4.2 Meeting current legislative and regulatory requirements

Course: NVQ Level 5 Diploma In Leadership & Management for Adult Care

Unit 6: Professional Development, Supervision & Performance Management

LO4: Understand how to manage individual’s performance in adult care settings

4.2 Meeting current legislative and regulatory requirements

To stay in compliance with all current regulations and laws, you should evaluate your organization’s disciplinary procedures. Make sure your organization’s disciplinary and grievance procedures meet the current regulatory requirements. These regulations will likely have been updated since your last review. In addition, identify any other current legislative and regulatory requirements that your organization must meet as part of its day-to-day operations.

The disciplinary procedures of an organization are the set of rules, guidelines, and policies that determine how potential disciplinary issues should be handled. Disciplinary procedures may cover:

• The steps to be followed and decisions to be made before an employee can be dismissed;
• The actions that constitute misconduct and the range of disciplinary sanctions that can be imposed;
• How investigations should be carried out, including who will conduct them and what right employees have to be represented at the investigation;
• The procedures to follow when conducting disciplinary interviews and meetings;
• The records that should be kept, include copies of documents provided to employees, minutes of meetings held, notes taken by managers during investigations, and details of all decisions reached. Many organizations also require employees involved in disciplinary meetings to have a workplace representative.

In many cases, organizations will rely on an internal disciplinary committee to review pending disciplinary issues and recommend consequences for any identified misconduct. In other instances, the ultimate power may rest with a single manager or supervisor. Organizations must ensure that employees understand what steps should be taken in the event of their being accused of bias or discrimination.

In addition, employers should consider the regulatory requirements in their organization’s industry and ensure that their disciplinary procedures comply with all applicable statutory provisions and collective agreements. Your organization should also review its current policies around absenteeism, personal phone calls on company time, social media use during working hours, dress code, and physical or verbal abuse of customers or colleagues.

The grievance procedures of an organization are the steps to be followed when an employee wishes to file a complaint against another member of staff, a manager, or the organization itself. The goal of grievance procedures is to deal with complaints before they develop into legal disputes.

Grievance procedures can include:

• A clearly defined process for employees to raise grievances and the means by which this should be done;
• The criteria used to determine whether a grievance is justified;
• The deadline within which employees must submit their grievance;
• Any other people who will receive and review the grievance (such as a senior manager);
• The criteria used to determine whether the grievance should be upheld;
• The deadline for making a decision on the grievance and how this will be communicated to everyone involved in the process.

Grievance procedures may also include a provision that requires both parties to attempt to resolve their differences before going through formal steps. In addition, the procedure should state what steps may be taken if either party feels that the process has been unfairly or incorrectly applied.

When developing a grievance policy, employers should make sure to take into account both written and unwritten employee expectations. These expectations may be based on collective agreements, relevant laws, past practice within your organization, written policies, or unspoken understandings.

While there is no need for an employee handbook to include all of the policies listed above, it should be clear about what steps are taken when issues arise.

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