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Minor misconduct 

Minor misconduct or breaches of rules are normally dealt with in the first instance through informal discussion between the line manager and employee. This does not constitute part of the formal disciplinary procedure and is not recorded on the employee's personal file. However, Line Managers should make notes of the date, circumstances and advice given. The employee is informed that there is a risk of formal disciplinary proceedings, should the employee fail to meet any requirements for future behaviour.

Stage One Warning

After a full investigation the employee is asked to attend a disciplinary hearing.

If conduct does not meet acceptable standards, the employee receives a Stage 1 Warning. After the hearing the employee is advised in writing (appendix 3) of the reason for the warning, explaining that this represents the first stage of the formal disciplinary procedure, and advising of their right of appeal and that further disciplinary action may be considered if there is no satisfactory improvement.

Minimum Authority Level: First Line Manager or other independent manager.

Other People Present: Employee

Employee's Representative (if requested)

Human Resources Representative - where possible

Stage One Warnings expire after a period of 6 months subject to satisfactory conduct and performance.

Stage Two Warning 

After a full investigation the employee is asked to attend a disciplinary hearing.

If the offence is a more serious one, if a further offence occurs, or if conduct does not improve, a Stage Two Warning may be given to the employee. After the hearing the employee is advised in writing (appendix 3) of the reason for the warning, explaining that this represents Stage Two of the formal disciplinary procedure, and advising of their right of appeal. It also warns that action under Stage Three (see below) will be considered if there is no satisfactory improvement (within the timescales given, if appropriate).

Minimum Authority Level: First line Manager or other independent manager.

Other People Present: Employee

Employee's Representative (if requested)

Human Resources Representative - where possible

Stage 2 Warnings expire after a period of 9 months subject to satisfactory conduct and performance.

Stage Three Warning

After full investigation the employee is asked to attend a disciplinary hearing.

If the offence is a more serious one, if a further offence occurs or if conduct does not improve, a Stage Three Warning (final warning) may be given to the employee. After the hearing the employee is advised in writing of the reason for the warning, explaining that this represents Stage 3 of the formal disciplinary procedure, and advising of their right of appeal. It also warns that action under Stage 4 (see below) will be considered if there is no satisfactory improvement (within the timescales given, if appropriate).

Minimum Authority Level: Second Line Manager or other independent manager.

Other People Present: Employee

Employee's Representative (if requested)

Human Resources Representative (mandatory)

Stage Three Warnings expire after a period of 12 months subject to satisfactory conduct and performance.

Stage Four - Dismissal

After full investigation the employee is asked to attend a disciplinary hearing.

If the offence is a more serious one, or if a further offence occurs, or if conduct is still unsatisfactory, the employee may be dismissed. After the hearing the employee is advised in writing (appendix 4) of the reason for dismissal, the date on which employment terminates and their right of appeal. Provided the offence is not one of gross misconduct, t he employee will be dismissed with full contractual notice but will not be required to attend work during the notice period. Any outstanding holiday entitlement must be taken during the notice period.

Alternatively the manager may decide to impose a disciplinary sanction which may include a disciplinary transfer, demotion or loss of seniority if allowed for in the contract or if the employee agrees as an alternative to dismissal.

Minimum Authority Level: Second Line Manager or other independent manager of similar status.

Other People Present: Employee

Employee's Representative (if requested)

Human Resources Representative (mandatory)

Gross Misconduct - Summary Dismissal

If an employee is accused of an act of gross misconduct, they may be suspended from work pending investigation, always on full pay , normally for no more than 5 working days.

In some particular cases due to the nature of the incident it may be agreed that this period of suspension, on full pay, is extended whilst complete information relating to the incident is obtained.

In cases of suspected gross misconduct the Line Manager has the authority to suspend the individual from work pending investigation (always on full pay). Suspension should only be imposed after careful consideration and it should be made clear that the suspension is not in itself disciplinary action. Where the Line Manager is not available the nominated deputy must confirm the decision to suspend with another Line Manager e.g. Site Supervisor, Duty Manager on call, or other relevant Line Manager. The suspension must be confirmed to the employee in writing (appendix 9).

Examples of summary dismissal offences include:

(Please note that this is not an exhaustive list)

•  Fraud, including deliberate falsification of documents or records, including expenses and clocking in records, for personal gain

•  Bringing the company into serious disrepute

•  Serious breaches of the Equal Opportunities Policy

•  Smoking in unauthorised areas

•  Removal of Company property or other employees' property without authorisation

•  Wilful damage or negligence involving damage to property belonging to the Company, clients, other employees or the general public

•  Being under the influence of alcohol or drugs, or in possession of illegal drugs. The moderate consumption of alcohol is permitted where it is provided by the company as part of a social occasion or corporate entertainment

•  Refusal to comply with a legal or statutory requirement.

•  Unauthorised absence

•  Abandoning duty without notification

•  Knowingly giving false information or deliberately omitting relevant information on the curriculum vitae or during the interview process

•  Receipt of bribes to effect the placing of business with a supplier of goods or services

•  Gross immorality

•  Acts or threats of violence towards another employee, e.g. fighting

•  Acts of serious bullying and/or harassment as per the Bullying and Harassment Policy & Procedure

•  Serious misuse of the internet, e-mail and PC facilities as per the Information Systems Policy & Procedure

•  Serious breaches of health and safety

•  Serious breaches of GMP and/or SOPs

•  Any other serious behaviour or breach of company rules which the company reasonably believes amounts to gross misconduct and/or brings the company into disrepute.

After a full investigation, the employee is asked to attend a disciplinary hearing. 

If, on completion of the disciplinary hearing, it is concluded that gross misconduct has occurred, the result is summary dismissal with neither notice nor payment in lieu of notice. However, any outstanding holidays will be paid to the employee. After the hearing the employee is advised in writing (appendix 5) of the reason for summary dismissal, the date on which employment terminates and advising of their right of appeal.

Minimum Authority Level (for summary dismissal): Second Line Manager or other independent manager of similar status.

Other People Present: Employee

Employee's Representative (if requested)

Human Resources Representative (mandatory)

Line Manager - if appropriate