Disciplinary policy and procedure POLICY It is the policy of the company that all employees should achieve and maintain agreed standards of conduct, attendance and performance and that everything within reason will be done to help all employees achieve these standards. If these standards are not achieved and disciplinary action has to be taken against employees it should: Be undertaken only in cases where good reason and clear evidence exist; Be appropriate to the nature of the offence that has been committed; Be demonstrably fair and consistent with previous action in similar circumstances; Take place only when employees are aware of the standards that are expected of them or the rules with which they are required to conform; Allow employees the right to be accompanied by a representative or colleague of their choice during any formal proceedings; Allow employees the right to know exactly what charges are being made against them and to respond to those charges. Allow employees the right of appeal against any disciplinary action through the Personal Grievance procedure under the Employment Relations Act 2000. (Internal appeal system?) The disciplinary process has as its main aim the improvement of an employee’s conduct, attendance and performance. To ensure that this is the driving force, the first problem (if it is of a minor misconduct) will be dealt with informally and will not be seen as part of the disciplinary procedure, but merely an acknowledgement by the organisation to the employee that the standards are not being achieved. The employee will be informed that if the problem re-occurs that the disciplinary procedure will be invoked. This informal discussion will only take place for very minor problems. Problems that are more serious will be treated immediately through the disciplinary process. RULES The company is responsible for ensuring that up-to-date rules are agreed between the company and the employees, and when agreed are published and available to all employees. The following are general statements of expected behaviour; 1. The employee will behave at all times in a way that does not bring the employer or any other employee into disrepute. 2. All employees will perform at or above the standards set out in their Job Description. 3. The employee will immediately inform the employer of any potential conflict of interest. 4. Employees will be available for work at the required time and will (apart from illness) be willing and able to carry out their duties during the time they are at work. 5. Employees will not without express permission from the employer carry out any work for them selves or any one else in the employer’s premises and will not use the employer’s equipment for any other reason than those connected with the job they are employed to do. 6. Employees will respect the confidentiality of the employer at all times. Any information gained through their employment will not be disclosed to a third party. 7. Employees will obey the Health and Safety rules at all times, and will immediately inform the employer if any one else is in breach of these rules. Any breach of the above rules will be handled through the discipline process. A breach of any rule will be treated as; 1. Minor misconduct 2. Misconduct 3. Serious misconduct. What follows are examples each level of misconduct. THESE LISTS ARE NOT EXHAUSTIVE AND ARE ONLY MEANT TO ILLUSTRATE THE KIND OF THINGS THAT WILL FALL INTO EACH CATEGORY Minor misconduct: Lateness Minor problems with performance (mistakes that don’t cost any money) Behaviour that is rude to managers or work colleagues. Misconduct More than two (2) examples of any of the above Mistakes that are serious and cost up to $250.00 to rectify Behaviour that is rude to customers Behaviour or performance that is unacceptable but is not so serious that the employer would want to end the relationship. Serious misconduct More than two (2) examples of any of the above Mistakes that are serious and cost more than $250.00 to rectify Behaviour or performance that is so serious that the employer would want to end the relationship Examples of such behaviour are: Physical assault Intentional damage misuse and/or dangerous of vehicles and/or equipment. Possession of drugs (other than prescribed drugs) Consumption of drugs (other than prescribed drugs) or alcohol during the hours of work Reporting for work under the influence of drugs or alcohol that in the opinion of the manager leaves the employee impaired to perform their duties. If the drugs are prescribed then no disciplinary action will be taken, but the employee will be sent home. Falsification of records Breaking any Health and Safety rules. Unauthorised removal of any property of the employer or any other employee. Any other form of dishonesty or criminal damage in connection with company property, or the property of any other employee Any other behaviour which is considered as serious as any of the above. PROCEDURE The procedure is carried out in the following stages: 1. Formal Verbal warning. A verbal formal warning is given to the employee in the first instance of (minor) misconduct (following the informal discussion). The warning is administered by the employee’s immediate manager it states the exact nature of the offence, and indicates what if any future disciplinary action will be taken against the employee if another offence occurs within a specified time limit. A record of the verbal warning will be placed on the employee’s personnel file and will remain on file for 6 months, after which time it will be physically removed and destroyed. 2. Formal Written Warning. A written formal warning is given to the employee in the first instance of more serious offences (mis-conduct) or after more than one instance of minor misconduct. The warning is administered by the employee’s immediate manager, it states the exact nature of the offence, and indicates what if any future disciplinary action will be taken against the employee if another offence occurs within a specified time limit. A copy of the written warning is placed in the employee’s personnel record file but is destroyed 12 months after the date on which it was given, if the intervening service has been satisfactory. The employee is required to read and sign the formal warning. 3. Final Written Warning. A final written warning is given to the employee at the second instance of mis-conduct, or after more than 2 instances of minor misconduct A final written warning is administered by the employee’s immediate manager, it states the exact nature of the offence, and indicates what if any future disciplinary action will be taken against the employee if another offence occurs within a specified time limit. A copy of the written warning is placed in the employee’s personnel record file but is destroyed 18 months after the date on which it was given, if the intervening service has been satisfactory. The employee is required to read and sign the formal warning. 4. Further Disciplinary Action. If, despite previous warnings, an employee still fails to reach the required standards in a reasonable period of time, (up to 18 months) it will become necessary to consider further disciplinary action. The action taken may be up to three days’ suspension without pay, or summary dismissal, or any other action short of dismissal determined by the manager. Only the Senior Manager has the authority to dismiss an employee. 5. Summary Dismissal. An employee may be summarily dismissed (instant dismissal without notice) in the event of one occurrence of a very serious problem (serious mis-conduct). Only the senior manager has the authority to summarily dismiss an employee. The following table is presented as a guide to the management action that is likely to be used following each level of problem. PROBLEM SUGGESTED MANAGEMENT ACTION 1st minor misconduct Informal talk with employee (this is not part of the formal procedure) 2nd minor misconduct First formal warning (verbal) Stage One of the procedure 1st misconduct or First written warning 3rd minor misconduct Stage Two of the procedure 2nd misconduct or Final written warning 4th minor misconduct Stage Three of the procedure Serious misconduct or Dismissal 3rd misconduct or Stage Four of the procedure 5th minor misconduct Managers have the right to decide what stage to enter the procedure, but generally speaking the level of the offence and the number of times the individual has committed that level of offence is a good guide. How to handle a discipline problem One of the best ways to ensure that employees engage in conduct and performance that is acceptable is to make sure that they are aware that you are aware there is a problem as early as possible. The first time you become aware of an employee under performing a little, or behaving in a way that is against the rules but is not really serious then have a private word with them. Take them out of the public area and ask them why they are under performing or behaving badly (i.e. breaking the rules). Listen to their reason and either accept and offer any help to ensure that it doesn’t carry on, or if you don’t accept it (and the decision to accept the reason or not is yours) tell the employee that what is going on is unacceptable and is not to happen again. Inform the employee that what you are doing (this discussion) is not a part of the Discipline procedure, but warn the employee that if it does happen again you will have no alternative but to move into the discipline procedure. Make no official record of the discussion but keep a note in your diary that it took place. Most people will accept that they can’t carry on operating the way they are and they will change their behaviour. If the behaviour doesn’t change and the problem happens again then follow the instructions below. Operating the Disciplinary Procedure It is important that all employees are treated fairly if they are the subject of a disciplinary complaint. To achieve this level of consistency managers should operate as follows in every case except where the problem is seen as serious misconduct. Identifying the problem Your ability to identify the problem and the subsequent use of the discipline process are dependent on your knowledge of the rules, agreements, conventions and custom and practice. Without such knowledge you are virtually blind to all but the most obvious breaches of the rules. With that knowledge as a background you have to set down the facts of the situation, as they appear prior to investigation, in a logical manner. One way to do this is to ask the following simple questions: WHO Who is involved in the matter? This will involve the alleged offender plus any victims, witnesses etc. WHERE Where did the incident take place? WHEN When did it happen? WHAT What has been suggested to have happened? WHY Do we know why the action took place? HOW How does the incident break the rules? (If the answer to this question is "no rules have been broken" then the discipline process should not be used. It may be that some other managerial action such as instigating training may be required.) If the answer to this question is that one or more rules have been broken then you should embark on an investigation. Investigation The investigation should take place immediately following the discovery of a suspected breach of the rules and immediately prior to convening a disciplinary interview. The intention should be to find out all the information in order to enable the manager to decide whether to convene a disciplinary interview. There are several skills required if an investigation is to be carried out properly and well. The first skill is to approach the investigation with an open and unbiased mind. It is wrong to assume anything about the outcome of the investigation until it has reached its conclusion. The skills of interviewing are also needed because several different people will need to be interviewed; witnesses, the alleged offender, and any one else the manager believes may be able to throw light on the events being investigated. Questioning techniques to obtain information, listening skills to hear the information and analytical skills to make sense of all the different information obtained in order to achieve a clear picture of what actually happened. Remember when asking questions of those who were present at the event, that each individual will see the event through their own eyes and will make their own individual interpretation of the event. The manager's job is to get behind these interpretations to see the actual events rather than what each individual thinks happened. At the end of the investigation the manager needs to decide what to do now. There are several alternatives open to the manager only one of which is to convene a disciplinary interview. The manager could choose to do nothing, or set up training processes or anything else that the manager believes will improve the situation. The choice is the managers. The only requirement is that the manager needs to understand why the decision was made, how it will improve the situation more than any other alternative and if necessary be capable of justifying the decision to a higher level manager. Preparing the interview It is the manager's responsibility to organise the interview. First consider the following general points: LOCATION Where will the interview be held? The location should be free from interruption and should accommodate all of those who will be required to attend. NOTIFICATION Everyone who is required to attend must be notified, this includes the individual concerned, their representative (if one is asked for), witnesses and another manager to take an accurate record. REPRESENTATION Everyone has the right to representation at all levels and stages of discipline. The individual has the right to choose any person at all as their representative and management should accept and allow that choice to participate in the process. EXPECTATIONS How the individual concerned is expected to respond? What strategies have been planned to deal with unfavourable responses? Remember the individual concerned is hardly likely to be behaving normally; this will be a very stressful occasion. The task of the manager is to reach a useful outcome and to do that the manager needs the individual to behave as naturally as possible. Try to make it as easy as possible for the individual to tell the truth. ER/IR PROBLEMS Are there any current problems in the organisation that may be affected either way by your decision? PRECEDENTS Are there any precedents set for similar problems and circumstances? Then think about the structure of the interview itself. What follows is an indication of the general pattern of disciplinary interviews, and should be treated as such rather than as a template, which should be followed mechanically. Manager's opening statement This will outline the purpose of the interview. It should make it clear that the interview is taking place within the disciplinary procedure, identify the stage in the procedure at which it is held and identify the level of sanction available at that stage of the procedure should the breach of the rules be found to have taken place. This last is particularly important. The aim of the manager should be to obtain the best possible outcome for the organisation and the individual. In order to make that more likely it is essential that everyone involved is fully aware of the seriousness of the situation. The opening statement should also introduce everyone and outline his or her role in the process. The statement should end by outlining how the interview will be structured and conducted and ensuring that everyone understands the process as outlined. Statement of the situation The manager should outline the case. This outline should include a statement about the alleged behaviour of the individual concerned, the date, time and place of the behaviour and should clearly state which rule(s) the behaviour breaches and why. Individual's reply At every disciplinary interview it is essential that the individual concerned is given the opportunity to explain their behaviour and to ask any questions of the manager that the individual feels need to be asked. General questioning and discussion Remember that even though the manager believes that the investigation has shown that there is sufficient evidence to convene a disciplinary interview, it does not automatically follow that the individual will agree with that view. It also does not necessarily mean that the outcome of the interview will be disciplinary action. Some information may emerge which points the manager to action other than disciplinary action, such as training for the individual, or even the cancellation the disciplinary process against this individual and the opening of another disciplinary investigation of some other individual. The discussion should be open and free enough to allow all of the circumstances to be fully explored and considered. Summary At the end of the interview the manager should summarise the interview factually, and then adjourn the meeting. The summary should also indicate those points (if any) that the manager wants to cheek. The manager should indicate the action that will be taken to check on those points and when the next interview will take place following the checking of the points and the manager arriving at a decision as to the outcome of the disciplinary interview. The manager should ensure that the next interview takes place within a reasonable time while allowing sufficient time for the points to be checked thoroughly and proper consideration of the overall information to have taken place. During the Adjournment The manager should do the following during the adjournment: Check the outstanding issues from the interview. Re-appraise the case. Reach a decision as to what action to take based on the facts. Check with other managers as to their knowledge of the individual (this may lead to changes in the action already decided depending on what the other managers say) Check the individual’s record. (this may lead to changes in the action already decided depending on what is in the record) Finally decide what if any action to take and an explanation as to why this action has been decided on. Plan the next interview. Checking outstanding issues The manager should check the real status of the rule that has allegedly been broken. Checking past records of similar rule breaches and talking to other managers about how they would handle a breach of this particular rule should do this. The manager should also look into the particular circumstances surrounding this particular situation, particularly if there has been a strong claim for mitigation at the interview. Finally the manager should check facts and information which were produced at the interview. Re-appraise the case. The manager needs to make a decision about whether, in the light of all of the information that is now available, there is still a case to answer for the individual concerned. If the manager decides there is now no case then the next interview should be held to provide the individual with a clear explanation about why the case is not being taken any further. This explanation should be factual and accurate, but it should not be either defensive or apologetic. The process has worked and the manager should feel no need to apologise for the outcome. Remember that the first intention of discipline is improvement. If at the end of your consideration of the overall information gained from the investigation, the interview and the checking of any points felt necessary, you believe that it would be wrong or unfair or unjustifiable to carry out disciplinary action that is fine. You have not wasted any time or money. In fact you have spent the time and money very well because you have stopped the organisation taking action which very probably would lead it into a situation such as a dispute or a tribunal appearance with all the cost surrounding those two situations. If handled properly and effectively this withdrawal from the disciplinary process can enhance the image of both management and the discipline process as fair and reasonable. If however the manager decides that there is still a case to answer the proposed action should be determined and the next interview planned. Having decided the action based on the facts the manager should identify any other information from other managers and from the individual’s record that may enable the manager to reduce or increase the severity of the action Proposed action When deciding on the proposed action the manager should check the employee's disciplinary record, this may contain some thing which when added to this particular case may call for action beyond the authority of the investigating manager. In these circumstances the investigating manager should involve a senior manager with the necessary authority to carry out (if they agree with it) the proposed action of the investigating manager. The manager should make sure that the proposed action is both fair and consistent by checking on the outcomes of similar cases and identifying and evaluating the effects of mitigating the normal penalty in this particular case. Talk to personnel and fellow managers about these effects before a decision is made. Planning the next interview This interview is held for the purpose of passing out the decision of the manager in the case, identifying the proposed action in terms of the sanction to be applied to the individual. The actions management expect the individual to take and the time limit by which the required improvement will be achieved, and the action management will take to help the individual to achieve the improvement expected. It is not a discussion and it is certainly not a negotiation. There is also a last opportunity to ask the individual to provide any different/new information that may explain why the individual acted as they did. If this new information is important enough to make the manager think about the action that was due to be taken, the meeting should be adjourned while the new information is checked out. It is probable however that there will be no new information and if that is the case the manager simply carries on with the prepared statement. The manager should make the statement in full and refuse to be drawn into discussions or negotiations about the statement. The other thing this interview is for is to explain to the individual their rights of appeal against the decision and the process they should engage in to exercise those rights. This right will either be through an internal appeal system, or through exercising every employee’s right to take out a personal grievance, or both. Follow up Following the completion of the disciplinary process there are several things that the manager is required to do. The manager should record the details of the process. The more detailed the record the better, but the following must be recorded in the individual's personnel file and a copy kept by the manager: Details of the situation and rule that was breached. Details including dates and times of the investigation carried out and interviews held. Decision reached and actions expected of both management and individual. Time limit covered by the decision. What will happen to the record if the expectations are met by the time limit. The manager should communicate the outcome of the disciplinary process to everyone who needs to know. The manager should put in place systems that will allow the action to be taken by management to happen. The action decided by the manager should be implemented immediately. If the action is anything short of dismissal, don’t wait for an internal appeal to be lodged, carry out the action now, it can always be rescinded on a successful appeal. If the action is dismissal then the internal appeal should be held as quickly as possible, and the employee should be suspended without pay until the outcome of the appeal, at which time the action should take place, or the employee should return to work. If there is no internal appeal then the dismissal should take place immediately. Finally the manager should recognise that there needs to be a relationship building process. Disciplinary action while necessary is also a source of discomfort, resentment and possibly embarrassment to individuals. Following a procedure properly every time will make it more likely that the end result is fair and reasonable in all the circumstances, but it will not endear the manager to the individual who has just been disciplined. Never the less the two people have to work with each other. It is easier for the manager to behave in a responsible way that will encourage the individual to respond in a similar way. Once the discipline procedure has been handled normal work relationships should be resumed as soon as possible. Discipline procedure for cases of serious misconduct Once you become aware that there is a potential serious misconduct problem you should; a) Immediately suspend the alleged offender on full pay b) Follow the instructions given for non serious misconduct cases c) While you are investigating you also need to provide the alleged offender with the right to talk to people in the organisation to organise his/her defence. You should allow him/her entry to the organisation during the suspension period but only with your prior permission, only into specified areas and only if s/he is accompanied either by his/her representative or a person nominated by you. d) Apart from this the process for serious misconduct is exactly the same as that for non serious misconduct except that in serious misconduct cases if the alleged offence is shown to have happened the action you take is likely to be dismissal Produced by Barrie Humphreys BHRM Ltd. Disciplinary process flowchart Potential Problem Identified Manager believes that information suggests there is no problem, or no rule has been broken. Process ends and work carries on as normal Individual advised of right to be represented by representative of their own choosing and encouraged to take up that right And encouraged to have that representative talk to other witnesses to gather information to present to the disciplinary hearing Manager Carries out thorough Investigation Outcome of investigation Manager believes there is a problem and can identify one or more rules that have been broken and decides that discipline is the way to respond Manager convenes a discipline hearing People in attendance for Management to be Disciplining manager and BHRM Individual to be advised of right to be represented by Representative of their own choosing Manager runs hearing and gathers information then meeting closed and new meeting (Disciplinary Action Meeting) set up Manager reviews information, checks facts checks personnel record and talks with BHRM and determines action to take Individual decides whether or not to appeal through the internal appeal process Manager holds Disciplinary Action Meeting and informs individual of decision and right of appeal Manager implements action and records process used Individual appeals to MD and Manager produces record and explains process BHRM available for advice to Manager and Employee Manager believes there is a problem but some action other than Discipline should be taken Seek advice from other managers and BHRM as to what other action to take, Training for example Manager implements action