be given without a disciplinary interview taking place

Before any warnings are issued a disciplinary interview must take place with all the relevant parties

You cannot omit levels of the disciplinary procedure

You can omit levels of the disciplinary procedure depending on the severity of the offence

There is no need to keep a record of any verbal warnings

A record of all verbal warnings must be kept

An employee who has allegedly committed gross misconduct must be suspended without pay

An employee who has allegedly committed gross misconduct may be suspended with pay to allow further investigation

You cannot dismiss an employee for offences outside work

It is possible to dismiss an employee for offences which have a serious effect on the needs, interests, efficiency and image of the club

Employees who resign cannot make a claim for unfair dismissal to an Employment Tribunal

Employees with over one year's service can make a claim to an Employment Tribunal for constructive dismissal if they believe they have no option but to resign*

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Casual workers do not go through the disciplinary procedure - they can just be dismissed

Casual worker disciplinary issues should be dealt with in line with club policy

* Constructive dismissal refers to a situation where an employee believes they have no option but to resign as a result of the actions of the employer. This may lead to a claim for unfair dismissal at an employment tribunal.

Rules In order to ensure that the disciplinary process can be carried out properly when required it is important that staff are clear about their role, responsibilities and what is expected of them. The foundation of this is carrying out a thorough induction programme and carrying out regular staff training throughout employment. Rules can be incorporated in:

Terms and Conditions of Employment (Breech of Contract)

Codes of Conduct

Policies and Procedures Failure to abide by the rules laid down in employee contracts will result in disciplinary action being taken. This could result in the issuing of a formal verbal warning, written warning or final written warning depending on the severity of the offence and other factors including disciplinary record. By having every employee sign to say they have read and understood training in the event of a disciplinary matter you as the employer have evidence that the employee was aware and understood any implicated procedures.

Gross Misconduct

The following list provides examples of offences which are normally regarded as gross misconduct:

theft, fraud, deliberate falsification of records

fighting, assault on another person

deliberate damage to property

serious incapability through alcohol or being under the influence of illegal drugs

serious negligence which causes unacceptable loss, damage or injury

failure to carry out a reasonable instruction

failure to comply with safety standards

disclosure of information relating to the Club's clients' methods of trading and/or processes

threatening behaviour

acts of incitement and/or acts of discrimination on the grounds of race, ethnic background, colour, sex, religion, age or disability, etc

deliberate breach of the club's data protection rules This list is neither exclusive nor exhaustive and, in addition, there may be other acts of misconduct of a similar gravity which would constitute gross misconduct.

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If an employee is accused of an act of gross misconduct, they may be suspended from work with pay, normally for no more than five days, while the club investigates the alleged offence. If, on completion of the investigation and the full disciplinary procedure, the club is satisfied that gross misconduct has occurred, the result will normally be instant dismissal without notice or payment in lieu of notice.

Informal Proceedings This procedure should be followed where there is an issue with poor performance relating to an employee. It is important to clearly show any action taken as evidence may be required should formal proceedings take place at a later date. Such proceedings can take place through:

Informal Discussion

There may be times where the manager feels it is right to informally discuss an arising issue with an employee, for example if they are persistently late. The manager may take the employee to an area suitable for a private discussion and explain that their behaviour is unacceptable and times of arrival to work are being noted. The manager should record the discussion as a file note in the event that further disciplinary action is required, however it should be stated that the discussion was informal.

Team Meetings

Monthly team meetings may allow for a discussion regarding any arising issues that the manager may be concerned about. For example if employees are involved in „clumping‟ (where employees talk to each other and do not interact with children) it may be raised at a meeting and the discussion recorded which will provide a written record but not target one employee.

Support and Supervision

Each employee will have an appraiser who is responsible for carrying out their annual appraisal, training audit and support and supervision. The senior employee will also have meetings with other senior employees/Committee staff liaison to discuss the performance of employees and issues which need to be discussed individually. A performance review from should be completed where this action is taken with the proceedings clearly stated.

Training

A performance issue may bring to light the need to carry out training with an employee or as a team. It is often better where training can help resolve the performance issue it is done with the whole team. At the end of the training session it is important to ask all participants to sign a training register which will state that they understood the training which took place.

Mediation

Disciplinary issues can sometimes be resolved with the assistance of mediation. This is a process where a mediator (those trained and accredited by an external mediation service or are internal mediators) helps two or more people in dispute to reach an agreement. The

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use of mediation should only be used in appropriate circumstances and after talks between employees themselves have broken down. The use of mediation can be written into the clubs Disciplinary Policy however should be an optional stage in the procedure. It needs to be made clear to the employee that formal proceedings will be suspended if mediation is taking place.

The Formal Process If an employee is subject to disciplinary action, fair and consistent procedures will be used. These procedures will be based on the following principles:

Procedures should be used primarily to encourage improvement and not to impose punishment.

The employee must be informed of the complaint against them and provided with an opportunity to state their case before decisions are reached.

Issues should be dealt with thoroughly and promptly at all stages.

No action is taken until facts have been established and that the action is reasonable.

Employees have the right to be accompanied at disciplinary hearings by a colleague or trade union representative however it is policy that family members do not attend.

Investigations will be non-discriminatory and apply equally to all staff irrespective of sex, marital status, sexual preference, race or disability.

Employees should be given a written explanation for any disciplinary action taken and the method of improvement stated.

Dismissal will only be possible if an act of gross misconduct has been proved.

Every employee will be given the right to appeal against management action in disciplinary matters.

When considering disciplinary action against an employee it is important to fully investigate all information and promptly establish and record the facts before memories of events fade. The manager of the club should begin formal proceedings by taking the matter to the attention of the Management Committee for discussion. All findings and records of the investigation process carried out to that point should be submitted. It may be required, depending on the circumstances, that the manager leaves the room while a discussion between the Management Committee members takes place. Circumstances taken into account should be:

The alleged breech of discipline, the circumstances and the consequences

The employee's position, experience, length of service and disciplinary record

The evidence of witnesses

Any recent changes to the job

Any previous incidents

Whether the worker has received appropriate training or counseling

Any mitigating circumstances or provocation

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At this stage it may be necessary to invite the employee to an investigatory meeting which should be attended by the club manager if appropriate and a representative of the Management Committee. This purpose of the meeting is to establish the facts and is no part of the formal disciplinary process. Should the Management Committee decide that formal proceedings are required one member of the Management Committee should take the responsibility of managing the process as Chair of the panel. Again the circumstances of the situation will determine whether two members are required or if the manager is to take part in the proceedings. When electing a member(s) of the Management Committee it should be remembered that, should the employee appeal any decision, the appeal should be heard by a person of higher or equal status than the person who heard the initial proceedings. It is recommended that the Chairperson does not take part in the initial proceedings allowing them to be part of the appeal hearing should the need arise. This process should be followed each time disciplinary action is taken regardless of how many times it has been carried out previously. If after initial investigation a matter appears sufficiently serious, the procedure may be taken up at any appropriate stage, even when an employee has no current warnings on record.

3.85 – File Note Form 3.86 – Witness Report Form

3.87 – Disciplinary Investigative Notes

Suspension

In some situations, e.g. matters involving gross misconduct, where relationships have broken down or there are risks to an employer's property or responsibilities to other parties, consideration should be given to a period of suspension with full pay whilst an investigation is carried out. Suspension should only be imposed after careful consideration and should be reviewed to ensure it is necessary. It should be made clear the suspension is not part of the disciplinary action.

The Right to be Accompanied

Throughout the process the employee will have the right to be accompanied to hearings. It should be clearly stated in the clubs Disciplinary Policy who can accompany the employee. In most circumstances it will be limited to a work colleague, an official employed by a trade union or a lay trade union official as long as they are certified as having experience of, or have received training in this role. Where an employee is disabled it is reasonable for them to ask to be accompanied by another person, e.g. partner, spouse or legal representative and this should be considered by the panel. Where the person accompanying the employee is a colleague they are entitled to reasonable paid time off to fulfil this responsibility.

Preparing a Written Statement

Before formally discussing any issue relating to a disciplinary offence you must send the employee a written letter which states exactly what they have done, their rights and a date for a hearing to discuss the matter. The elected Chair of the disciplinary panel should ensure the written statement contains all necessary information before signing. When preparing this written statement note that:

Where English is not the person‟s first language, or they have difficulty reading, the employer should explain the content of the letter to them orally.

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The wording of the letter should be clear and inform the employee of the procedure which will be followed.

The hearing should be at a reasonable time of day and a convenient location, taking into account that the person accompanying the employee may have a disability.

It is important to allow the employee time before the hearing to arrange a suitable person to accompany them and to prepare their case and evidence.

Their right to be accompanied

At this time the employee should be sent copies of any documents which will be produced at the meeting including witness statements gathered during the investigation process.

If witnesses are to provide statements at the meeting the employee should be notified in advance

Consider if mediation is appropriate The letter should contain sufficient information about the alleged misconduct and the possible consequences to enable the employee to fully prepare for the hearing. If the employee is still working in the club the letter should be handed to the employee personally and signed for on receipt to confirm they have received it. In situations where the employee is not at work the letter should be sent by recorded delivery.

Template 3.88 – Invitation to Disciplinary Hearing Letter

The Hearing

Preparation for the hearing is important to ensure that the procedure is carried out properly according to statutory procedure. Points to note are:

Ensure you are familiar and abide by the club's Disciplinary Policy, work place standards and codes of practice

Refer to similar cases for procedure and action taken to ensure consistency

Ensure copies of all documents written during the initial investigation and any other related documentation are at hand and copies have been sent to the employee in advance

Ensure the note taker has copies of all documentation and evidence which will be used and sufficient materials to fully record the hearing.

Everyone in attendance should be provided with a written agenda. During the course of the hearing it is important to follow a written agenda to ensure that everything is covered. The items which should be covered include:

Introductions and an explanation of each individual's role.

Explanation that the hearing is to discuss the possibility of disciplinary action being taken against an employee.

Explanation of how the hearing will be conducted.

Description of the nature of the complaint and any evidence being submitted.

Hearing of witness statements, allowing the employee to question witnesses.

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Hearing the employee‟s witness statements, allowing the panel to question the witnesses.

The employee then further states their case and responds to allegations.

Summarising of the main points. Should the employee explain their poor performance or misconduct and the explanation is satisfactory the meeting should be stopped. During the hearing the person accompanying the employee should be allowed to address the hearing to put forward and to sum up the employee‟s case, and to respond on the employees behalf to any view expressed at the hearing. The accompanying person should be allowed to participate fully if wished by the employee however should not prevent the employer explaining their case. Where the employee raises a grievance relating to the subject being discussed at the hearing it is recommended that advice is sought from ACAS and/or an employment law solicitor before taking the procedure any further. At the end of the meeting both parties should be satisfied that all information has been shared and discussed. The hearing should then be concluded with the chair explaining when the decision will be made and when the employee will be notified. If possible the employer and the panel should allow time to make their decision on any action to be taken at the end of the hearing and ask the employee and their colleague or trade union representative to wait while a decision is made. Where the decision cannot be made on the same day the employee should be given an idea of how long it will take before they receive notification of the action to be taken. Following the disciplinary hearing the panel may choose to:

Drop the matter

Provide counselling, training or support to help resolve the matter

Take formal disciplinary action Before making the decision the panel should take into account:

The explanations given by the employee

The evidence submitted at the hearing

The employee's disciplinary and general record

The employee's length of service

Actions taken in any previous similar cases

In conclusion the panel should be able to justify that the intended disciplinary action is reasonable under the circumstances. Regardless of whether or not the outcome of the hearing has been given to the employee verbally it should be confirmed in writing. The letter should state:

The result of the hearing

The reasoning behind the decision

Any specific improvement required and a review date

Support that will be provided

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How long the sanction will remain in record

The likely consequence of further misconduct

The right to appeal

Template 3.89 – Disciplinary Hearing Agenda Template 3.90 – Disciplinary Hearing Outcome Letter Template 3.91 – Disciplinary No Further Action Letter

Failure to Attend

In circumstances where an employee fails to attend a hearing, with or without prior notice it is important to ensure the correct procedure is followed. In the first instance every effort should be made to contact the employee and rearrange the hearing or attempt to break down the barriers which are preventing the employee from attending. The original letter (Template 3.69) should be adapted to recognise the first hearing did not take place and where a second hearing is scheduled. Where this fails the employer should take into account:

The seriousness of the disciplinary issue being considered

The employee‟s disciplinary record

The employee‟s general work record

The medical opinion on whether the employee is fit to attend In situations where the employer has taken everything into account, the employee has been given every opportunity possible to attend the meeting and failed, the employers can decide to make a decision based on the evidence available. In these circumstances the employee should be informed of the decision.

Template 3.92 – Disciplinary Failure to Attend Letter

Stage 3 – The Appeal Part of the statutory procedure is to offer the right to appeal to an employee regardless of the initial decision made. An employee may wish to appeal because:

They think a finding or penalty is unfair

New evidence has come to light

They feel the procedure was not followed correctly. At the appeal stage the most senior person e.g. the Chairperson should be involved to hear the appeal and make the final decision. It is the ideal scenario in clubs that the Chairperson is not involved in the original hearing enabling them to be impartial when hearing the appeal. Where this is not possible the person responsible for the appeal should act as impartially as possible. The records and notes of the original disciplinary meeting should be made available to the Chairperson/most senior person hearing the appeal. When a letter is received the person hearing the appeal should arrange a meeting and inform the employee in writing of the date the appeal will be heard. All considerations taken into account from the disciplinary meeting also apply to the appeal meeting. At the meeting the agenda should include:

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Introductions and explanation of the meeting

Employee stating the reason for appeal

Discussion of previous evidence and witness statements at disciplinary hearing

Submission of any new evidence not previously heard

Allow witnesses to enter and hear statements

Both parties further state their case and respond to allegations

Summarise the main points

The decision regarding the appeal should be made as soon as possible and a letter sent to the employee notifying them of the decision. It should be made clear to the employee that this is the final stage of the grievance procedure.

3.93 – Disciplinary Appeal Hearing Letter 3.94 – Disciplinary Appeal Decision Letter

Sanctions The following are sanctions which could be used as the outcome of a disciplinary hearing. It is good practice to give an employee at least one chance to improve their conduct or performance before being issued with a final written warning. However if an employee's misconduct or unsatisfactory performance – or its continuance – is serious it may be appropriate to issue a final written warning. As stated below each warning should have a time limit and provided the employee‟s performance has been satisfactory for the set period it should cease to be live. It should be noted that in circumstances where an employee‟s conduct is satisfactory for the set period however lapses soon thereafter and this develops into a pattern it is reasonable to take this into account when deciding how long a warning should last.

Stage 1 - Recorded Verbal Warning

Issued For:

Minor Misconduct Performance Problems

If conduct or performance does not meet acceptable standards the employee will normally be given a formal RECORDED VERBAL WARNING by the manager. The employee will be advised of the reason for the warning, that it is the first stage of the disciplinary procedure and of the right to appeal. A brief note of the warning will be kept on the employee's personal file but it will be spent after 6 months subject to satisfactory conduct and performance.

Stage 2 - Formal Written Warning

Issued for:

More Serious or Further Incidents Insufficient Improvement Following Stage 1

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If the offence is a serious one, or if a further offence occurs, a WRITTEN WARNING will be given to the employee. This will give details of the complaint, the improvement required and the timescale. It will warn that action under Stage 3 will be considered and, if there is no satisfactory improvement, will advise of the right to appeal. A copy of this written warning will be kept on the employee's personal file, but it will be disregarded for disciplinary purposes after 9 months subject to satisfactory conduct and performance. A written warning should contain the following:

Employee's name

Reference to disciplinary interview

Date of warning

Date of incident(s)

The problem(s) and details of deviation from the required behaviour

Expected action and/or improvement required

Review date and/or frequency of review

Penalty for repeat offences or for not achieving improvement

Name of the person to contact when using the grievance procedure

The signature of the person giving the warning

The signature of the employee to acknowledge receipt of the warning and the date.

Stage 3 - Final Written Warning

Issued for:

More Serious or Further Incidents Insufficient Improvement Following Stage 2

If there is still a failure to improve and conduct or performance is still unsatisfactory, or the misconduct is sufficiently serious to justify dismissal (in effect both first and formal written warning), a FINAL WRITTEN WARNING will normally be given. This will give details of the complaint, will warn that dismissal will result if there is no satisfactory improvement and will advise of the right of appeal. A copy of this final written warning will be kept on the employee's personal file but it will be spent after 1 year (in exceptional cases the period may be longer) subject to satisfactory conduct and performance.

Stage 4 – Dismissal

Issued for:

Gross Misconduct Insufficient Improvement Following Stage 3

If conduct or performance is still unsatisfactory and the employee still fails to reach the prescribed standards, DISMISSAL will normally result. The employee will be provided as soon as is reasonably practicable, with written reasons for dismissal, the date on which employment will terminate and the right of appeal. An appropriate notice period or payment in lieu of notice should be given.

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The terms and conditions of employment may allow at this stage for another sanction, e.g. demotion, loss of seniority or loss of increment with the agreement of the employee.

Employment Tribunals Employment tribunals are independent bodies set up to investigate and determine complaints about individual employment rights. These include such areas as unfair dismissal, sex and race discrimination and equal pay. The tribunal comprises a legally qualified chairperson and representatives from employees and trade unions across industry. They have the authority, depending on the circumstances of the case, to order the employer to compensate, re-instate/re-engage the employee or uphold the employer‟s decision.

Record Keeping A written record of all disciplinary cases should be kept. This includes notes of:

The complaint against the employee

The employee‟s defence

Findings made and actions taken

The reasons for actions taken

Whether an appeal was lodged

The outcome of the appeal

Grievances raised during the procedure

Notes of formal meetings. All records should be treated confidentially, stored under the provisions of the Data Protection Act 1998 and kept for no longer than is necessary.

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Grievance Proceedings Introduction

Grievances are concerns, problems or complaints that employers raise with their employees. An employee may at sometime during their employment have an issue about their work, working conditions or relationships with colleagues that they wish to be addressed. The purpose of a grievance procedure is to provide a fair and effective method for resolving individual grievances within a reasonable time of any particular issue being raised.

Informal Proceedings Many problems can be resolved quickly and informally therefore within the club's Grievance Policy there should be an informal method of employees being able to raise grievances through the club manager and also through the Management Committee's Staff Liaison Officer if more appropriate.

The Formal Process

Within the formal process is the statutory process which must be followed. This is important as, should an employment tribunal become involved, they will penalise the club for not using the statutory procedure. In situations where there are reasonable grounds for the employer or employee to follow through with the statutory procedure an employment tribunal would take this into account. This may apply where either party feels that by following the procedure they may be exposed to a significant threat including violent, abusive or intimidating behaviour. The employer or employee must believe that they would come to some serious physical or mental harm, their property or some third party is threatened, or the other party has harassed them and this may continue before the exemption would apply. An exemption may also apply where circumstances arise beyond the control of either party which prevent the procedure being carried out within a reasonable period, e.g. illness. Where this arises on the employer's side they should consider another manager dealing with the procedure. The manager of the club should begin formal proceedings by taking the matter to the attention of the Management Committee for discussion. All findings and records of any informal process carried out to that point should be submitted. It may be required, depending on the circumstances, that the manager leaves the room while a discussion of the Management Committee takes place. At this stage the Management Committee should form a sub-group with a chair being elected to manage the process. It is important to remember that should the employee appeal any decision the appeal should be heard by a person of higher or equal status than the person who held the initial proceedings. It is recommended that an office-bearer other than the chair-person of the club takes part in the initial proceedings. This will allow the Chairperson to hear the appeal should the need arise. Grievance issues can be resolved using mediation as conflict between employees is often a cause for a grievance issue. This is a process where a mediator (those trained and accredited by an external mediation service or are internal mediators) helps two or more people in dispute to reach an agreement. The use of mediation can be written into the clubs Grievance Policy as an optional stage in the procedure.

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Grievances must be put in writing and sent to the manager or where appropriate the club's staff liaison officer. Any grievance not put in writing by the employee should be dealt with however the employee must be informed of the statutory procedure and that by not following this they will not be able to take the case to an employment tribunal. Where in circumstances the employee is unable to put the grievance into writing they should be encouraged to seek help from a colleague or other representative.

Grievance Meeting

On receipt of the letter from the employee the manager should arrange a meeting and advise the employee as soon as possible. When preparing this letter it should be noted that:

Where English is not the person‟s first language, or they have difficulty reading, the employer should explain the content of the letter to them orally.

The wording of the letter should be clear and inform the employee of the procedure which will be followed.

The meeting should be at a reasonable time of day and a convenient location, taking into account that the person accompanying the employee may have a disability.

The employees right to be accompanied.

Consider similar grievances raised previously and how these were resolved. This will ensure consistency of treatment.

Consider whether mediation is appropriate. In situations where the employee cannot attend the meeting it is reasonable for them to suggest a new day and time to meet, however this should be within 5 days of the original date unless it is extended by mutual agreement. At the meeting the employee should be given the opportunity to explain their grievance fully and how they think the situation can be resolved. During the meeting the Chair of should:

Remember that discussion and dialogue may lead to an amicable solution

Put care and thought into resolving the grievance

Make allowances for an employee „letting off steam‟ if they are under stress Where the employer feels that further investigation is required or that they need to seek advice the meeting should be adjourned. On completion of the meeting(s) and subsequent investigations the employer should then within a reasonable time respond to the grievance in writing. Normally a reasonable time is 5 working days however where a delay is unavoidable the employee should be advised as to when a response will be received. The letter should advise the employee of their right to appeal.

Template 3.95 - Grievance Meeting Letter Template 3.96 – Grievance Meeting Response Letter

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Right to Appeal

At the appeal stage the Chairperson who was not involved in the initial proceedings should hear the appeal. When a letter is received the person hearing the appeal should arrange a meeting and inform the employee in writing of the date the appeal will be heard. The records and notes of the original grievance meeting should be made available to the person hearing the appeal. During the appeal meeting the employee should be given the opportunity to explain their reasons for appeal and how they think the situation can be resolved. The decision regarding the appeal meeting should be made as soon as possible and a letter sent to the employee notifying them of the decision. It should be made clear to the employee that this is the final stage of the grievance procedure.

Template 3.97 – Grievance Appeal Meeting Letter Template 3.98 – Grievance Appeal Decision Letter

Record Keeping A written record of all grievances should be kept, treated confidentially, stored under the provisions of the Data Protection Act 1998 and kept for no longer than is necessary.

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Statutory Benefits

Introduction Employees are entitled to receive statutory benefits provided they meet qualifying criteria. It is the responsibility of employers to ensure that they abide by the rules and regulations relating to these benefits.

Statutory Sick Pay Statutory Sick Pay is the entitlement to pay whilst an employee is off sick. This is paid by the employer for a period of up to 28 weeks. Before an employee is entitled to SSP they must satisfy all of the qualifying conditions:

Have average weekly earnings equal to or more than the lower earnings limit for National Insurance Contribution purposes – regardless of whether or not they are required to pay NICs.

Have earnings on which you are liable to pay employers Class 1 NICs, or would be liable to pay but for their age or level of earnings.

Have notified you of their sickness within the stated time limits or if you haven‟t informed them of the time limits, no later than 7 days after the first day of sickness.

Be sick for four or more days in a row – known as the Period of Incapacity for Work (PIW).

To calculate the average weekly earnings the calculation should be based on the employee‟s gross salary over an 8 week period. This period may vary slightly depending on whether employees are paid weekly or monthly.

Exclusions

Employees are excluded from the right of SSP if on the first day of the PIW

They are over the age of 65 or under the age of 16

Their average weekly earnings are less than the lower earnings limit.

The contract of employment has not begun

The employee has provided a leavers statement which shows that 28 weeks SSP has already been due from former employer and there is a gap of less than 56 days from the last day of sickness shown on the statement

Employees who are not entitled to SSP for any of the reasons listed above should receive form SSP1 available from the Department of Work and Pensions or downloadable from the internet. SSP can be withheld if the employer has reason to believe that the employee was not ill or that the reporting of absence did not comply with the club‟s absence policy. In these circumstances further advice should be sought by the employer.

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Periods of Incapacity for Work

SSP is normally paid for days an employee would normally work and known as Qualifying Days. The first 3 days of sickness (known as waiting days) are not counted as qualifying days and employees are not entitled to SSP on these days unless the period is considered a „Linking Period‟. Periods where an employee is sick for a period of 4 continuous days and is entitled to SSP are known As Periods of Incapacity for Work. Days where the employee were not due to work (e.g. days off/holidays) are still counted however if they go home feeling unwell part way through the working day, this day is not generally counted. A PIW (Period of Incapacity for Work) to be eligible for SSP is created if an employee is unfit for work due to illness for 4 continuous days whether or not they were actually due to work these days. (For example days off/holidays). If an employee is pregnant and off sick in the 4 weeks before your baby is due, SSP will stop and any entitlement to Statutory Maternity Pay (SMP) or Maternity Allowance (MA) will start automatically. If the employee is entitled to SMP or MA, they will be unable to get SSP under any circumstances for 39 weeks starting with the day of entitlement to those payments.

Linked Periods

One or more Period of Incapacity for Work can be linked to form just one period providing each one is of at least 4 consecutive days in length and are separated from the next by no more than 56 executive days. When periods can be linked together only the first in the chain has waiting days. If a Period of Incapacity for Work links to one whilst the employee was working for another employer the total amount payable by the two employers is 28 weeks. If an employee is absent for 28 weeks or more and achieved the maximum entitlement of SSP and then returns to work and then is sick again after a period of at least 5 days (i.e. no linking Period of Incapacity for Work), is incapable of work due to sickness for at least 4 days another new maximum entitlement of 28 weeks is allowed. Periods of SSP with a previous employer no longer count towards an employee‟s maximum period of SSP.

SSP Rate

The days on which SSP can be paid are known as qualifying days and dictate how much SSP is paid per day. In clubs these days are generally Monday through until Friday. To calculate the daily rate of SSP for employees the weekly rate of SSP can be divided by the number of qualifying days, e.g. £75.40 (Weekly Rate 08/09) ÷ 5 (normal OOSC days), daily rate is £15.08. After the employee has received SSP for 28 weeks and they are still of sick form SSP1 should be completed and given to the employee.

Assistance with SSP

Dealing with SSP can be complex and as an employer it is important to ensure that the correct payments when due are made. The club manager should ensure that all record

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keeping is carried out and when an employee is sick the payroll provider is given all the information required to calculate if SSP is to be paid.

Occupational Sick Pay Schemes

Employers may choose to offer Occupational Sick Pay to employees which is equal to, or more than SSP. In these circumstances the employee will still have an underlying entitlement to SSP for 28 weeks where the conditions for payment are satisfied. Where the employee continues to be off sick and the entitlement to OSP ends the employer must complete form SSP1 enabling the employee to claim Employment Support Allowance.

Maternity Rights The law regarding maternity rights is very clear and all aspects of the procedure must be adhered to by the employer. It is important to keep up to date with the current legislation and guidance and have copies of relevant information leaflets on hand. All pregnant employees regardless of their length of service are entitled to a period of 52 weeks maternity leave. This consists of 26 weeks ordinary maternity leave and 26 weeks additional maternity leave regardless of the length of continuous service provided that certain notification requirements are met. When an employee advises you they are pregnant it is important to begin the standard procedure immediately to ensure that as an employer you meet all legal requirements.

By the end of the 15th week before the baby is due the employee must tell you she is pregnant and advise you in writing how much maternity leave they are taking and when they want it to start. After the 21st week of pregnancy the employee must give you form MATB1 which confirms when the baby is due.

As an employer you must carryout a risk assessment to identify specific risks to the health of the employee and baby as soon as you are notified

You must allow the employee paid time off to attend antenatal appointments

As an employer you must write back to the employee within 28 days confirming the dates for maternity leave and when they are due back at work. It is advisable if not already done to determine how much annual leave will be due and when this is to be taken. The employee has the right to change her mind about dates however must give 8 weeks notice in writing.

At this time it is advisable to agree on the kind of contact during maternity leave. Up to 10 days during her leave can be working days to attend meetings or training.

Once all details have been confirmed you should consider how you will manage the absence, e.g. do other staff need to be trained, is a temporary worker required?

If the employee is off work because of her pregnancy in the four weeks before the week her baby is due you must start her maternity leave and pay from the first day after the first day of her absence for pregnancy in those 4 weeks.

During her absence you should keep in touch with her about what is going on in the club, e.g. by sending minutes of meetings, newsletters, inviting her to attend staff meetings and training sessions.

Before the employee is due to return to work you should discuss this with her and carefully plan the return and ensure sufficient notice is given to any temporary workers taken on.

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If your employee changes her mind about her return date she must give you eight weeks notice and you have the right to postpone her return until you have had 8 weeks notice although it cannot be postponed past 52 weeks.

Any request from the employee to change work flexibly must be taken seriously. It can only be turned down on genuine business grounds.

For mothers who are breastfeeding you must talk to her about arrangements which need to be made and carry out a risk assessment with her.

Template 3.99 – Employer Maternity Leave Response Letter

Statutory Maternity Pay

When the employee advises you of the dates she wishes to take her maternity leave you must advise her within your response letter if you will be paying her SMP and if so how it will be paid. The employee will qualify for SMP if she has been continuously employed by you for 26 weeks into the 15th week before the week her baby is due and earns enough to be relevant for National Insurance purposes. There is an HMRC calculator on the HMRC Website which can be used to help you work out if you are to pay SMP. If she does not qualify for SMP you must give her a form SMP1 which will help her apply for Maternity Allowance. SMP is paid for 39 weeks. 90% of the employees average earnings for the first 6 weeks and then the lower of the 90% rate or a flat rate for the rest of the time. If as an employer you are paying SMP you should find out if you can claim this back. You are entitled to claim back at least 92%, however small employers are able to claim back all of the SMP plus some compensation. If paying SMP will cause you financial problems you can claim the money in advance by contacting the HMRC helpline. If you are unsure how to go about paying SMP please contact your payroll provider in the first instance or help can be found on the HM Revenues and Customs website, www.hmrc.gov.uk or by telephoning their helpline on 08457143143.

Paternity Benefits

Should an employee's wife or partner have a baby and the employee have 6 months continuous service leading into the 15th week before the baby is due they are entitled to take paid paternity leave allowing him to support the mother and care for the child. Equally if your employee is adopting a child and not taking adoption leave he will qualify for paternity leave if he has been employed for 6 months leading into the week he is notified of being matched with a child. Leave must be completed within 56 days of the birth or placement in the case of adoption. Eligible employees can choose to take either one week or two consecutive weeks paternity leave. Leave can begin on any day of the week following the child‟s birth or placement however the employee must notify the manager of their intention to take paternity leave in writing and submitting this by the end of the 15th week before the baby is due or as soon as a placement date has been set if the child is to be adopted.

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It is also good practice to allow expectant fathers to take time off for attending appointments during pregnancy, e.g. ultrasound and antenatal appointments. Clubs should adopt a policy regarding this and if the time will be paid or unpaid.

Template 3.100 – Employer Paternity Leave Response Letter

Statutory Paternity Pay

The employee will qualify for SPP if he has been continuously employed for 6 months continuous service leading into the 15th week before the baby is due and earns enough to be relevant for National Insurance purposes. There is an HMRC calculator on the HMRC Website which can be used to help you work out if you are to pay SPP. Where the employee does not qualify there are special rules for them to claim Income Support during their paternity leave and you must give them form SPP1. SPP will be an entitlement if the employee has average earnings at least equal to the NICs Lower Earnings Element (LEL). SPP is paid for a maximum of 2 weeks at a standard weekly rate or 90% of their average weekly earnings, whichever is lower. If as an employer you are paying SPP you should find out if you can claim this back. You are entitled to claim back at least 92% however small employers are able to claim back all of the SMP plus some compensation. If paying SMP will cause you financial problems you can claim the money in advance by contacting the HMRC helpline. If you are unsure how to go about paying SPP please contact your payroll provider in the first instance or help can be found on the HM Revenues and Customs website, www.hmrc.gov.uk or by telephoning their helpline on 08457143143.

Adoption Leave Employees who have 6 months continuous service ending with the week in which they are notified of being matched with a child for adoption will be eligible for 26 weeks ordinary adoption leave followed immediately by 26 weeks additional adoption leave. Where a couple is jointly adopting only one parent is entitled to take adoption leave. The adopter must inform the club of their intention to take adoption leave within seven days of being notified by the adoption agency they have been matched with a child for adoption, unless this is not reasonably practicable. They must include the date the child is expected to be placed with them and when they wish the adoption leave to begin. This date can be the expected day of placement or from a fixed date which can be 14 days before the expected date of placement. Within 28 days of receiving notice the Management Committee must respond by providing the date the employee is due back to work following adoption leave. Where it has not been indicated whether or not additional adoption leave will be taken the Management Committee should assume the employee wishes to take 52 weeks leave. Employees are entitled to Statutory Adoption Pay (SAP) if they have been employed for a continuous period of 26 weeks, ending with the week in which they are notified by the adoption agency, that they have been matched with a child for adoption and have an average weekly earning of at least equal to the lower earnings limit for National Insurance contributions. SAP can be paid for up to 39 weeks and is paid by the club however it can

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be reimbursed by the government for reimbursement partly or wholly depending on the circumstances. Should the employee wish to return to work before the end of adoption leave entitlement or wish to change a notified return date sufficient notice of 8 weeks must be provided. After the total period of adoption leave the club will do their best to reinstate the role carried out prior to beginning the adoption leave and if this is after 26 weeks are legally obliged to do this. Where the employee returns at the end of 52 weeks equal or better terms and conditions of employment must be offered - however it is possible to alter the role and responsibilities within the club. This would also be the case if parental leave follows the adoption leave. If the club is unable to offer suitable alternative work and have no choice but to make you redundant you may be entitled to redundancy pay however if you unreasonably refuse a suitable offer you may forfeit this right.

Template 3.101 – Employer Adoption Leave Response Letter

Statutory Adoption Pay

When the employee advises you of the dates they wish to begin adoption leave you must respond by letter if you will be paying him/her SAP and if so how it will be paid. The employee will qualify for SAP if they have been continuously employed by you for 26 weeks extending into the week in which they are notified of having been matched with a child. There is an HMRC calculator on the HMRC Website which can be used to help you work out if you are to pay SMP. If he/she does not qualify for SAP you must give him/her a form SAP1 which will help the employee apply for other benefits during this time. SAP is paid for 39 weeks at a standard weekly rate or 90% of the employee's average weekly earnings. If as an employer you are paying SMP you should find out if you can claim this back. You are entitled to claim back at least 92% however small employers are able to claim back all of the SMP plus some compensation. If paying SMP will cause you financial problems you can claim the money in advance by contacting the HMRC helpline.

Parental Leave An employee with 1 year's continuous service who has a child, either by birth (named on the child‟s birth certificate) or by legal adoption is entitled to take parental leave. This entitles a parent to take a total of 13 weeks unpaid leave before the child‟s 5th birthday. If the child has additional support needs a total of 18 weeks may be taken up until the child is 18 years old. All figures are per child. An employee who has been an employee for less than one year may begin taking parental leave as soon as they have 1 year‟s continuous service however all leave must still be taken by the time the child reaches 5 or 18 years old depending on the circumstances. An employee wishing to take parental leave must give 21 days notice of their intention stating the start date and length of leave. The employer has the right to postpone leave for up to 6 months if it will seriously affect the club's operation.

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The length of leave is limited to no more than 4 weeks in any year. However where the employee chooses to take parental leave following their maternity leave the full length of time may be taken. Where an employee chooses to take any part of the week, e.g. 3 days of a week this counts as one full week. This does not apply to parents of children with additional support needs. When an employee who has a child under the age of 5 or 18 depending on the circumstances there right to parental leave will be discussed and at that time they must declare if any parental leave has been taken in previous employment and the manager may check this will be verified by the manager. After any period of parental leave the employee will return to their previous role however they must recognise that where parental leave follows maternity leave the Management Committee have the right to change the role and responsibilities depending on the needs of the club at the time.

Template 3.102 – Employer Parental Leave Response Letter

Time off For Dependants Time off for dependants is a statutory entitlement which allows an employee, regardless of the length of service time off unpaid, to deal with an emergency involving a dependant. In these circumstances a dependant is defined as a partner, child or parent or someone who lives with the employee as part of their family. Examples of when time off may be taken include:

If a dependant falls ill or is injured in some way

If a partner is having a baby

To deal with the death of a dependant

To deal with an unexpected disruption or breakdown in care arrangements The length of time required to be taken off will vary depending on the circumstances however legislation states that the length of time must be reasonable to deal with the emergency. The employee and employer should both define reasonable absence at the time of the emergency or within 24 hours. The time off is provided for the employee to take immediate action and make long term arrangements if required. For example an employee whose child has a fall and breaks a leg can be granted time off to deal with the initial emergency and attend medical appointments however they would not be entitled to take a number of weeks off and would be expected to make other arrangements for the child‟s long term care.

Employees must inform the employer as soon as practicable for their absence and how long they expect to be absent. Notice in writing does not need to be given however the employee must keep in touch with the employer regarding the length of the absence. Employers will keep full records of any time off taken in these circumstances and where they feel the right is being abused the situation will be dealt with according to normal disciplinary procedures.

Flexible Working Flexible working allows employees in certain situations to request a permanent change to their normal working hours or conditions, e.g. working from home. This aims to satisfy

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business needs and service users' expectations whilst improving the work/life balance of their employees who have responsibility for the upbringing of a child or children under the age of 16 or a child with additional support needs under the age of 18. The request may involve a change in hours, working times or a request to work from home for part of a week. In certain circumstances carers of an adult in need of care may also apply for flexible working. Within out of school for play workers it is unrealistic to work from home however those with additional responsibilities, e.g. administration tasks it may be possible to work from home for some of the time. An application for flexible working can be made once an employee has worked with the club for 26 weeks continuously and has not made another application to work flexibly within the previous 12 months. The application must be made in writing and include the following points:

date of application

state the request is being made under the statutory right to apply for flexible working.

the employees relationship to the child or adult

the proposal, the possible effects on the club and how this may be dealt with

start date for the proposed change to begin, ideally 12 – 24 weeks later

if previous application has been made

Employers Response

On receipt of a request for flexible working the manager and members of the Management Committee will hold a meeting with the employee to discuss the request and its implications. Where the request is agreed the employee should be notified within 28 days stating their start date and outlining their amended terms and conditions of employment. In situations where the manager and Management Committee cannot immediately agree to the request, a meeting must be arranged with the employee to further discuss the request. This meeting should be held within 28 days of the application and be attended by the club manager and at least one representative of the Management Committee. It is advised the Chairperson does not take part in this meeting allowing them to hear an appeal if required. The employee has the right to be accompanied by a colleague if they wish. The agenda of the meeting is primarily to discuss the request, the implications and agree an outcome if possible which may be a compromise of the original request. Within 14 days of the meeting the employee should be notified in writing stating the decision which will be one of the following:

An accepting of the request, agreed start date and any other action required.

A statement of the agreed compromise agreed at the meeting, start date and any other action required.

A rejection of the request setting out clear business reasons and the appeals procedure.

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Applications for flexible working arrangements can be refused only for the following reasons:

The burden of additional costs

Detrimental effect on ability to meet customer demand

Inability to re-organise work amongst existing employees

Inability to recruit additional employees

Detrimental effect on performance

Detrimental effect on quality

Insufficiency of work during periods the employee proposes to work

Planned structural changes

Appeals Procedure

Where the request is rejected the employee has the right to appeal against the decision and should submit any such appeal within 14 days. The club has a further 14 days to arrange an appeal meeting. The outcome of the appeal should be disclosed to the employee within 14 days. The result of the appeal will be one of the following:

Uphold the appeal, stating the agreed variation and start date

Dismiss the appeal, stating the grounds and an explanation of the decision It is advised where possible that a compromise be reached when an employee makes a request for flexible working however this will not always be possible and clubs should ensure the correct procedure is followed. Any request made for flexible working that is accepted by the Management Committee will be a permanent change and the terms and conditions of employment will be changed accordingly.

Template 3.103 – Flexible Working Meeting Letter Template 3.104 – Flexible Working Agreement Decision Letter

Template 3.105 – Flexible Working Request Refusal Letter Template 3.106 – Flexible Working Appeal Meeting Letter

Template 3.107 – Flexible Working Appeal Decision Letter

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Redundancy

Introduction There are many reasons redundancy may become necessary however it is recognised that there are times where it is unavoidable. As an employer it is the duty of the Management Committee to avoid the need for redundancy through effective financial and human resource management, e.g. the use of short time working. In situations where redundancy is the only available option it is important to check current legislation for guidance on correct procedures and timescales which must be carefully followed. It is advised that advice from agencies such as ACAS and an employment law solicitor is taken before anything is actioned. Information can be found online however you should act cautiously with advice from professionals with experience. Where applicable trade unions should also be consulted.

Short Time Working

Short time working may be necessary action taken by Management Committees. For example in circumstances where the number of children using the club reduces and the club is unable to pay employees their contracted hours therefore temporarily reducing hours until numbers rise. Before taking any action careful consideration should be given to ensuring that it is the best option for both the employees and the club. Ideally short-time working should be used as an alternative to redundancy where possible. It is advisable that before reducing any employees hours that the manager or a member of the Management Committee should contact the Department of Work and Pensions and seek advice from ACAS or an employment law solicitor for advice. Reducing hours should be carried out on a temporary basis. Where the employee works a 5 day week the club must guarantee payment for 5 days in a 3 calendar month period. Each employee‟s case is individual and benefit depends on the days normally worked and employees should be advised to ask about benefits they may be entitled to from the Council or other organisations, e.g. they may be entitled to Job Seekers Allowance. Where short time working procedures are carried out it is the responsibility of the employer to give a list to the Department of Work and Pensions of the names of all staff involved, together with a note of which payment dates are paid as guaranteed Payment Dates. If during a period of short time working extra hours become available employees whose hours have been reduced should be offered these before relief employees. Any employee who is on short time working where they receive less than half a weeks pay for a period of 4 consecutive weeks or 6 weeks in a continuous period of 13 weeks they may be able to claim a redundancy payment. In these circumstances the claim should be put in writing. Notice of short time working should be given in writing. It should be in the form of a letter individually addressed to the employee and contain the following details:

Reasons for action

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New or reduced guarantee of employment

Period of short time involved

Method of review and period of review

Assurance that all will be done possible to safeguard jobs

Any short time notice then requires a permanent change in the guaranteed working week and must be dealt with as a “change in contract” or possible redundancy.

Template 3.108 – Letter Advising of Short Time Working

Redundancy As defined in the Redundancy Payment Act, redundancy arises when employees are dismissed because:

a) The employer has ceased, or intends to cease, to carry on the business for the purpose of which the employee was employed.

Or

b) The employer has ceased, or intends to cease to carry on the business at the place where the employee was employed

Or

c) The requirement of the business for the employees to carry out work of a particular kind has ceased or diminished or is expected to cease or diminish.

Or

d) The requirement of the business for the employees to carry out work of a particular kind, in the place where they were so employed, has ceased or is expected to cease or diminish.

Where 20 or more employees are being made redundant there is a requirement by law to consult with employees; however this will very rarely apply in out of school care as clubs generally do not employ more than 20 people.

Redundancy Policy

It is advised that clubs have in place a redundancy policy to ensure that in the unfortunate event of making employees redundant the employers and employees are clear about the procedure which must be followed. The policy should contain:

A statement of intent to maintaining job security wherever practicable

Details of consultation with trade union or employee representatives

Measures for minimising or avoiding redundancy

Guidance on the selection criteria used where redundancy is unavoidable

Details of severance terms

Details of expenses paid or appeals procedure

Details of help available for redundant employees to obtain training or search for alternative work.

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Redundancy Procedure

A summary of the main steps which must be taken are:

1. Notify the employee of the reason for redundancy and invite them to a meeting to discuss the matter and explain their right to be accompanied.

2. Hold the meeting with the employee discussing the reasons for redundancy and outline the appeal procedure.

3. Where an appeal is required hold a further meeting and at the end inform the employee of the final decision.

As with other procedures it is advised not to involve the Chair Person of the Management Committee in the procedure allowing them to hear any appeal an employee may make.

For any redundancy it is good practice to contact the Department of Work and Pensions who will issue the appropriate forms. It should be noted that if ten or more people are involved then the Club Committee has a statutory requirement to contact them.

Guidance Notes on Selection

When choosing which employees are to be made redundant the selection process used must be fair. There are a number of reasons which would be deemed unfair therefore careful consideration should be taken before making a final decision. When choosing the selection criteria an important consideration is to maintain a balanced workforce after redundancies have been carried out. The club committee should interview all affected staff individually and to establish personal circumstances. From the interview, the club committee should make reasonable attempts to find alternative employment, for example checking with other clubs regarding possible vacancies. Preference in jobs should go to permanent members of staff. Specific skills, flexibility, adaptability and an employee's approach to work may be relevant considerations to the future success of the business as are attendance or disciplinary reasons - however this should be very carefully applied as mistakes made in this process could lead to an employee taking the club to an employment tribunal. In all cases the employer must be able to demonstrate there has been comparative analysis of all information relating to the selection criteria and that the there is no discrimination on the grounds of race, sex, disability, sexual orientation, age, religion or belief. It may be useful for the employer, in advance of making any selection, to consider the offer of voluntary redundancy or early retirement with common practice to be for the employer to offer enhanced redundancy payments as an incentive - however with early retirement there may be a longer financial commitment in the form of a pension.

Assistance in Finding Other Work

As out of school clubs are considered small businesses it is unlikely alternative work can be offered to employees where redundancy is necessary, however you will be able to contact other clubs in the city who may be looking to fill vacancies. It is also reasonable to allow the employee time off to seek alternative work or make arrangements for training.

Template 3.109 – Redundancy Meeting Letter Template 3.110 – Redundancy Notification Letter

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Appeals

An appeal procedure may be invoked by employees who feel that the decision to make them redundant was unfair. Where an employee requests an appeal in writing a meeting should be arranged where the grounds for appeal can be discussed and a final decision made.

Template 3.111 – Redundancy Appeal Meeting Letter Template 3.112 – Redundancy Appeal Decision Letter

Redundancy Payments Redundancy pay should not be confused with notice under the employee‟s contract. Proper notice should be given in writing stating the employee‟s rights. It should state whether notice would be paid in lieu. Redundancy payments should be made if an employee has at least 2 year's continuous service. For each complete year of service up to a maximum of 20, employees are entitled to:

For each year of service under the age of 22 – half a week‟s pay

For each year of service at age 22 but under 41 – one week‟s pay

For each year of service at age 41 or over – one and a half weeks pay A week's pay is calculated based on their contracted hours at the time of the „calculation date‟ up to a statutory minimum which should be checked by the employer. A written statement should be given to the employee stating how the redundancy payment is calculated. Where the employer is unable to pay any redundancy payment as it would damage the business, the Department for Business, Enterprise and Regulatory Reform (BERR) can make the payment from the National Insurance Fund however this must be paid back.

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Retirement

Introduction In accordance with the Employment Equality (Age) Regulations 2006, clubs must ensure that retirement procedures are fair and non-discriminatory. It is up to each club to determine its normal retirement age however it is advised that this is 65 with the option of employees choosing to continue working if they wish. It is also good practice to state in your employee handbook and/or club policies that the Management Committee will consider a request for retirement at an age below 65 and that requests should be put in writing and a meeting to discuss this will take place.

The Process The Management Committee should, at least 6 months before retirement is due, write to the employee giving notice of their intended retirement date and their right to request to continue working beyond that date as well as the arrangements for a meeting to discuss the matter further with the manager and at least one member of the Management Committee.

Template 3.113 – Retirement Meeting Letter

The Meeting

Prior to this meeting it is helpful for the manager and Management Committee to know whether the employee wishes to retire or continue working, this will allow adequate preparation for the meeting. The meeting should fully discuss the options for the employee and should they wish to continue working the implications of this should be fully discussed, e.g. reducing hours, aids which may assist the employee. A further date for retirement should also be made, e.g. the employee may wish to work on until 68 and in this case the procedure should again be followed 6 – 12 months prior to their 68th birthday. Should the employee indicate they wish to retire this meeting is helpful to discuss relevant issues including:

Reduction of hours over a long period Pre-retirement courses Income details Financial considerations when retired

Notifying the Employee

Following the meeting the Chair should put in writing the outcome of the meeting offering the right of appeal against the decision. The employers have 3 options at this stage. These are:

Accept the employee wishes to retire and confirm this

Accept the employee wishes to continue working and accept this

Refuse the employees wish to continue working

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It should be noted that in circumstances where an employee is willing to continue working this is in the best interests of the club as it will save time and money in not having to recruit a new employee and incur the cost of induction and training.

Template 3.114 – Confirmation Non Retirement Letter Template 3.115 – Confirmation Retirement Letter

Template 3.116 – Refusal to Continue Working Letter

Appeal Should the employee wish to appeal against the decision taken they should do so in writing. The Management Committee should arrange an appeal meeting as soon as is reasonable and notify the employee of the decision as soon as possible afterwards.

Template 3.117 – Retirement Appeal Meeting Letter Template 3.118 – Retirement Appeal Decision Letter

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Health and Safety

Introduction As employers there is clear legislation which governs health and safety which must be abided by. Management Committees must ensure that they meet all their responsibilities.

Legislation The law with regard to health and safety in the workplace is very clear with detailed responsibilities of both employers and employees which are enforced by the Health and Safety Executive. Under the Health and Safety at Work Act 1974, employers have certain responsibilities towards their employees and any other people who come into the club.

The Act states that as an employer the management must provide:

A safe and healthy place to work

Safe access

Safe equipment

Instruction, training and supervision

Adequate welfare facilities

Employees also have duties under Health and Safety law. These responsibilities include:

Taking care of yourself and others, including service users and visitors

Using equipment safely and in the way you have been trained.

Following instructions and not using equipment unless you have been trained.

Notifying a senior employee of any hazards or potential risks you find

Employees can also be liable to prosecution if you do not follow the rules laid down in the Act. Within the courts it is possible to be tried under both criminal and civil law with regard to health and safety. Criminal Law The Health and Safety at Work Act 1974 creates statutory duties to

ensure the safe operation of facilities. Sections 3 and 4 of the act require employers to take all reasonably practical precautions to ensure the health and safety of all persons within the club under their control. This means that so far as is reasonably practical, activities should take place in a safe manner, in suitably designed and adequately controlled persons.

Civil Law If a person sustains injury or damage which can be attributed to

„negligence‟ on the part of the employer they may be liable to pay compensation to the victim. This is quite apart from any criminal or civil penalties for contravention of the law.

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In both criminal and civil cases it is ultimately for the courts to decide whether the law has been broken. However, the degree to which safety recommendations have been observed is likely to have a strong influence on the outcome. The ultimate responsibility lies with the Management Committee therefore part of their role is to ensure that the organisation of health and safety is in place, monitored and reviewed. Failure to do so may have catastrophic results should an accident occur within the club.

Regulations

Under this Act there is a number of regulations which must be abided by. These include:

Management of Health and Safety at Work Regulations 1999

Workplace Health, Safety and Welfare Regulations 1992

Manual Handling Regulations 1992

The Reporting of Injuries, Diseases, Dangerous Occurrences Regulations 1995

Control of Substances Hazardous to Health (COSHH) Regulations 2002

Provision and Use of Work Equipment Regulations 1998 (PUWER)

First Aid At Work Regulations 1981

Approved Codes of Practice

Approved Codes of Practice offer practical examples of good practice and give advice on how to comply with the law by illustrating what is meant in specific situations where the regulations state „suitable and sufficient‟. These documents have special legal status. If employers are prosecuted for a breach of health and safety law, and it is proved that they have not followed the relevant provision of the Approved Code of Practice, a court can find them at fault unless they can show they complied with the law in some other way. Each Code of Practice covers a set of regulations and in the document it details each aspect of the regulations and what is required by the employer in more simple language. Approved Codes of Practice which are held by the club cover:

Management of Health and Safety at Work Regulations 1999

Workplace Health, Safety and Welfare Regulations 1992

Manual Handling Regulations 1992

First Aid At Work Regulations 1981

Clubs should hold a copy of each code and use it as a reference guide.

Guidance

A wide range of guidance documents are available from HSE and clubs should hold an up to date library of leaflets and information relating to different aspects which you can be reference and read by the Management Committee and staff. These documents are particularly useful as they:

Help people to understand health and safety law

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Help people to comply with health and safety law

Give advice Under the legislation it is the competent persons in charge of health and safety are responsible for obtaining relevant guidance documents and using these documents to help comply with law. Further information can be found on the website, www.hse.gov.uk.

Health and Safety Law Poster

All employers must display a copy of the Health and Safety Law poster under the regulations. This poster contains information inserted by the appointed persons responsible for health and safety and includes:

Details of the Employee Representative

Management Representative

The Enforcing Authority

Appointed Persons

As an employer the Management Committee must appoint a person responsible for health and safety within the club. This person should be someone with health and safety experience who is able to plan, implement, monitor and review all aspects of health and safety. A qualification, preferably the REHIS Intermediate Health and Safety Certificate should be held by the appointed person.

Leading Health and Safety Health and safety law places duties on employers with regard to health and safety. As Management Committees are the employers they have ultimate responsibility for health and safety it is important to understand responsibilities and ensure that under law these are met.

Planning

The day to day operation of health and safety should be delegated to an employee with appropriate training however should be a standing item on Management Committee agendas. Management Committees should be aware of the health and safety procedures within the club and have a role in communicating good practice. It is advised that where possible a member of the Management Committee is designated to be involved in health and safety arrangements.

Delivering

The delivery of health and safety is closely linked with its effective management. The Management Committee is required to take ownership of health and safety by:

Ensuring adequate resources are available for health and safety

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Obtaining advice on health and safety

Ensuring risk assessments are carried out

Consulting with employees regarding health and safety Some good practice points to note include:

Making leadership from the Management Committee visible to employees

Consider health and safety when appointing senior staff

Consider the health and safety arrangements of schools, other service providers that use club areas and contractors which may affect your performance

Where possible have a health and safety committee consisting of Management Committee members and staff – this evidences good support to the staff team

Provide health and safety training to Management Committee members

Monitoring

Monitoring health and safety is vital. It is the responsibility of the Management Committee to ensure there are systems in place which monitor the effectiveness of policy. This will allow incidents which occur to be dealt with at the time which they occur and usually before a formal review takes place. The investigations following each incident/accident should be carried out immediately and a review of procedures being carried out. Monitoring will also cover the effectiveness of changes made to procedures or those put in place as a legal requirement. Some good practice points for monitoring include:

Monitoring absence as a result of incidents/accidents

Collation and reporting of incidents/accidents which occur and resulting investigations as part of formal reports to the Management Committee.

Inclusion of health and safety as part of appraisals

Consulting with employees regarding health and safety

Review

The review of health and safety within the work place is essential. When undertaking reviews the Management Committee should look at policies and procedures in the first instance ensuring they reflect the clubs priorities and culture. It may be wise in the first instance for clubs to carry out an audit of existing health and safety procedures and then implementing a review. Any form of review or audit should be recorded and reported to the Management Committee/staff team depending who was responsible for carrying it out.

Checklist The HSE have compiled a checklist which gives a starting point for Management Committees checking their status regarding health and safety.

How do you demonstrate the Management Committee's commitment to health and safety?

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What do you do to ensure appropriate Management Committee level review of health and safety?

What have you done to ensure your organisation, at all levels including the Management Committee receives competent health and safety advice?

How are you ensuring all staff – including the Management Committee – are sufficiently trained and competent in their health and safety responsibilities?

How confident are you that your workforce are consulted properly on health and safety matters, and that their concerns are reaching the appropriate level including, as necessary, the Management Committee?

What systems are in place to ensure your organisation‟s risks are assessed, and that sensible control measures are established and maintained?

How well do you know what is happening on the ground, and what audits or assessments are undertaken to inform you about what your organisation and contractors actually do?

What information does the Management Committee receive regularly about health and safety – e.g. performance data and reports on injuries and work-related ill health?

What targets have you set to improve health and safety and do you benchmark your performance against others in your sector or beyond?

Where changes in working arrangements have significant implications for health and safety, how are these brought to the attention of the Management Committee?

Managing Health and Safety Policy The club policy on health and safety should be a working document which details the delegated responsibilities of the Management Committee, manager, staff and service users of the club. The policy should list the responsibilities of the Management Committee, manager and staff. The arrangements for health and safety followed by the procedure for monitoring and review should then be clearly stated. There are many policies which fall under the group of health and safety policies the club should have in place. The main policies include:

Health & Safety Policy Risk Assessment Policy COSHH Policy Manual Handling Policy First Aid Policy Evacuation Procedure & Contingency Plan Fire Safety Policy Fire Drill Policy

To manage health and safety it is important to follow 5 steps:

1. Set the policy

2. Organise the staff

3. Plan and set standards

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4. Measure performance

5. Provide audit and review It is important to have within the club environment a positive health and safety environment. Within this there are 4 „Cs‟: Competence Covers recruitment, training and support

Control Allocation of duties, commitment from staff, instruction and supervision

Co-operation Ensure co-operation between the Management Committee, staff, contractors and others who use the club areas

Communication This covers all areas including verbal, written and visible communication

Health and Safety Training Health and Safety training for employees is required under health and safety law. All staff, regardless of their position within the club should be trained in all aspects of health and safety beginning with induction. When arranging training the Management Committee/manager should take into account:

Capabilities, training, knowledge and experience of employees

The demands of the job they carry out and their ability to do so without risk to themselves and others

Changing jobs and extra responsibilities which result in new health and safety implications

Specific additional training for young employees

Planning Training

The HSE suggest a 5 step approach to providing health and safety training:

1. Identify required training taking into account policy, risk assessments, audits, consultation and accident/incident investigations.

2. Identify training priorities taking into account legislation and requirements. Do not overload employees with health and safety training; ensure provision is at regular intervals.

3. Use effective methods and resources for training. Formal accredited training is recommended for all employees however site specific training is also essential.

4. Deliver the training in an effective way making it easy to understand.

5. Evaluate the training. Ensure that employees have understood what has been taught.