Disciplinary Procedure

Scope

The Company Disciplinary Procedure is intended as a last resort. Whenever possible, informal and/or formal counselling or good management practices will be employed to resolve issues before disciplinary action. The procedure aims to be constructive rather than punitive, but acknowledges that sanctions may be necessary in some cases.

Employees can discuss this policy with their Union Representative or Line Manager for clarification, guidance, or support. Everyone has the right to representation at any point during the disciplinary process.

Suspension

Suspension is not disciplinary action. It can be used to temporarily remove a staff member from the workplace for reasons such as pending investigation, allowing a cooling down period, protection of the individual or others, or preventing interference with evidence. Only the Manager in charge or their Line Manager has the authority to suspend an individual.

Suspended employees will receive written confirmation within three days, detailing:

the reason for suspension
the date and time when the suspension starts
the investigation’s timescale
the right to appeal if suspension lasts more than 7 days

Counselling

Counselling aims to correct a situation and prevent escalation without resorting to the disciplinary procedure. The employee must receive clear guidelines on:

expected improvements in conduct or performance
time scales for improvement
review date
potential consequences of failure to improve

A record of the counselling should be given to the employee and a copy kept in their personnel file. Follow-up and recognition of improvements are crucial. Once objectives are met, counselling records will be removed from the employee’s file.

If counselling reveals a more serious issue, the discussion should be adjourned and pursued under the formal disciplinary procedure.

Procedure for Formal Investigation

A manager not directly involved in the incident should conduct formal investigations. They may involve others for assistance. Relevant facts must be gathered promptly, witness statements taken, and physical evidence preserved and/or photographed when reasonable.

A report outlining the case facts should be submitted to the appropriate senior manager or Director, who will decide on further action. The report may be made available to the individual and their representative.

In cases of suspected misconduct or serious misconduct, an investigatory hearing may be appropriate. This would be chaired by a Senior Manager or Director and attended by another manager. The investigating manager presents their findings in the presence of the employee under investigation. Witnesses should be called, and the employee or their representative may question them. The employee has a right to representation at the hearing.

After the presentation of facts and the employee’s opportunity to present their side, the hearing should be adjourned. The senior manager or Director hearing the case and the other manager will discuss and decide on one of the following options:

take no further action
recommend counselling
proceed to a disciplinary hearing

All parties should be informed of the chosen option. If a disciplinary hearing is decided, it may follow the investigatory hearing if the following criteria are met:

the employee was informed in writing that the investigation could become a disciplinary hearing and that they have the right to representation
the employee was informed of the complaint nature and had time to consult with a representative
all facts were presented at the investigatory hearing, and the manager or Director can decide on disciplinary action

If a representative is requested by the employee, the proceedings may be adjourned to make necessary arrangements.

Disciplinary action will cease if the subject resigns during the process unless extenuating circumstances require continuation. The subject may also request the continuation of disciplinary action.

Warnings

Examples of Minor Misconduct

Examples of misconduct that may warrant a Verbal Warning or First Written Warning include, but are not limited to:

persistent lateness or poor timekeeping
unauthorized absence from work
smoking in unauthorized areas
failure to follow
failure to follow prescribed procedures
incompetence
unreasonable standards of dress or personal hygiene
failure to observe Company regulations and procedures

Verbal Warning

A Verbal Warning is appropriate for minor failings or minor misconduct.

First Written Warning

A First Written Warning is appropriate when:

a verbal warning has not been heeded, and the misconduct is repeated or performance has not improved
an offence is more serious, warranting a written warning
recurrence or accumulation of offences may lead to more severe disciplinary action

Examples of Gross Misconduct

Examples of misconduct that may be considered Gross Misconduct and warrant a Final Warning, Demotion, or Dismissal include, but are not limited to:

theft or unauthorized possession of Company property
breaches of confidentiality prejudicial to the Company’s interest
being unfit for duty due to drug or alcohol misuse
refusal to carry out a management instruction within the individual’s capabilities and in the Company’s interest
breach of confidentiality or security procedures
physical assault, breach of peace, or verbal abuse
false declaration of qualifications or professional registration
failure to observe Company rules, regulations, or procedures
willful damage to property at work
incompetence or failure to apply sound professional judgement
bribing, attempting to bribe, or accepting a bribe

Final Written Warning

A Final Written Warning is appropriate when:

an employee’s offence is serious but falls short of justifying dismissal
an employee persists in the misconduct that previously warranted a lesser warning

Downgrading or Transfer to another Post

This action is appropriate when:

previous attempts to rectify a problem via disciplinary procedure have failed and this is a final attempt to resolve the issue without dismissal
a manager considers an employee incompetent or unfit to fulfill their duties, but dismissal is not appropriate

Dismissal

Dismissal is appropriate when:

an employee’s behavior is considered Gross Misconduct
an employee’s misconduct persists, exhausting all other disciplinary procedures

Time Scales for Warning Expiry

Warnings are deemed to have expired after the following periods:

Verbal Warnings: 6 months
First Written Warnings: 12 months
Final Written Warnings: 18 months (or as agreed and recorded at the hearing)

These time scales apply provided that no further warnings have been issued during that period.

Letter of Warnings

All Warning letters must contain:

issuance within 7 days of the disciplinary hearing
the nature of the offence and potential consequences of further misconduct
the time given for improvement
the employee’s right to appeal and to whom they should appeal
a copy of the warning and supporting documentation attached to the individual’s personnel file
a copy of the warning sent to the employee’s home address by recorded delivery if not handed to them in person

For final written warnings, the letter must mention that further misconduct will lead to dismissal and the employee’s right to appeal.

The dismissal confirmation letter must contain:

the reason for dismissal and administrative matters arising from employment termination
the employee’s right to appeal and to whom they should appeal

Appeals

Every employee has the right to appeal against a disciplinary hearing outcome. Appeals should relate to one or more of the following:

incorrect application of the Company’s Procedure
inappropriate disciplinary action
unwarranted disciplinary action
new information regarding disciplinary action

Appeals should be submitted in writing to the HR Department or Head Office within 10 days of receiving the warning or dismissal letter. The appeal letter may be written by the employee or their representative and should contain the grounds for appeal.

An appeal will be arranged within 20 working days of receiving the appeal letter.

Appeals against Verbal and First Warnings

In the case of verbal and first warnings, the appeal will be heard by the manager next in line to the one who issued the warning. Appeals against Downgrading, Final Warnings, and Dismissal

The hearing and determining of appeals against final warnings and dismissal will be heard by the appropriate Director or Chief Executive. They may also involve another senior manager or Director not previously involved with the case.

When dealing with an appeal against a Final Warning or Dismissal, written statements of the case may be submitted no later than 2 days prior to the date of the Appeal Hearing. No additional written evidence will be admitted by the Appeal Committee on the date of the Hearing.

Witnesses may be required by either party at an appeal hearing, depending on the circumstances and nature of the case. However, there is no specific obligation on either party to produce a witness. Either party must give 5 days prior notice that they intend to call specific persons involved or associated with the case under consideration.

It is the responsibility of the management representative and the appellant to each arrange for the availability and attendance of any witness they wish to call.

Appeal Hearing Outcome

After the appeal hearing, the person or committee conducting the hearing will make a decision on the appeal. This decision is final and will be communicated in writing to the employee within a reasonable time frame. Possible outcomes of an appeal hearing may include:

Upholding the original disciplinary action
Overturning the original disciplinary action
Modifying the disciplinary action (e.g., reducing the severity of the sanction)

It is important for all parties involved in the disciplinary and appeal process to maintain confidentiality and professionalism throughout the proceedings. Employees are encouraged to seek guidance and support from their Union Representative, Line Manager, or HR Department as needed.