0% found this document useful (0 votes)
46 views11 pages

Disciplinary-Procedure

The document outlines the disciplinary procedure for employees, emphasizing fair treatment and consistency in addressing misconduct. It details the process from informal discussions to formal hearings, including the rights of employees at each stage and the types of warnings that may be issued. The procedure also defines misconduct and gross misconduct, and establishes the framework for investigations, suspensions, and appeals.

Uploaded by

paul
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
0% found this document useful (0 votes)
46 views11 pages

Disciplinary-Procedure

The document outlines the disciplinary procedure for employees, emphasizing fair treatment and consistency in addressing misconduct. It details the process from informal discussions to formal hearings, including the rights of employees at each stage and the types of warnings that may be issued. The procedure also defines misconduct and gross misconduct, and establishes the framework for investigations, suspensions, and appeals.

Uploaded by

paul
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
You are on page 1/ 11

<INSERT ORGANISATION NAME> DISCIPLINARY PROCEDURE

Record of Amendments

Date of Section Heading Page No(s) Paragraph No(s)


Amendments

This policy does not form part of any employee's contract of employment and we may amend
it at any time.

Contents: Page:

Introduction 2
Purpose 2

General Principles 2

Allegations of Misconduct 3

Suspension 3

Investigation 4

The Hearing 5

Outcome/Action Taken 6

Right to Appeal 8

Sickness Absence during Disciplinary Process 8

Grievances Raised during Disciplinary Process 9

Appendix 1

Examples of Gross Misconduct 10

1. Introduction

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
The aim of the Disciplinary Procedure is to ensure consistent and fair treatment for all
staff.

The main purpose of the procedure is to promote good performance and


improvement in unsatisfactory conduct or standard of work.

It is important that employees are made aware of the standards of conduct expected
of them and this should be made apparent through induction and the Appraisal
process and day to day management/ supervision.

Where a problem clearly exists that relates to unsatisfactory conduct the Organisation
encourages informal discussions between members of staff and their manager, where
appropriate. Such discussions are intended to be the basis for counselling under the
informal stage of this procedure.

Where a problem clearly exists that relates to standard(s) of work the Organisation’s
Capability Procedure should be followed, unless the offence is serious enough to
warrant immediate formal action.

The formal disciplinary procedure will be invoked if informal discussion(s) have failed
to achieve the desired effect or when an offence is serious enough to warrant
immediate formal action.

2. Purpose

This procedure is designed to:

 Help and encourage individuals to achieve and maintain standards, conduct,


attendance and job performance.
 Emphasise and encourage improvements in individuals’ performance or standard
of work but also represent a means of imposing sanctions.
 Provide for disciplinary matters to be dealt with quickly but thoroughly.
 Ensure that all staff are treated fairly and consistently.

3. General Principles

At every stage in the procedure the employee will be advised of the nature of the
allegation(s) being made against them and will be given the opportunity to state
his/her case before any decision is made.

At all stages of the procedure the employee will have the right to be accompanied by a
trade union representative, a work colleague or a friend, not acting in a legal capacity.

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
Employees are not entitled to be legally represented during the Organisation’s internal
disciplinary procedure.

All staff will have the right of Appeal against a verbal warning, a first written warning, a
final warning and dismissal.

The Disciplinary Procedure is a system of warning stages, increasing in gravity from an


oral warning to dismissal. The warnings can refer to repetition of the same or similar
unsatisfactory conduct or unsatisfactory work performance or where an individual has
failed to achieve the required improvement. The Organisation reserves the right to
commence proceedings at any point of this procedure.

4. Allegations of Misconduct

Definition of Misconduct
Misconduct is any infringement or breach of the Organisation’s rules, regulations,
policies or procedures, or, any failure to meet the required standards of behaviour,
conduct, performance and attendance reasonably required of an individual including
those set out in the Organisation’s rules, regulations, policies or procedures

Definition of Gross misconduct


Gross misconduct is behaviour that is considered so serious, that the Organisation is
justified in no longer tolerating to continued presence, at work, of a member of staff
who commits such an offence Examples of acts or behaviours that will usually
constitute gross misconduct are given in Appendix 1.

Where any misconduct is alleged or suspected HR will undertake a


preliminary assessment of the nature of a complaint or circumstances
surrounding an incident in order to attempt to decide whether the allegations
can be substantiated.

The possible outcomes of the preliminary assessment are as follows:

 Allegations are unsubstantiated and no further formal action will be taken.


 Arrange for the matter to continue to be dealt with under the Disciplinary
Procedure.

5 Suspension

Suspension from duty is not, in itself, a disciplinary measure but may be appropriate
when a serious allegation or complaint has been made against an employee and it is in
the interests of the Organisation, other staff and the employee, that the employee
should be removed from their normal place of work whilst the incident is investigated
further.
© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
Suspension will be carried out by a Senior Manager/Director. The employee will be
seen in person and have the allegations put to them before a decision to suspend is
confirmed.

Suspension will be on full pay as long as the employee complies with the terms of their
suspension. The person suspending will confirm suspension in writing within 5 working
days including the reasons for suspension and the allegations made against them. The
employee will also receive a copy of the disciplinary procedure.

Suspension should not last for more than 14-21 days, in order for a full investigation to
be carried out. The employee will be kept informed of progress from the person who
carried out the suspension.

Conditions of continued payment during suspension will be that the employee must
remain ready, willing and able to work, must be ready to cooperate in resolving any
issues relating to their normal duties and must be available during their normal
working hours to attend any meeting that may be convened as part of the
investigatory process. Staff should not undertake any other paid work during their
suspension. Any holidays that have been booked prior to suspension must be notified
to the person who carried out the suspension immediately.

Whilst on suspension the employee must not enter the organisation’s premises or
make contact with other staff members or clients. Contact with the organisation may
only be made to the person authorising the suspension. If access is requested for the
purposes of preparing a defence, this will not be unreasonably refused, but will be
carried out in the presence of the person authorising the suspension, or nominated
deputy.

6 Investigation

Investigations into the incident or allegations made will be conducted in a thorough


and timely manner. If there is undue delay the reasons for the delay will be fully
explained to the individual.

One or two people will be appointed to lead the investigation and will ensure all
relevant evidence is obtained. Any individual called to an investigation interview will
have the right to be accompanied by a trade union representative, colleague or friend,
not acting in a legal capacity
Notes will be taken at the meeting and individuals will be asked to review the notes
and sign as a statement, which they agree is a true record or the meeting and
understand that the statement will form part of the management report.
© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
The investigating person(s) will produce a management statement of case and
associated documentation. A Senior Manager/Director will then, after reviewing the
report, decide if there is a case to answer. If appropriate, the matter will then proceed
to a formal hearing. Where it is decided there is no case to answer, the employee
must be informed accordingly, in writing.

At all stages of the formal procedure, the employee will be:

 Given an account of the allegation(s).


 Interviewed by an appropriate member of staff.
 Given an opportunity to state his/her case before a decision is made that
disciplinary action may be appropriate.

7 The Hearing

The Senior Manager/ Director will stipulate a time, date and venue for the Hearing, at
least 5 working days before the hearing. However, if the representative or work
colleague is unavailable at this time for a reason that is regarded to be valid, the
manager will postpone the Hearing. This procedure will only be delayed in accordance
with the Employment Rights Act 1999 and the ACAS Code of Practice on Disciplinary &
Grievance Procedures April 2009 i.e. for 5 working days. Any extension to this period is
at the sole discretion of the Organisation and will be confirmed in writing.

The employee will be provided with a copy of the investigation report and given copies
of any written statements or documentary evidence that will be relied upon during the
Hearing.

The employee will be informed of their right to be accompanied at the hearing by a


friend, (not acting in a legal capacity), colleague or trade union representative.

The employee will be informed of the names and job titles of the members of the
panel for the hearing.

In normal circumstances, the employee will be given the opportunity to call and
question witnesses at the Hearing. The Organisation reserves the right to make
exceptions to this where it is deemed not to be appropriate e.g. where it involves
members of the public, clients, etc. Information on any documentation, including
witness statements which the individual intends to present, must be submitted to the
panel members at least 3 working days prior to the hearing.

No new or supplementary information should be tabled at the meeting. If this


happens the hearing will need to be rescheduled to allow sufficient time to
investigate and absorb the new information.
© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
8 Format of the Disciplinary Hearing

One or two people will form the panel and will hear from both management and the
employee. Any witnesses will be called and questioned by all parties. The panel will
then adjourn to make their decision

9 The Outcome/Action Taken

The Chair’s conclusions may be the following:

* that there is no case to answer and that therefore no action is taken


* that a one of the following has been decided:

Verbal Warning
Conduct or performance does not meet acceptable standards, the first formal stage of
the Disciplinary Procedure may be invoked and a ‘verbal warning’ may be given.
The employee will be advised of the standards of conduct or performance required,
the period allowed for improvement and the consequence of failure to reach or
maintain acceptable standards (normally a first written warning).

The verbal warning will be confirmed in writing to the employee within 5 working
days. The following information will be included:

 The breach of discipline.


 The improvement required and the period allowed for improvement.
 The duration of the warning (6 calendar months).
 The consequences of failing to improve to an acceptable standard.

The verbal warning will remain in effect for a period of 6 months. It is the Director’s
responsibility to ensure that the warning is removed from the employee’s personal file
if it becomes lapsed.

First Written Warning


If an offence is serious, or if a previously substantiated offence (or an offence of a
similar nature) is repeated, the Disciplinary Procedure may be entered into at this
stage i.e. a ‘first written warning’, may be given.

The employee will be advised of the standards of conduct or performance required,


the period allowed for improvement and the consequence of failure to reach or
maintain acceptable standards (normally a final written warning).
© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
The first written warning will be confirmed in writing to the employee within 5
working days. The following information will be included:

 The breach of discipline and any ‘live’ disciplinary action on the employee’s
personal file.
 The improvement required and the period allowed for improvement.
 The duration of the warning (12 calendar months).
 The consequences of failing to improve to an acceptable standard.

The first written warning will remain in effect for a period of 12 months. It is the
Director’s responsibility to ensure that the warning is removed from the employee’s
personal file if it becomes lapsed.

Final Written Warning


If an offence is considered to be sufficiently serious that it may warrant a final written
warning, or if a previously substantiated offence persists, the Disciplinary Procedure
may be entered into at this stage i.e. a ‘final written warning’, may be given.

The employee will be advised of the standards of conduct or performance required,


the period allowed for improvement and the consequence of failure to reach or
maintain acceptable standards (normally dismissal).

The final written warning will be confirmed in writing to the staff member within 5
working days. The following information will be included:

 The breach of discipline and any ‘live’ disciplinary action on the employee’s
file.
 The improvement required and the period allowed for improvement.
 The duration of the warning (12 calendar months or 24 calendar months
depending on the gravity of the case).
 The consequences of failing to improve to an acceptable standard, that
dismissal may result.

The final written warning will remain in effect for a period of 12 months or 24 months,
as determined to be appropriate. It is the Senior Managers/Director’s responsibility to
ensure that the warning is removed from the employee’s personal file if it becomes
lapsed.

Dismissal with Notice

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
Dismissal may occur where the Disciplinary procedure has failed to bring about
acceptable standards of conduct or performance from an employee or where the
allegations are proved and are serious enough to warrant dismissal.

Confirmation of dismissal will be confirmed in writing to the staff member within 5


working days. The following information will be included:

 That dismissal has occurred and the reason(s) for this.


 The breach of discipline and any ‘live’ disciplinary action on the employee’s
file.
 The length of notice and whether the employee is to work the notice or be
paid in lieu of notice.

Dismissal without Notice (Summary Dismissal)


If it is alleged that a staff member may be guilty of an act of gross misconduct (See
examples attached), it may be necessary dismiss without notice.

The dismissal will be confirmed in writing within 5 working days. The following
information will be included:

 That summary dismissal has occurred and the reason(s) that led to a
decision of gross misconduct having occurred.

10 Right to Appeal

The employee has the right of appeal to a Director (who has not been involved with
the Disciplinary), in writing, within 14 days of the date of the letter confirming the
outcome of the hearing.

The decision of the chair at appeal hearing will be final and there will be no further
provision for appeal.

11. Sickness Absence during Disciplinary Process

If an employee is absent from work through sickness, the organisation will continue
with the disciplinary process unless the individual is deemed to be unfit to attend the
hearing. The organisation reserves the right to seek confirmation from a medical
professional or Occupational Health as to whether the employee is well enough to
take part in the disciplinary process, notwithstanding their health.

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
Where a hearing has resulted in a formal warning being applied either during the
employee’s absence or where the employee subsequently becomes absent from work,
the sanction period will be effective from the date of return to work. The organisation
reserves the right to extend the warning if a breach of rules/misconduct takes place
during an employee’s absence.

12. Grievances Raised During Disciplinary Process

If, in the course of the disciplinary process, an employee raises a grievance that is
related to the case, the disciplinary process will continue unless there is specific cause
not to (for example if the grievance is about the disciplinary process). Nothing in the
statutory procedures requires the grievance to be heard before further action is taken
under the disciplinary procedure.

Once the disciplinary hearing has been completed, any pending grievances should be
resolved.

Where the grievance is unrelated to the disciplinary action, the two procedures should
be run in parallel if possible. In any event, the disciplinary process will not be delayed
to deal with the grievance.

Appendix 1

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
Gross Misconduct (THIS LIST IS NOT EXHAUSTIVE)

 Conduct or behaviour which endangers health or safety of other staff or the public.

 Committing any criminal act while on the Organisation’s premises or at work such as
stealing from the Organisation or another employee.

 Making untrue statements to the Organisation with intent to deceive or obtain advantage.
This would include false statements on application forms or medical history or pre-
employment medical forms; withholding information, statements containing false
information about absence or absence relating to sickness; falsification of references.

 Unauthorised disclosure of confidential information.

 Neglect of duty such as:


o Being on duty under the influence of drugs or alcohol.
o Wilful damage to the Organisation’s property including deliberate misuse resulting
in damage and misuse of anything provided in the interests of Health and Safety
at work.
o Refusal to obey an instruction or refusal to perform work which is neither illegal
nor unsafe and which an employee might reasonably be expected to do.

 Assault on another employee except in self-defence.

 Committing any act on the Organisation’s property which violates the commonly accepted
standards of decency or morality.

 Harassment of or causing distress to another employee or visitor on the grounds of race,


colour, nationality, sex, sexual preference, disability, age, etc.

 Unauthorised possession or administration of drugs.

 Imprisonment rendering it impossible to fulfil Contract of Employment.

 Offences committed outside of employment which have the effect of substantially


breaking trust between the employer and employee.

 Drunkenness – in the case of persons being a danger to others or incapable of carrying out
their duties, suspension may be without pay.

 Use of any social media (whether business or personal) that has a detrimental effect on
the Organisation.

© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.
© Agora Business Publications LLP. The information in this document is for general guidance only and is not intended to address the circumstances of any particular individual or entity. The
document may need to be tailored to suit individual circumstances and professional advice should be sought before any action is taken, or any decision is made to refrain from action. To the
fullest extent permitted by law, Agora Business Publications LLP and our contributors do not accept liability for any direct, indirect, special, consequential or other losses or damages of
whatsoever kind arising from any action or inaction of the user other than liability limited to the fee paid for the document.

You might also like

pFad - Phonifier reborn

Pfad - The Proxy pFad of © 2024 Garber Painting. All rights reserved.

Note: This service is not intended for secure transactions such as banking, social media, email, or purchasing. Use at your own risk. We assume no liability whatsoever for broken pages.


Alternative Proxies:

Alternative Proxy

pFad Proxy

pFad v3 Proxy

pFad v4 Proxy