Statement of Particulars of Employment
Fixed Term Contract
The attached pro forma Statement of Particulars of Employment provides a
framework for employers of ACCA trainees in England, Wales and Scotland to
develop their own employment and training contracts. Written with reference to
employment legislation, it identifies which aspects of an employment contract
must be expressed in writing under UK law and proposes other terms and
conditions which employers may deem appropriate to their businesses.
ACCA's pro forma Statement represents express contractual terms of
employment. Employment also invariably involves unexpressed expectations or
implied terms. HR professionals refer to these unexpressed terms as the
psychological contract between employers and their staff. The psychological
contract assumes that:




all parties to the contract are treated fairly and honestly
a certain level of security is provided in return for loyalty
recognition is given to the past and future contributions of employees to aid
job and career progression.
all relevant Health and Safety procedures are complied with.
Employers, who recognise the personal and professional aspirations of ACCA
trainees by providing study support and practical training, are keen to ensure that
they get a good rate of return on their training investments in the form of
employee productivity, motivation and loyalty. However, ACCA advises
employers that any employment contracts drawn up should balance the needs of
both parties.
ACCA's team of Business Relationship Managers can provide information and
guidance on various options for examination and practical training, they cannot
provide legal advice. ACCA's pro forma Statements are intended to be used as a
point of reference only. Employers should always take independent legal advice to
ensure that the terms of the contract are appropriate to their circumstances.
However, it is hoped that the provision of a pro forma Statement will reduce
considerably the costs of such advice.
ACCA UK 29 Lincoln’s Inn Fields London WC2A 3EE United Kingdom
tel: +44 (0)20 7396 7000 / fax: +44 (0)20 7396 7070 / www.accaglobal.com
The Association of Chartered Certified Accountants
Please contact an Employer Relations Adviser for details of your local Business
Relationship Manager who will be able to provide information on training and
development related issues.
Telephone:
Fax:
Email:
+ 44 (0)20 7059 5810
+ 44 (0)20 7059 5957
info@accaglobal.com
Issued by the Employer Business Relationships Department
January 2013
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SAMPLE STANDARD STATEMENT OF PARTICULARS OF EMPLOYMENT FOR
ACCA TRAINEES
(FIXED TERM)
Please note that:
1. This document has been prepared by ACCA as a guide to assist employers of
ACCA trainees in England, Wales and Scotland. It should not be relied on as an
exhaustive statement of the law, and ACCA makes no representation as to
whether or not this document complies with all relevant laws. In addition, the
document does not address many of those parts of the employment
relationship where the employee's rights are protected by law, for example,
the right not to be unfairly dismissed, prevention of less favourable treatment
for fixed term workers, maternity rights, equal opportunities and the Working
Time Regulations 1998 legislation regarding maximum working hours, parental
leave, stakeholder pensions and time off for dependants. Independent legal
advice must be taken regarding each individual case, including advice on
whether a fixed term or rolling contract is appropriate and whether the clauses
in the document are appropriate in the circumstances (in particular the clauses
relating to non-solicitation, non-dealing and non-competition). No
responsibility for any loss or consequential loss occasioned to any person
acting or refraining from action as a result of this document can be accepted by
ACCA. Thank you for your co-operation.
2. Pursuant to sections 1 to 3 of the Employment Rights Act 1996 every employee
is entitled to receive from his employer a written statement giving particulars
of the major terms of his employment within two calendar months of the
beginning of his employment. Those paragraphs in the attached draft which
are required by this legislation are marked with an asterisk.
3. Restrictions made by the Employer will limit the renewal of back-to-back fixed
term contracts.
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STANDARD STATEMENT OF PARTICULARS OF EMPLOYMENT FOR ACCA
TRAINEES (FIXED TERM)
Pursuant to the Employment Rights Acts 1996
*Name of Trainee: [
("you")
*Name of Employer: [
(“the Employer”)
]
]
*1
DURATION OF EMPLOYMENT
1.1
Your employment commenced on [
] and shall continue (subject to
earlier termination in any of the circumstances set out below in this
Agreement) for a fixed period of [
] [years] [months] until [
]
when your employment will terminate without further notice on the expiry
of the fixed term. [
] is the date that your period of continuous
employment began. Any employment with a previous employer does not
count as part of your continuous employment with the Employer.
Probationary Period
1.2
The first [ ] month period of your employment shall be regarded as a
probationary period, during which time your progress will be closely
monitored and the [disciplinary procedure], sick pay and pension provisions
(if applicable) will not apply to you. If after the probationary period your
performance has been satisfactory, your position will be confirmed in
writing as permanent. During the probationary period:
a)
you may, for any reason, give the Employer not less than [ ] weeks’
notice in writing to terminate your employment;
b)
the Employer may, if your performance is considered
unsatisfactory, give you not less than [ ] weeks’ notice in writing to
terminate your employment;
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*2
c)
if your performance is not such that the Employer wishes to dismiss
you, but where a longer probationary period is considered
necessary, the probationary period may be extended. This will be
discussed with you and confirmed by letter. The reason(s) for the
extension of the probationary period will be specified in the letter,
as will any improvements in performance or conduct which may be
required;
d)
If, after having completed the extended probationary period, your
performance is still not satisfactory, the Employer may further
extend the probationary period or may dismiss you, at its discretion.
JOB TITLE
You shall be employed as [
].
*3
DUTIES
3.1
You are required to undertake the duties as set out in your Job Description
attached hereto [please attach]. You agree to devote the whole of your
time, attention, ability and skills to the duties of your employment.
3.2
The precise description and nature of your job may be varied from time to
time and you may be required to undertake such other duties as the
Employer may reasonably require.
3.3
You will report to [
3.4
During your employment by the Employer you must not be employed by
any other employer or engage in or be involved in any business activity with
any other organisation or person whether directly or indirectly without the
Employer’s written permission.
3.5
By accepting employment with the Employer you confirm that you are not
bound by any restrictions in a previous contract of employment or
].
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otherwise which prevent you from performing your duties for the
Employer.
*4
PLACE OF EMPLOYMENT
4.1
Your principal place of employment shall be at [
]
or such other place(s) as the Employer may require from time to time.
4.2
You may be required to travel within the UK and overseas on the
Employer’s business in the performance of your duties. [This may, on
occasions, necessitate you working outside of the UK for a period of more
than one month.]
4.3
During the period you will be working in [specify country outside the UK]
your salary will be paid in [specify currency] and you will be entitled to
[specify any additional benefits available during this period] and, upon your
return to the UK, [specify any terms and conditions relating to the
employee's return to the UK].
4.4
You may also be required to travel to the offices of the Employer’s clients
for the performance of your duties.
*5
REMUNERATION
5.1
Your basic salary amounts to £[
] per annum. Your entitlement to
salary accrues on a daily basis payable monthly in arrears, normally on the
last day of each calendar month. [We will review your basic salary annually
but you have not entitlement to a salary increase in any year.]
5.2
You authorise the Employer to deduct from your remuneration any sums
due from you to the Employer during your employment or in any event on
its termination including but not limited to any overpayment of salary,
holiday taken in excess of that accrued during the holiday year, [loans],
[advances], [relocation expenses], [training costs], [the cost of repairing
any damage or loss to the Employer’s property caused by you (and of
recovering the same)] and any other sums owed by you to the Employer.
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5.3
[The Employer will reimburse all expenses properly incurred by you in the
performance of your duties, provided that they are agreed in advance with
your [Line Manager] and you submit vouchers and receipts to the Employer
as it may reasonably require. [Further information on the expenses policy
can be found in the [Staff Handbook]. The expenses policy may be
changed from time to time.]
6
TRAINING POLICY
6.1
The following terms and conditions apply to all trainees studying for the
ACCA examinations. [Delete as appropriate throughout this paragraph]
6.2
The Employer recommends that you attend day release/link/revision
courses run by [
] for the ACCA examinations.
OR
The Employer will allow you the freedom to choose how and where you
wish to study for the ACCA examinations.
6.3
You are required to attend all courses that you are enrolled on, sit
examinations set on these courses, and to attend all examinations that you
have entered. You are personally responsible for ensuring that the relevant
examination applications reach ACCA by the closing date given on the
application form. Any failure to do so must be notified in writing, with
reasons, to the Employer within [
] days of the closing date or of you
becoming aware that the application has not reached ACCA by the closing
date, whichever is the earlier.
6.4
Where you are required to undertake link exams, these must be completed
on the specified dates. Link exams should be completed in the Employer’s
office under invigilated exam conditions on the due date. If this is not
possible due to client work, rearrangements must be agreed no later than [
] days in advance of the due date of the original examination date.
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6.5
Where you are required to undertake link exams, you are expected to
achieve the pass marks in all exams. Failure to do so may result in you
being required to re-sit the link exam paper.
6.6
If you encounter difficulties with your studies, you must discuss the
problem as soon as possible with your course tutor and the Employer so
that they can look at ways of resolving the problem. The Employer may
require you to defer an examination attempt if you do not maintain a
satisfactory standard in your studies.
6.7
Following an unsuccessful attempt at an examination, you are required to
discuss the results and your performance with the Employer, prior to
agreeing if and when the next attempt should be made.
Financial support
6.8
The Employer expressly reserves the right to recover from you some or all
costs and fees incurred by the Employer (in accordance with its Financial
Support Policy as set out in paragraph 6.9) below within the previous [ ]
month(s)/year(s) [delete as appropriate] if you have since given notice to
cease employment with the Employer prior to the expiry date of this
Agreement or you have been dismissed (either with or without notice)
pursuant to paragraph [15.4] of this Agreement.
The parties acknowledge and agree that any recovery of costs and fees
incurred by the Employer from you represents a genuine pre-estimate of
the loss that the Employer is likely to suffer in the event of the early
termination of this Agreement, and in no way constitutes a penalty.
For the purposes of the Employment Rights Act 1996 (ERA), you hereby
authorise the Employer to deduct from your remuneration any sums due
from you to the Employer including, without limitation, any overpayments
of salary, overpayments of holiday pay whether in respect of holiday taken
in excess of that accrued during the holiday year or otherwise, loans or
advances made to you by the Employer, any fines incurred by you and paid
by the Employer, the cost of repairing any damage or loss to the
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Employer’s property caused by you and all losses suffered by the Employer
as a result of your negligence or breach of duty.
6.9
Without prejudice to the foregoing, the following terms shall apply:[delete as appropriate throughout the following sub-paragraph]
Trainee registration fee/annual trainee’s subscription
a)
The initial trainee registration fee will be paid by the [Employer]
[you].
b)
The annual trainee’s subscription will be paid for by the [Employer]
[you].
Examination/Exemption Fees
[delete as appropriate]
a)
All examination entry fees will be paid for by the [Employer] [you].
or
b)
The Employer will pay the examination entry fee for your first
attempt at an examination paper. You will pay the examination
entry fee for any subsequent attempt at an examination paper.
[The Employer will reimburse the examination fee borne by you if
the second examination attempt is successful.]
or
c)
The Employer will pay the examination entry fee for your first
attempt at an examination paper. [You will pay for] [The Employer
will contribute] [ ] % towards the examination entry fee incurred
in respect of the second attempt/any subsequent attempt at an
examination paper.
or
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d)
The Employer will pay the examination entry fee for your first
attempt at an examination paper. The Employer may, at its
absolute discretion, pay the examination entry fee in respect of any
subsequent attempt at an examination paper, and the said fees
[may be] [will be] taken into account at your next salary review, if
any.
Course fees/college fees/books/study materials
[delete as appropriate]
a)
All reasonable approved course fees/college fees/books/study
materials in respect of your first attempt at an examination paper
will be paid for by the Employer[provided that you obtain prior
[written] consent from the Employer before incurring any such
expenditure] [you].
b)
[The Employer] [You] will pay the reasonable approved course
fees/college fees/books/study materials for your [first] [second]
attempt(s) at an examination paper.
c)
You will pay the course fees/college fees/books/study materials for
any subsequent attempt at an examination paper. The Employer
will reimburse the reasonable approved course fees/college
fees/books/study materials borne by you if this subsequent
examination attempt is then successful.
d)
[You will pay] [The Employer will contribute] [ ] % towards the
cost of reasonable approved course fees/college fees/books/study
materials incurred in respect of any subsequent attempt at an
examination paper [limit in number of attempts Employer will
contribute to?]
e)
The Employer may, at its absolute discretion, pay all reasonable
approved course fees/college fees/books/study materials in respect
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of any subsequent attempt at an examination paper, and the said
costs will be taken into account at your next salary review, if any.
Travel and accommodation costs
[delete as appropriate]
The Employer will pay you reasonable approved travel and accommodation
costs, including the cost of you attending the approved courses and
examinations associated with your [first] [second] attempt(s) at an
examination paper, but only to the extent that the cost exceeds the normal
costs of travelling between your home and the Employer’s office [and
provided that you obtain prior [written consent] from the Employer before
incurring any such expenditure].
General
During any academic year you are entitled to a maximum of £ [ ]
financial support, as set out in the above paragraphs 6.8 and 6.9.
Study leave
6.10
The Employer expressly reserves the right to recover from you some or all
salary paid to you as paid study leave in accordance with its Study Leave
Policy (as set out in paragraph 6.11 below) within the previous [
]
month(s)/year(s) [delete as appropriate] if you have since given notice to
cease employment with the Employer prior to the expiry of this Agreement
or you have been dismissed (either with or without notice) pursuant to
paragraph [15.4] of this Agreement and in no way constitutes a penalty.
The parties acknowledge and agree that any recovery of costs and fees
incurred by the Employer from you represents a genuine pre-estimate of
loss that the Employer is likely to suffer in the event of the early
termination of this Agreement.
6.11
Without prejudice to the foregoing, the following terms and conditions
shall apply: -
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[delete as appropriate throughout the following sub-paragraphs]
First Attempt
The Employer will grant you paid study leave to sit the examinations and
attend a structured study and revision course in respect of your first
attempt at an examination paper. Dates when study leave is to be taken
must be agreed in advance with the Employer.
Referred Attempt
a)
The Employer will grant you paid study leave to sit the
examination paper and attend an approved revision course in
respect of a referred attempt at an examination paper. Dates
when study leave is to be taken must be agreed in advance with
the Employer.
OR
b)
The Employer will grant you paid study leave to sit the
examinations and [ ]day(s)/week(s) [paid leave] in respect of a
referred attempt at an examination paper. Dates when study
leave is to be taken must be agreed in advance with the
Employer.
Subsequent attempts
a)
The Employer will not grant you paid study leave to sit the
examinations or to attend a structured study and revision course
in respect of a subsequent attempt at an examination paper.
OR
b)
The Employer will [at its discretion] grant [paid] study leave of
up to[ ] day(s)/week(s) per paper in respect of a subsequent
attempt at an examination paper, which leave will be deducted
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from your annual holiday entitlement. Dates when study leave
is taken must be agreed in advance with the Employer.
c)
Any additional study leave which is granted that is not covered
by your annual holiday entitlement must be taken as unpaid
leave. Dates when study leave is taken must be agreed in
advance with the Employer.
d)
If you fail an examination and the Employer is satisfied that you
were adequately prepared for it, the Employer may, in its
absolute discretion, grant paid study leave for a subsequent
attempt. Dates when study leave is taken must be agreed in
advance with the Employer.
General
During the academic year period you are entitled to a maximum of [ ]
day(s)/week(s) paid study leave. Dates when study leave is taken must be
agreed in advance with the Employer.
Practical experience requirements
6.12
The Employer will try to ensure that you obtain practical experience
covering a wide range of clients. This will introduce you to a variety of
accounting matters and should enable you to use appropriate techniques.
6.13
You are required to maintain an online My Experience record, or any other
training record specified by ACCA, in accordance with the guidance notes
for completion issued by ACCA.
6.14
Your progress towards ACCA membership will be reviewed at least once
every twelve months, largely on the basis of your My Experience record, or
any other training record specified by ACCA. The review will include the
sign off of any ACCA performance objectives that you have achieved.
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6.15
You must make your My Experience record, or any other training record
specified by ACCA, available to the Employer and to ACCA when
requested.
*7
HOURS OF WORK AND OVERTIME
7.1
Your normal working hours are as follows:
Your basic hours of work are [
] per week. Normal hours are from
Monday to Friday: [ ] to [ ] with [ ] hour(s) off for lunch. The Employer
reserves the right to change your start and finish times.
7.2
[Whilst working in the offices of the Employer’s clients, you may be
required to temporarily work different hours from those stated in
paragraph [7.1]. If so, you will be required to vary your start and finish times
to suit the client, ensuring that you work a minimum of [7.5] hours per day.]
7.3
You may be required to work such additional hours as are necessary to
satisfactorily complete your duties or when requested to do so by the
Employer. [You will not be entitled to be paid extra remuneration for any
such additional hours worked in excess of your normal weekly hours] OR
[Subject to prior authorisation from your [Line Manager] you will be paid [
] per hour/given time off in lieu for each additional hour worked in excess of
your normal weekly hours]. [Delete as appropriate]
7.4
[The Working Time Regulations 1998 impose an obligation on employers to
ensure that employees do not work more than an average of 48 hours per
week. By signing this contract, you will opt out of that provision and the 48
hour limit will not be applicable to your employment. You may terminate
this opt out at any time by giving not less than three months’ notice to [
].]
8
TIMEKEEPING
8.1
You are required to attend the office as specified under paragraph 7. If
unable to do so you are required to notify [
] immediately.
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8.2
You are expected to show a responsible attitude towards time keeping and
attendance. Persistent lateness or unauthorised absence may result in
disciplinary action.
*9
PENSIONS
Either
9.1
The Employer operates a contributory pension scheme which you will be
eligible to participate in, subject to any statutory limits imposed from time
to time and subject always to the rules of the pension scheme from time to
time in force. The Employer reserves the right to terminate its participation
in the scheme or to substitute another pension scheme. Details of the
scheme can be obtained from [
].
Or
9.1
The Employer will comply with the employer pension duties concerning
pensions auto-enrolment in accordance with Part 1 of the Pensions Act
2008 from the date that it is legally required to do so. As a result, you will
be automatically enrolled into either a qualifying pension scheme or the
National Employment Savings Trust (“NEST”), whichever the Employer
decides. If you do not decide to opt-out of auto-enrolment, you will be
required to make pension contributions at the level set out in the relevant
legislation and you agree to the Employer deducting such contributions
from your salary each month. Further information about your pension
choices will be provided at the appropriate time.
9.2
A contracting out certificate [is] [is not] in force for the purposes of the
Pensions Schemes Act 1993.
*10
COLLECTIVE AGREEMENTS
10.1
[Particulars should be given of any Collective Agreements which directly
affect the terms and conditions of the employment including, where the
Employer is not a party, the persons by whom they were made.]
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Or
[If there are no Collective Agreements, state here "There are no Collective
Agreements which directly affect the terms and conditions of your
employment."]
*11
HOLIDAYS AND HOLIDAY PAY
11.1
You are also entitled to [ ] working days paid holiday in each complete
calendar year. This includes all public holidays normally observed in
England.
Employers please note: The statutory minimum holiday entitlement is 28 days
from 1 April 2009, which can lawfully include the 8 public holidays.
11.2
The Holiday Year runs from 1 January to 31 December.
11.3
On the commencement or termination of your employment your paid
holiday entitlement will accrue on a pro-rata basis at the rate of [
]
days holiday for each complete month of service in that holiday year,
calculated by reference to your first or last day of work (as applicable).
11.4
Should you leave the Employer before accruing the holiday entitlement you
have taken, you agree that a deduction will be made from your final salary
payment equivalent to the amount of time so taken.
11.5
Holidays not taken by 31 December may not be carried forward to the
following Holiday Year without the Employer’s written permission which
may be given at the Employer’s absolute discretion. If such permission is
not given, all accrued holiday not taken in the Holiday Year will be forfeited.
You will not be entitled to receive payments in lieu of holiday which is not
taken by 31 December.
11.6
Holidays may only be taken at times convenient to the Employer as
previously arranged by reasonable notice [in accordance with any holiday
request procedure in place from time to time].
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11.7
If you leave the Employer with some unused holiday entitlement the
Employer will either require you to take such unused holiday accrued in
your final holiday year, during any notice period or accept payment in lieu
of accrued holiday [when you shall be entitled to be paid in respect of your
statutory holiday entitlement only and shall be deemed to have taken your
statutory holiday entitlement first].
11.8
Your paid contractual holiday entitlement will be lost if:
a)
you are dismissed (with or without notice) for serious misconduct or
breach of contract (see paragraph [15.4]); or
b)
you terminate your employment before the expiry of the fixed
period under paragraph 1.1 above without giving proper notice.
*12
ABSENCE DUE TO SICKNESS OR INJURY
12.1
You are required to follow our sickness absence reporting procedure.
Further details on this and on the provision of ‘Fit Notes’ (doctors’
certificates) are set out in the Employee Handbook. The procedure is not
intended to be contractually binding. The Employer reserves the right to
vary, depart from or remove the procedure at any time.
12.2
A self-certification system operates for absence from work due to sickness
and injury not exceeding [ ] days.
12.3
Sickness or injury absence exceeding [ ] consecutive days (including
weekends) must be covered by a Doctor’s Certificate.
12.4
If you cannot attend work because of sickness or injury you must, unless
there is some good reason to the contrary, advise your manager of the
reason for non-attendance, by 9.30am on the first working day of absence.
Failure to do so may result in sickness pay not being paid. [You are required
to telephone your manager on each subsequent day of sickness absence in
order to update them as to your expected return to work date.]
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12.5
Immediately on your return to work you must obtain, complete and return
to your manager (before the end of the day of your return to work) a selfcertification form (or provide a Doctor’s Certificate for periods of absence
exceeding [ ] consecutive days).
12.6
All sickness or injury absence will be entered on your employment record
for the purpose of [monitoring sickness absence].
12.7
[The Employer operates the SSP scheme. If you are absent from work due
to sickness or injury you will be entitled to receive SSP when you qualify for
it under prevailing legislation. You are required to co-operate in the
maintenance of necessary records for the purposes of calculating your
entitlement to SSP, if any. For the purposes of SSP entitlement “qualifying
days” are those days on which you are normally required to work.]
OR
12.7
[If you are absent from work due to sickness or injury, at the Employer’s
discretion you will receive sick pay from the Employer at your normal rate
of pay (inclusive of any statutory sick pay (“SSP”) or social security benefits
to which you may be entitled) for a total of [ ] weeks sickness followed by
a further [ ] weeks sickness at half the normal pay in any period of 52
weeks commencing on the first day of sickness absence. After that (or if
the Employer does not exercise its discretion to pay Employer sick pay) you
will be entitled to receive SSP in accordance with your statutory
entitlement. Any payments made to you by the Employer under its sick
pay provisions will go towards discharging the Employer’s liability to make
payment to you under the SSP scheme, whether or not claimed or
received.]
12.8
Two or more periods of sickness absence (each exceeding 3 days) which are
separated by [ ] or fewer days will be treated as one period of sickness
absence.
12.9
The Employer reserves the right to require you to undergo a medical
examination at its request after [ ] weeks’ absence due to sickness in any
period of [ ] weeks commencing with the first day of sickness absence.
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The Employer will pay the cost of any such examination and you agree that
all information and documents in connection with it and any report
produced shall be fully disclosed to the Employer.
12.10 [Your entitlement to [Employer sick pay and/or] SSP is subject to the
Employer’s right to terminate your employment in accordance with
paragraph [15] below and the Employer shall not be able to provide, or
compensate you for the loss of, such benefits.]
12.11 [If your absence has been caused by the actionable negligence of a third
party in respect of which damages are (or may be) recoverable, you must
immediately notify your line manager and use your best endeavours to
recover damages from the third party. You must promptly notify [
] of any claim, compromise settlement or judgment made or awarded and
give to him/her all of the details required. You agree to refund to us that
part of any damages received by you relating to loss of earnings for the
period of absence as the Employer may reasonably determine.]
*13
GRIEVANCE PROCEDURE
13.1
For rules and procedures relating to grievances, please see the attached
grievance procedure. The procedure is not intended to be contractually
binding, save to the extent required by law, it is intended to act as a
framework. The Employer reserves the right to vary, depart from or
remove the procedure at any time. You may use the procedure to lodge
complaints regarding any employment related matter.
*14
DISCIPLINARY AND DISMISSAL PROCEDURE
14.1
For rules and procedures relating to disciplinary matters and dismissals,
please see the attached disciplinary and dismissal procedure. The
procedure is not intended to be contractually binding, save to the extent
required by law, it is intended to act as a framework. The Employer
reserves the right to vary, depart from or remove the procedure at any
time.
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14.2
The Employer reserves the right in its absolute discretion to suspend you
from work, with pay, by giving you notice of suspension in writing. Such
notice will specify the dates of your suspension and the conditions
applicable to your suspension. Suspension is a neutral act. It is not a
disciplinary penalty and does not imply guilt.
14.3
The Employer reserves the right to amend or depart from these procedures
where you have less than one year’s continuous service.
14.4
The Employer reserves the right in its absolute discretion to waive any of
the penalties referred to in the disciplinary procedures and substitute
‘demotion’. The Employer will give you notice in writing giving details of
any consequential change to your terms and conditions of employment. In
particular, the notice will give details of any reduction in your salary and/or
privileges consequent upon such demotion.
15
NOTICE OF TERMINATION OF EMPLOYMENT
15.1
Without prejudice to the provisions regarding the termination of your
employment and the Probationary Period set out in paragraph 1 above, this
contract may be terminated at any time by the Employer and you by giving
to the other [ ] weeks’ notice in writing.
15.2
During the period of notice (whether given by you or the Employer) the
Employer may require that you shall not attend at work nor enter the
Employer’s premises, not contact any customers, clients or colleagues, or
require that you shall not undertake any or all of your duties of
employment but hold yourself available to do so for the whole or part of
your notice period regardless of which party has given notice. During such
period the Employer shall continue to provide you with your salary and
benefits and you will continue to be bound by all the express and implied
terms of your contract of employment.
15.3
You agree that the Employer may, in its absolute discretion, make a
payment representing basic salary in lieu of any notice of termination of
employment which you or the Employer is required to give.
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15.4
Nothing in this Agreement prevents the Employer from terminating your
employment summarily or otherwise in the event of any serious breach by
you of the terms of your employment or in the event of any act or acts of
gross misconduct by you.
16
MATERNITY, PATERNITY, PARENTAL, ADOPTION AND DEPENDENT
CARE LEAVE AND FLEXIBLE WORKING REQUESTS
Statutory rights to maternity, paternity, parental, adoption and dependent
care leave and the right to request flexible working shall apply to your
employment. You can obtain further information as to your entitlements
from [
]. The policies and procedures are not intended to be
contractually binding. They are intended to act as a framework. The
Employer reserves the right to vary, depart from or remove the policies and
procedures at any time.
17
CONFIDENTIALITY
17.1
You shall neither during your employment (except in the proper
performance of your duties) nor at any time (without limit) after the
termination of your employment with the Employer:
17.1.1 divulge or communicate to any person, company, business entity or
other organisation;
17.1.2 use for your own purposes or for any purposes other than those of
the Employer; or
17.1.3 through any failure to exercise due care and diligence, permit or
cause any unauthorised disclosure of
any trade secrets, potentially sensitive business information or Confidential
Information relating to the Employer, provided that these restrictions shall
cease to apply to any information which shall become available to the
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public generally otherwise than through an unauthorised disclosure by you
or any other person.
17.2
For the purposes of this Agreement “Confidential Information” includes,
without limitation, any information relating to the Employer or the
business, prospective business, technical processes, computer software,
intellectual property rights or finances of the Employer, including without
limitation details of suppliers and their terms of business, details of
customers, contacts, targets, providers and introduces of work, trainees
and their requirements, the prices charged to and terms of business with
customers and trainees, marketing plans and sales forecasts, financial
information, results and forecasts (save to the extent that these are
included in published audited accounts), systems, policies, procedures, any
proposals relating to the acquisition or disposal of a company or business or
any part thereof or to any proposed expansion or contraction of activities,
details of employees and officers of the Employer and of the remuneration
and other benefits paid to them, information relating to research activities,
inventions, secret processes, designs, formulae and product lines, which
comes into your possession by virtue of the employment, all information
contained or stored in software programs or otherwise and any other
information which the Employer could reasonably be expected to regard as
confidential, whether or not such information is reduced to a tangible form
or marked in writing as “confidential” and any and all information which
has been or may be derived or obtained from any such information.
17.3
You acknowledge that all notes, memoranda, records, lists of customers,
trainees, suppliers and employees, correspondence, documents, computer
and other discs and tapes, data listings, codes, designs and drawings and
any other documents, property and material whatsoever (whether made or
created by you or otherwise) relating to the business of the Employer and
its customers (and any copies of the same) or which is created or stored by
any means on the Employer’s equipment and systems:
17.3.1 shall be and remain the property of the Employer; and
17.3.2 shall be handed over by you to the Employer on demand and in any
event on the termination of your employment and you shall certify
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that all such property has been so handed over and that no copies or
extracts have been retained. The Employer shall be entitled to
withhold any salary or other sum due to you until such time as any
such demand is met to its satisfaction.
17.4
Nothing contained in this paragraph 17 shall limit, in any way, any legal or
equitable rights which the Employer would have in the absence of this
paragraph 17.
17.5
You acknowledge that the restrictions placed on you under this paragraph
17 also apply to the Confidential Information of customers of the Employer
to which you have access in the course of your employment.
17.6
The Employer considers confidentiality an extremely important issue and
will take appropriate disclosure of confidential information.
17.7
This paragraph 17 shall only bind you to the extent allowed by law and
nothing in this paragraph shall prevent you from making a statutory
disclosure.
18
RESTRICTIVE COVENANTS
18.1
For the purposes of paragraph [18.2] the following words have the
following meanings:
18.1.1 “Employer Services” means any services (including but not limited
to [describe services]) supplied by the Employer with which your
duties were concerned or for which you were responsible during the
[xx] months immediately preceding the Termination Date;
18.1.2 [“Employer Goods” means any (including but not limited to)
[product, equipment or machinery] researched into developed
manufactured distributed or sold by the Employer with which your
duties were concerned or for which you were responsible during the
[xx] months immediately preceding the Termination Date];
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18.1.3 “Confidential Information” has the meaning given to it at paragraph
[17.2];
18.1.4 “Customer” means any person, firm, company or other organisation
whatsoever to whom or which the Employer [or any associated
company,] distributed sold or supplied [Employer Goods or]
Employer Services during the [xx] months immediately preceding
the Termination Date and with whom or which, during such period;
a)
b)
c)
you had personal dealings in the course of your employment
with the Employer; or
for whom you were responsible for or on behalf of the
Employer [or any associated company]; or
any employee who was under your direct supervision had
personal dealings in the course of their employment with the
Employer.
18.1.5 “Prospective Customer” means any person, firm, company or other
organisation whatsoever with whom or which the Employer [or any
associated company,] shall have had negotiations or discussions
regarding a possible business relationship, the possible distribution
sale or supply of [Employer Goods or] Employer Services during the
[xx] months immediately preceding the termination of your
employment and with whom or which during such period:
a)
b)
c)
you shall have had personal dealings in the course of your
employment with the Employer; or
for whom you were responsible for developing the
relationship on behalf of the Employer [or any associated
company]; or
any employee who was under your direct supervision shall
have had personal dealings in the course of their
employment with the Employer;
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18.1.6 “Restricted Area” means:
a)
b)
[within x miles of your place of work] [England, Scotland,
Wales];
[any other country in the world where, on the Termination
Date, the Employer [or any associated company] had
business interests or dealings, was engaged in the research
into, development, manufacture, distribution, sale or supply
or otherwise dealt with [Employer Goods or] Employer
Services and where you had dealings on behalf of the
Employer or for which you were responsible during the [xx]
months immediately preceding the Termination Date];
18.1.7 “Restricted Period” means the period of [xx] months immediately
following the Termination Date, howsoever arising, [provided
always that if no duties have been assigned to you by the Employer
during a period immediately preceding the Termination Date in
accordance with paragraph [15.2], the Restricted Period means the
period of [xx] months immediately following the last date on which
you carried out duties assigned to you by the Employer];
18.1.8 “Restricted Services” means Employer Services or services of a
similar kind;
18.1.9 [“Restricted Goods” means Employer Goods or goods of a similar
kind.]
18.1.10 “Termination Date” means the date of termination of your
employment, howsoever arising.
18.2
You acknowledge that by reason of your employment you will have access
to trade secrets, confidential information, business connections and the
workforce of the Employer and that in order to protect its legitimate
business interests, it is reasonable for you to enter in to these post
termination restrictive covenants and, you agree that the restrictions in this
25 of 44
clause [18] (each of which constitutes an entirely separate, severable and
independent restriction) are reasonable.
18.3
You hereby covenant with the Employer that you will not either during the
period of your employment nor during the Restricted Period without the
prior written consent of the Employer whether by yourself, through your
employees or agents or otherwise and whether on your own behalf or on
behalf of any other person, firm, company or other organisation, directly or
indirectly:
18.3.1 in competition with the Employer within the Restricted Area, be
employed, concerned or engaged or otherwise interested in the
business of researching into, developing, manufacturing,
distributing, selling, supplying or otherwise dealing with [Restricted
Goods or] Restricted Services;
18.3.2 in competition with the Employer, solicit business from or canvass
any Customer or Prospective Customer in respect of [Restricted
Goods or] Restricted Services;
18.3.3 in competition with the Employer provide goods or services to,
accept orders for [Restricted Goods or] Restricted Services from or
otherwise have any business dealings with any Customer or
Prospective Customer;
18.3.4 solicit or induce or endeavour to solicit or induce any person who on
the Termination Date was a [director, manager, salesman or
consultant] of the Employer with whom you had material dealings
during the last [xx] months of your employment to cease working
for or providing services to the Employer, whether or not any such
person would thereby commit a breach of contract;
18.3.5 employ or otherwise engage in the business of researching into,
developing, manufacturing, distributing, selling, supplying or
otherwise dealing with [Restricted Goods or] Restricted Services,
any person who was, during the [xx] months preceding the
Termination Date, employed or otherwise engaged by the
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Employer and who by reason of such employment or engagement is
in possession of any trade secrets or Confidential Information
relating to the business of the Employer or who has acquired
influence over its Customers and Prospective Customers.
18.4
You hereby covenant with the Employer that you will not at any time after
the Termination Date in the course of carrying on any trade or business,
claim, represent or otherwise indicate any present association with the
Employer or for the purpose of carrying on or retaining any business or
custom, claim, represent or otherwise indicate any past association with
the Employer to its detriment.
18.5
For the avoidance of doubt, nothing in this clause [18] shall prevent you
from:
18.5.1 holding as an investment by way of shares or other securities not
more that [ ]% of the total issued share capital of any company
[listed on a recognised stock exchange]; or
18.5.2 being engaged or concerned in any business concern where your
work or duties relate solely to geographical areas where the
business concern is not in competition with the Employer’s services
or goods; or
18.5.3 being engaged or concerned in any business concern where your
work or duties relate solely to services or activities of a kind with
which you were not concerned to a material extent in the [
]
months before the Termination Date.
18.6
While the restrictions in this paragraph [18] (on which you have had the
opportunity to take independent advice, as you hereby acknowledge) are
considered by the parties to be reasonable in all the circumstances, it is
agreed that if any such restrictions, by themselves, or taken together, shall
be found to go beyond what is reasonable in all the circumstances for the
protection of the legitimate interests of the Employer but would be
considered reasonable if part or parts of the wording thereof were deleted,
the relevant restriction or restrictions shall apply with such deletion(s) as
may be necessary to make it or them valid and effective and the invalidity
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or unenforceability of any one restriction shall not effect the validity or
enforceability of any other restriction(s).
18.7
The obligations undertaken by you pursuant to this paragraph 18 extend to
you acting not only on your own account but also on behalf of any other
firm, company or other person and shall apply whether you act directly or
indirectly.
18.8
If you accept alternative employment or engagement with any third party
during the period of any of the restrictions in clause [18], you will provide
the third party with full details of these restrictions.
18.9
[If your employment is transferred by reason of the Transfer of
Undertakings (Protection of Employment Regulations) 2006, you will, if
requested, enter in to an agreement with your new employer that contains
provisions that reflect the protections provided by the Employer under this
clause [18].
19
DATA PROTECTION
You consent to the Employer holding and processing, both electronically
and manually, the data that it collects about you in the course of your
employment (including without limitation your employment application,
references, bank details, appraisals, holiday and sickness records, salary
review and remuneration details) for the purposes of the Employer’s
administration and management of its employees and its business and for
compliance with the applicable laws, procedures and regulations. [and to
the transfer, storage and processing by us of such data outside the
European Economic Area.] Please refer to [the Employer’s Data Protection
Policy] for further information.
You should familiarise yourself with the Data Protection Policy set out in
the Employer’s Staff Handbook.
Employers please note: Clause 19 has been drafted on the presumption that
consent to process Sensitive Personal Data for the purposes of the Data
Protection Act 1998 is captured from the employee by the employer elsewhere
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(eg: during the recruitment process / as part of internal data protection
processes).
20
CHANGES TO YOUR TERMS OF EMPLOYMENT
The Employer reserves the right, in its absolute discretion, to make any
changes to any of your terms and conditions of employment. The
Employer will give you reasonable notice and consult with you before
imposing any such change.
21
STAFF RULES AND POLICIES
You are required at all times to comply with the Employer’s rules, policies
and procedures in force from time to time, including those contained in the
Staff Handbook [a copy of which has been given to you OR which is
available from [
] OR which is available on the Employer’s
Intranet]. The rules, policies and procedures are not contractual and may
be varied at any time.
22
ENTIRE AGREEMENT
By signing below you acknowledge that this Agreement [and provisions
expressed to be contractual in the Staff Handbook] set(s) out the entire
agreement between the parties and supersede(s) all prior agreements,
arrangements or discussions including any statements, representations,
proposals and understandings whether made orally or in writing or implied
concerning your terms and conditions of employment which shall be
deemed to have been terminated by mutual consent. You acknowledge
that as at the date of this Agreement you have no outstanding claim of any
kind against the Employer and in entering into this Agreement you have
not relied on any Pre-Contractual Statement.
23
THE EFFECT OF ENDING THE EMPLOYMENT
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The ending of your employment howsoever arising will not affect any rights
the Employer has against you arising from any breach of this Agreement
which occurred before or after your employment ended.
24
JURISDICTION
Your contract shall be governed by and interpreted in accordance with
English Law. The parties hereby submit to the exclusive jurisdiction of the
English courts.
I have read and accept all the foregoing terms, in particular paragraphs 17 and 18,
and accept that these terms are reasonable and protect a legitimate business
interest, as the Employer works in a market in which confidentiality is of the
utmost importance and in which employees are made aware of a high level of
confidential information concerning the Employer’s business and its relations with
its clients, which it needs to protect.
I, the Employee, acknowledge that this Agreement constitutes a statement of the
particulars of my employment as required by the Employment Rights Act 1996 and
I confirm that this Agreement constitutes my contract of employment with the
Employer.
SIGNED:
...............................................................
(on behalf of the Employer)
DATE
...............................................................
SIGNED:
............................................................... (Employee)
DATE
...............................................................
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GRIEVANCE PROCEDURE
1.
PURPOSE
The purpose of a grievance procedure is to provide a mechanism to air any
issues, deal with problems, concerns or complaints an employee may have
about their work, terms and conditions of employment, working
environment or working relationships and for these to be dealt with fairly
and speedily. All grievance proceedings and records of such proceedings
will be kept confidential so far as is reasonably practicable.
This document does not form part of your contract of employment and
may be changed or departed from by the Employer as and when it deems
necessary. It is intended to act as a framework.
In the first instance you should attempt to resolve any problems or
concerns you may have about any aspect of your employment informally
by discussing the matter with your [Manager/Supervisor] or if you do not
feel that this is appropriate, with another relevant manager.
2.
PROCEDURE
If you and your [Manager] are not able to resolve your grievance informally
then it will be dealt with under the formal grievance procedure set out
below:
Stage 1 – Submitting a Grievance
You should put your grievance in writing giving as much detail as possible
about the nature of the problem and how you wish it to be resolved then
send it to your [Manager]. Where the grievance is against your [Manager]
you should raise your grievance with a [Partner] of the Employer.
The [Partner/Manager, as appropriate] will invite you to attend a formal
hearing in order to discuss the grievance, as soon as reasonably practicable
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thereafter. At this hearing you will have the right to be accompanied by a
work colleague or trade union representative (your “Companion").
After the hearing, the [Partner/Manager, as appropriate] will respond to
your grievance in writing, as soon as reasonably practicable thereafter. You
will be informed of your right to appeal against any decision made.
Stage 2 – Grievance Meeting
The formal hearing will take place once the Employer has had a reasonable
opportunity to consider its response to your grievance and if necessary
investigate the matter. You and your companion must take all reasonable
steps to attend the meeting.
At the formal hearing you will be required to explain your grievance and
how you think that it should be resolved. It may be necessary for the
meeting to be adjourned while an investigation is carried out.
Following the meeting the Employer will decide what if any action to take
to resolve the grievance and will notify you of this in writing. You will also
be notified that you have a right to appeal if you are not satisfied with the
decision.
Stage 3 - Appeal
Where the matter cannot be resolved you must inform the
[Manager/Partner] in writing if you want to appeal the outcome of the
grievance without delay and in any event within [5] working days of
receiving the decision. Your letter of appeal should state that it is an appeal
under this procedure and set out the grounds upon which the appeal is
made. A formal hearing will be arranged, normally within 10 working days
of receiving your letter or as soon as is reasonably practicable thereafter.
Wherever possible the appeal meeting will be held by a [Manager/Partner]
who has not previously been involved with the case. You will have the right
to be accompanied by a work colleague or trade union representative at
any appeal meeting. After the appeal meeting the [Manager/Partner] will
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consider the appeal and may make further enquiries if it considers it
necessary. The [Manager/Partner] will then inform you in writing of the
final decision. There is no further right of appeal after this.
The Right to be Accompanied
At any stage of the formal grievance procedure you may choose to be
accompanied by another work colleague or an appropriate trade union
representative to act in a supporting capacity where you reasonably
request this. It is not reasonable to ask to be accompanied by a companion
who the Employer reasonably believes may prejudice the hearing.
Your companion will be allowed to address the hearing on your behalf and
you will be able to speak to them freely. However, they will not be
permitted to answer questions on your behalf.
If your companion is not able to attend with you at the time proposed by
the Employer, you may propose an alternative reasonable time within 5
working days of the original proposed hearing date.
Substitution
If for any reason the appropriate managers are unavailable at any stage of
the grievance procedure, so far as is reasonably practicable other managers
will be substituted so that minimum delay is caused.
Relationship with Disciplinary Procedure
If your complaint is about the disciplinary procedure and/or the disciplinary
action which has been taken under that procedure you should use the
disciplinary appeal process.
If you raise a complaint during a disciplinary process the Employer reserves
the right to deal with the matter as part of that disciplinary process without
recourse to this grievance procedure where it considers appropriate to do
so.
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DISCIPLINARY AND DISMISSAL PROCEDURE
It is important that all employees know what standards the Employer requires of
them and the potential consequences if those standards are not met.
The rules and the procedure set out in this document are designed to help and
encourage all employees to achieve and maintain acceptable standards of
conduct, attendance and job performance. They are designed to ensure fair and
consistent treatment for all.
Where disciplinary matters cannot be resolved informally, this procedure is
intended to provide a formal framework to deal with the situation where an
employee’s conduct or performance falls below acceptable standards.
This procedure is not intended to form part of your contract of employment (save
to the extent required by law) it is intended to act as a framework and may be
changed or departed from by the Employer as and when it deems necessary. If you
have any questions or comments about this disciplinary procedure you should
contact [the HR Department].
All meetings under this procedure will be held at a reasonable time and location
and without reasonable delay. You will always be given enough time to prepare for
meetings held under this procedure but if you have any questions or concerns
about the timescales suggested in relation to your case you should speak to [HR]
as soon as possible.
Principles
-
-
formal disciplinary action will not normally be taken until the matter has
been investigated;
employees will be advised of the allegations against them and will have an
opportunity to state their case before any formal disciplinary decision is
made;
at every stage of the formal disciplinary procedure, employees will have a
right to be accompanied at any disciplinary meeting by either a work
colleague or an appropriate trade union official (your “Companion”);
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-
-
employees will not be dismissed for a first breach of the disciplinary rules,
except in the case of gross misconduct, when the penalty will normally be
dismissal without notice;
employees will have the right to appeal against any formal disciplinary
penalty;
although the disciplinary penalties which may be imposed under this
procedure will normally be imposed in the order set out below, the
procedure may be commenced at any stage if the seriousness of the
employee’s alleged misconduct justifies this.
This policy and its procedures do not apply to the issuing of any verbal, written or
final written warnings, although the Employer may choose to follow this policy, at
its discretion, prior to implementing any such penalty.
Investigations
It may be necessary for the Company to carry out an investigation in order to
decide if there is a disciplinary case for an employee to answer. Any such
investigation is outside the scope of this disciplinary procedure and therefore an
investigatory meeting may take place without prior notice. Additionally, there is
no legal right to be accompanied at investigatory meetings. Any investigatory
meeting should be regarded as purely fact finding, it is not, in itself, disciplinary
action and will not necessarily result in disciplinary action being taken.
Where an investigation is going on the Company may decide that it is appropriate
for an employee to be suspended with pay for a short time. Any such period of
suspension with pay will be kept as brief as possible and is an entirely neutral act
which should not be considered a disciplinary sanction.
Informal Warnings
Minor faults or shortcomings in performance or attendance will normally be dealt
with informally by the employee’s [Line Manager], with a view to reaching
agreement on the improvement required. The [Line Manager] may issue a written
management instruction as part of the normal managerial process which will be
retained on the employee’s personnel file for three months. Informal warnings do
not form part of the formal disciplinary procedure. If, however, the problem
35 of 44
persists or if the matter is more serious, action under the formal disciplinary
procedure will be taken.
FORMAL DISCIPLINARY PROCEDURE
Right to be Accompanied
At all meetings under this procedure an employee may be accompanied by a
Companion to act in a supporting capacity. However where the Employer
reasonably believes than an employee’s chosen Companion may prejudice the
meeting the employee will be asked to bring an alternative Companion.
A Companion may address the relevant meeting, sum up the employee’s case and
respond to any views expressed on the employee’s behalf. However such
Companion may not answer questions on behalf of the employee.
If the employee’s chosen companion is not available on the date of the disciplinary
meeting, the Employer will postpone the date of the meeting for up to five
working days to enable the employee’s preferred companion to attend.
The Investigation
Where an employee is alleged to have committed an act of misconduct, an
investigation will normally be carried out to establish whether it is necessary to call
the employee to a disciplinary meeting. The employee may be required to attend
an investigatory interview. When this happens, the investigating manager will
explain to the employee the reasons for the interview and that the purpose is to
ascertain whether there is a disciplinary case to answer.
The Employer may decide to suspend the employee with pay for a short time. Any
such period of suspension with pay will be kept as brief as possible and is an
entirely neutral act which should not be considered a disciplinary sanction.
Invitation to a Meeting
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Where the Employer believes that there is a disciplinary case to answer it will write
to the employee setting out the alleged misconduct or poor performance and
inviting them to a meeting to discuss the matter.
The purpose of such letter is to enable the employee to prepare an answer the
disciplinary case against them and to inform the employee of the possible
consequences. The letter will also:
i.
advise the employee of the allegations or complaints against him/her;
ii.
inform the employee of the time and place of the disciplinary meeting and
of the person who will be chairing the disciplinary meeting;
iii.
offer the employee the opportunity to be accompanied at the disciplinary
meeting by either a work colleague or an appropriate trade union official;
iv.
provide the employee with details/copies of the evidence supporting the
allegations or complaints against him/her;
v.
advise the employee of the possible disciplinary sanction should the
allegations or complaints against him/her be upheld.
[The employee should confirm their attendance at the meeting and the names of
any Companion [and/or] witnesses] they intend to bring or call.]
The Disciplinary Meeting
The meeting will take place before any action is taken (other than suspension on
full pay to enable a full investigation to take place). Employees and their
Companion must take all reasonable steps to attend the disciplinary meeting. If an
employee of their Companion is unexpectedly unable to attend the disciplinary
meeting for a genuine reason they should inform the Employer of this as soon as
possible. The Employer will then reschedule the meeting.
Where an employee fails to attend a disciplinary meeting more than once or
without genuine reason (for example, without notifying the Company) the
Company may decide the matter in their absence on the evidence available.
Where a related investigatory, meeting had previously taken place a different
person will conduct the disciplinary meeting where practicable.
37 of 44
At the disciplinary meeting, details of the allegations or complaints made and the
evidence supporting them will once again be put to the employee. The employee
will be given every opportunity to respond to the allegations and the evidence
being put forward to support them and to raise any mitigating circumstances. In
particular the employee will be given the opportunity to present their evidence,
call witnesses (if relevant), ask questions and raise points about any information
provided on behalf of the Employer (e.g. by witnesses).
Where an employee reasonably believes that it will be beneficial to their case to
call a witness to the meeting they may do so provided that they have given the
Employer advance notice of this.
An adjournment will take place to enable the manager chairing the disciplinary
meeting to consider all of the relevant facts including the employee’s length of
service and previous disciplinary record, if appropriate.
Notifying the Employee of the Outcome of the Meeting
The outcome of the disciplinary meeting and what (if any) sanction(s) will be
applied will be provided to the employee in writing following the meeting. The
details of the employee’s right to appeal will also be confirmed to the employee in
writing.
The Appeal
If an employee wishes to appeal against a disciplinary penalty, he/she should
submit an appeal in writing, clearly setting out the basis upon which the appeal is
being made, to [the HR Department] within five working days of receipt of written
notification of the disciplinary penalty.
If an employee has informed the Employer of their wish to appeal he or she will be
invited to attend a further meeting. The appeal may take place after any
disciplinary action or dismissal takes effect. The appeal meeting will normally take
place within ten working days of receipt of the employee’s letter of appeal.
38 of 44
An appeal meeting will then take place at which the employee will have the right
to be accompanied by their Companion. The employee and their Companion must
take all reasonable steps to attend the meeting.
So far as is reasonably practicable, the person chairing the appeal meeting will have
had no prior involvement in either the investigation or the disciplinary process.
The outcome of the appeal meeting will be confirmed to the employee in writing
and will take one of the following forms:
 The original decision will be upheld, in which case any disciplinary penalty will
be confirmed.
 The original decision will be overruled; in which case the allegations made
against the employee will be withdrawn.
 Alternatively, another disciplinary penalty may be substituted for the original
disciplinary penalty where disciplinary action is justified but the original penalty
imposed is considered to be too harsh.
The outcome of the appeal process is final.
Failure to Attend a Meeting Due to Illness
The Employer recognises that disciplinary matters can be stressful for employees.
However, it believes that in most cases stress is best alleviated by completing the
disciplinary procedure.
Where an employee is unfit for work this does not necessarily mean they are unfit
to attend a disciplinary meeting and employees must make every effort to cooperate with the Employer in completing the disciplinary process.
Where an employee is absent due to genuine illness the Employer will consider in
consultation with the employee and/or their doctor , whether there are any
reasonable adjustments that can be made to enable their case to be decided e.g.
allowing the employee to make written submissions only or holding the meeting at
a different venue.
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Where the Employer reasonably believes that the employee is unlikely to attend a
disciplinary meeting in the near future it may decide the matter in the employee’s
absence on the evidence available.
FORMAL DISCIPLINARY PENALTIES
After a disciplinary meeting held under the Employer’s disciplinary procedure the
employee will be notified in writing about whether or not disciplinary action will
betaken against them.
Where it is decided that there has been misconduct or failure to perform to the
required standard, formal disciplinary action will generally follow. Depending upon
the circumstances the Employer may decide not to impose any formal sanction
and may take other action (e.g. by giving an oral warning).
Verbal Warning
If conduct, attendance or performance does not meet acceptable standards, the
employee will be given a formal verbal warning. The employee will be advised in
writing of the reason for the warning, the improvement required, the time limit for
achieving this improvement, that it is the first formal stage of the disciplinary
procedure and of the right of appeal. The likely consequences of further offences
or a failure to improve will be explained to the employee. A record of the verbal
warning will be kept on the employee’s personnel file, but the warning will be
disregarded after [6] months provided conduct, attendance and/or performance
have been satisfactory.
Written Warning
If the offence is more serious or if there is insufficient improvement after a verbal
warning, or if a further broadly similar offence occurs whilst a verbal warning
remains in force, a written warning will be given. The employee will be advised in
writing of the reason for the warning, the improvement required, the time limit for
achieving this improvement and of the right of appeal. The likely consequences of
a further offence(s) or a failure to improve will be explained in writing to the
employee. The written warning will be kept on the employee’s personnel file, but
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the warning will be disregarded after [6] months provided the employee’s conduct;
attendance and/or performance have been satisfactory.
Final Written Warning
If there is still insufficient improvement after a verbal and/or written warning has
been issued or if the misconduct is sufficiently serious to warrant only one written
warning, a final written warning will be given. The employee will be advised in
writing of the reason for the warning, the improvement required, the time limit for
achieving this improvement and of the right of appeal. The employee will be
warned that the next stage of the disciplinary procedure is dismissal. The final
written warning will be kept on the employee’s personnel file, but the warning will
be disregarded after [12] months provided the employee’s conduct; attendance
and/or performance have been satisfactory.
Procedural Dismissal
If conduct, attendance and/or performance remains unsatisfactory after due
warnings have been given, the employee may be dismissed, with notice or
payment in lieu of notice (at the Employer’s discretion) following a further
disciplinary meeting. The employee will be provided with written confirmation of
the reasons for the dismissal, the date on which the employment terminated and
with details of the right of appeal.
However the Employer reserves the right to impose any disciplinary sanction if the
employee’s conduct is sufficiently serious to warrant such action. The Employee is
guaranteed to receive a warning before dismissal if their misconduct is sufficiently
serious.
Any warning given will set out the nature of the misconduct/poor performance and
the change in behaviour or improvement in the performance required (with
timescale). The length of time the warning will remain current will also be given.
The warning will also set out the consequences of further misconduct or failure to
improve performance within the set period.
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If the decision to dismiss is made, the employee will be informed as soon as
possible of the reasons for the dismissal, the appropriate period of notice (if any),
the date on which the employment contract will end and their right to appeal.
If the employee has already received a final written warning further misconduct or
unsatisfactory performance may justify dismissal. In exceptional circumstances an
alternative sanction may be imposed.
Examples of Misconduct
Examples of misconduct which may lead to a warning or ultimately dismissal
include, but are not limited to, the following:
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Failure to obey a reasonable management instruction.
Poor work performance, including inefficiency and/or carelessness and/or
indifference to work.
Breach of policies and practices.
Poor timekeeping or attendance or attitude.
Failure to follow sickness absence reporting procedures.
Improper use of the Employer’s property or failure to report damage to the
Employer’s property as soon as possible
Failing all or any of the ACCA examinations
[Demotion or redeployment will be considered, as an alternative to being
dismissed, in appropriate cases.]
Gross Misconduct
The Employer considers some types of misconduct to be so serious that a
disciplinary warning or procedural dismissal would be an insufficient penalty. Such
offences are known as offences of gross misconduct. Where the offence is one of
gross misconduct the normal penalty will be summary dismissal (i.e. dismissal
without a prior warning being issued and without notice or a payment in lieu of
notice). An employee who is dismissed for gross misconduct will only be entitled
to a payment in lieu of any accrued but untaken statutory holiday entitlement.
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Dismissal for gross misconduct will not normally occur until a disciplinary meeting
has taken place. The employee will be provided with written confirmation of the
reasons for the dismissal and given an opportunity to appeal.
Matters which may justify summary dismissal (i.e. dismissal without notice or pay
in lieu of notice) include, but are not limited to, the following:
 Dishonesty, theft and fraud.
 Deception, e.g. making untrue statements in employment applications or in
statements relating to qualifications; falsifying references, falsifying documents
relating to sickness/absence; falsifying expenses, etc.
 Vandalism or sabotage.
 Fighting or seriously disruptive behaviour or offensive or abusive language.
 Serious insubordination.
 Unauthorised entry of computer records or systems; serious misuse of
computer, email and internet systems, including accessing pornographic, lewd,
obscene or racist websites or distributing emails of this nature;
 misuse of financial or other confidential information.
 Acts of bullying, harassment or discrimination.
 Being at work under the influence of drink, illegal drugs or other intoxicants.
 Misconduct which brings the Employer into disrepute with customers or
suppliers.
 Indecent/immoral acts.
 Going off site without permission during normal working hours.
 Betting, gambling or touting on the Employer’s premises.
 Unauthorised absence.
 Serious breaches of the Employer’s policies and procedures.
 Deliberate or otherwise causing serious damage to the Employer’s property or
causing loss, damage or injury through serious negligence.
 Serious breach of health and safety rules.
 Serious breach of confidentiality.
 Any criminal offence carried out during working hours or outside of working
hours where such offence impacts the employee’s your employment
 An order of ACCA’s Disciplinary Committee removing you from the trainee
register (subject, if applicable, to an affirmation of that order by the Appeal
Committee).
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Suspension
Where an allegation of misconduct is made against an employee, that employee
may be suspended from work pending the outcome of the investigation into the
alleged misconduct. The employee will be paid normal basic remuneration during
any period of suspension. Suspension in these circumstances is a neutral act – it is
not a disciplinary penalty and does not imply guilt.
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