Disciplinary Policy & Procedure

Disciplinary Policy & Procedure Home Page
Introduction
Procedure
Appeal
Recommended Disciplinary Format and Guidelines
Appeal Hearing
FAQ

Introduction

The Disciplinary Procedure is a vital part in the Company's policies and procedures. It has been designed to help and encourage all employees to achieve and maintain standards of conduct.

This Policy and Procedure should be used for misconduct cases and where employees' poor performance is due to negligence, lack of care or other misbehaviour. Generally any action by an employee which is unauthorised and which adversely affects the interests of any other person, including the Company, will occasion disciplinary action.

Individuals have a contractual responsibility to perform to a satisfactory level and should be given every help and encouragement to do so. Managers have a responsibility for setting realistic and measurable standards of performance and for explaining these standards carefully to employees.

The Capability Policy and Procedure should be followed in situations where the employee's work performance is not meeting the required standard due to the employee's lack of skills and/or aptitude to do the job or because their general work performance has deteriorated.

The Managing Absence Policy and Procedure should be followed in respect of absenteeism.

Aims

The Policy and Procedure should not be viewed primarily as a means of imposing sanctions as it has been designed to emphasise and encourage improvement in individual conduct.

Scope

This Policy and Procedure applies equally to all employees of the Company who have twelve months or more continuous service . For employees with less than twelve months service, please follow the Statutory Disciplinary and Dismissal Policy and Procedure.

Principles 

No disciplinary action is taken against an employee until the case has been fully investigated. Every effort will be made to ensure that investigations are completed within 5 working days. At each and every stage in the procedure, the employee is advised of the nature of the complaint against them, and is given the opportunity to state their case before any decision is made.

At every stage in the procedure the employee will have the right to be accompanied by a work colleague or trade union representative.

Different managers will conduct the investigatory interview, disciplinary hearing and appeal hearing.

An employee will have the right to appeal against any disciplinary penalty imposed.

The procedure may be implemented at any stage if the employee's alleged misconduct warrants such action, for example if the misconduct is serious, but not gross misconduct, the employee may be given a stage three warning.

Employees who possess a live warning, for any reason, may move at least to the next stage of this procedure should they commit a further breach of conduct regardless of whether or not the offences are related.

Warnings expire after the period specified within the procedure subject to satisfactory conduct and performance. However, documents relating to expired warnings will remain on the employee's personal file in accordance with the Data Protection Act, within the Human Resources Department. Such warnings form part of the employee's employment history and may be considered along with other factors in determining the disciplinary measure appropriate.

Employees are notified in writing of the outcome of any disciplinary hearing within 5 working days of the date of the hearing. 

Records & Confidentiality 

It is important that managers keep all records relating to a disciplinary case (e.g. letters, minutes of the meetings, notes from the preliminary investigation, any additional information, etc) within the employee's personal file, within the Human Resources Department, as part of their employment history. The records and contents of investigations/meetings should remain strictly confidential and be kept in accordance with the Data Protection Act 1998. This allows an employee access to certain data at their request. (Please refer to the Data Protection Act Policy and Procedure).

Employee Support

Employees are encouraged to seek the support of a work colleague, trade union or employee representative or the Occupational Health Unit under this procedure, as appropriate.

Employees may also obtain advice or assistance from external bodies at their own expense (see Appendix 11).

Trade Union Representatives

This procedure applies in full to trade union representatives. However, no formal action should be taken until the circumstances of the case have been notified to the full-time official of the union concerned after discussion with his/her Branch Secretary of the union concerned.