The Company’s policy on discipline should be followed by all staff when dealing with all acts of alleged misconduct within its workforce.
This policy is designed to help and encourage employees to achieve and maintain an acceptable standard of behaviour whilst aiming for fair and consistent treatment.
Disciplinary rules, policies and procedures are necessary for promoting fairness and order in the treatment of individuals and in the conduct of industrial relations; they ensure that standards are adhered to and provide a fair method of dealing with alleged failures to observe them.
It is unlikely that any set of disciplinary rules can cover all circumstances that may arise; the rules required may vary according to the circumstances. Those set out below state the principles that should be followed wherever possible.
General Principles
- It is the duty of each employee to maintain the highest standard of conduct and to avoid acting negligently in carrying out his/her work.
- All decisions to implement the disciplinary procedure will be made in good faith and in a genuine belief that there has been misconduct which has had a detrimental effect on the Company and its operations.
- The disciplinary hearing is designed to establish whether there are reasonable grounds for believing that the employee has committed an offence amounting to misconduct.
- Investigation into possible misconduct will be as thorough as the circumstances require and allow and as natural justice requires. The employee will be advised at the earliest opportunity of the nature of the complaint against him/her.
- Whilst there is a need to ensure that the facts of the case are thoroughly investigated, there are obvious benefits for the employee and for managers if disciplinary procedures are dealt with quickly and effectively.
- Where alleged misconduct, if established, would be regarded as gross misconduct, the employee must be suspended from work. Suspension, in itself, is a precautionary measure and not a form of disciplinary action.
- If, following thorough investigation, a decision is made to progress the matter through the formal disciplinary procedure, the employee will be told in writing of the complaint and a disciplinary hearing will be arranged. The employee will be given the opportunity to state his/her case.
- The disciplinary hearing is designed to establish whether there are reasonable grounds for believing that the employee committed the alleged offence and to decide on the appropriate penalty taking all the circumstances into account.
- On notification of each stage in the procedure, the employee will be informed that he/she has the right to be accompanied by a colleague (not acting in a legal capacity), trade union or other representative.
- The employee, or anyone acting on his/her behalf, will receive copies of all relevant papers, including witness statements, prior to the disciplinary hearing. Where either side wishes to submit evidence which could not be submitted prior to the hearing, this will be allowed providing both parties are given adequate opportunity to study it.
- Any decision to take, or not to take, disciplinary action and the nature of such action, will be made only after a disciplinary hearing and full consideration of the case.
- At any stage in the procedure the employee has the right to call witnesses in his/her defence, including witnesses who are not employees of the Company.
- The employer also has the right to call witnesses, including witnesses who are not employees of the Company.
- No employee will be dismissed for a first breach of discipline except in the case of gross misconduct.
- Every employee will have the right to appeal against any formal disciplinary warning given and against dismissal.
Levels of Misconduct
- There are, broadly speaking, two main categories of misconduct, namely: –
Misconduct and Gross Misconduct
- The following examples are intended to illustrate what can constitute misconduct and gross misconduct. They should not be regarded as comprehensive or mutually exclusive – much depends on the particular circumstances in each case.
Misconduct
- Lateness
- Unauthorised absence from duty
- Failure to adhere to contracted working hours
- Insubordination or refusal to obey a reasonable instruction
- Wilful hindering of work schedules
- Abuse of any uncertified/self certified sickness provisions
- Wilful failure to produce work of the required standard
- Failure to maintain a satisfactory level of work output
- Criminal activities
- Unauthorised destruction, mutilation, alteration, addition to or erasure of official documents
- Disregard of safety practices, procedures and rules (See Health & Safety Policy)
Note: This list has not been agreed with the trade unions and is not exhaustive.
A single act of ordinary misconduct will not in itself normally justify dismissal, but it must be clearly understood that under the concept of cumulative misconduct, i.e. “the totting up procedure” this act, when added to others, may result in dismissal.
Gross Misconduct
- Fighting during working hours and/or at the place of work
- Wilful damage to the Company’s property
- Intimidation or bullying of other employees
- Any act of discrimination, or wilful omission leading to discrimination, against any other Company employee or any person linked to th
- Company’s business e.g. director, partner, customer, supplier, member of the public.
- Any act of personal/sexual harassment
- Abuse of a client, customer etc. (physical or verbal)
- Any criminal activities during working hours (e.g. theft, assault, drug dealing)
- Any wilful act or omission endangering life or limb
- Driving any vehicle whilst under the influence of alcohol or drugs or whilst otherwise unfit to do so.
- Driving any vehicle without an appropriate driving licence
- Serious criminal activity outside working hours
- Improper sexual activity during working hours
- Any act or omission calculated to defraud the Company (e.g. falsification of expense claims)
- Incapacity on duty due to the effects of alcohol or drugs
- Improper disclosure of confidential information
- Actions which could damage the public image of the Company
- Professional misconduct
- The wilful introduction of a virus into a computerised system
- Wilful misuse of the Internet and the company’s e-mail system, including accessing and downloading items of a pornographic and/or sexually explicit nature.
Note: This list has not been agreed with the trade unions and is not exhaustive.
Gross misconduct such as that listed will normally result in dismissal without notice, however the circumstances of each case will be fully considered and if they are sufficiently mitigating, a more lenient course of action will be taken.
Levels of Disciplinary Action
- It is the responsibility of the Company’s management to continuously monitor conduct. It may be appropriate, depending on the circumstances and the nature of the misconduct, to attempt to correct a situation and prevent it from getting worse through advice or informal action, without using the disciplinary procedure. A brief note should be made and kept by the manager for reference purposes.
- The level at which disciplinary action is taken will be dependent on the nature and seriousness of the misconduct, the particular circumstances in which it was committed and any previous unexpired warnings.
- Although in most cases, the procedure will progress through the stages outlined below, it does not preclude a stage, or stages, of warning being omitted. For example, a first offence could result in a written or final warning, or a verbal warning could be followed by a final written warning if justified by the circumstances.
- In most cases the stages of warnings will be as follows:
- Verbal warning (effective for 3 months)
- Written warning (effective for 6 months)
- Final written warning (effective for 18 months but after 12 months reduced to the level of a written warning)
- Dismissal (with notice)
- A formal warning will remain effective during the period of time specified. This means that it will be taken into consideration, as part of the cumulative process, when determining the level of disciplinary action warranted for any further offences, which may occur during the period.
- At the end of the specified period, the formal warning will be removed from the employee’s record and will be disregarded completely when determining the level of any future disciplinary action. However, warnings form part of an employee’s work history and should therefore be kept on file in the event that they are required for reference purposes. Such information would only be used to refer to in the event that persons requesting references ask specific questions about disciplinary action.
Cumulative Misconduct
- A single act of ordinary misconduct will not in itself normally justify dismissal, but it must be clearly understood that under the concept of cumulative misconduct (the “totting up procedure”) this act, when added to others, may result in dismissal.
Dismissal without Notice (Summary Dismissal)
- Dismissal without notice may occur in cases of gross misconduct regardless of any, or the absence of, previous warnings.
DISCIPLINARY PROCEDURE
1. The disciplinary procedure applies to all employees of the Company.
2. This procedure must be followed when dealing with all acts of alleged misconduct within the workforce.
Precautionary Suspension
3. Where an allegation of misconduct arises and this misconduct, if established, would be regarded as gross misconduct, the employee may be suspended from work on full basic pay. Suspension, in itself, is a precautionary measure and not a form of disciplinary action.
Investigation
4. When an allegation of suspicion of misconduct arises which requires further investigation, the employee concerned should be interviewed as soon as possible. He/she should be told: –
- that the matter is being investigated and could lead to disciplinary action.
- that he/she may be accompanied at any interview.
- details of the complaint or incident (as far as they are known).
- That he/she will be asked for a response to the matter being investigated.
5. At the beginning of the investigatory interview the employee concerned must be given details of the complaint or incident as far as these are known.
6. The role of a person accompanying and/or representing the employee at the investigatory interview is to act as a witness to what is said at the meeting and to represent the interests of the employee concerned. However, the purpose of the interview is for management to try to ascertain the full facts of the case from the person being interviewed, and employees are advised, wherever possible, to co-operate.
7. A written record of the proceedings of this interview may be taken by both the interviewer and the employee.
8. The interview is not a disciplinary hearing at this stage and must not develop into one.
9. The investigation should include interviewing all witnesses.
10. Although every effort will be made to conduct an investigation as quickly as possible, where, in exceptional circumstances, an investigation cannot be completed due to circumstances beyond the control of the Company and where insufficient evidence exists to form a reasonable belief in the employee’s guilt, then a decision to proceed to a disciplinary hearing, or otherwise, may have to be delayed.
11. In such circumstances consideration will be given, in the light of the information available, to a return to work on normal duties or a precautionary transfer to alternative duties until such time as the investigation can be completed.
12. As employees are suspended on full basic pay, they are expected to co-operate fully with any precautionary transfer. The normal hours of work, travel etc. will be taken into account when deciding alternative duties. The relevant trade union will be involved in such discussions.
13. In cases of alleged abuse of children, reference must be made to the Child Protection Procedures.
Disciplinary Hearing
14. If, following thorough investigation, a decision is made to progress the matter through the formal Disciplinary Procedure, a disciplinary hearing will be arranged. The employee will be told, in writing, of the allegation(s), that he/she is required to attend a disciplinary hearing (giving the place, date and time) and that he/she has the right to be accompanied by a colleague, trade union or other representative. Should the allegation, if established, constitute gross misconduct, this should be stated in the letter.
15. The employee or anyone acting on his/her behalf will receive copies of relevant papers, including witness statements, at least five working days prior to the disciplinary hearing. Where either side wishes to submit evidence which could not be submitted prior to the hearing, this will be allowed providing both parties are given adequate opportunity to study it.
16. The purpose of the disciplinary hearing is to decide on the appropriate action, taking all the circumstances into account.
17. The disciplinary hearing will be conducted by a disciplinary panel. The Chair of the panel will be an appropriate manager who has had no involvement in the disciplinary investigation.
18. The disciplinary hearing will be conducted as follows: –
- Introductions will take place, the purpose of the hearing will be explained and an explanation will be given as to how the hearing will be conducted.
- The approach will be formal, but polite and the hearing will be a two way process allowing both sides to state their case with the objective of ascertaining the true facts of the case.
- The allegation(s) will be outlined and the evidence presented. This will include reference to any witness statements and the calling of witnesses as required. There will then be the opportunity for questions to be asked related to the evidence presented.
- The employee will be given the opportunity to state his/her case, present evidence and call witnesses. Opportunity for questions at this stage will again be given.
- Both parties will be given the opportunity to summarise their case.
- The meeting will adjourn and a decision made by the disciplinary panel. If necessary, the meeting may be adjourned in order to carry out further investigations. If this does occur, the meeting will be reconvened and the employee informed of the outcome of these further investigations. He/she will be given the opportunity to comment on and/or question this.
- Following the adjournment the employee will then be recalled and will be informed of the panel’s decision by the chair and, if applicable, the penalty which is to be imposed. The employee will also be advised at this stage of his/her right of appeal and the time limit for any such appeal.
19. Any decision to take, or not to take, disciplinary action and the nature of such action, will be made only after full consideration of the case.
20. No employee will be dismissed for a first breach of discipline except in the case of gross misconduct.
21. All decisions will be confirmed in writing no later than five working days following the date of the disciplinary hearing. The letter will include (in the event of a warning being given): –
- the reason for the warning.
- the effective time period of the warning
- the consequences of any further breach of discipline
- the right of appeal, and
- the time limit for any such appeal.
Omission of Warning Stages
22. Although, in most cases, the procedure will progress through the stages outlined below, it does not preclude a stage, or stages, of warning being omitted.
Levels of Disciplinary Action
Verbal Warning
23. On the first occasion that the employee’s work, conduct or omission is such to warrant investigation, this will normally be carried out by the employee’s line manager. If the outcome of this investigation and disciplinary hearing results in no more than a verbal warning, then the employee’s line manager will be responsible for ensuring that this is recorded
24. A first warning, unless it is for a serious matter, will normally be a verbal one, which will be confirmed in writing. A verbal warning will give details of the complaint, the improvement required and the timescale. It will warn that further, more serious action will be considered if there is no satisfactory improvement and will advise of the right of appeal and the time limit for any such appeal.
25. A record of the disciplinary action will be held on the employee’s file for a period of three months from the date of the letter, if appropriate, or the date that the warning was given verbally. After this period the warning will be removed and will no longer count for progression to the next stage of the formal Disciplinary Procedure.
Written Warning
- If the employee fails to improve or commits a similar act or a subsequent, but different offence which warrants disciplinary action, within the effective period of the verbal warning, this will normally result in a written warning.
- A written warning will give details of the complaint, the improvement required and the timescale. It will warn that further, more serious action will be considered if there is no satisfactory improvement and will advise of the right of appeal and the time limit for any such appeal.
- A record of the disciplinary action will be held on the employee’s file. The warning will remain on the file for six months after which it will be removed and will no longer count for progression to the next stage of the formal Disciplinary Procedure.
Final Written Warning
- If, within the duration of a written warning, there is still a failure to improve, conduct is still unsatisfactory or the misconduct is sufficiently serious to warrant only one written warning, but insufficiently serious to justify dismissal, a final written warning will normally be given to the employee.
- A final written warning will normally follow not more than two previous written warnings. A final written warning will give details of the complaint, the improvement required and the timescale. It will warn that further, more serious action will be considered if there is no satisfactory improvement and will advise of the right of appeal and the time limit for any such appeal.
- A record of the disciplinary action will be held on the employee’s file. After twelve months from the date of the letter confirming/giving the final written warning, the final written warning will be reduced to the level of a written warning. After eighteen months from the date of the letter confirming/giving the final written warning, the warning will no longer count for progression to the next stage of the formal Disciplinary Procedure.
Expired Warnings
- A formal warning will remain effective during the period of time specified. It will be taken into consideration as part of the cumulative process when determining the level of disciplinary action warranted for any further offences which may occur during this period.
- At the end of the specified period, the formal warning will be removed from the employee’s record and will be disregarded completely when determining the level of any future disciplinary action. However, warnings form part of an employee’s work history and should therefore be kept on file in the event that they are required for reference purposes. Such information would only be used to refer to in the event that persons requesting references ask specific questions about disciplinary action.
Cumulative Misconduct
- A single act of ordinary misconduct will not in itself normally justify dismissal, but it must be clearly understood that, under the concept of cumulative misconduct, this act, when added to others, may result in dismissal.
Dismissal with Notice
- If, within the duration of a final written warning, conduct is still unsatisfactory and the employee fails to reach the prescribed standard of conduct, a further disciplinary hearing will be held and the normal outcome will be dismissal.
- The employee will be informed in writing of the reasons for the dismissal, the date on which such employment will be terminated, of the right to appeal and the time limit for such an appeal.
- The written confirmation should be sent to the employee as soon as possible, but not later than five working days following the date of the disciplinary hearing at which the employee was dismissed.
Dismissal Without Notice (Summary Dismissal)
- If, having followed the full Disciplinary Procedure, the Chief Executive is satisfied that gross misconduct has occurred, the result will be immediate dismissal without notice and without payment in lieu of notice.
Relegation (as an alternative to Dismissal)
- Relegation is where an employee is transferred to another, lower graded job. In reaching a decision regarding the outcome of a disciplinary hearing, the manager should take mitigating circumstances into account. Mitigating factors may, in some cases, reduce what otherwise would have been a dismissal to a lesser decision, such as relegation. In such instances a final written warning will also normally be issued.
- All existing terms and conditions will be terminated and a new contract of employment offered on the terms and conditions appropriate to the lower graded job. Service will, however, be continuous and benefits accrued purely by length of service will be retained.
Right of Appeal
- All appeals must be made within ten working days of the date of the letter giving/confirming the warning/disciplinary action. There is only one level of appeal as follows: –
Verbal and Written Warnings
- The appeal is to be made in writing to the Chair of the Board of Trustees if the Chief Executive conducted the original disciplinary hearing, in which case the appeal will be made to the Board of Trustees.
- The Board of Trustees will hear the appeal personally. The officer hearing the appeal will be more senior than the officer who decided the original disciplinary action.
Final Written Warning
- The appeal is to be made in writing to the Chief Executive unless the they conducted the original disciplinary hearing, in which case the appeal will be made to the Chair of the Board of Trustees
- The Board of Trustees will hear the appeal personally.
Dismissal or Relegation
- Notice of appeal should be given to the Chief Executive. The appeal is to be made in writing either individually or through the trade union or other representative.
Witnesses
- At any stage of the Disciplinary Procedure, the employee has the right to call witnesses in his/her defence, including witnesses who are not employees of the Company.
- The responsibility for the attendance of witnesses lies entirely with the employee.
- If the witness is an employee of the Company, reasonable facilities will be allowed to enable him/her to attend. In this context, any time off should normally be paid on a no loss of earnings basis during the witness’ normal working hours. Attendance outside of normal working hours will be unpaid.
Trade Union Representatives
53. Normal disciplinary procedures apply in full to trade union officials. However, no suspension or formal disciplinary action should be taken until the circumstances of the case have been discussed with a full time official, or Branch Secretary, of the union concerned.
Employee Support
54. Employees who feel they need help in coping with the stress arising during or from the Disciplinary Procedure will be entitled to seek external counselling. The Company will arrange and pay for such support if so requested.
55. This should not delay any investigation of alleged misconduct or subsequent disciplinary action.