Disciplinary Procedure

AIMS AND OBJECTIVES

The Employer aims to ensure that there will be a fair, consistent and systematic approach to the enforcement of standards of conduct and performance for all its employees. With this aim, the Employer has devised procedures for dealing with these conduct and performance issues which incorporate the recommendations given in the Advisory Conciliation and Arbitration Service (ACAS) Code of Practice. There is also an appeals procedure which may be invoked by employees who disagree with actions taken under the disciplinary procedure.

RIGHT TO BE ACCOMPANIED

You have the right to be accompanied at formal disciplinary hearings. You may nominate a single companion who is either:

• A colleague from the work place; or,
• A full-time official employed by a trade union official suitably certified by the union as having experience or training in accompanying employees at formal hearings of this nature.

You may choose an official from any trade union whether or not the union is recognised by the Employer.

Nominated colleagues or trade union officials are free to choose whether to accede to your request and no pressure should be brought to bear on an individual to do so.

We will provide reasonable paid time off for the nominated companion to attend hearings, consult with you and to become familiar with the details of your case.

The role of the companion is to support you at the hearing. Your companion has a statutory right to ask questions and to participate but not to answer questions on your behalf. Reasonable time will be allowed for you and your companion to confer privately during the course of the hearing.

DISCIPLINARY PROCEDURE

You are expected to maintain standards of conduct and performance appropriate to your job and in accordance with any general rules and work standards communicated to you during your employment.

OBJECTIVES

The disciplinary procedure adopted by the Employer, has the following objectives:

• To ensure that all disciplinary issues are dealt with in a consistent and fair manner;
• To ensure that disciplinary action is only taken after a full investigation of all the facts;
• To ensure that you have appropriate written notice of the times of disciplinary hearings and the charges against you;
• To ensure that at every stage of disciplinary action, you have the opportunity to state your case;
• To ensure that you have the right to be accompanied to the disciplinary hearing;
• To ensure that you receive appropriate written confirmation of any disciplinary action taken against you; and,
• To ensure that you are given the right of appeal.

PRE-DISCIPLINARY COUNSELLING AND SHORT SERVICE DISMISSAL

If your conduct or performance falls below the standards expected, we will discuss this with you in order to identify the cause of the problem and encourage you to improve.

Whilst the overall aim of these counselling discussions is to avoid the need to take formal disciplinary action, you should be aware that failure to make the agreed improvements in behaviour will result in the matter being pursued on a formal basis under the disciplinary procedure.

We do however, reserve the right in respect of disciplinary and capability issues, to take into account your length of service and vary the procedures accordingly.  If you have a short amount of service, you may not be in any receipt of any formal warnings before dismissal but you will retain the right to a hearing and you will have the right of appeal.

FORMAL DISCIPLINARY ACTION

The overall objective of the procedure is to help and encourage you to correct behaviour and return to observing the proper standards of conduct and performance. There are three stages to the disciplinary procedure and action may be started at any stage of the procedure, including final written warning, depending on the seriousness of the alleged misconduct. You should be aware that where your conduct or behaviour constitutes gross misconduct (see definition given later in this section), you may be liable to summary dismissal (without notice).

STAGE 1 – VERBAL WARNING

You will be asked to attend a meeting with a Manager/Director This meeting will be called only after a thorough investigation of all the facts.

You will be given prior written confirmation of the meeting and you will be able to nominate a companion to attend the meeting with you as outlined above. The letter you will receive will state clearly the nature of the alleged misconduct to be discussed. A suitable date and time for the meeting will be agreed with you so as to enable all parties to attend and to prepare in advance. You will be given a copy of this disciplinary procedure as part of your preparation.

During the meeting, the grounds on which disciplinary action is being considered will be stated, and you will be presented with any available evidence. You will be given the opportunity to answer any allegations made and to put forward any explanation and/or mitigating circumstances.

In the absence of a satisfactory explanation for the misconduct, you will be given a formal verbal warning under Stage 1 of the disciplinary procedure. You will be told of your rights to appeal and the procedure for appealing against the warning.

STAGE 2 – FIRST WRITTEN WARNING

If your conduct does not improve within the time allowed, or if the first offence is sufficiently serious to merit it, a written warning may be considered. You will be asked to attend another meeting with a Manager/Director. This meeting will be called only after a thorough investigation of all the facts. You will be given prior written notification of the meeting including a clear statement of the allegations against you. As before, you will able to nominate a companion to attend the meeting with you. A suitable date and time for the meeting will be agreed with you so as to enable all parties to attend and to prepare in advance. You will be given a copy of this disciplinary procedure as part of your preparation. During the meeting, the grounds on which disciplinary action is being considered will be stated, and you will be presented with any available evidence. You will be given the opportunity to answer any allegations made and put forward any explanation and/or mitigating circumstances.

If there is no satisfactory explanation for the misconduct, you will be given a written warning. This warning will state clearly:

• The standards of conduct required from you;
• The time to be allowed for improvement before further action may be considered;
• Any help, or support, where appropriate to help you achieve the improvement required;
• The consequences of failure to improve, i.e. final written warning or dismissal;
• Your right of appeal and the procedure available for appeal against the disciplinary decision;
• This written warning will be retained on your personal file for nine months from the date of the warning. Where you achieve the required improvement over this time, we will confirm in writing that the warning has been removed from the file.

STAGE 3 – FINAL WRITTEN WARNING

If your conduct does not improve within the time allowed, or if the first offence is sufficiently serious to merit it, you may be issued with a final written warning.

The process followed will be exactly as described at stage 2. Failure to provide a satisfactory explanation for the misconduct will result in a final written warning. This warning will state clearly:

• The standards of conduct required;
• The time to be allowed for improvement before further action may be considered;
• Any help or support, where appropriate, to help you achieve the improvement required;
• The consequences of failure to improve(dismissal); and,
• Your right of appeal and the procedure available for appeal against the disciplinary decision.

This final warning will be retained on your file for twelve months. Should you achieve the required improvement over this time, we will confirm in writing that the warning has been removed from your file.

STAGE 4 – DISMISSAL

If your conduct does not improve within the time allowed, or if the first offence is sufficiently serious to merit it, dismissal may be considered. The process followed will be as described for Stage 2 and 3 of the procedure. However, in the absence of a satisfactory explanation for the misconduct, you will be dismissed. You will receive an appropriate notice or payment in lieu of working your notice. You will remain an employee for the company, until the end of the notice period.

Within ten days of the disciplinary meeting, you will receive confirmation in writing of the reasons for your dismissal from the Employer. The letter will also contain confirmation of your right of appeal and the procedure for appealing against the decision.

Demotion

As an alternative to dismissal, the Employer may deem it appropriate to sanction a demotion.

DEFINITION OF MISCONDUCT

The following list, which is by no means exhaustive, indicates the circumstances in which you could be liable to disciplinary action under this procedure on the grounds of misconduct:

• • Failure to comply with working instructions given by an authorised person;
  • Failure to comply with the Employer’s fit and proper, independence, confidentiality statement procedures;
  • Failure to comply with attendance requirements and procedures, i.e. working hours, holidays, sickness, other unauthorised or unreasonable absences from work;
  • Improper care of the Employer’s property or unauthorised removal of such property from the company’s premises.
  • Improper use of office facilities, such as telephones, fax machines and computers;
  • Failure to comply with the Employer’s e-mail and internet policy;
  • Failure to observe any of the Employer’s general rules and policies;
  • Failure to comply with Health and Safety Rules and/or instructions for Health and Safety protection;
  • Discourtesy to a client or colleague;
  • Failure to comply with dress requirements;
  • Failure to meet required standards of work where this is not due to capability; and,
  • Negligence in the performance of duties.

The above is not an exhaustive list.

GROSS MISCONDUCT

In circumstances of gross misconduct, we will normally take immediate action at Stage 4 of the disciplinary procedure – dismissal. In most cases of gross misconduct, you will be suspended on full pay whilst a full investigation of the facts is carried out. In these circumstances, you will be informed in writing of your suspension.

Gross misconduct and summary dismissal will only be considered where there are reasons to believe that you have committed misconduct of such a serious nature that it constitutes a fundamental breach of your employment contract. The following list, although not exhaustive, gives examples of offences which could be construed as gross misconduct:

• • • Aggressive acts and/or physical violence;
    • Indecent behaviour.
    • Theft from the Employer, its employees or from customers or suppliers; or fraud
    • Actions which bring the company into disrepute or causes us to lose faith in your integrity;
    • Falsification and/or deliberate tampering of company records;
    • Acts of incitement or actual acts of discrimination or harassment on the grounds of sex, race, religion, colour, ethnic origin or disability;
    • Serious failure to observe the Employer’s confidentiality standards;
    • Possession or under the influence of illegal drugs at work;
    • Non-compliance with practice Health and Safety requirements resulting in serious endangerment of the health and safety of yourself and others;
    • Wilful and serious damage to company property; and,
    • Any other reason giving rise to a right summary dismissal, whether at common law or by statute.

APPEAL PROCEDURE

You are entitled to appeal against a decision taken at any stage of the disciplinary procedure. You are encouraged to make use of the appeal procedure should you feel that you have been unfairly treated in such circumstances. Using the appeal procedure will not prejudice your employment prospects in any way. You have the right to nominate a companion to accompany you at the appeal hearing as outlined in Appeal Section of these procedures.

PROCEDURE FOR LODGING AN APPEAL

The appeal should be made within five working days of either the following:

• • Receipt of the written communication of a decision made under the disciplinary procedure; or,
  • A verbal warning at stage one of the disciplinary procedure.

You should make the appeal in writing giving full supporting reasons. The appeal should be addressed to the person named in your individual statement of main terms of employment.  

An appeal hearing will be held to which you will be invited to attend. The date and time of the appeal hearing will be arranged with you in advance so that there is sufficient time to prepare yourself and your companion where relevant. Where necessary, the appeal hearing may be adjourned to gather further information or carry out an investigation of the facts. The hearing will reconvene once the investigations are complete.

A decision will be communicated in writing to you within five working days of the appeal hearing reaching its conclusion. The warning of dismissal or notification of capability procedure will stand unaltered pending the outcome of the appeal hearing. The Employer reserves the right to instruct an independent third party, if the need occurs. A written record of the appeal hearing will be made in order to prevent any misreporting or misunderstanding. You will be given a copy of the written record and asked to agree to the content.