1.1.1.1
1.1.1.2 DISCIPLINARY POLICY AND PROCEDURE
PURPOSE AND SCOPE
1. The purpose of the Company’s disciplinary policy is to ensure consistent and fair
treatment of disciplinary [and performance] issues and to help encourage
employees to achieve and maintain appropriate standards of conduct [and
performance], thereby avoiding the need for further disciplinary action.
2. A separate procedure exists in respect of sickness absence
3. This procedure applies to all permanent employees who have completed their
probationary period. It does not confer any contractual rights.
2
GENERAL PRINCIPLES
4. All employees are required to carry out the reasonable instructions of the
Company, abide by the Company’s rules and their contracts of employment.
5. Minor acts of misconduct or unsatisfactory performance may initially be
addressed by means of informal counselling, guidance and instruction; [including
the use of Personal Development Plans in cases of unsatisfactory performance].
However, if problems continue or the Company regard matters to be sufficiently
serious the disciplinary procedure shall apply.
6. An employee will not be dismissed for a first breach of expected standards of
conduct or performance except in the case of gross misconduct or gross
negligence when employees may be dismissed without any notice or payment in
lieu of notice.
7. The disciplinary procedure may be implemented by the Company at any stage,
depending upon the seriousness of the misconduct or poor performance in
question or an employee’s disciplinary record taken as a whole.
8. The Company will not normally take any formal disciplinary action under this
procedure without:
-
having carried out a prompt investigation;
-
giving or sending the employee a letter inviting him/her to attend a
disciplinary hearing.

[The letter will also set out the basis upon which the Company
contemplates taking action against the employee i.e. the basis
upon which the Company believes that the Employees conduct or
performance is below expected standards.

The letter will also warn the employee of the possible outcome of
the hearing, including where appropriate, dismissal.

Any employee who has difficulty understanding the content of
such a letter should ask the HR Manager for assistance;]
-
providing the employee with any relevant information and evidence
which the Company intends to rely upon and giving the employee a
reasonable
opportunity
to
consider
his/her
response
to
that
information prior to the hearing;
-
holding a disciplinary hearing at which the Company will
1. explain the allegations against the employee,
2. set out the Company’s case and
3. provide the employee with an opportunity to respond in full
and put his/her case in respect of the allegations made.
9. Employees will have the right to appeal against any formal action taken against
them under this procedure.
10. In certain circumstances (for example in cases involving possible gross
misconduct) it will be appropriate to suspend an employee from work on full pay
to enable an investigation to take place. Suspension will normally last for up to 10
working days although a longer period of suspension may be required where
additional time is needed to conclude an investigation. Suspension does not
constitute a disciplinary sanction and should not be regarded as such by any
employee.
11. Each stage of the disciplinary procedure will be carried out without unreasonable
delay.
12. [Where the Company contemplates instigating formal disciplinary proceedings
against an accredited representative of a trade union which is recognised by the
Company [for the purposes of collective bargaining], it shall immediately inform
the employees Full Time Officer and seek to involve them in any subsequent
proceedings].
13. [All written warnings which are issued under this procedure will [normally] be
prepared by the Human Resources Department to ensure consistency and to
ensure that appropriate records are maintained].
GROSS MISCONDUCT
14. The following are examples of gross misconduct which would normally result in
summary dismissal i.e. dismissal without notice or payment in lieu of notice:
-
Actual or attempted theft, fraud, or dishonesty;
-
Falsification of records;
-
Clocking offences;
-
Fighting, physical assault, violence or threatening behaviour;
-
Gross insubordination, including failure to comply with reasonable
management requests/instructions;
-
Consumption and/or possession of alcohol or non-prescribed drugs on
the Company’s premises or incapacity for work due to alcohol or illegal
drugs;
-
Serious breaches of trust and/or confidence;
-
Actions or omissions that bring the Company’s name into serious
disrepute;
-
Wilful or deliberate damage or misuse of Company property and the
property of employees or members of the general public;
-
Gross negligence or incompetence which causes or might cause
unacceptable loss, damage or injury to persons or property;
-
Serious beaches of company rules relating to Health & Safety [and
hygiene];
-
Sleeping at work;
-
Bullying or harassment on the grounds of sex, race, disability, age,
sexual orientation, religion or belief [or any other unlawful act of
discrimination] against another employee, agency or contract worker,
customer, visitor or any other third party to whom the Company has a
duty to prevent such discrimination;
-
Indecent or immoral behaviour;
-
Disclosure of confidential Company information;
-
Computer and email misuse, including hacking, access to, downloading
or the transmission of any pornographic or discriminatory or otherwise
offensive material and
-
Unauthorised absence
15. The above list is NOT exhaustive but simply illustrates the type of transgression
that will normally result in summary dismissal.
2.1.1
OTHER MISCONDUCT & POOR PERFORMANCE
16. In other cases of misconduct and poor performance coming within the scope of
the Company’s disciplinary policy, the Company will issue the employee with a
formal warning which may be a stage one, stage two or final warning, as
appropriate.
2.1.2
CONDUCT OF DISCIPLINARY & APPEAL HEARINGS
17. The Company will seek to ensure that the time, place and location of any
disciplinary hearing or appeal is reasonable
18. An employee who has been invited to attend a disciplinary hearing or an appeal
haring must take all reasonable steps to attend
19. At any disciplinary or appeal hearing an employee has the right to be
accompanied by a work colleague or an accredited Trade Union official. If the
chosen companion cannot attend the hearing date proposed an alternative date
will be offered where the companion is available to attend within 5 working days
from the date first proposed. At the hearing, the companion may address the
hearing to put the employee’s case, sum up the employee’s case or respond on
the employee’s behalf to any view expressed by the hearing. The companion may
also confer with the employee during the hearing. However, the companion does
not have the right to answer questions on the employee’s behalf, address the
hearing if the employee does not want or prevent anyone, including the
employee from contributing to the hearing
20. [At each stage of the disciplinary process the Supervisor/Manager conducting the
disciplinary hearing (see below) will normally be accompanied by either another
member of the management team or a Human Resources Adviser/Manager]
21. At all disciplinary hearings, the Company will explain the role of all those
attending on its behalf, the nature of the allegation/the case against the
employee and provide the employee with the opportunity to respond, ask
questions and put forward his/her case
22. At any disciplinary hearing relating to performance the Company will seek to
establish the cause of any shortcomings in order to ensure that appropriate
support, supervision and/or training may be provided
23. Whenever the Company decides to take formal disciplinary action on the basis of
poor performance it will not do so without setting clear objectives for the
employee. Wherever possible SMART objectives will be used i.e. objectives which
are Specific, Measureable, Agreed, Realistic and Time bound.
24. At any appeal hearing the role of those in attendance will again be explained.
Thereafter, the employee will be invited to put forward the basis of his/her appeal
which will then be considered by the Company
25. If matters come to light during a disciplinary or appeal hearing that require
further investigation, the Company may, at its discretion, adjourn any such
hearing to facilitate this. Any such investigation will be undertaken without
unreasonable delay
26. At the conclusion of any disciplinary hearing or appeal hearing, the Company’s
decision shall be confirmed to the employee in writing normally within 5 working
days.
THE DISCIPLINARY PROCEDURE
Written Warning
27. Where conduct or performance falls short of the standards expected by the
Company, the employee will normally receive a stage one warning from his
Supervisor/Manager or nominated deputy.
28. The Supervisor/Manager or nominated deputy shall inform the employee of the
following:
-
the reason for the warning,
-
that the warning is being issued in accordance with stage one of the
Company’s disciplinary procedure
-
any action or improvement which is required of the employee,
-
if appropriate, the timescale for implementing such action or achieving the
required standard of improvement,
-
details of any additional support, supervision or training to be provided;
-
the consequences of the employee failing to implement any required
action, achieve the required standard of improvement or, as appropriate,
of any further misconduct or poor performance
-
that subject to satisfactory conduct and/or performance, the warning shall
cease to have effect after a period of [6] months
-
the right of appeal
29. All these matters (together with the objectives set in relation to cases of poor
performance) will be confirmed to the employee in writing
Final Warning
30. The Company may issue a final warning if:
the required improvements are not achieved within the timescale stated in
a written warning; or
further misconduct or poor performance takes place, during the currency
of a written warning; or
the seriousness of the misconduct merits it, regardless of whether any
previous warning has been issued.
31. A final warning may be issued by a Departmental Manager or more senior
manager. As with written warnings, where at the conclusion of the disciplinary
meeting the manager decides to issue a final warning he or she will inform the
employee of the following:
-
the reason for the warning, including any prior warning(s) taken into
account,
-
that the warning is being issued in accordance with the final stage of the
Company’s disciplinary procedure
-
any action or improvement which he or she requires of the employee,
-
if appropriate, the timescale for implementing such action or achieving the
required standard of improvement,
-
details of any additional support, supervision or training to be provided;
-
that the next stage of the procedure will be dismissal,
-
when the warning will cease to have effect. This will normally be after a
period of [12] months. However, at the time of issuing the warning the
Company may stipulate a longer duration (and if appropriate the warning
may be regarded as permanent) to reflect the seriousness of the
misconduct found or where imposing such a warning as an alternative to
dismissal
-
the right of appeal
32. All these matters (together with the objectives set in relation to cases of poor
performance) will be confirmed to the employee in writing.
Dismissal
33. The Company may dismiss an employee where:
the required improvement is not achieved within the timescale stated in a
final warning; or
further misconduct or poor performance takes place, during the currency
of a final warning; or
it is reasonably believed that the employee has committed an act of gross
misconduct.
34. In cases relating to poor performance (as opposed to those relating to
misconduct) the Company will consider redeploying an employee as an
alternative to dismissal where a suitable vacancy exists which, in the opinion of
the Company, the employee is capable of performing.
35. Unless dismissal is for gross misconduct, an employee will either be dismissed
with notice or with a payment in lieu of notice.
36. [Only a Departmental Manager or nominated deputy may dismiss an employee.
No action to dismiss may be taken without the prior knowledge of the Human
Resources department].
37. Where, at the conclusion of a disciplinary hearing, a manager decides to dismiss
an employee, he or she will inform the employee of the reason for dismissal, the
date on which the dismissal takes effect and remind the employee of his/her right
of appeal. These matters will then be confirmed to the employee in writing.
Appeals
38. An employee who is dissatisfied with any disciplinary decision taken may appeal
against that decision. Any such appeal should be made in writing, setting out the
basis for the appeal and be sent to the Human Resources department within [five]
days of receiving written confirmation of the disciplinary warning or dismissal. An
appeal hearing will then be arranged without delay; normally within 10 working
days of the request
39. Appeals shall be determined by an appropriate senior manager who was not
involved in the disciplinary decision giving rise to the appeal. This manager will be
accompanied at the appeal hearing by a member of the Human Resources
Department
40. An appeal against a dismissal is final and concludes the Company’s disciplinary
procedure.