4.3 Possible outcomes in disciplinary cases

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

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4.3 Possible outcomes in disciplinary cases

The possible outcomes in disciplinary cases for adults in a care setting can vary depending on the severity of the incident and the policies and procedures of the care setting. Generally, however, the possible outcomes can include verbal warnings, written warnings, suspension, and termination.

Verbal warnings: Verbal warnings are given to individuals who have not been disciplined before and whose behavior is not considered serious, but it is important that they be aware of the impact on others. There may be more than one verbal warning depending on the incident and explanations of future expectations for behavior will be necessary. It is important to document any verbal warning as a disciplinary action.

Written warnings: Written warnings are given to individuals who have been disciplined before and whose behavior is considered serious, but not enough to warrant immediate termination from the facility or program. There may be more than one written warning depending on the incident and descriptions of what is expected for behavior will be necessary. It is important to document any written warning as a disciplinary action.

Suspension: Individuals who have been disciplined before and whose actions are considered unacceptable, but not serious enough to warrant immediate termination from the facility or program may receive a suspension. During a suspension, an individual is usually not allowed to participate in facility or program activities and is usually banned from the premises. Sometimes, individuals who have been suspended return to the facility or program after a particular period of time with an understanding of what is expected of them if they choose to rejoin. During this transition period, written documentation and planning will be necessary for all parties involved regarding expectations for behavior, supervision, and documentation of future incidents.

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Termination: Individuals who are determined to have violated policies or procedures in a manner that is serious enough to warrant immediate termination from the facility or program may receive this outcome. Individuals who are terminated must be informed about their right to appeal through applicable channels. Documentation of the incident, reasons for termination, and future plans for the individual must be thoroughly documented.

Appeal process: All disciplinary actions should include a clearly defined appeal process that is easy to follow and time-sensitive. An appeal may require a separate form or it may be incorporated into an existing form such as an application or paperwork for a leave of absence. In some cases, individuals must submit an individual appeal form or they may simply inform the staff member who conducted the disciplinary meeting of their desire to appeal. Appeals should be handled by a supervisor from another department of the facility or program and should include information about how and when to submit additional information if necessary. The length of time that passes before an appeal can be heard will vary depending on the policies of each organization.

Documentation: It is important to document all disciplinary actions in a permanent personnel file for individuals who are employees and in a separate, confidential record for individuals who are not employees. When documentation does not provide enough detail or is confusing, the individual who has received the disciplinary action should be contacted for additional information. It is important to review documentation regularly to make sure that it includes all necessary information and that the individuals’ files are easily retrievable.

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