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NORTHAMPTONSHIRE CARERS

VIEWS: 12 PAGES: 47

									Northamptonshire Carers
Information Pack

Direct Payments for Parents of Disabled Children


Checklist

During your meeting with the Direct Payments Carer Adviser you should receive
information about the above topics. You may find it useful to tick the boxes of any that
you would like to know more about.


Information about Northamptonshire Carers

Criminal Records Bureau (CRB) check

Separate Bank Account

Insurance Cover

Becoming an Employer

Job description

Contract

Advertisement/Person Specification

Payroll Service

Self-Employment/Employment status

Health and Safety

Holiday Support

Car tax/MOT

Planning for the Unexpected
USEFUL NOTES

……………………………………………………………………………………………………

……………………………………………………………………………………………………

……………………………………………………………………………………………………
NORTHAMPTONSHIRE CARERS                    INFORMATION PACK        DIRECT
PAYMENTS FOR PARENTS OF DISABLED CHILDREN                 Contents
  ` Page        Checklist    1 Introduction 2     2 Northamptonshire
Carers 3      3 General Information About Direct Payments 3 4 How Can I Access
a Direct Payment? 4 5 Direct Payment Carer Advisers 4          6 An Initial Home
Visit to Discuss Direct Payments 5    7 What Happens Next? 13 8 Planning for
the Unexpected 14 9 Making Sure It‟s Going Well 14         10 Useful Contacts and
Addresses 15 11 List of Appendices

1 Direct Payments for disabled children -Employment Status of
  Personal Assistants (Carers)

2 Payroll Service CVS (Council for Voluntary Service) forms

3 Health and Safety forms
     Regular Medication Record
     Safety Standards in Personal Assistants‟ (Carers‟) homes
     Behaviour/Safety Information
     Authorisation and Consent for Medical Treatment
     Personal Moving and Handling Plan

4 Contract of Employment (2 Copies)
5 Disciplinary Procedure (2 Copies)
6 Insurance Documents


18

21


29
31
33
34
35

37
45
     Northamptonshire Carers – Support Groups

Northamptonshire Carers leaflet and newsletter See back of pack
                               NORTHAMPTONSHIRE
                               CARERS   INFORMATION
                               PACK     DIRECT PAYMENTS FOR
                               PARENTS OF DISABLED
                               CHILDREN
                               1 Introduction

                              Direct Payments are a way of arranging services for
                              disabled children and their families.
                             A person with parental responsibility for a disabled child is
given money to pay for services instead of the local authority arranging them on their
behalf.
Using Direct Payments may appear daunting at first and parents may be put off by the
amount of work that they have heard may be involved. However, it is important to
remember that Direct Payments can offer you and your family:

More control over how, when and where support services are arranged; and
Greater flexibility about services.


Direct Payments have been offered to Disabled Adults for some years now and the
feedback is very positive. The Disabled Children‟s Service are keen to bring Direct
Payments to the attention of families and are working in partnership with
Northamptonshire Carers to provide a service that we believe offers flexibility, control
and independence for families. All families are different and want to do „family things‟ in
their own way. Direct Payments is a good option to consider and can be opted for
alongside services provided by the local Council. (The Disabled Children‟s Service is
part of Northamptonshire County Council.)

2 Northamptonshire Carers
Northamptonshire Carers is a voluntary organisation that provides comprehensive
information, advocacy and support service for Carers across Northamptonshire
including offering groups, activities, Welfare Rights advice and a Young Carers Service.
As a parent of a disabled child you can also be defined as a Carer. Parent Carers‟
groups are held once a month in Kettering, Northampton and Towcester and can offer
an opportunity to meet informally with others. For further information see Useful
Contacts page 15.
If you would like to know more or receive the quarterly newsletter you can call Northampton
Carers Centre or speak to Ann or Kathy the Direct Payments Carer Advisers.

3 General Information About Direct Payments
You may already have opted to receive a Direct Payment or you may just be seeking
more information. Direct Payments can be offered for a range of
services e.g.
 Personal care in the child‟s own home
Support for a child taking part in recreational, leisure, cultural or
sporting activities
Family based short break care
Residential short break care
Holiday support
Or a combination of the above depending on your circumstances.
The Northamptonshire County Council Disabled Children‟s Service has produced a
leaflet: ‘Direct Payments for Parents of Disabled Children – what if you were given
money to buy the services your child needs’. This leaflet gives a good general
introduction to Direct Payments. There is also a more detailed leaflet: - ‘Direct
Payment Services – Guidelines for Parents of Disabled Children’. This offers
specific information about the different types of Direct Payments available. You will have
been given these leaflets by your child‟s Social Worker.


4 How Can I Access a Direct Payment?
If your child has a Social Worker you can ask them about Direct Payments. If your child
does not have a Social Worker you will need to contact the Children and Young
People‟s Service Referral Team for an initial assessment. * For their contact details see
Useful Contacts page 13. They will then, if appropriate, refer your child to the
Disabled Children‟s Service for a further more detailed Assessment. (This Assessment
includes a look at your needs as the Parent/Family of a disabled child.) Your child‟s
needs will have been assessed or reviewed by a Social Worker from the Disabled
Children‟s Service and the level of service to meet the needs of your child and your
family will be agreed.
If the outcome of the assessment is that the service level required to meet the needs of your child
and the family is less than four hours a week, your Social Worker’s supervisor will approve it.
If the needs of your child and family require a level of service that is more than four
hours per week, the Disabled Children‟s Service Resource Panel which meets monthly
will be asked to approve the proposed “Care Package”.
At any time during or after the assessment you can choose to receive a Direct Payment
to purchase the services you have been identified as needing; to receive services
provided by the Disabled Children‟s Service; or to receive a combination of local council
and direct payments services.
Once you have asked for further information about Direct Payments or chosen to opt for a Direct
Payment your Social Worker can explain in general how it works. They will then make a
referral to the Direct Payments Carer Advisers employed by Northamptonshire Carers who will
arrange to visit and to talk it through with you in more detail.

5 Direct Payments Carer Advisers
There are two Direct Payments Carer Advisers based at Northamptonshire Carers – they are Ann
and Kathy. You can call them for telephone advice and general enquiries. Their role is to give
you information about how to get a Direct Payment, tell you how it will work in your particular
case, help with advertising and interviewing for staff if
necessary, support you in the management of the Direct
Payment and help you get started. Once payments have
started you can call the Direct Payments Carer Adviser or
your Social Worker with any queries; and they may contact
you for your views as to how the service could be
improved.

6 An Initial Home Visit to Discuss Direct Payments
A Direct Payments Carer Adviser will usually visit you to
talk through the details of how the Direct Payment will
work. This will vary depending on the type of Direct
Payment you have chosen. This first visit usually takes around one hour. You may already have
someone in mind to provide the care/service funded by the Direct Payment - we usually refer to
this worker as a Personal Assistant. You may choose to include them in this meeting but mostly
it is a time to discuss your situation.
If your child is aged under 8 your worker will have to
be a registered child-minder if they are to look after
your child in their home for more than 2 hours at a
time.
It may be useful to have an informal meeting with your
Personal Assistant when they begin to work for you and go
through forms together and to discuss generally how things
will work and then review this a few months later to see how it
is working.

MOST IMPORTANT POINTS FOR YOU TO REMEMBER THAT WILL BE COVERED
DURING THIS MEETING

Criminal Records Bureau (CRB) Checks:
The Disabled Children‟s Service will arrange and pay for CRB checks on your chosen
workers in order to ensure their suitability for the work and your child‟s safety. This can
take an average of 6-8 weeks but this will vary. If your child is going to be looked after
in your employee‟s home, then all other adults (over 16) in that house should have a
CRB check too. Personal Assistants who have not had a recent CRB check done by
Northamptonshire County Council should have a new CRB check carried out Personal
Assistants who are employed by Northamptonshire County Council and have had a
CRB check carried out in the last six months do not need to have a new one carried out.
CRB are valid for 3 years and it is the parent‟s responsibility to ensure a current check
is always in place. You must advise your Social Worker if you change your worker.

Separate Bank Account:
You will need to open a separate bank account with a cheque book if possible or on-line
banking for direct payments from the County Council. You will be asked to send copies
of these bank statements to the County Council for audit at regular intervals. If you are
not able to open a cheque account a cash account can be used. You and your Personal
Assistant will need to sign a receipt book when you make payments. You can purchase
a receipt book from any stationers‟ shop.

Insurance Cover:
As an employer you have a legal duty to have insurance cover that will insure you
against your Personal Assistant having an accident or becoming ill while working for you
(Employers Liability); and against any damage or injury caused to someone else by
you or your Personal Assistant while they are working for you (Public Liability).
Accidents can happen in a number of ways and as an employer you may be held
responsible. You must have an insurance policy that covers both Employer‟s and Public
Liability protection.
You should also have comprehensive house insurance to cover your property and its
contents if the Personal Assistant is working in your home. (You might also want to
include cover for accidental damage.)
Sometimes Public and Employers Liability Insurance can be included in               a
comprehensive household policy - some insurers may ask for a copy
of your Personal Assistant‟s job description. You will need to check
your own cover as not all standard policies cover this.

* If your Personal Assistant is employed by you but provides
care in their own home they need to check their own insurance cover                    to
ensure they are able to provide care in this way.

It may be worth shopping around for cover. Details of some companies which provide
this cover are included in the Useful contacts list on page 17.

 An amount is included for insurance in your Direct Payment however families receiving
small packages (i.e. 4 hours or less per week) may be able to receive additional help to
cover this cost. This is available annually. The insurance company should send a
reminder when the premium is due and you should then speak to your Social Worker.
* If your Personal Assistants are Self-Employed you will need SEE that they have the
necessary insurance. If they are self-employed but working in your home they will need
to have their own insurance but you need to check that your household insurance is not
affected by them working in your home.

Becoming an employer:
You are taking on legal responsibilities i.e. abiding by employment legislation, having a
contract, Employers and Public Liability insurance, not paying less than the minimum
wage, holiday and sick pay. For this you will need to be registered as an employer with
the Inland Revenue unless your Personal Assistant is self-employed. See Useful
Contacts on page 17. You can contact the Inland Revenue and do this yourself or the
Council for Voluntary Service (CVS) will do this as part of their Payroll Service which
they offer to families. (The forms needed to access the Payroll Service are on pages 22
- 28).

Personal Assistants may be either “employed” or “self-employed” depending on a
number of factors. For further information see the leaflet “Employment Status of
Personal Assistants (Carers) in this pack page 18.

If Your Personal Assistant is Self-Employed:
You can pay them the full rate from the money you get for your Direct Payment but they
then need to purchase their own Public Liability Insurance and cover and are
responsible for paying their own tax and national insurance. You will need to be
satisfied that they are self-employed and have the necessary insurance cover. You can
give your Personal Assistant/worker a contract clarifying these arrangements – similar
to an Employment Contract. The Direct Payments Carer Adviser can help you with this.
If you, or the person you are employing, are unsure about any issues regarding the
Inland Revenue you need to contact them for guidance as everyone‟s work situation
and tax status is different. Personal Assistants can call 0845 915 4515 to get further
information about being self-employed or look online at www.hmrc.gov.uk and then
follow the links for „self-employed‟

ACAS:
The Arbitration, Advice and Conciliation Service have a
helpline for enquiries about employment issues. *See
Useful Contacts on page 17.


Job Description:
You may find it useful to have a formal job description for
your employee - the Direct Payments Carer Adviser can
help you write this. It need not be long but should include the key tasks.

Contract:
The Direct Payments Carer Adviser will provide you with 2 draft contracts which you can
complete to suit your own circumstances. As an employer you are required to provide a
Written Statement/Contract of Employment for your employee that includes information
about holiday entitlement, disciplinary and grievance procedures and notice periods.
The contract gives you both a framework to work within and makes it easier to discuss
sensitive topics. It is worth considering having a probationary period and setting a time
so that both sides can see how it works out and have the opportunity to discuss issues.
You may be employing a friend or a member of your extended family but you are still
their employer.

Advertising and Person Specification:
Many families will have someone in mind to do the job and will not need to advertise. If,
however, you do not have anyone in mind you may choose to advertise. The Direct
Payments Carer Adviser can help you write and place an advertisement and person
specification showing the sort of person you want to employ. You may prefer to have
enquiries dealt with by the Direct Payments Carer Adviser to keep details of your family
situation private. The Direct Payments Carer Adviser can help you to shortlist, and can
be at any interviews and help you think of questions to ask but cannot be involved in
making the decision. The Direct Payments Carer Adviser will be able to suggest a
suitable venue for interviews. The costs of the advertising will be met by the Disabled
Children‟s Service.

Rates of Pay:
The rate of pay for a Direct Payment which you will receive from the Disabled Children‟s
Service is £9.69 per hour which includes an amount for wages, insurance and employer
costs including tax. Ann or Kathy will provide you with a calculation, which will include
these items and reflect the gross amount we recommend you can pay.
A flat rate payment of £58.14 will be made for 8 hours overnight care where applicable.
(Rates are correct for 2008/2009).
Direct payments cannot be used to pay for activities.


Payroll Service:
Some people are put off Direct Payments because they are worried about needing to do
extra paperwork and working out income tax and national insurance rates. The
Council for Voluntary Service (CVS) will register parents as employers and then work
out tax, national insurance, and staff-pay every month for a cost of £7.00 per employee.
CVS will send you an invoice for £21.00 each quarter
They will also deal with any employment legislation queries e.g. sick pay, holiday pay,
dismissal …and will undertake end of year accounts as part of this cost. (See pages 22
– 28 for the forms required to access this service.)
 Before you send the forms to CVS you must have your personal assistants‟ national
insurance number, rate of pay and start date. CVS will send you an invoice for £42
every six months. They will also deal with any employment legislation queries e.g. sick
pay, holiday pay, dismissal …and will undertake end of year accounts as part of this
The Payroll Service (CVS) will register you as an employer with the Inland Revenue and
it can take a while to receive a reply about your Personal Assistant‟s tax code. If you
have any concerns you can call them.
There is a monthly timesheet in this Pack which you and your Personal Assistant will
need to complete and send to the Council for Voluntary Service (CVS) at the end of
every month. Timesheets can be photocopied or further copies are available from Ann
or Kathy. You can also email directpayments@northamptonshire-carers.org
When CVS receive your completed monthly time sheet they will work out the necessary
tax and national insurance (if applicable). In the middle of the month they will send you
a pay slip for you to give to your Personal Assistant along with your cheque for the net
(after tax) amount shown on the pay slip. If you pay your Personal Assistant cash
please obtain a receipt.
You will also receive a payment slip to enable you to pay the Inland Revenue the tax
your worker owes. You need to pay the Inland Revenue this amount on behalf of your
Personal Assistant.

Or you can choose to do the payroll yourself:
You will need to register yourself as an employer with the Inland Revenue either by
telephone 08456070143 or on line. You want to became an employer under the
Simplified Scheme (you are employing less than 10 employees) The Inland Revenue
require the same information asked for by CVS on pages 24-26. Each month you will
be responsible for working out the necessary deductions for tax and national insurance
and paying your Personal Assistant and providing a pay slip. All these details are
provided for you on their web site.
You will need to use the monthly time sheet on page 27 and keep records of your
financial activity with this money as you will be asked to send this information in to the
County Council at regular intervals. If you fail to provide records the County Council
can claim back the money but they would much rather work with you to sort out any
problems you may be having.

Further information and details of the on-line payroll service provided by the Inland
Revenue, can be found at www.hmrc.gov.uk Or ask Ann or Kathy to provide you with you
with the DIY Payroll Notes.




Annual Leave/Holiday Entitlement
Personal Assistants are entitled to 4 of their weeks as holiday. The new 4-weekly
timetable enables families to record the days taken.

Sick Pay Entitlement
As at April 2007 the lower earnings level of £87 applies to statutory sickness payments.
Personal Assistants are only entitled to receive statutory sick pay, after a 3 day waiting period, if
they earn more than £84 per week (averaged over previous 13 weeks). This is normally only if
you receive over 11 hours per week.

Maternity Pay Entitlement
You will not pay maternity pay. Your worker should claim the statutory maternity payments.

  Health and Safety:
As an employer you are responsible for the health and safety of your child and your
Personal Assistant. If you have particular concerns you can talk to your Social Worker
or the Direct Payments Carer Adviser. If they cannot help they may be able to signpost
you to an organisation that can assist. A set of forms for use by parents has been
produced by the Disabled Children‟s Service and can be used to give information to
help the Personal Assistant take best care of your child.

                                            They include:-
Regular Medication Record
Safety Standards in Carers‟ Homes Checklist
Behaviour / Safety information
Authorisation/Consent for Medical Treatment
Manual Handling Guidelines
                                         * These forms are on pages 29 and 35 of
this pack.
If you feel there are particular training needs you can discuss these with your Social
Worker the Direct Payments Carer Adviser or Lynne Gallagher, Direct Payments
Worker at Northamptonshire County Council..

Other Issues e.g. Car Tax, Insurance & MOT:
If your Personal Assistant is transporting your child in your car or their car they
will need appropriate business insurance cover. Some insurance companies
make a nominal charge others don’t. They will also need to have current road tax
and an MOT certificate. Some insurance policies may require you to give them a
covering letter confirming the situation.
Holiday Support:
Families who receive a Direct Payment contribution towards a holiday option only will
generally not need to open a separate bank account but may be asked to show proof of
the holiday costs. Families can choose to pay all or most of the Direct Payment funds
to their Personal Assistant but the worker must be advised
they are responsible for paying their own tax and insurance
on the sum received. Appropriate insurance cover will need
to be set up as with other Direct Payments so this needs to
be considered when agreeing the rate of pay. Your Social
Worker will be able to arrange a contribution towards
insurance costs.

Northamptonshire Carers Service Contract
Once everything is up and running the Direct Payments Carer Adviser will ask you to fill
in a form confirming that you have been given the information you needed to start your
Direct Payment. You can do this by email. directpayments@northamptonshire-
carers.org
We will soon be adding questions about what it was like setting up your DP and your
replies will help us improve the service for the future.




7 What Happens Next?
After this visit the Direct Payments Carer Adviser and Social Worker will follow-up on
any queries that may have arisen as part of the discussion. The Social Worker will
confirm:
number of hours
type of service that has been agreed to meet the assessed needs of your child and
family and complete a Family Support Statement.
start date
arrange for a cheque to cover your insurance if applicable

All that remains is for the Disabled Children‟s Service to put the details of your Direct
Payment on to the County Council computer system. You will be sent 2 copies of a
Northamptonshire County Council Direct Payments Agreement and Banking Mandate
form. You need to sign both Agreements and return one to Lynne Gallagher at the
Disabled Children‟s Service along with the Banking Mandate forms with your new bank
account details. You will receive a letter confirming the details of your Direct Payment
and then with your first payment you will be sent a list of dates when the County Council
makes BACS payments into your account. Payments are then made every 4 weeks if
you are employing staff on a regular basis. At the beginning of December to cover the
Christmas period the County Council make an advance 8 week payment.
Holiday payments and one-off payments will be sent out as a single payment.
                            Small packages may
                            also be sent as a
                            single payment.
                            If you have any
                            queries regarding
                            money not paid into
                            your account once
                            you have received
your 1st payment please telephone the County
Council‟s
Accounts Payable helpline 01604 237666 they will reply to your query within 8 hours.

If you wish to stop the Direct Payment you need to give 4 weeks notice to the
Disabled Children’s Service/County Council in writing about your decision.
If your personal assistant leaves you need to inform your social worker, CVS if
appropriate (using the form on page 28), or the lnland Revenue if you are doing the
payroll yourself.
Remember any new Personal Assistant will need to be CRB checked by your social
worker.

8 Planning for the Unexpected
It is worth thinking about what happens if something goes wrong, or if there is an emergency.
Most of the Direct Payment agreements via the Disabled Children’s Service are for fairly small
numbers of hours but you may wish to think through what you do if your Personal Assistant is
going to be ill for a period of time. The Disabled Children’s Service is unlikely to be able to
provide a substitute service at short notice.


9 Making Sure It’s Going Well

You can call your Social Worker or the Direct Payments Carer Advisers to discuss any queries
and they will do their best to help. Ann or Kathy will contact you to check things are working
well but you can call at any time for help or information help us improve our services.

We would really appreciate any feedback or comments you could provide, as to how
you have found the process of getting started with a Direct Payment. This information
will help us to make it easier for families in the future. Comments can be sent to
directpayments@northamptonshire-carers.org
                        BEST WISHES WITH YOUR
                        DIRECT PAYMENT




10 USEFUL CONTACTS AND ADDRESSES

10.1 Northamptonshire Carers
 For enquiries about Direct Payments contact:
Ann or Kathy, Direct Payments Carer Advisers
anns@northamptonshire-carers.org or kathyt@northamptonshire-carers.org
or directpayments@northamptonshire-carers.org
Northampton Carers Centre
53 Whitworth Road, Northampton
Northants NN1 4HG
Telephone: 01604 232500



For information about the Parent Carer Group in Northampton speak to Sue on 01604
232500.

For information about the Towcester or South Northants Parent Carers Group speak
to Sarah on 01604 232500.

For information about the Parent Carers Group in Kettering speak to Rita or Cathie on
01536 414259. The Kettering Outreach Centre is open on Wednesdays, Thursdays,
and Fridays.
10.2 Referral to Children and Young People’s Service for Assessment

Contact the office closest to your home

Northampton Referral Team
Ecton Brook Clinic, Chedworth Close, Ecton Brook, Northampton, NN3 5HW
Tel. 01604 411911

Daventry/South Northants Referral Team
North Street, Daventry, NN11 5PN
Tel. 01327 300567

East Northants/Wellingborough Referral Team
Oxford House, West Villa Road, Wellingborough, Northants, NN8 4JR
Tel. 01933 220700

Corby/Kettering Referral Team
Grafton Court, Kettering Parkway, Kettering Venture Park,
Kettering, Northants, NN15 6XR
Tel. 01536 313000


10.3 Disabled Children’s Service Direct Payment Enquiries

    Northamptonshire County Council
Lynne Gallagher
Direct Payments
Disabled Children‟s Service
Grafton Court
Kettering Parkway
Kettering Venture Park,
Kettering Northants NN15 6XR
Tel. 01536 313000
Email: lgallagher@northamptonshire.gov.uk


Marion Smith, Team Manager
Short Breaks Team
Disabled Children‟s Service,
Grafton Court
Kettering Parkway
Kettering Venture Park,
Kettering Northants NN15 6XR
Tel. 01536 313000
masmith@northamptonshire.gov.uk


Accounts Payable Help Line: 01604 237666




10.4 Insurance cover

FISH Independent living Insurance Policy
Fish Insurance
2-4 Riversway Business Village
Navigation Way
Preston
PR2 2YP
Telephone: 01772 724442
Email:admin@fishinsurance.co.uk
Website: www.independentliving insurance.co.uk
         www.fishinsurance.co.uk


Marchant Mckchnie
Home Care Insurance Services
Direct Care Policy
30/34 Norwood
Beverley
East Yorkshire
HU17 9EY
Telephone: 01482 8822223
Email aandrea@mmib.co.uk
       www.mmib.co.uk
Freephone: 08004583301


10.5 Employment enquiries

ACAS www.acas.org.uk
08457 474747 National helpline for employment legislation advice
10.6 Payroll Service

Jackie Torry or Elaine Brennan
Council for Voluntary Service (CVS)
32-36 Hazelwood Road,
Northampton NN1 1LN
Telephone: 01604 627128
Email: jt@cvscommunityfinance.org.uk
       eb@cvscommunityfinance.org.uk



10.7 Inland Revenue
You can look at the Inland Revenue web site on www.hmrc.gov.uk and follow the
links to Employment Status.
Further information is available in the Employment Status Document in Appendix 1,
page 15.
Appendix 1

EMPLOYMENT STATUS OF PERSONAL ASSISTANTS (CARERS)

Guidelines for parents

On the basis that Direct Payments are there to provide disabled children and their
families with support that is as flexible as possible, the employment status of personal
assistants (Carers) is dependent on the specific care arrangements that are in place for
each family.

Personal assistants (Carers) may be either “employed” or “self-employed”.

Parents who are in receipt of Direct Payments, are responsible for ensuring that the
employment status of the personal assistant (Carer) is agreed to and understood by
both parties.

The following guidelines on employment status have been provided by HM Revenue
and Customs (formerly known as Inland Revenue) – June 2005

Background to employment status

Workers cannot call themselves “self-employed”, or expect to be treated as self-
employed, if their terms of engagement show that they are in fact employees and, of
course, vice versa. By law, tax and National Insurance Contributions have to be
accounted for by an engager for all amounts due in respect of its employees. So how
does an engager decide if a worker is an employee or self-employed?

At the outset it must be pointed out that the law does not define `employment` or `self
employment`. However, the question of employment status has come before the Courts
on many occasions over the years. The approach taken by the Courts has been to
identify the factors that help to determine if a particular contract amounts to employment
or self employment and then to stand back and look at the picture as a whole. It is
important to note, though, that the contract does not necessarily have to be in writing. It
can be written, oral, or implied by the way in which the parties deal with each other. In
some cases, it may be a combination of all three.

An employment exists where an individual works under a contract of employment. A
contract of employment is sometimes called a contract of service. Where an individual
works under a contract for services he/she is self-employed. With all the facts available
it can then be seen whether the overall effect is that of a person working as an
employee in somebody else‟s business or a person in business on his/her own account.

Relevant Factors
THE RIGHT TO GET A SUBSTITUTE OR HELPER TO DO THE JOB - Personal
service is an essential element of a contract of employment. A person who has the
freedom to choose whether to do the job himself or hire somebody else to do it for him,
or who can hire someone else to provide substantial help, is probably self-employed.



Appendix 1

PROVISION OF EQUIPMENT – An engager generally provides whatever equipment is
needed to do the job (though in many trades, such as carpentry, it is common for
employees, as well as self-employed workers, to provide their own hand tools).
Provision by the engager of the major items of equipment and/or the materials
necessary to do the job will point towards employment.

BASIS OF PAYMENT – Employees tend to be paid a fixed wage or salary by the week
or month and often qualify for additional payments such as overtime, long service bonus
of profit share. Independent workers, on the other hand, tend to be paid a fixed sum for
a particular job. Payment “by the piece” (where the worker is paid according to the
amount of work actually done), an hourly or day rate can be a feature of both
employment and self employment.

FINANCIAL RISK – An individual who risks his own money by, for example, buying assets
and bearing their running costs or paying for overheads, and large quantities of materials, is
almost certainly self-employed. Financial risk could also take the form of quoting a fixed price
for a job, with the consequent risk of bearing the additional costs if the job overruns. However,
this would not necessarily mean that the worker is self-employed unless there is a real risk of
significant financial loss.

OPPORTUNITY TO PROFIT FROM SOUND MANAGEMENT – A person whose profit
or loss depends on his capacity to reduce overheads and organises his work effectively
may well be self-employed. People who are paid by the job will often be in this position.

EMPLOYEE BENEFITS – Employees are often entitled to sick pay, holiday pay,
pensions, expenses and so on. However, the absence of those features does not
necessarily mean that the worker is self-employed especially in the case of short term
engagements.

CONTROL – It is a feature of employment that the engager has the right to tell the
worker what to do or where, when and how it is to be done. The extent of control may
vary from one case to another – an engager will probably exercise more control over an
unskilled worker than over a skilled craftsman. However, a working relationship which
involves no control at all is unlikely to be an employment.

RIGHT OF DISMISSAL – A right to terminate an engagement by giving notice of a
specified length is a common feature of employment, It is less common in a contract for
services, which usually ends only on completion of the task, or if the terms of the
contract are breached.

LENGTH OF ENGAGEMENT – Long periods working for one contractor may be typical
of an employment but are not conclusive. It is still necessary to consider all the terms
and conditions of each engagement. Regular working for the same engager may
indicate that there is a single and continuing contract of employment.

PERSONAL FACTORS – In deciding a person‟s employment status it may sometimes
be necessary to take into account factors which are personal to the worker and which
have little to do with the terms of the particular engagement being considered. For
example, if a skilled craftsman works for a number of engagers throughout the year and
has a business-like approach to obtaining his engagements (perhaps involving
expenditure on office accommodation, office equipment, etc) this will point towards
Appendix 1

self-employment. Personal factors will usually carry less weight in the case of an
unskilled worker, where other factors such as the high level of control exercised by the
engager is likely to be conclusive of employment.

INTENTION - It is the reality of the relationship that matters. It is not enough to call a
person “self-employed” if all the terms and conditions of the engagement point towards
employment. However, if other factors are equally balanced, the intention of the parties
will then be the decisive factor in deciding the employment status.

Approach to be adopted

Given the lists of factors mentioned above, it is tempting to try to determine a person‟s
employment status by adding up the number of factors pointing towards employment
and comparing that result with the number point towards self-employment. The Courts
have specifically rejected that approach. In order to decide whether a person carries on
a business on his/her own account it is necessary to consider many different aspects of
that person‟s work activity. It is a matter of evaluation of the overall effect, which is not
necessarily the same as the sum total of all individual details. Not all details are of equal
weight or importance in any given situation. The details may also vary in importance
from one situation to another.

When the detailed facts have been established, this is when you stand back look at the
picture as a whole, to see if the overall effect is that of a person in business on his own
account or a person working as an employee in somebody else‟s business. If the
evidence is evenly balanced the intention of the parties may then decide the issue. As
well as ensuring that both engagers and workers comply with the obligations placed
upon them, the Inland Revenue will help in anyway it can to enable them to do so.

In cases where a written opinion is needed, this office will generally provide it. It can be
in the form of a short, computer generated printout that looks at the main areas and the
format of the fact-finding is usually brief enough for this to be arrived at during a short
telephone conversation. Alternatively, if a full written opinion is required, this will usually
require meetings with both parties to discuss the full working terms and
conditions.
If after reading these guidelines, you would like further advice, you can contact a
Status Officer at HM Revenue and Customs
Leics and Northants Area Compliance
HM Revenue and Customs
Northgate House
Sheep Street
Northampton NN1 2LY

TEL: 01604 541184
Or look at www.hmrc.gov.uk and follow the links to Employment Status

Please note:
People who are self - employed are now legally required to register with HM
Revenue and Customs within three months.
For a copy of the free guide, call 0845 915 4515
Appendix 2


THIS IS YOUR STARTER PACK FOR THE SIMPLIFIED PAY SCHEME




  EMPLOYER/EMPLOYEE TOP SHEETS - BOTH TO BE COMPLETED BY ALL
EMPLOYERS /
EMPLOYEES




  FORM P46                        -       TO BE COMPLETED BY ALL
EMPLOYERS / EMPLOYEES




  REQUEST TO DISCLOSE INFORMATION -       TO BE COMPLETED BY ALL
EMPLOYERS




   MONTHLY TIMESHEET                  -   TO BE COMPLETED BY
EMPLOYEE EACH MONTH AND
SIGNED BY THE EMPLOYER



  LEAVING FORM                        -   TO BE COMPLETED WHEN AN
EMPLOYEE LEAVES
CVS Community Finance Service - Starter Pack
Jackie Torry or Elaine Brennan
32 – 36 Hazelwood Road, Northampton NN1 1LN, Tel. 01604 627128



Appendix 2

EMPLOYER TOPSHEET




Employer’s Name

Address




Telephone


E-mail




PLEASE RETURN to the Council for Voluntary Service (CVS)

Attn: Jackie Torry/Elaine Brennan
Council for Voluntary Service
32 – 36 Hazelwood Road
Northampton NN1 1LN
EMPLOYEE TOPSHEET




Employer’s Name


Employee Name


Address




Telephone



Date of Birth



National Insurance Number



Start Date


Hourly Pay Rate




PLEASE RETURN to the Council for Voluntary Service (CVS)
Attn: Jackie Torry/Elaine Brennan
Council for Voluntary Service
32 – 36 Hazelwood Road
Northampton NN1 1LN
REQUEST TO DISCLOSE INFORMATION FORM

Northamptonshire County Council has the right to access all payroll information in respect of
Direct Payments.

I consent to the above information being examined by a representative of the Council.




Signed ………………………………………………..


Date …………………………………………………..



PLEASE RETURN to the Council for Voluntary Service

CVS Community Finance Service
32 – 36 Hazelwood Road
Northampton NN1 1LN



-------------------------------------------------------------------------------------
-


Northamptonshire County Council has the right to access all payroll information in
respect of Direct Payments.

I consent to the above information being examined by a representative of the Council.




Signed ………………………………………………..


Date …………………………………………………..


PLEASE RETURN to the Council for Voluntary Service
CVS Community Finance Service
32 – 36 Hazelwood Road
Northampton NN1 1LN



    MONTHLY TIME SHEET

Employer’s Name……………………………………….

Employee’s Name……………………………………….

Normal Hours Annual Leave
Normal Hours Annual Leave
Normal Hours Annual Leave
Normal Hours Annual Leave
Normal Hours Annual Leave
Signed By………………………..Personal Assistant      Date……………………………...


Signed by………………………...Employer               Date……………………………...


Please Send Completed Timesheets AT THE END OF EVERY MONTH To:
Jackie Torry/Elaine Brennan
Council for Voluntary Service (CVS)
32-36 Hazelwood Road, Northampton. NN1 1LN
Email: jt@cvscommunityfinance.org.uk
      eb@cvscommunityfinance.org.uk
Appendix 2

EMPLOYEE LEAVING FORM

Employer‟s Name

Address



Telephone

E-mail




Employee Name

Address




Telephone


Date of Birth


National Insurance Number


Hourly Pay Rate


Holiday Pay Due


Leaving Date



Special Instructions
Appendix 3

REGULAR MEDICATION RECORD

Name _____________________            Date of Birth_________

Any known Allergies _______________________________

_______________________________________________

1 Medication Details           Medication Name:

     What is it for:

     When should it be given (specify dosage and time):


     How should it be given:
    2 Medication Details          Medication:

     What is it for:

     When should it be given: (specify dosage and time)


     How should it be given:
3 Medication Details          Medication:


     What is it for:


     When should it be given (specify dosage and time):

      How should it be given: (ROUTE)
    4 Medication Details              Medication:      What is it for:
      When should it be given (specify dosage and time)    Date information
provided
…………………………………………………………………………………….………………
Signature of parent
………………………………………………………………………………………………………
Appendix 3
Safety standards in personal assistants (Carers) homes
INSIDE Yes No Comments /additional information                  Smoke Alarms
         Fire Guards
         Bed Guard – Top Bunk
         First Aid Box
         Stair Gate
         No Smoking in the presence of children
         Medicines, other poisons out of reach and sight
         Cot space for baby in another room apart from Carer‟s bedroom            Socket
Cover
         Fire Blanket for Kitchen
         Telephone
         First Aid Training within first year of approval        Toys and equipment –
safe and clean – British Safety Standards (special care should be taken with 2nd hand
toys)          Kitchen Safety – short leads, pan handles, sharp knives, age appropriate
rules about children in the kitchen           Safe food storage
         Infection Control Precautions
         Family Pets – Hygiene, appropriate contact
         Awareness of need for balanced diet
         Safety glass/safety film
         Fire Escape route planned practised
         Awareness of need to maintain reasonable standards of hygiene
OUTSIDE               Rotary lines          Car seat/booster seat/seat belts
         Adequate Car Insurance
(Insurers notified?)
         Adequate Car Insurance
(Insurers notified?)
         Pond Cover
         Security of Outdoor Areas (fences/gates)
         Knowledge of dangerous plants
         Sheds and garages secured


Date information provided
………………………………………………………………………

Signature of Carer
…………………………………………………………………………………
Appendix 3
Behaviour/Safety Information
       Areas        Information for Personal Assistant                                    Triggers/
Warning Signs           1. Accidental harm to self
(eg wandering off, running off, no awareness of danger. Eating plants, paper, foam etc.




      2. Harm to others/danger to property
(eg Physical or verbal aggression to adults or other children. Throwing things)




      3. Inappropriate behaviour to self/others.
(eg Inappropriate touching.)




      4. Medical Information
(eg Asthma, Epileptic, Diabetic)




      5. In the garden//outdoors




      6. Fear of dogs, phobias, loud noises, crowds.



        7. Travelling in car or on public transport (eg Undoing seatbelts)

Does the child use a Car Seat or Booster Seat –        Yes/No
Date information provided …………………….…………………………………..

Signature of parent …………………………………………………………………
Appendix 3
AUTHORISATION & CONSENT FOR MEDICAL TREATMENT

Name of Child                                                Date of Birth


I hereby give my consent and authorisation to such medical/surgical treatment, as may be
recommended for the above child, by a qualified Medical Practitioner in the event of an
Emergency while in the care of the Carer/Personal Assistant named below.

Signed (Parent)                                                             Dated

Signed (Parent)                                                             Dated

Signed (Child)                                                      Dated

Address




Tel No

(Father / Mother / Legal Guardian /Person having parental responsibility for the child)

Name of CARER / PERSONAL ASSISTANT


Tel No


EMERGENCY CONTACT (IF PARENT/S UNAVAILABLE):

Name                                                                Relationship to Child


Address
Tel. No.

CHILD’S DISABILITY AND MEDICAL INFORMATION :
(Include: any allergies to drugs; up-to-date Tetanus status or any specific medical instructions)


NAME OF CONSULTANT/DOCTOR and SURGERY ADDRESS

  Tel No
In the case of any unexpected or unplanned medical emergency, seek immediate appropriate
medical advice (GP, 999 etc). Contact parent/s to advise them of the situation, or the emergency
contact person.
Appendix 3
Personal Moving and Handling Plan


Child’s name
    Date of birth
    Home address
(if the plan is to apply within the child’s own home)




Personal assistant’s (Carer’s) name

     Personal assistant’s (Carer’s) address
(if the plan is to apply within the Carer’s home)
Child’s diagnosis / medical condition



  Child’s height & weight
Moving around

Around the house

    Up and down stairs

    In and out of the house

    In the garden

    Out and about




Appendix 3
Transfer procedures

Sitting to standing (and vice versa)     Chair to chair

    Chair to floor (and vice versa)

    In and out of bed
     In and out of the bath / shower    In and out of the car


Other useful information




Signature of parent

   Signature of personal assistant (Carer)
Date




Contract of Employment
      1 Contract    1.1       This contract of employment is made between

                                                  (the employer)
of

  and                                             (the employee)
of

on        /    /           2 Job Title         2.1 The position for which you are employed is:
PERSONAL ASSISTANT                     3 Place of Work        3.1 Your normal place of work
will be:         4 Start Date        4.1 The official start date of your employment is:
5 Duties      5.1 The specific duties and responsibilities of the post are set out in the agreed
job description.          6 Probation          6.1  There will be a probationary period of
weeks. At the end of which the Employer and the Employee will meet to review the position. If
the Employee’s performance is satisfactory and both are happy with the situation, the
Employee’s continued employment will be confirmed in writing.
The Review Date is ------------------------------
       7 Hours of Work        7.1 The basic number of hours each week will be           .(This may
be worked flexibly by agreement from both parties.)
           8 Rates of Pay      8.1 The rate of pay will be:~
                          £         per hour (gross)
Wage payments will be made 4 weekly in arrears.       8.2 The Employer will complete a
monthly time sheet of the hours worked in any month to be signed by the Employee.
9.0 Holiday Entitlement        9.1 You are entitled to 4 working weeks holiday in each holiday
year which accumulates (pro rata) per completed month’s employment. A week being
equivalent of the number of hours/days usually worked per week.
This may not apply if you are employed on a ‘sessional basis’     9.2 Your holiday entitlement
should be taken at times to be agreed with the employer and only with the employer’s prior
written agreement. You are expected to give at least 4 weeks notice of taking holiday. The
Employer’s consent is to be obtained before you have committed yourself to a booking or any
alternative positive arrangement.           10 Sickness     10.1 If you are unable to come to
work because of illness, then they must let the employer know as soon as possible so that other
arrangements can be made. The only payment for sick leave will be Statutory Sick Pay
according to the regulations at such time.
       11 Notice Period       11.1 After you have successfully completed your probationary
period, the employer may give you written notice to terminate your employment as follows:~
a) Four weeks notice if you have continuously been employed for up to two           years; and then
 b) An additional weeks notice for each completed year of employment thereafter, up to a
maximum of twelve weeks notice.
    11.2 You are required to give the Employer [4 weeks] written notice to terminate your
employment.        11.3 Nothing in this contract prevents the Employer from terminating your
employment summarily or otherwise in the event of any serious breach by the Employee of the
terms of your employment or in the event of any act of gross misconduct or gross negligence by
you.     11.4 The Employer reserves the right in their absolute discretion to pay your basic
salary in lieu of notice instead of requesting that you work your notice
period.            12 Confidentiality and Security      12.1 The Employee must respect the
privacy of the Employer (and their family). Many problems can arise if information is given to
others. The Employee must maintain a professional approach at all times, keep information
gained in the course of their employment confidential and, specifically, should not discuss the
Employer’s household and domestic circumstances with others, other than with the Employer's
specific permission.            13 Grievance Procedures       13.1 If you have a grievance, you
must set out the grievance in writing and send the Employer a copy.       13.2 You will be
invited to at least one meeting to discuss the grievance, and you must take all reasonable steps to
attend the meeting. After the meeting, the Employer will inform you of the decision in response
to your grievance and will notify you of the right to appeal against the decision if you are not
satisfied with it.    13.3 If you wish to appeal the decision, you must inform the Employer and
you will be invited to attend a further meeting, which you must take all reasonable steps to
attend. After the meeting the Employer will inform you of their final decision.

          14 Disciplinary Procedures      14.1 The Disciplinary rules applicable to your
employment are set out in the attached rules          15 Suspension        15.1 The Employer
reserves the right to suspend you from work on full pay in order that they might investigate any
disciplinary matter involving you.
    15.2 The Employer reserves the right to impose disciplinary suspension without pay to the
maximum of one working week as a disciplinary sanction.

I have read the above statement of conditions of employment. I understand the conditions and
agree to abide by them.

Signature of Employee......................................... Date......................


Signature of Employer......................................... Date.....................
Contract of Employment
      1 Contract    1.1     This contract of employment is made between

                                                 (the employer)
of

  and                                            (the employee)
of

on        /    /           2 Job Title         2.1 The position for which you are employed is:
PERSONAL ASSISTANT                     3 Place of Work        3.1 Your normal place of work
will be:         4 Start Date        4.1 The official start date of your employment is:
5 Duties      5.1 The specific duties and responsibilities of the post are set out in the agreed
job description.          6 Probation          6.1  There will be a probationary period of
weeks. At the end of which the Employer and the Employee will meet to review the position. If
the Employee’s performance is satisfactory and both are happy with the situation, the
Employee’s continued employment will be confirmed in writing.
The Review Date is ------------------------------
      7 Hours of Work       7.1 The basic number of hours each week will be         .(This may
be worked flexibly by agreement from both parties.)
    7.2 Any overtime should be agreed with the employer prior to working.
8 Rates of Pay      8.1 The rate of pay will be:~
                        £         per hour (gross)
Wage payments will be

     8.2 The Employee will complete a monthly time sheet of the hours worked in any month to
be signed by the Employee.              9.0 Holiday Entitlement      9.1 You are entitled to 4
working weeks holiday in each holiday year which accumulates (pro rata) per completed
month’s employment. A week being equivalent of the number of hours/days usually worked per
week.
This may not apply if you are employed on a ‘sessional basis’     9.2 Your holiday entitlement
should be taken at times to be agreed with the employer and only with the employer’s prior
written agreement. You are expected to give at least 4 weeks notice of taking holiday. The
Employer’s consent is to be obtained before you have committed yourself to a booking or any
alternative positive arrangement.           10 Sickness     10.1 If you are unable to come to
work because of illness, then they must let the employer know as soon as possible so that other
arrangements can be made. The only payment for sick leave will be Statutory Sick Pay
according to the regulations at such time.
       11 Notice Period       11.1 After you have successfully completed your probationary
period, the employer may give you written notice to terminate your employment as follows:~
a) Four weeks notice if you have continuously been employed for up to two           years; and then
 b) An additional weeks notice for each completed year of employment thereafter, up to a
maximum of twelve weeks notice.
    11.2 You are required to give the Employer [4 weeks] written notice to terminate your
employment.        11.3 Nothing in this contract prevents the Employer from terminating your
employment summarily or otherwise in the event of any serious breach by the Employee of the
terms of your employment or in the event of any act of gross misconduct or gross negligence by
you.     11.4 The Employer reserves the right in their absolute discretion to pay your basic
salary in lieu of notice instead of requesting that you work your notice
period.            12 Confidentiality and Security      12.1 The Employee must respect the
privacy of the Employer (and their family). Many problems can arise if information is given to
others. The Employee must maintain a professional approach at all times, keep information
gained in the course of their employment confidential and, specifically, should not discuss the
Employer’s household and domestic circumstances with others, other than with the Employer's
specific permission.            13 Grievance Procedures       13.1 If you have a grievance, you
must set out the grievance in writing and send the Employer a copy.       13.2 You will be
invited to at least one meeting to discuss the grievance, and you must take all reasonable steps to
attend the meeting. After the meeting, the Employer will inform you of the decision in response
to your grievance and will notify you of the right to appeal against the decision if you are not
satisfied with it.    13.3 If you wish to appeal the decision, you must inform the Employer and
you will be invited to attend a further meeting, which you must take all reasonable steps to
attend. After the meeting the Employer will inform you of their final decision.
    14 Disciplinary Procedures         14.1 The Disciplinary rules applicable to your employment
are set out in the attached rules           15 Suspension      15.1 The Employer reserves the
right to suspend you from work on full pay in order that they might investigate any disciplinary
matter involving you.
    15.2 The Employer reserves the right to impose disciplinary suspension without pay to the
maximum of one working week as a disciplinary sanction.

I have read the above statement of conditions of employment. I understand the conditions and
agree to abide by them.

Signature of Employee......................................... Date......................


Signature of Employer......................................... Date.....................
Disciplinary Procedure


    The Disciplinary Procedure in operation
This procedure applies to both your conduct and performance of your duties at work. Minor
problems will be dealt with informally, and where possible this will be the first step before the
disciplinary procedure begins. In cases of more serious problems, the Employer will conduct an
investigation of the facts. The Employer may suspend you on full pay during the course of such
an investigation, but investigatory suspension is not a disciplinary sanction. If the Employer
considers that it is necessary to take formal action the following procedure will apply.

Stage 1

The Employer will set out in writing your alleged conduct or characteristics, or other
circumstance, which have lead the Employer to contemplate dismissing or taking disciplinary
action against you.

The Employer will send a copy of the statement to you and invite you to attend a meeting with
your Employer to discuss the matter.

Stage 2

The meeting will take place before action is taken, except in the case of suspension. You must
take all reasonable steps to attend the meeting. You may be accompanied by a work colleague or
trade union representative of your choice at the meeting.

After the meeting, your Employer must inform you of their decision, stating the stage of any
disciplinary action to be taken, (dependent upon the seriousness of the matter). You will be
notified of your right to appeal against the decision if you are not satisfied with it.
Stage 3

If you wish to appeal you must do so in writing within 10 working days of notification of the
decision.
You must take all reasonable steps to attend the meeting. You may be accompanied by a work
colleague or trade union representative of your choice.
The appeal meeting does not need to take place before any dismissal or disciplinary action takes
effect.
After the appeal meeting you will be informed of the Employer’s final decision.
The Employer will attempt to ensure that each stage of the procedure is carried out without
unreasonable delay and that the timing and location of meetings is reasonable.
        Action under the Disciplinary Procedure
Warnings
Formal warnings will be given if it is considered that disciplinary action is necessary. A warning
will be issued by your Employer in the following stages:

Stage 1 – Recorded Oral Warning
Stage 2 – Written Warning
Stage 3 – Final Written Warning

Where there are ongoing complaints (whether or not of the same nature) or insufficient
improvement, warnings will generally progress through the above 3 warning stages. However, if
a disciplinary matter occurs which the Employer considers to be sufficiently serious, the
Employer may apply any warning stage which it considers is most appropriate in the
circumstances.
In each case the warning will state:

The stage of the warning.
The precise nature of the complaint(s)
The improvement required from you and the time in which the improvement must be made.
The likely consequences of further instances of unsatisfactory performance or conduct.

The warning will be effective for 12 months from the date of the warning if no further
disciplinary offence has been committed during that 12 months.
You will be advised your right of appeal in each instance.


Suspension

The Employer may impose disciplinary suspension without pay to a maximum of 1 working
week.

Unless specifically agreed in writing by the Employer, the suspension, will not result in warnings
being effective.

You will be advised of your of appeal.

Dismissal

If you fail to meet the standards required of you following a Stage 3 Final written warning or
there is a gross misconduct and/or gross incompetence, dismissal will normally result. You will
be provided with written reasons for dismissal which will also inform you of your right of
appeal. In the event of gross misconduct or gross incompetence you will be told about the
complaint(s) against you and the procedures as set out in paragraph 1 will be followed. If, after
such procedures have been complied with, the Employer concludes your behaviour or
performance is gross misconduct or gross incompetence you will be dismissed with immediate
affect and without notice.

Please note that the Employer reserves the right to apply this procedure at any stage if your
conduct or performance warrants such action whether or not the Employer has progressed
through all the available disciplinary warnings.
    Disciplinary Procedure


    The Disciplinary Procedure in operation
This procedure applies to both your conduct and performance of your duties at work. Minor
problems will be dealt with informally, and where possible this will be the first step before the
disciplinary procedure begins. In cases of more serious problems, the Employer will conduct an
investigation of the facts. The Employer may suspend you on full pay during the course of such
an investigation, but investigatory suspension is not a disciplinary sanction. If the Employer
considers that it is necessary to take formal action the following procedure will apply.

Stage 1

The Employer will set out in writing your alleged conduct or characteristics, or other
circumstance, which have lead the Employer to contemplate dismissing or taking disciplinary
action against you.

The Employer will send a copy of the statement to you and invite you to attend a meeting with
your Employer to discuss the matter.

Stage 2

The meeting will take place before action is taken, except in the case of suspension. You must
take all reasonable steps to attend the meeting. You may be accompanied by a work colleague or
trade union representative of your choice at the meeting.

After the meeting, your Employer must inform you of their decision, stating the stage of any
disciplinary action to be taken, (dependent upon the seriousness of the matter). You will be
notified of your right to appeal against the decision if you are not satisfied with it.
Stage 3

If you wish to appeal you must do so in writing within 10 working days of notification of the
decision.
You must take all reasonable steps to attend the meeting. You may be accompanied by a work
colleague or trade union representative of your choice.
The appeal meeting does not need to take place before any dismissal or disciplinary action takes
effect.
After the appeal meeting you will be informed of the Employer’s final decision.
The Employer will attempt to ensure that each stage of the procedure is carried out without
unreasonable delay and that the timing and location of meetings is reasonable.
        Action under the Disciplinary Procedure
Warnings
Formal warnings will be given if it is considered that disciplinary action is necessary. A warning
will be issued by your Employer in the following stages:

Stage 1 – Recorded Oral Warning
Stage 2 – Written Warning
Stage 3 – Final Written Warning

Where there are ongoing complaints (whether or not of the same nature) or insufficient
improvement, warnings will generally progress through the above 3 warning stages. However, if
a disciplinary matter occurs which the Employer considers to be sufficiently serious, the
Employer may apply any warning stage which it considers is most appropriate in the
circumstances.
In each case the warning will state:

The stage of the warning.
The precise nature of the complaint(s)
The improvement required from you and the time in which the improvement must be made.
The likely consequences of further instances of unsatisfactory performance or conduct.

The warning will be effective for 12 months from the date of the warning if no further
disciplinary offence has been committed during that 12 months.
You will be advised your right of appeal in each instance.


Suspension

The Employer may impose disciplinary suspension without pay to a maximum of 1 working
week.

Unless specifically agreed in writing by the Employer, the suspension, will not result in warnings
being effective.

You will be advised of your of appeal.

Dismissal

If you fail to meet the standards required of you following a Stage 3 Final written warning or
there is a gross misconduct and/or gross incompetence, dismissal will normally result. You will
be provided with written reasons for dismissal which will also inform you of your right of
appeal. In the event of gross misconduct or gross incompetence you will be told about the
complaint(s) against you and the procedures as set out in paragraph 1 will be followed. If, after
such procedures have been complied with, the Employer concludes your behaviour or
performance is gross misconduct or gross incompetence you will be dismissed with immediate
affect and without notice.

Please note that the Employer reserves the right to apply this procedure at any stage if your
conduct or performance warrants such action whether or not the Employer has progressed
through all the available disciplinary warnings

								
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