Disciplinary and dismissal procedure policy HB

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Disciplinary and dismissal procedure policy HB

16 July 2021
PJH Law
Company House
Company Road
ComapyCity PE9 2AZ

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  • Disciplinary and dismissal procedure policy

Disciplinary and dismissal procedure policy

  1. POLICY STATEMENT

    1. The aim of the disciplinary procedure is to provide a framework within which managers can work with employees to maintain satisfactory standards of conduct and to encourage improvement where necessary.
    2. It is our policy to ensure that any disciplinary matter is dealt with fairly and that steps are taken to establish the facts.
  2. GENERAL PRINCIPLES

    1. This procedure does not apply to agency workers or self-employed contractors. It is for guidance only and does not form part of your contract of employment. This procedure does not apply to cases involving:

      • genuine sickness absence;
      • proposed redundancies; or
      • poor performance or capability.
    2. Minor conduct issues can normally be resolved informally between you and your manager. These discussions should be held in private and without undue delay whenever there is cause for concern. In some cases, an informal verbal warning may be given. Formal steps will be taken under this procedure if the matter is not resolved, or if informal discussion is not appropriate (for example, because of the seriousness of the allegation).
    3. Except in cases of gross misconduct, you would not normally be dismissed for a first act of misconduct. We will normally give you a warning and a chance to improve. We may not always apply this principle if your probationary period has not yet been completed.
    4. Any steps under this procedure should be taken promptly unless there is a good reason for delay. We may vary any time limits if it is reasonable to do so.
    5. If you have difficulty at any stage of the procedure because of a disability, you should discuss the situation with your manager or a member of the Human Resources department as soon as possible.
  3. CONFIDENTIALITY

    1. Our aim during an investigation or disciplinary procedure is to deal with matters sensitively and with due respect for the privacy of any individuals involved.
    2. All employees must treat as confidential any information communicated to them in connection with an investigation or disciplinary matter.
    3. You will normally be told the names of any witnesses whose evidence is relevant to disciplinary proceedings against you, unless, in our discretion, we believe that a witness’s identity should remain confidential.
    4. Witnesses must treat as confidential any information given to them in the course of an investigation, including the identity of any employees under investigation.
  4. INVESTIGATIONS

    1. The purpose of an investigation is for us to establish a fair and balanced view of the facts before deciding whether to proceed with a disciplinary hearing. This may involve reviewing any relevant documents, interviewing you and any witnesses, and taking witness statements.
    2. 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.
    3. You do not normally have the right to bring anyone to an investigative interview. However, we may allow you to bring a companion if it helps you to overcome a difficulty caused by a disability, or any difficulty in understanding English.
    4. You must cooperate fully and promptly in any investigation. This will include informing us of the names of any relevant witnesses, disclosing any relevant documents to us and attending any investigative interviews.
    5. The amount of investigation required will depend on the nature of the allegations and will vary from case to case.
  5. SUSPENSIONS

    1. In cases of alleged gross misconduct, we may need to suspend an employee from work while an investigation or disciplinary procedure is on-going. The suspension will be for no longer than necessary and we will confirm the arrangements to you in writing. While suspended you should not visit our premises or contact any of our clients, customers, suppliers, contractors, or employees, unless you have been authorised to do so by your line manager.
    2. Suspension of this kind is not a disciplinary sanction and does not imply that any decision has already been made about your case. You will continue to receive your full basic salary and benefits during the period of suspension.

    6. FORMAL DISCIPLINARY PROCEDURE

  6. WRITTEN INFORMATION

    1. Following any investigation, if we consider there are grounds for disciplinary action, we will inform you in writing of the allegations against you and the basis for those allegations. This will normally include:

      • a summary of relevant information gathered during the investigation;
      • documents which will be used at the disciplinary hearing; and
      • witness statements which will be used at the hearing, except where a witness’s identity is to be kept confidential, in which case we will give you as much information as possible while maintaining confidentiality.
    2. You will have a reasonable opportunity to consider this information before the hearing.
  7. DISCIPLINARY HEARING

    1. We will give you written notice of the date, time, and place of the disciplinary hearing, which will normally be held between two days and one week after you receive the written notice.
    2. The hearing will be chaired by your line manager. A member of Human Resources may also be present. You may bring a companion with you to the disciplinary hearing (see Right to be accompanied, below).
    3. You must take all reasonable steps to attend the hearing. Failure to attend a hearing without good reason may be treated as misconduct in itself. If you or your companion cannot attend at the time specified, you should inform us immediately and we will seek to agree an alternative time.
    4. The purpose of the disciplinary hearing is to review the evidence and to enable you to respond to any allegations that have been made against you. If you have a companion, he or she may make representations to us and ask questions but should not answer questions on your behalf. You may confer privately with your companion at any time during the hearing.
    5. It will not normally be necessary for witnesses to be questioned or cross-examined at the disciplinary hearing but, in exceptional cases, the manager responsible may decide in conjunction with Human Resources that a fair hearing could not be held otherwise.
    6. The disciplinary hearing may be adjourned if we need to carry out any further investigations. For example, we may decide to re-interview witnesses in light of any points that have been raised at the hearing. You will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened.
    7. As soon as possible following the disciplinary hearing, we will inform you in writing of our decision (including details of any misconduct that we consider you have committed, and the disciplinary sanction to be applied) together with the reasons for our decision. We will also inform you of your right of appeal. Where possible we will also explain this information to you in person.
  8. APPEALS

    1. If you wish to appeal you should do so in writing to your line manager’s line manager within one week of the date on which you were informed of the decision.
    2. We will give you written notice of the date, time, and place of the appeal hearing. This will normally be between two days and one week after you receive the written notice. In cases of dismissal the appeal will be held as soon as possible

      3. .

    3. Where practicable, the appeal hearing will be held by a manager who is senior to the person who conducted the disciplinary hearing. You may bring a companion with you to the appeal meeting.
    4. If you raise any new matters in your appeal, we may need to carry out further investigation prior to the appeal hearing. If any new information comes to light, we will provide you with the details. You will have a reasonable opportunity to consider this information before the hearing.
    5. Following the appeal, we may:
      • confirm the original decision; or
      • revoke the original decision; or
      • substitute a different disciplinary sanction.
    6. We will inform you in writing of our final decision as soon as possible after the appeal hearing. Where possible we will also explain this to you in person. There will be no further right of appeal.
    7. The date on which any dismissal takes effect will not be delayed pending the outcome of an appeal. However, if the appeal is successful, you will be reinstated with no loss of continuity or pay.
    8. Right to be accompanied:
      • You may bring a companion to any disciplinary or appeal hearings under this procedure. The companion may be either a trade union official or a colleague. You must tell your line manager who your chosen companion is, in good time before the hearing.
      • Acting as a companion is voluntary and employees are under no obligation to do so. Employees will be allowed reasonable time off from duties without loss of pay to act as a companion.
    9. If your choice of companion is unreasonable, we may ask you to choose someone else. For example, this may be the case:
      • if in our opinion your companion may have a conflict of interest or may prejudice the hearing; or
      • if your companion works at another site and someone reasonably suitable is available at the site at which you work; or
      • if your companion is unavailable at the time a hearing is scheduled and will not be available for more than five working days.
    10. We may, at our discretion, allow you to bring a companion who is not an employee or union official (for example, a member of your family) where this will help overcome a particular difficulty caused by a disability, or where you have difficulty understanding English.
  9. DISMISSALS AND DISCIPLINARY ACTION

    1. We aim to treat all employees fairly and consistently. Disciplinary action previously taken against other employees for 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. Depending on the seriousness of the matter any of the following stages may be omitted.
    2. Stage 1: verbal warning

      • You may be given a verbal warning for a minor act of misconduct where you have no other active warnings on your disciplinary record.
      • The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
      • A record of the warning will be placed permanently on your personnel file and will remain active for six months from the date it is given, after which time it will normally be disregarded in deciding the outcome of future disciplinary proceedings. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period.
    3. Stage 2: first written warning

      • A first written warning will usually be given for:

        • first acts of misconduct where there are no other active warnings on your disciplinary record; or
        • minor misconduct where there is an active verbal warning on your record.
        • The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
        • The warning will be placed permanently on your personnel file and will remain active for six months from the date it is given, after which time it will normally be disregarded in deciding the outcome of future disciplinary proceedings. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period.
    4. Stage 3: final written warning

      • A final written warning will usually be given for:
        • misconduct where there is already an active written warning on your record; or
        • cases where there is no active written warning on file, but we consider that the misconduct is sufficiently serious to warrant a final written warning.
      • The warning will set out the nature of the misconduct, the change in behaviour required and the likely consequences of further misconduct.
      • The warning will be placed permanently on your personnel file and will normally remain active for 12 months or, if we decide that the matter is more serious, for a longer period. Your conduct may be reviewed at the end of this period and if it has not improved sufficiently, we may decide to extend the active period. After the active period it will normally be disregarded in deciding the result of future disciplinary proceedings. In exceptional cases verging on gross misconduct, a warning may remain active indefinitely.
    5. Stage 4: dismissal

      • We may decide to dismiss you in the following circumstances:
        • misconduct where there is an active final written warning on your record; or
        • gross misconduct regardless of whether you have received any previous warnings.
      • Gross misconduct will usually result in summary dismissal, that is, dismissal without notice or payment in lieu of notice. In cases not involving gross misconduct you will be given your full contractual notice period, or payment in lieu of notice.
      • As a guideline (and by means of illustration only) the following are examples of what may constitute gross misconduct:

        • Falsification of records such as Expense/Time Sheets, overtime claims, customer orders.
        • Theft, fraud or intent to defraud.
        • Extensive abuse of the Company’s facilities e.g. personal telephone calls, e-mail, Internet or postal service for personal use
        • Reckless or serious misuse of Company vehicle.
        • Falsification of information on appointment.
        • Sleeping on duty.
        • Rudeness to customers of the Company.
        • Viewing, downloading and copying of pornographic or other offensive material
        • Sending defamatory, abusive, sexist, or racist messages
        • Knowingly using Company systems to create and/or distribute viruses
        • Creating and/or distributing illegal copies of software
        • Hacking attacks on Company systems or third party systems
        • Disclosing Company passwords to access Company computers
        • Accepting a gift which could be construed as a bribe.
        • Sexual, racial or any other form of harassment.
        • Conviction for any serious criminal offence whilst an employee.
        • Wilful damage to the property of the Company or other employees.
        • Assault within the work place
        • Inability to work effectively due to the influence of alcohol or illegal drugs.
        • Unauthorised disclosures of confidential information.
        • Unauthorised absence.
        • Serious insubordination.
        • Breach of Health and Safety rules
        • Smoking
        • This list must not be regarded as exhaustive, but merely illustrative.
    6. Alternative sanctions short of dismissal

      • In appropriate cases we may consider some other sanction short of dismissal, such as:

        • demotion;
        • transfer to another department or job;
        • period of suspension without pay;
        • loss of seniority;
        • reduction in pay;
        • loss of future pay increment or bonus;
        • loss of overtime.
        • These sanctions may be used in conjunction with a written warning.