Disciplinary

1. About this Policy

The purpose of this Disciplinary Policy is to set out the standards of conduct expected of all employees and to provide a framework within which managers can work with their staff to maintain those standards and encourage improvement where necessary. Whilst the Company does not wish to impose unreasonable rules of conduct upon employees, certain standards of behaviour are necessary to maintain good employment relations and discipline in the interests of the business and all employees. It is expected that in many cases it will be possible to resolve minor issues informally with the Line Manager and formal action will only be necessary in cases of more serious and/or repeated misconduct.

We aim to deal with all disciplinary matters fairly and consistently. Reasonable steps will be taken to investigate and establish the facts and employees will be given a full and fair opportunity to respond to any allegations before formal disciplinary action is taken.

This policy applies to all employees, It does not apply to agency workers, consultants or contractors.

Matters relating to poor performance will be dealt with via the Company’s Capability Policy, and matters related to genuine sickness absence will be dealt with via the Company’s sickness absence policy.

This policy does not form part of your contract of employment, and we may amend it at any time. We will review the policy from time to time to ensure that it continues to reflect our legal obligations and the Company’s organisational and business needs.

2. Purpose

While working for the Company, employees should at all times maintain professional and responsible standards of conduct. They should:

Observe the terms and conditions of your contract, particularly with regard to:
- Hours of work.
- Confidentiality
- Company rules and procedures
Observe all Company policies, procedures and regulations along with any changes notified from time to time by means of email or otherwise.
All employees have a responsibility to consider the health and safety of themselves, colleagues and third parties while working.
Employees must comply with all reasonable instructions given by managers.
Act at all times in good faith and in the best interests of our business, customers and staff.

3. Principles

The following guiding principles will be adopted where a formal disciplinary process is deemed necessary:

No disciplinary will be taken until the matter has been investigated.
The application of this procedure will be consistent impartial, reasonable and applied without discrimination.
The timeframes indicated in this policy are for guidance only and it may take additional time to resolve more complicated matters.
At every stage of the procedure the employee will be given an opportunity to state his or her case.
Employees will not normally be dismissed for a first offence, unless warranted by the seriousness of the offence.
Employees will be given reasonable notification of any disciplinary hearing, specifying the complaints which are under consideration.
Employees have the right to be accompanied at formal disciplinary hearings (but not at investigation meetings) by a fellow employee of their choice or a certified trade union official.

Employees have a right to appeal against disciplinary sanctions issued under this Policy, including any decision to terminate their employment.

4. Informal Discussions

We will seek to resolve minor conduct issues informally through discussions between you and your line manager. In appropriate situations the informal discussion may be conducted by a representative of the Company other than your direct line manager.

Minor conduct issues will be raised with you when necessary and whenever there is cause for concern. The Company is not obliged to give you any advance notice of an intention to have an informal discussion with you regarding minor conduct issues.

A note of any informal discussion may be placed on your personnel file. In some cases, an informal verbal warning may be given. Recommendations for additional training or counselling may be made following informal discussions.

If minor conduct issues are not resolved following informal discussions it may be necessary to invoke the formal Disciplinary Procedure.

The Company is not obliged to hold informal discussions prior to commencing the formal Disciplinary Procedure in cases of more serious alleged misconduct.

5. Misconduct

Disciplinary offences fall into two broad types:

Unsatisfactory misconduct – disciplinary offences that warrant a warning or;
Gross Misconduct – disciplinary offences for which immediate dismissal is the appropriate sanction.

Whilst less serious offences result in warnings, the warning process is cumulative and repeated offences, even if they are of a different nature, may lead to dismissal with notice.

6. Unsatisfactory Misconduct

The following are examples of matters that the Company would normally regard as unacceptable behaviour and as reasons for disciplinary action.

Minor breaches of our Company Policies, including Sickness Absence Policy and Health, Safety, Security and Environmental Policy.
Minor breaches of your Contract of Employment.
Failure or refusal to carry out reasonable instructions.
Smoking on Company premises (other than in designated smoking areas) or in Company vehicles.
Unauthorised absence from work.
Poor time-keeping or lateness.
Unsatisfactory standards, unsatisfactory output of work or timewasting.
Negligence or carelessness in the performance of your duties or deliberate lack of effort or application.
Negligent damage to, loss of or unauthorised use of Company property.
Failure to report immediately any damage to Company property or premises.
Rudeness, obscene language, offensive or insulting behaviour.
Failure to report immediately a health and safety or security risk or incident.
Excessive use of Company telephones for personal calls.
Excessive personal email or internet usage.
If your work involves driving, failure to report any type of driving conviction or summons which may lead to a conviction, driving ban or any matter which otherwise affects your ability and suitability to drive.

These lists are not exhaustive but are indicative of the behaviour that contradicts our professionalism and the respect we have for each other and our work.

7. Gross Misconduct

Gross misconduct is a serious breach of contract and includes misconduct, which in the opinion of the Company, is likely to prejudice the business or reputation or irreparably damage the relationship of trust and confidence between employer and employee.

Allegations of gross misconduct will be dealt with under the formal Disciplinary Procedure and would normally lead to dismissal without notice or pay in lieu of notice (summary dismissal).

The following are examples of matters that the Company would normally regard as gross misconduct:

Theft, fraud, unauthorised possession or removal of Company property or the property of others, deliberate falsification of records, forgery or any other form of dishonesty.
Actual or threatened physical violence, behaviour that deliberately provokes violence, wilfully causing harm or injury.
Discrimination, bullying, harassment or victimisation of employees, customers, clients, suppliers, contractors or other third parties related to any protected characteristic (including age, gender, marital or civil partnership status, gender reassignment, sexuality, pregnancy or maternity, race, colour, nationality, ethnic or national origin, disability, religion or belief). This includes acts or omissions in person, by e-mail, via social media or by any other method.
Serious or repeated failure to follow reasonable instructions and other serious acts of insubordination.
Unauthorised disclosure of confidential information.
Unauthorised use, destruction, mutilation, alteration, or disclosure of official information, documents or records including those held on computerised systems.
Being subject to a criminal prosecution in relation to an offence committed outside working hours where the nature and type of the offence is such to adversely affect the Company, the employee’s employment or the employee’s acceptability to colleagues, customers or clients.
Failure to disclose to the Company the fact of a criminal conviction, other than a spent conviction under the Rehabilitation of Offenders Act.
Deliberately, carelessly, recklessly or negligently causing damage to Company property or the property of others.
Causing or placing the Business at risk of loss or damage or placing persons at risk of or causing people’s injury through serious carelessness or gross negligence. Acts or omissions that could bring the Company into serious disrepute.
Unauthorised absence lasting more than five consecutive working days without acceptable explanation.
Working under the influence of alcohol or non-prescribed drugs or being in possession of illegal or controlled drugs whilst on Company business.
Gambling on the Company’s premises.
Misuse, unauthorised or improper use of Company computer software/hardware, including serious misuse of e-mail or internet facilities.
Offering, promising, or giving a bribe or other secret payment or incentive, requesting, agreeing to receive or accepting a bribe or other secret payment or incentive or failing to disclose such offer.
Making a disclosure of false or misleading information under our Whistleblowing Policy maliciously, for personal gain or otherwise in bad faith.
Any breach of Company Policies, Contract of Employment or Site Policies which results in putting the health and safety of yourself and others around you in any danger.
Serious or repeated breaches of our health, safety, security and environmental rules or misuse of safety equipment.
Serious breach of confidentiality, unauthorised use or disclosure of confidential information or failure to ensure that confidential information in your possession is kept secure.
Undertaking unauthorised paid or unpaid work or employment during working hours or on Company premises.
Sleeping on duty or unauthorised sleeping on Company premises during working hours.
Grossly indecent, immoral, offensive or insulting behaviour.
Taking part in activities (whether during the course of your employment or not) which could result in adverse publicity to the Company, which cause the Company to lose faith in your integrity or otherwise affects your suitability to continue to work for us.
Serious or repeated neglect of duties.
Unauthorised use, processing or disclosure of personal data contrary to our Data Protection Policy.
Giving false information or omitting to give full information as to qualifications or entitlement to work (including immigration status) in order to remain in employment or gain employment or other benefits.
The above examples do not represent a complete list of all possible offences for which an employee may be summarily dismissed. Other substantial offences will carry the same penalty.

8. Confidentiality

The Company will endeavour to deal with any disciplinary matter sensitively and with due respect for the privacy of any individuals involved. All employees must keep confidential any information they receive in connection with an investigation or disciplinary matter.

You and anyone accompanying you (including witnesses) must not make audio or electronic recordings of any meetings or hearings conducted under the Disciplinary Procedure without express prior authorisation.

Witnesses may provide evidence relevant to disciplinary proceedings against employees. The Company will normally disclose the names of witnesses unless there is good cause (in the opinion of the Company) to keep the witness’s identity confidential.

9. Suspension

If an Employee is alleged to have been involved in misconduct or gross misconduct, it may be necessary to suspend them from work while a full investigation is carried out.

The Company has the right to suspend the Employee with pay where there are reasonable grounds for concern that the Employee may tamper with or destroy evidence or pressurise witnesses prior to a disciplinary hearing, or if there is a potential risk to the business or other employees or third parties in allowing the Employee to remain at work. If an Employee is suspended, we will confirm this in writing to the Employee.

The period of the suspension will be for no longer than is necessary to investigate the allegations. While suspended you may be required to comply with any or all of the following provisions:

Comply with Company instructions regarding return of any company property.
Comply with Company instructions regarding your attendance at, or remaining away from, Company premises.
Comply with Company instructions regarding contact with employees, clients, customers, suppliers or contractors. You will be permitted to contact colleagues for the purposes of exercising your right to be accompanied at disciplinary hearings.
Remain available for work during normal working hours.
Not perform any work for any other employer, or undertake self-employment, during your normal working hours.
Comply with the Sickness Absence Policy in the usual way.
Apply for annual leave in the usual way when wishing to take annual leave during any period of suspension.

Suspension is a neutral act, which does not imply guilt or blame; it is not a disciplinary penalty and does not imply that a decision has already been made in relation to allegations. You will continue to receive your full basic pay and benefits during any period of suspension.

10. Disciplinary Procedure

10.1 Investigation

The purpose of an investigation is for the Company to establish a fair and balanced view of the facts relating to any disciplinary allegations against the employee, before deciding whether to proceed with a disciplinary hearing. The amount of investigation required will depend on the nature of the allegations and will vary from case to case. It may involve interviewing and taking statements from the employee and any witnesses, and /or reviewing relevant documents.

Investigative interviews are solely for the purpose of fact-finding and no decision on disciplinary action will be taken until after a disciplinary hearing has been held.

The employee is expected to co-operate fully and promptly in any investigation. This will include informing the Company of the names of any relevant witnesses, disclosing any relevant documents to the Company and attending investigative interviews if required.

Where it is not possible to hold a face-to-face meeting, the Company will conduct the investigatory hearing remotely and will ensure that the employee has access to the necessary technology for participating in the process. The Employees rights will not be affected, and the Employee will ensure that the procedure remains fair and reasonable.

The Employee will not normally have the right to bring a companion to an investigative interview. However, the Company may allow the employee to bring a companion if it helps

10.2 Criminal Investigation

Whilst the Company does not seek to regulate conduct outside of the workplace, activities external to work may result in disciplinary action if it is considered that an employee’s actions have brought the Company into disrepute, or if it has an impact of their employment, for example if an employee is charged with a serious criminal offence.

The Company will not usually wait for the outcome of any prosecution before deciding what action, if any, to take. Where an employee is unable or have been advised not to attend a disciplinary hearing or say anything about a pending criminal matter, the Company may have to take a decision based on the available evidence.

10.3 Disciplinary Procedure

Where the Company considers that disciplinary action may be necessary, the following disciplinary procedure will be adopted. The stages will normally be implemented in order but action may start at any stage depending on the seriousness of the offence. At each stage of the procedure, the Company will set a reasonable timeframe within which the employee will be expected to improve their conduct or attendance.

10.4 Disciplinary Hearing

Following an investigation, if the Company consider there are grounds for disciplinary action, the employee will be required to attend a disciplinary hearing. The Company will inform the employee in writing of the allegations against them and what the likely range of consequences will be if it is decided after the hearing that the allegations are true. The Company will also provide the employee with the following where appropriate:

a summary of relevant information gathered during the investigation.
a copy of any relevant documents which will be used at the disciplinary hearing; and
a copy of any relevant witness statements, except where a witness’s identity is to be kept confidential, in which case the Company will give the employee as much information as possible while maintaining confidentiality.

To enable employees to prepare for the disciplinary hearing they will be given at least 3 working days’ notice of any formal disciplinary meeting. Where the conduct in question could be regarded as gross misconduct, it may be appropriate to meet with the individual sooner.

The disciplinary hearing will normally be conducted by the employee’s line manager, unless otherwise notified and depending on the stage a representative from the People and Culture Team or another manager may also be present. However, if deemed appropriate by the Company, a manager who has no previous involvement with the situation may be asked to conduct the hearing.

The employee must take all reasonable steps to attend a meeting. Failure to do so without good reason may be treated as misconduct. In certain circumstances the employee can still be asked to attend a meeting if they are not in work due to sick absence and/or where a grievance has been raised. If the employee or their companion is unable to attend at the time specified, they should immediately inform their line manager who will seek to schedule an alternative time. If the employee fails to attend the hearing without good reason, or they are persistently unable to do so, the Company may have to take a decision based on the available evidence.

The employee may ask relevant witnesses to appear at the hearing, provided the employee gives the Company sufficient advance notice to arrange their attendance. The employee will be given the opportunity to respond to any information given by a witness.

During the disciplinary hearing, details of the allegation(s) in question will be discussed and the employee will be given every opportunity to respond. A meeting may be adjourned if the line manager is awaiting receipt of information, needs to gather any further information or give consideration to matters discussed at a previous meeting. Employees will be given a reasonable opportunity to consider any new information obtained before the meeting is reconvened.

Following the hearing, the employee will be informed of the Company’s decision. Confirmation of any decision made at a meeting, the reasons for it and the right of appeal will be given to the employee in writing within 7 calendar days of the meeting (unless that timescale is not practicable, in which case it will be provided to the employee as soon as practicable).

10.5 Right to be accompanied

Employees are entitled to be accompanied at formal disciplinary hearings (but not at investigation meetings) by a work colleague or a certified trade union representative. The companion will be allowed to address the hearing to put and sum up the employee’s case, respond on behalf of the employee to any views expressed at the hearing and confer with the employee during the hearing. The companion does not, however, have the right to answer questions on the employee’s behalf, address the hearing if the employee does not wish it or prevent the employee explaining their case.

If the companion or certified trade union representative is unable to attend at the scheduled time of the meeting and will not be available for more than 5 working days afterwards, the Company may ask the employee to choose someone else.

10.6 Disciplinary Sanctions

Following the disciplinary hearing, the Company may determine that it is appropriate for a disciplinary sanction to be imposed. Whenever a disciplinary sanction is imposed, the employee will be notified of their right to appeal. The Company reserves the right to impose a sanction proportionate to the gravity of the disciplinary offence; so, where a first disciplinary offence is deemed very serious a written warning, a final written warning or dismissal may be imposed.

The Company aims to treat all employee fairly and consistently, and a penalty imposed on another employee for a similar misconduct will usually be taken into account but should not be treated as a precedent. Each case will be assessed on its own merits, alongside any previous warnings the employee may already have on file.

10.7 Stage One: Verbal Warning

A verbal warning will normally be imposed in cases where a disciplinary offence is considered as a minor offence and there are no active warnings on file for the same offence.

This will be confirmed in writing and the improvement, or change in behaviour required, will be set out in the letter. A copy of the warning letter will be retained on the personnel file, but it will normally be disregarded after 6 months, subject to satisfactory conduct throughout that period.

There is no right of appeal against a Verbal Warning, however any response to the warning by an employee will be recorded on their personnel file.

A verbal warning will normally be imposed in cases where a disciplinary offence is considered as a minor offence and there are no active warnings on file for the same offence.

There is no right of appeal against a Verbal Warning, however any response to the warning by an employee will be recorded on their personnel file.

10.8 Stage Two: First Written Warning

A first written warning will normally be imposed, in cases where a verbal warning is already on file and a further disciplinary offence of a similar nature occurs; or the conduct is of such seriousness that a verbal warning is not appropriate.

This will be confirmed in writing and the improvement, or change in behaviour required, will be set out in the letter. A copy of the warning letter will be retained on the personnel file, but it will normally be disregarded after 12 months, subject to satisfactory conduct throughout that period.

10.9 Stage Three: Final Written Warning

A final written warning will normally be imposed, in cases where an active written warning is already on file and a further disciplinary offence of a similar nature occurs; or for misconduct that is considered sufficiently serious to warrant a final written warning, even though there are no active warnings on the employees personnel file.

This will be confirmed in writing and the improvement, or change in behaviour required, will be set out in the letter. A copy of the warning letter will be retained on the personnel file, but it will normally be disregarded after 12 months, subject to satisfactory conduct throughout that period.

10.10 Stage Four: Dismissal

An employee will be dismissed from employment, in cases where an active written warning is already on file and a further disciplinary offence of a similar nature occurs, or for any gross misconduct regardless of whether there are active warnings.

The employee will be provided, as soon as reasonably practical, with written confirmation of the dismissal, the date on which their employment terminated or will terminate, and confirmation of their right of appeal.

11. Alternatives to Dismissal

The Company reserves the right to consider alternatives to dismissal in appropriate circumstances. If an alternative to dismissal is imposed this will usually be accompanied by a final written warning. Examples of alternatives to dismissal include (without limitation) demotion, loss of seniority, reduction in pay, loss of future pay increment or bonus, transfer to another job or department, a period of suspension without pay.

11.1 Appeals

Where an employee feels that a disciplinary action taken against them is wrong or unjust, they may appeal against the decision. An appeal should be made in writing, stating the full grounds of appeal, and sent to the person identified in the outcome letter within 7 calendar days of being notified of the decision.

In cases where the appeal is against the dismissal, the date on which the dismissal takes effect will not be delayed pending the outcome of the appeal. However, if the appeal is successful the employee will be reinstated with no loss of continuity or pay.

Unless it is not practicable, employees will be given at least 3 working days’ written notice of an appeal meeting. Employees may bring a companion to an appeal hearing, who should be either a work colleague or a certified trade union representative.

If an employee raises any new matters in their appeal, a further investigation may need to be carried out and therefore may delay an appeal hearing. Employees will be provided with written details of any new information which comes to light and will be given a reasonable opportunity to consider this information before the hearing.

Where practicable, the appeal hearing will be conducted by a manager who has not previously been involved in the case. Depending on the grounds of appeal, an appeal meeting may be a complete rehearing of the matter or a review of the original decision.

Following the appeal meeting, the Company may:

Confirm the original disciplinary decision.
Overturn the original disciplinary decision, or
Substitute a different disciplinary penalty. If new evidence has become known this new penalty may be more severe than the original penalty.

The final decision will be confirmed in writing, if possible, within seven days of the appeal meeting. There will be no further right of appeal.

12. Expired Warnings

The Company will destroy and delete expired warnings, together with any associated documentation, and will not retain them on the Employees file.