________
DISCIPLINARY PROCEDURE
(The Procedure)
Scope and Purpose of the Procedure
The purpose of the Procedure is to aid, stimulate and encourage employees to continuously maintain expected standards of performance. It shall also ensure that employees comply with and follow all procedures of ________ (the Employer).
The Procedure will assist in ensuring that all employees shall be treated fairly, equally and consistently throughout the disciplinary process. The Procedure allows the process to be transparent and known to all employees.
The Employer shall strive to resolve all disputes, problems and incidents in respect of an employee's performance or conduct informally before resulting to the formal procedures set out below. Informal discussions shall cover how employees can improve their performance or conduct to the required level and standard expected by the Employer. Where a dispute, problem or incident cannot be adequately resolved through informal discussions, a formal procedure shall take effect.
The contents of this policy have been discussed with and have been implemented following discussions with the following trade unions: ________.
The Procedure will be reviewed at regular intervals by the Employer and may be amended from time to time. Employees shall be informed of any revisions to the Procedure. Any revisions shall also be made in consultation with the appropriate trade unions.
This Procedure does not in itself form part of any contract of employment. It should be noted however that many of the regulations, standards and disciplinary codes which are referred to within the Procedure and to which the Procedure applies are contractual obligations.
Application of the Disciplinary Procedure
The Procedure shall apply to employees only. The Procedure shall be applicable in the following circumstances:
1. Standards of work
The Procedure shall apply where an employee fails to perform to the expected standards reasonably required by the Employer in relation to the performance of their job.
2. Contractual obligations
The Procedure shall apply where an employee breaches a contractual obligation which is owed to the Employer.
This shall include any situation where an employee fails to adhere to the specific disciplinary rules which are set out within their contract of employment.
3. Industry standards
This Procedure shall apply where an employee conducts themselves in a manner which falls below industry specific expected standards.
4. Conduct outside of work
This Procedure may apply where an employee conducts themself in a manner outside of work which has an impact upon the performance of their job, the reputation of the industry and/or the reputation of the Employer.
Conduct and Behaviour
A non-exhaustive list of examples of actions and behaviour which may result in disciplinary action are detailed below:
1. Minor offences and/or general misconduct
Offences such as poor job performance, minor breaches of business policy and procedures, absenteeism and unpunctuality shall constitute minor offences.
Breaches to the Employer's policies, procedures and rules may constitute either misconduct or gross misconduct depending upon the seriousness of the breach.
2. Serious offences and gross misconduct
Serious offences and/or gross misconduct may include:
- a serious breach of the Employer's policies or rules
- failure to comply with health and safety rules/endangering the safety of others
- drunkenness or drug misuse in the workplace
- assault or attempted assault in the workplace
- bullying, harassment or victimisation
- sexual harassment
- malicious damage
- falsification and/or fabrication of records
- theft.
Overview and Approach to Disciplinary matters
The Employer will generally address disciplinary matters in the following steps:
1. Informal steps
In the first instance, the Employer shall establish the facts surrounding the case and, where necessary, shall take into account the statements of any available witnesses. Where the Employer does not wish to invoke the formal disciplinary procedure, they shall hold an informal discussion with the employee regarding the issue and how it can be resolved.
2. Formal hearing
Where it is not appropriate or suitable to resolve the matter informally, the Employer shall proceed to the formal process (as highlighted below). This shall ordinarily involve holding a disciplinary hearing. The decisions and steps which may be taken within the disciplinary hearing process are set out below under the heading 'Disciplinary Outcomes'. The Employer will provide the employee with reasonable notice (usually 5 working days) of when and where the disciplinary hearing shall take place and the reason for such a hearing being necessary. However, depending on the circumstances of the case, the Employer reserves the right to forego this notice period. The employee will have the right to be accompanied or represented in such a meeting by a colleague or, where the employee is a member of a trade union or staff association, by a trade union or staff representative.
3. Record keeping
A formal record of the disciplinary hearing and what was discussed within it shall be kept in the personnel file of the employee for ________ (the warning period). After the expiry of the warning period, any documents and records relating to the hearing shall be removed. However, where an employee's conduct or performance is found to relapse again after the warning period the Employer shall be entitled to generally refer to any previous course of action.
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5. Escalation
In the event that an employee makes little or no improvement during the improvement period, the Employer shall be able to proceed to the next stage in the disciplinary process without waiting for the completion of the improvement period.
Disciplinary Outcomes
The relevant outcomes and decisions which may be made during the formal disciplinary hearing are set out below. Where the circumstances of a case are serious enough certain stages may be omitted and the Procedure shall begin at stages later in the disciplinary process.
1. First written warning
Where minor issues in the conduct and/or performance of an employee have been found by the Employer during the disciplinary hearing, the Employer shall address these issues with the employee at the hearing. Where the Employer believes that it is necessary to continue the formal procedure, the employee shall be issued with a first written warning which shall cover the reason or reasons that the hearing was held, what was discussed between the Employer and the employee, the ways in which the employee should improve and the timescale of the improvement period they will have to do so. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to gauge whether the employee is improving sufficiently. The Employer shall set out the consequences which will apply to the employee should they fail to make such improvements in the improvement period and details of their right of appeal.
2. Second written warning
In the event that the employee fails to make the necessary improvements within the specified improvement period in the first written warning, or where problems with an employee's performance or conduct are sufficiently serious, the employer shall hold another disciplinary hearing with the employee and they shall be issued with a second written warning after this hearing. This warning shall set out and detail the improvements that need to be made by the employee and how long the allowed improvement period shall be. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to assess whether they are improving sufficiently. The Employer shall set out the consequences which will apply should the employee fail to make such improvements within the improvement period and their right of appeal.
3. Final written warning
If the employee fails to make the required improvements stated in the second written warning then they shall be issued a final written warning. The Employer may also immediately issue a final written warning to an employee where their misconduct or performance is serious enough to warrant doing so. A disciplinary hearing shall be held with the employee before a final warning is issued, where they shall have the opportunity to state their case. The final written warning shall detail: what was discussed in the disciplinary hearing; the reason the warning is being issued; the steps which the employee should take to improve and the timescale of the improvement period they shall be given to do this in. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to assess whether they are improving sufficiently. The warning will also state what the consequences of not improving shall be and the right of appeal against the warning.
4. Dismissal
In the event that an employee fails to make the required improvements set out in the final written warning issued to them, or where there has been misconduct which amounts to gross misconduct, an employee shall be dismissed by the Employer.
5. Gross misconduct
If an employee is accused of committing an act of gross misconduct, the Employer shall carry out a necessary investigation into such allegations. Where the alleged gross misconduct relates to theft from the business, the Employer shall be entitled to search the employee's personal effects and/or to insist on a more detailed personal search. Any personal search will be conducted in private. Searches shall always be conducted by a member of staff who is the same sex as the accused employee (unless the employee requests otherwise). Employees shall be entitled to have a witness present for the search.
Where an investigation by the Employer finds an employee guilty of gross misconduct, the Employer shall have the right to dismiss them without notice. In all cases, the employee shall be informed of the allegations against them and given the opportunity to state their case.
Where an employee's position with the Employer is conditional upon achieving, holding and/or retaining certain qualifications, the loss of such qualifications shall constitute gross misconduct and be the reason for the Employer to dismiss the employee. This shall be at the Employer's sole discretion and shall be determined in relation to the circumstances of the case. In the circumstance where the employment continues, the Employer may specify the terms of work as is considered reasonable in light of the loss of an essential qualification.
6. Suspension
At the Employer's discretion and authorisation by a relevant manager, an employee may be suspended during an investigation into alleged gross misconduct. During the period of suspension the employee will continue to receive full basic pay.
7. Appeals
Where an employee believes that a decision to take action against them under the Procedure has been unfair or unwarranted, they shall be able to appeal against any decision made against them. Employees shall be able to lodge an appeal at any stage during the disciplinary process.
Employees shall have to appeal in writing and it should detail accurately why they believe the decision that has been taken against them is wrong. Any appeals must be made within 7 working days of a written warning or dismissal being issued.
Once the Employer has received an appeal in writing from an employee, an appeal meeting shall be held within 7 working days of the appeal being issued. The employee shall be given the opportunity to state their case at this meeting. Once the appeal meeting has taken place and the employee has been heard, the Employer shall inform the employee of their decision in writing within 7 working days after the date of the appeal meeting.The outcome of an appeal shall either be that the decision will be upheld or reversed. Where a decision is reversed, any written warning issued by the Employer shall be repealed and removed from an employee's personnel file, or it may mean that the employee receives a lesser penalty. Where an employee has been dismissed and an appeal is successful they shall be reinstated and shall be paid in full from the date of their dismissal until the date of their reinstatement.
The decision of the Employer in relation to any appeal is final and an employee shall not be able to appeal internally to the Employer again.
This Procedure is endorsed by the Employer at all levels of management.
Date: ________
________
DISCIPLINARY PROCEDURE
(The Procedure)
Scope and Purpose of the Procedure
The purpose of the Procedure is to aid, stimulate and encourage employees to continuously maintain expected standards of performance. It shall also ensure that employees comply with and follow all procedures of ________ (the Employer).
The Procedure will assist in ensuring that all employees shall be treated fairly, equally and consistently throughout the disciplinary process. The Procedure allows the process to be transparent and known to all employees.
The Employer shall strive to resolve all disputes, problems and incidents in respect of an employee's performance or conduct informally before resulting to the formal procedures set out below. Informal discussions shall cover how employees can improve their performance or conduct to the required level and standard expected by the Employer. Where a dispute, problem or incident cannot be adequately resolved through informal discussions, a formal procedure shall take effect.
The contents of this policy have been discussed with and have been implemented following discussions with the following trade unions: ________.
The Procedure will be reviewed at regular intervals by the Employer and may be amended from time to time. Employees shall be informed of any revisions to the Procedure. Any revisions shall also be made in consultation with the appropriate trade unions.
This Procedure does not in itself form part of any contract of employment. It should be noted however that many of the regulations, standards and disciplinary codes which are referred to within the Procedure and to which the Procedure applies are contractual obligations.
Application of the Disciplinary Procedure
The Procedure shall apply to employees only. The Procedure shall be applicable in the following circumstances:
1. Standards of work
The Procedure shall apply where an employee fails to perform to the expected standards reasonably required by the Employer in relation to the performance of their job.
2. Contractual obligations
The Procedure shall apply where an employee breaches a contractual obligation which is owed to the Employer.
This shall include any situation where an employee fails to adhere to the specific disciplinary rules which are set out within their contract of employment.
3. Industry standards
This Procedure shall apply where an employee conducts themselves in a manner which falls below industry specific expected standards.
4. Conduct outside of work
This Procedure may apply where an employee conducts themself in a manner outside of work which has an impact upon the performance of their job, the reputation of the industry and/or the reputation of the Employer.
Conduct and Behaviour
A non-exhaustive list of examples of actions and behaviour which may result in disciplinary action are detailed below:
1. Minor offences and/or general misconduct
Offences such as poor job performance, minor breaches of business policy and procedures, absenteeism and unpunctuality shall constitute minor offences.
Breaches to the Employer's policies, procedures and rules may constitute either misconduct or gross misconduct depending upon the seriousness of the breach.
2. Serious offences and gross misconduct
Serious offences and/or gross misconduct may include:
- a serious breach of the Employer's policies or rules
- failure to comply with health and safety rules/endangering the safety of others
- drunkenness or drug misuse in the workplace
- assault or attempted assault in the workplace
- bullying, harassment or victimisation
- sexual harassment
- malicious damage
- falsification and/or fabrication of records
- theft.
Overview and Approach to Disciplinary matters
The Employer will generally address disciplinary matters in the following steps:
1. Informal steps
In the first instance, the Employer shall establish the facts surrounding the case and, where necessary, shall take into account the statements of any available witnesses. Where the Employer does not wish to invoke the formal disciplinary procedure, they shall hold an informal discussion with the employee regarding the issue and how it can be resolved.
2. Formal hearing
Where it is not appropriate or suitable to resolve the matter informally, the Employer shall proceed to the formal process (as highlighted below). This shall ordinarily involve holding a disciplinary hearing. The decisions and steps which may be taken within the disciplinary hearing process are set out below under the heading 'Disciplinary Outcomes'. The Employer will provide the employee with reasonable notice (usually 5 working days) of when and where the disciplinary hearing shall take place and the reason for such a hearing being necessary. However, depending on the circumstances of the case, the Employer reserves the right to forego this notice period. The employee will have the right to be accompanied or represented in such a meeting by a colleague or, where the employee is a member of a trade union or staff association, by a trade union or staff representative.
3. Record keeping
A formal record of the disciplinary hearing and what was discussed within it shall be kept in the personnel file of the employee for ________ (the warning period). After the expiry of the warning period, any documents and records relating to the hearing shall be removed. However, where an employee's conduct or performance is found to relapse again after the warning period the Employer shall be entitled to generally refer to any previous course of action.
4. 588528 22 5555288 525 82252822222
25252, 52225 252 2528222 22 252 5255822, 252 52282225 822885258 2552 82 88 228288552 22 82228252 252 588882882552 2528288, 252 22282222 85588 82 888525 8825 5 225258 8582222 8552822 85885 85588 822 252 8552 858 588858825 82 252 5255822, 528 252 22282222 852 8225282 25285 8225582 25 22522525282 525 252 282288582 (252 82252822222 225825) 882582 85885 2522 2582 52 82. 552 52282225 52825828 252 58252 22 58225 252 282288582 225 252 82252822222 225825 2552525252 252 588882882552 2528288 525 85588 2522 8222 5882522 252 2522582282, 25288258 25582822, 822225 22 8258882, 525 252 22282222'8 528255 22 2228222222.
5. Escalation
In the event that an employee makes little or no improvement during the improvement period, the Employer shall be able to proceed to the next stage in the disciplinary process without waiting for the completion of the improvement period.
Disciplinary Outcomes
The relevant outcomes and decisions which may be made during the formal disciplinary hearing are set out below. Where the circumstances of a case are serious enough certain stages may be omitted and the Procedure shall begin at stages later in the disciplinary process.
1. First written warning
Where minor issues in the conduct and/or performance of an employee have been found by the Employer during the disciplinary hearing, the Employer shall address these issues with the employee at the hearing. Where the Employer believes that it is necessary to continue the formal procedure, the employee shall be issued with a first written warning which shall cover the reason or reasons that the hearing was held, what was discussed between the Employer and the employee, the ways in which the employee should improve and the timescale of the improvement period they will have to do so. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to gauge whether the employee is improving sufficiently. The Employer shall set out the consequences which will apply to the employee should they fail to make such improvements in the improvement period and details of their right of appeal.
2. Second written warning
In the event that the employee fails to make the necessary improvements within the specified improvement period in the first written warning, or where problems with an employee's performance or conduct are sufficiently serious, the employer shall hold another disciplinary hearing with the employee and they shall be issued with a second written warning after this hearing. This warning shall set out and detail the improvements that need to be made by the employee and how long the allowed improvement period shall be. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to assess whether they are improving sufficiently. The Employer shall set out the consequences which will apply should the employee fail to make such improvements within the improvement period and their right of appeal.
3. Final written warning
If the employee fails to make the required improvements stated in the second written warning then they shall be issued a final written warning. The Employer may also immediately issue a final written warning to an employee where their misconduct or performance is serious enough to warrant doing so. A disciplinary hearing shall be held with the employee before a final warning is issued, where they shall have the opportunity to state their case. The final written warning shall detail: what was discussed in the disciplinary hearing; the reason the warning is being issued; the steps which the employee should take to improve and the timescale of the improvement period they shall be given to do this in. The warning shall also state that the performance and/or conduct of the employee will be consistently reviewed throughout the improvement period to assess whether they are improving sufficiently. The warning will also state what the consequences of not improving shall be and the right of appeal against the warning.
4. Dismissal
In the event that an employee fails to make the required improvements set out in the final written warning issued to them, or where there has been misconduct which amounts to gross misconduct, an employee shall be dismissed by the Employer.
5. Gross misconduct
If an employee is accused of committing an act of gross misconduct, the Employer shall carry out a necessary investigation into such allegations. Where the alleged gross misconduct relates to theft from the business, the Employer shall be entitled to search the employee's personal effects and/or to insist on a more detailed personal search. Any personal search will be conducted in private. Searches shall always be conducted by a member of staff who is the same sex as the accused employee (unless the employee requests otherwise). Employees shall be entitled to have a witness present for the search.
Where an investigation by the Employer finds an employee guilty of gross misconduct, the Employer shall have the right to dismiss them without notice. In all cases, the employee shall be informed of the allegations against them and given the opportunity to state their case.
Where an employee's position with the Employer is conditional upon achieving, holding and/or retaining certain qualifications, the loss of such qualifications shall constitute gross misconduct and be the reason for the Employer to dismiss the employee. This shall be at the Employer's sole discretion and shall be determined in relation to the circumstances of the case. In the circumstance where the employment continues, the Employer may specify the terms of work as is considered reasonable in light of the loss of an essential qualification.
6. Suspension
At the Employer's discretion and authorisation by a relevant manager, an employee may be suspended during an investigation into alleged gross misconduct. During the period of suspension the employee will continue to receive full basic pay.
7. Appeals
Where an employee believes that a decision to take action against them under the Procedure has been unfair or unwarranted, they shall be able to appeal against any decision made against them. Employees shall be able to lodge an appeal at any stage during the disciplinary process.
Employees shall have to appeal in writing and it should detail accurately why they believe the decision that has been taken against them is wrong. Any appeals must be made within 7 working days of a written warning or dismissal being issued.
Once the Employer has received an appeal in writing from an employee, an appeal meeting shall be held within 7 working days of the appeal being issued. The employee shall be given the opportunity to state their case at this meeting. Once the appeal meeting has taken place and the employee has been heard, the Employer shall inform the employee of their decision in writing within 7 working days after the date of the appeal meeting.The outcome of an appeal shall either be that the decision will be upheld or reversed. Where a decision is reversed, any written warning issued by the Employer shall be repealed and removed from an employee's personnel file, or it may mean that the employee receives a lesser penalty. Where an employee has been dismissed and an appeal is successful they shall be reinstated and shall be paid in full from the date of their dismissal until the date of their reinstatement.
The decision of the Employer in relation to any appeal is final and an employee shall not be able to appeal internally to the Employer again.
This Procedure is endorsed by the Employer at all levels of management.
Date: ________
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