Schedule 9: Disciplinary and Capability Procedure
About This Procedure
This procedure is intended to help maintain standards of conduct and performance and to ensure fairness and consistency when dealing with allegations of misconduct or poor performance. Minor conduct or performance issues can usually be resolved informally with your line manager. This procedure sets out formal steps to be taken if the matter is more serious or cannot be resolved informally.
This procedure applies to all employees regardless of length of service. It does not apply to agency workers or self-employed contractors. This policy does not form part of any employee's contract of employment and we may amend it at any time.
Investigations
Before any disciplinary hearing is held, the matter will be investigated. Any meetings and discussions as part of an investigation are solely for the purpose of fact-finding and no disciplinary action will be taken without a disciplinary hearing. Investigation meetings may take place in person or remotely, using remote working platforms or technologies as appropriate.
In some cases of alleged misconduct, we may need to suspend you from work while we carry out the investigation or disciplinary procedure (or both). While suspended, you should not visit our premises or contact any of our clients, customers, suppliers, contractors or staff, unless authorised to do so. Suspension is not and should not be considered to be disciplinary action.
You have no right to request to be accompanied at an investigation meeting by a trade union representative or a colleague or any other person. We may, however, allow you to be accompanied to an investigation meeting if we consider it is reasonable and appropriate in the circumstances.
The Hearing
We will give you written notice of the hearing, including sufficient information about the alleged misconduct or poor performance and its possible consequences to enable you to prepare. You will normally be given copies of relevant documents and witness statements.
We may decide it is appropriate to hold the investigation meeting and disciplinary hearing as one meeting. Any hearing may be conducted remotely (for example, by using remote working platforms or technologies) in appropriate circumstances. We will notify you of the relevant arrangements and instructions for joining the hearing. If you have any questions regarding how to join the hearing remotely, you should let us know before the hearing date.
We recognise that, in some cases, the use of remote working platforms or technologies may not be appropriate (for example, where an employee has a hearing condition or does not have access to relevant equipment or software). In these cases, the hearing will take place in person where possible.
You may request to be accompanied at the hearing by a trade union representative or a colleague, who will be allowed reasonable paid time off to act as your companion. If you or your companion cannot attend at the time specified you should let us know as soon as possible and we will try, within reason, to agree an alternative time.
You should let us know as early as possible if there are any relevant witnesses you would like to attend the hearing or any documents or other evidence you wish to be considered. We may adjourn the hearing if we need to carry out further investigations, after which the hearing will usually be reconvened. We will inform you in writing of our decision.
Disciplinary Action and Dismissal
The usual penalties for misconduct or poor performance are:
- Stage 1: First written warning or improvement note. Where there are no other active written warnings or improvement notes on your disciplinary record, you will usually receive a first written warning or improvement note. It will usually remain active for six months.
- Stage 2: Final written warning. In case of further misconduct or failure to improve where there is an active first written warning or improvement note on your record, you will usually receive a final written warning. This may also be used without a first written warning or improvement note for serious cases of misconduct or poor performance. The warning will usually remain active for 12 months.
- Stage 3: Dismissal or other action. You may be dismissed for further misconduct or failure to improve where there is an active final written warning on your record, or for any act of gross misconduct. You may also be dismissed without a warning for any act of misconduct or unsatisfactory performance during your probationary period.
We may consider other sanctions short of dismissal, including demotion or redeployment to another role (where permitted by your contract), and/or extension of a final written warning with a further review period.
Appeals
You may appeal in writing within one week of being told of the decision. The appeal hearing will, where possible, be held by someone other than the person who held the original hearing. You may request to bring a colleague or trade union representative with you to the appeal hearing.
There may be circumstances where it is appropriate for a hearing to be conducted remotely. We will inform you in writing of our final decision as soon as possible. There is no further right of appeal.
Gross Misconduct
Gross misconduct will usually result in dismissal without warning, with no notice or payment in lieu of notice (summary dismissal). The following are examples of matters that are normally regarded as gross misconduct:
- Theft or fraud
- Physical violence or bullying
- Deliberate and serious damage to property
- Serious misuse of the organisation's property or name
- Deliberately accessing internet sites containing pornographic, offensive or obscene material
- Serious insubordination
- Unlawful discrimination or similar behaviour
- Bringing the organisation into serious disrepute
- Serious incapability at work brought on by alcohol or illegal drugs
- Causing loss, damage or injury through serious negligence
- A serious breach of health and safety rules
- Making unauthorised covert recordings (audio or video)
- A breach of the anti-bribery and corruption policy
- A serious breach of confidence
This list is intended as a guide and is not exhaustive.
Schedule 10: Grievance Procedure
About This Procedure
Most grievances can be resolved quickly and informally through discussion with your line manager. If this does not resolve the problem, you should initiate the formal procedure set out below.
This procedure applies to all employees regardless of length of service.
Step 1: Written Grievance
You should put your grievance in writing and submit it to your Line Manager. If your grievance concerns your Line Manager you may submit it to HR.
The written grievance should set out the nature of the complaint, including any relevant facts, dates, and names of individuals involved so that we can investigate it.
Step 2: Meeting
We will arrange a grievance meeting. You should make every effort to attend. You may bring a companion to the grievance meeting if you make a reasonable request in advance and tell us the name of your chosen companion. The companion may be either a trade union representative or a colleague, who will be allowed reasonable paid time off from duties to act as your companion.
If you or your companion cannot attend at the time specified you should let us know as soon as possible and we will try, within reason, to agree an alternative time. We may adjourn the meeting if we need to carry out further investigations, after which the meeting will usually be reconvened.
Any meeting may be conducted remotely (for example, by using remote working platforms or technologies) in appropriate circumstances. We will notify you of the relevant arrangements and instructions for joining the meeting. We recognise that, in some cases, the use of remote working platforms or technologies may not be appropriate (for example, where an employee has a hearing condition or does not have access to relevant equipment or software). In these cases, the meeting will take place in person where possible.
We will write to you to confirm our decision and notify you of any further action that we intend to take to resolve the grievance. We will also advise you of your right of appeal.
Step 3: Appeals
If the grievance has not been resolved to your satisfaction you may appeal in writing to senior management, stating your full grounds of appeal, within one week of the date on which the decision was sent or given to you.
We will hold an appeal meeting. This will be dealt with impartially by a manager who has not previously been involved in the case wherever possible. You will have a right to bring a companion (as described in Step 2). There may be circumstances where it is appropriate for the appeal meeting to be conducted remotely.
We will confirm our final decision in writing. There is no further right of appeal.
