Disciplinary Procedure
Introduction
It is DINN Enterprise CIC's policy that Directors will try to enable employees to achieve and maintain satisfactory standards of performance and conduct to meet DINN Enterprise CIC’s work objectives.
It is DINN Enterprise CIC's aim to minimise the use of the formal disciplinary procedure by attempting to resolve problems through supervision and informal discussions between the line manager and the employee as far as possible.
The disciplinary policy exists to ensure that concerns about conduct at work are solved as quickly and as fairly as possible. It is not intended that the procedure be punitive, and it is hoped that both the employer and the employee view the use of this procedure as constructive. The procedure provides with a consistent system to deal with any issues which may result in a disciplinary warning or dismissal.
Scope
This procedure applies to all staff except those with less than a year’s service who will be covered by the provisions of the Ending Employment Procedure.
Principles
If you are subject to disciplinary action the following principles will apply:
The procedure is designed to establish the facts quickly and to deal consistently with disciplinary issues. No disciplinary action will be taken until the matter has been investigated.
Employers and employees should raise and deal with issues promptly and should not unreasonably delay meetings, decisions or confirmation of those decisions.
You will be given sufficient time to prepare for any hearing and as far as possible, DINN Enterprise CIC will endeavour to give you at least 5 working days notice.
If you are persistently unable or unwilling to attend a disciplinary meeting without good cause we may make a decision on the evidence available.
Before any disciplinary action (e.g. first formal warning) is taken against you:
You will be advised of the nature of the complaint,
You will be given the opportunity to state your case at a disciplinary hearing, and
You will be given a reasonable opportunity to ask questions, present evidence and call relevant witnesses. You must advise the person chairing a hearing with reasonable notice if you intend to call witnesses.
You will have the right to be accompanied by a work colleague, a full-time trade union official or a lay trade union official (not a legal representative) at any meeting at which a formal warning or supervision might be issued.
Note: Carers, sign language interpreters, advocates or others will also be allowed to accompany any staff with a disability, where the provision of such support constitutes a reasonable adjustment within the meaning of the Equality Act and accompanying Codes of Practice and guidance.
You will not be dismissed for a first breach of discipline except in the case of gross misconduct when the penalty will normally be dismissal without notice and without pay in lieu of notice;
You will be given a written explanation for any disciplinary action taken;
You have a right to appeal against any disciplinary action taken against you;
Information will be restricted to those directly involved. Employees are expected not to discuss cases in which they are involved in the workplace. Any breach of such confidentiality will be considered a serious disciplinary matter in its own right and will be dealt with accordingly.
The procedure may be implemented at any stage if your alleged misconduct warrants such action. That is to say at either the First Formal Warning, Final Written Warning or Dismissal stages.
Where disciplinary action is being considered against an employee who is a trade union representative, the Chair of the hearing will discuss the matter at an early stage with an official employed by the union, after obtaining the employees’ agreement.
Informal interviews or counselling
Cases of minor misconduct will be dealt with through informal discussion. If the informal approach does not bring about an improvement, or the misconduct or unsatisfactory performance is considered too serious you will be given clear notice of what action will be taken.
The informal approach should consist of a two-way discussion between yourself and your manager to discuss the concerns and for your manager to better appreciate any difficulties that you are experiencing. Your manager will listen to your comments and will let you know what improvements or changes need to take place and the support that will be given to assist with this. The nature of informal discussions means that it is not normally appropriate for a companion to attend the meeting although a note-taker might be needed to ensure a proper summary of the discussions is available.
Mediation
Sometimes it may not be possible to resolve concerns before those directly involved and a different perspective may be helpful. In these circumstances, either at the formal or informal stages of this procedure mediation should be considered. The mediator need not come from outside the organisation but be an internal mediator so long as they are not involved in the disciplinary or grievance issues. When mediation is appropriate the formal procedure may be temporarily halted.
The Procedure
When an allegation is made or, there is a suspicion of poor conduct, your manager may carry out ‘preliminary enquiries’ in order to establish whether it is necessary to commence a formal process, such as the Disciplinary Procedure. It is important to note that conducting preliminary enquiries does NOT mean the Disciplinary process has started. It is simply to establish whether there appears to be a case to answer.
Stage 1 – First Formal Warning
For unsatisfactory performance
Cases of unsatisfactory performance may be dealt with under the Performance Improvement Policy where it is considered that the concerns are due to capability. If, following a meeting, your performance is found to be unsatisfactory; you will be given a first formal warning. This will be confirmed in writing where you will be told:
The performance problem
The improvement that is required
The timescale for achieving this improvement
A review date
Any support that we will provide to assist you
That a failure to improve could lead to a final written warning and, ultimately, dismissal
That you have a right of appeal and the name of the person to whom you can appeal
A copy of the written warning will be kept on your file and used as the basis for monitoring and reviewing your performance over a specified period.
For misconduct
Where, following a disciplinary meeting, an employee is found guilty of misconduct and your manager hearing the matter decides that it is appropriate to issue a first formal warning, the warning will state:
The reason for the warning and the change in behaviour required
That this warning is the first stage of the disciplinary procedure
That a record of the warning will be kept on your personnel records and will be disregarded for disciplinary purposes after a specified time subject to satisfactory conduct and/or performance (usually 6 months although it might be as long as a year)
That further misconduct could lead to a final written warning and, ultimately, dismissal
That you have a right of appeal and the name of the person to whom you can appeal
Stage 2 – Final Written Warning
If following a further formal meeting, your manager concludes that there has been further misconduct or where the offence is sufficiently serious to commence at stage 2, you will be issued with a final written warning. This written warning will state:
The reason for the warning and the change in behaviour or performance required
That the warning is the final stage of the disciplinary procedure
That a record of the warning will be kept on your personnel records and will be disregarded for disciplinary purposes after a specified time subject to satisfactory conduct and/or performance (usually 6 months although it might be as long as a year)
That further misconduct may lead to dismissal
That you have a right of appeal and the name of the person to whom you can appeal
Stage 3 – Dismissal
If there is further misconduct or if further serious (i.e. gross) misconduct occurs, the likely outcome will be dismissal. This will only occur after a formal meeting. If you are dismissed, you will receive a letter stating:
The reason for the dismissal
How to appeal against the dismissal
The date on which the employment contract will terminate
The period of notice
Gross Misconduct
If, after investigation, it is deemed that you have breached the disciplinary rules so seriously that it amounts to gross misconduct, the normal consequence will be dismissal.
While the alleged gross misconduct is being investigated, you may be suspended, during which time you will be paid the normal hourly rate. Such suspension is not to be regarded as a form of disciplinary action and will be for as short a period as possible. Any decision to dismiss will be taken only after a full investigation. If you are found to have committed an act of gross misconduct, you will be dismissed without notice or payment in lieu.
Appeals
You have the right to appeal against any disciplinary action (e.g. a warning). The letter confirming the disciplinary action taken against you will state to whom you need to appeal and the timescales in which you should indicate your intention to appeal.
We will write to you normally within 10 working days of receiving the letter of appeal outlining the arrangements for the appeal hearing.
Notice Period
If your contract is terminated you will be given notice, which will commence from the date of the meeting in which the decision to terminate your contract was made. The exception is where you are dismissed for what we believe to be gross misconduct, in such cases, you will not be entitled to receive notice or pay in lieu of notice.
If you appeal against the decision, and your appeal is unsuccessful, the notice period will still start from the date of the meeting that resulted in your dismissal. You will be given the statutory minimum notice, or the notice stated in your contract of employment, whichever is greater.
The statutory minimum notice period applies if you have been continuously employed for a month or more. After one month's employment, we must give you one week's notice. This notice increases to two weeks after two years service and then by a further week for each year served up to a maximum of 12 weeks if you have 12 or more years service.
During the notice period, your normal wages will be paid.
In some circumstances, we may decide that it is inappropriate for you to work out your notice period. In such circumstances, garden leave will be granted and your wage payments will continue as normal until the end of the notice period.
Disciplinary rules
The following is a list of the disciplinary rules. These are intended to set safe and efficient standards of performance and acceptable levels of conduct.
This list is not to be regarded as exclusive or exhaustive. Acts of misconduct not falling within one of these rules may also give rise to disciplinary action.
Who do these rules apply to?
These disciplinary rules apply to all employees regardless of their length of service or the length of their contract.
How will a breach of these rules be dealt with?
If you are within your probationary period the matter will be dealt with in accordance with the End of Probationary Period Procedure. If you have been employed for over a year, the Disciplinary Procedure will apply.
Misconduct
The following is a list of examples of behaviour and conduct which is viewed as misconduct. They will normally lead to a disciplinary warning unless there are very exceptional mitigating circumstances. This list is not to be regarded as exclusive or exhaustive. Acts of misconduct not falling within one of these rules may also give rise to disciplinary action:
Unsatisfactory timekeeping including repeated lateness, taking excessive breaks an unacceptable level of attendance or failure to follow absence reporting procedures.
Non-compliance with the sickness or other policies or absence without proper authorisation or reasonable cause.
Unsatisfactory work performance. (Either repeated instances or poor work or one piece of very poor work).
Failure to use safe working practices and / or observe the requirements of the Health and Safety Policy and associated procedures.
Failure to carry out reasonable instructions.
Unwillingness to work co-operatively and positively as a member of a team.
Failure to preserve the dignity, respect and privacy of others or behaviour that would breach the harmony in the workplace.
Breach of confidentiality - to an extent short of that specified under the relevant example given for Gross Misconduct.
Placing inappropriate, derogatory or offensive comments on social networking sites, e.g. Facebook which affect the Organisation, its staff, members or suppliers.
Dishonesty - to an extent short of that specified under the relevant example given for Gross Misconduct.
Behaviour liable to bring the Organisation into disrepute - to an extent just short of Gross Misconduct.
Incapability at work brought on by the use of alcohol or drugs.
Negligence resulting in minor loss, damage or injury to DINN Enterprise CIC, a fellow employee or client.
Impropriety or disorderly conduct whether within or outside working hours which DINN Enterprise CIC reasonably considers to be detrimental to or conflicting with the interest of DINN Enterprise CIC or its clients.
Failure to disclose a personal interest which conflicts with DINN Enterprise CIC or its clients.
Unsatisfactory manner or/and appearance
Any act or omission which, after investigation and due consideration to the individual circumstances is believed to amount to misconduct.
Gross Misconduct
The following is a list of examples of behaviour and conduct which is viewed as extremely serious. They will normally lead to dismissal unless there are very exceptional mitigating circumstances. This list is not to be regarded as exclusive or exhaustive. Acts of gross misconduct not falling within one of these rules may also give rise to disciplinary action:
Intentionally making false statements when incidents or accidents are being investigated, or when applying for employment (i.e. DBS disclosure)
Fraud, deliberate falsification of records including travel or expenses sheets;
Failing to alert DINN Enterprise CIC to changes in DBS status
Negligence which potentially or actually results in serious loss, damage or injury
Physical violence or bullying
Acts of discrimination and/or harassment;
Theft of DINN Enterprise CICs resources or fraud whether attempted or actual
Unauthorised possession of property belonging to DINN Enterprise CIC, a client or another team member.
Behaviour inside or outside working time which is liable to bring DINN Enterprise CIC into disrepute.
Wilful disregard of duties or of instructions relating to employment.
Abandoning duty without permission.
Serious breach of trust or confidence relating to DINN Enterprise CIC or its clients affairs.
Serious incapability at work brought on by the use of alcohol or drugs.
Deliberately accessing internet sites containing pornographic, offensive or obscene material.
Action leading to the cautioning or conviction of an employee for an act relevant to the employment if it is decided that this makes an employee unsuitable for the type of work or unacceptable to DINN Enterprise CIC.
Serious infringement of any of DINN Enterprise CIC's policies and procedures including the Health and Safety Policy, Equality and Diversity Policy, and any policies regarding the use of information technology.
Any act or omission which, after investigation and due consideration to the individual circumstances is believed to amount to gross misconduct or gross negligence.
Introduction
It is DINN Enterprise CIC's policy that Directors will try to enable employees to achieve and maintain satisfactory standards of performance and conduct to meet DINN Enterprise CIC’s work objectives.
It is DINN Enterprise CIC's aim to minimise the use of the formal disciplinary procedure by attempting to resolve problems through supervision and informal discussions between the line manager and the employee as far as possible.
The disciplinary policy exists to ensure that concerns about conduct at work are solved as quickly and as fairly as possible. It is not intended that the procedure be punitive, and it is hoped that both the employer and the employee view the use of this procedure as constructive. The procedure provides with a consistent system to deal with any issues which may result in a disciplinary warning or dismissal.
Scope
This procedure applies to all staff except those with less than a year’s service who will be covered by the provisions of the Ending Employment Procedure.
Principles
If you are subject to disciplinary action the following principles will apply:
The procedure is designed to establish the facts quickly and to deal consistently with disciplinary issues. No disciplinary action will be taken until the matter has been investigated.
Employers and employees should raise and deal with issues promptly and should not unreasonably delay meetings, decisions or confirmation of those decisions.
You will be given sufficient time to prepare for any hearing and as far as possible, DINN Enterprise CIC will endeavour to give you at least 5 working days notice.
If you are persistently unable or unwilling to attend a disciplinary meeting without good cause we may make a decision on the evidence available.
Before any disciplinary action (e.g. first formal warning) is taken against you:
You will be advised of the nature of the complaint,
You will be given the opportunity to state your case at a disciplinary hearing, and
You will be given a reasonable opportunity to ask questions, present evidence and call relevant witnesses. You must advise the person chairing a hearing with reasonable notice if you intend to call witnesses.
You will have the right to be accompanied by a work colleague, a full-time trade union official or a lay trade union official (not a legal representative) at any meeting at which a formal warning or supervision might be issued.
Note: Carers, sign language interpreters, advocates or others will also be allowed to accompany any staff with a disability, where the provision of such support constitutes a reasonable adjustment within the meaning of the Equality Act and accompanying Codes of Practice and guidance.
You will not be dismissed for a first breach of discipline except in the case of gross misconduct when the penalty will normally be dismissal without notice and without pay in lieu of notice;
You will be given a written explanation for any disciplinary action taken;
You have a right to appeal against any disciplinary action taken against you;
Information will be restricted to those directly involved. Employees are expected not to discuss cases in which they are involved in the workplace. Any breach of such confidentiality will be considered a serious disciplinary matter in its own right and will be dealt with accordingly.
The procedure may be implemented at any stage if your alleged misconduct warrants such action. That is to say at either the First Formal Warning, Final Written Warning or Dismissal stages.
Where disciplinary action is being considered against an employee who is a trade union representative, the Chair of the hearing will discuss the matter at an early stage with an official employed by the union, after obtaining the employees’ agreement.
Informal interviews or counselling
Cases of minor misconduct will be dealt with through informal discussion. If the informal approach does not bring about an improvement, or the misconduct or unsatisfactory performance is considered too serious you will be given clear notice of what action will be taken.
The informal approach should consist of a two-way discussion between yourself and your manager to discuss the concerns and for your manager to better appreciate any difficulties that you are experiencing. Your manager will listen to your comments and will let you know what improvements or changes need to take place and the support that will be given to assist with this. The nature of informal discussions means that it is not normally appropriate for a companion to attend the meeting although a note-taker might be needed to ensure a proper summary of the discussions is available.
Mediation
Sometimes it may not be possible to resolve concerns before those directly involved and a different perspective may be helpful. In these circumstances, either at the formal or informal stages of this procedure mediation should be considered. The mediator need not come from outside the organisation but be an internal mediator so long as they are not involved in the disciplinary or grievance issues. When mediation is appropriate the formal procedure may be temporarily halted.
The Procedure
When an allegation is made or, there is a suspicion of poor conduct, your manager may carry out ‘preliminary enquiries’ in order to establish whether it is necessary to commence a formal process, such as the Disciplinary Procedure. It is important to note that conducting preliminary enquiries does NOT mean the Disciplinary process has started. It is simply to establish whether there appears to be a case to answer.
Stage 1 – First Formal Warning
For unsatisfactory performance
Cases of unsatisfactory performance may be dealt with under the Performance Improvement Policy where it is considered that the concerns are due to capability. If, following a meeting, your performance is found to be unsatisfactory; you will be given a first formal warning. This will be confirmed in writing where you will be told:
The performance problem
The improvement that is required
The timescale for achieving this improvement
A review date
Any support that we will provide to assist you
That a failure to improve could lead to a final written warning and, ultimately, dismissal
That you have a right of appeal and the name of the person to whom you can appeal
A copy of the written warning will be kept on your file and used as the basis for monitoring and reviewing your performance over a specified period.
For misconduct
Where, following a disciplinary meeting, an employee is found guilty of misconduct and your manager hearing the matter decides that it is appropriate to issue a first formal warning, the warning will state:
The reason for the warning and the change in behaviour required
That this warning is the first stage of the disciplinary procedure
That a record of the warning will be kept on your personnel records and will be disregarded for disciplinary purposes after a specified time subject to satisfactory conduct and/or performance (usually 6 months although it might be as long as a year)
That further misconduct could lead to a final written warning and, ultimately, dismissal
That you have a right of appeal and the name of the person to whom you can appeal
Stage 2 – Final Written Warning
If following a further formal meeting, your manager concludes that there has been further misconduct or where the offence is sufficiently serious to commence at stage 2, you will be issued with a final written warning. This written warning will state:
The reason for the warning and the change in behaviour or performance required
That the warning is the final stage of the disciplinary procedure
That a record of the warning will be kept on your personnel records and will be disregarded for disciplinary purposes after a specified time subject to satisfactory conduct and/or performance (usually 6 months although it might be as long as a year)
That further misconduct may lead to dismissal
That you have a right of appeal and the name of the person to whom you can appeal
Stage 3 – Dismissal
If there is further misconduct or if further serious (i.e. gross) misconduct occurs, the likely outcome will be dismissal. This will only occur after a formal meeting. If you are dismissed, you will receive a letter stating:
The reason for the dismissal
How to appeal against the dismissal
The date on which the employment contract will terminate
The period of notice
Gross Misconduct
If, after investigation, it is deemed that you have breached the disciplinary rules so seriously that it amounts to gross misconduct, the normal consequence will be dismissal.
While the alleged gross misconduct is being investigated, you may be suspended, during which time you will be paid the normal hourly rate. Such suspension is not to be regarded as a form of disciplinary action and will be for as short a period as possible. Any decision to dismiss will be taken only after a full investigation. If you are found to have committed an act of gross misconduct, you will be dismissed without notice or payment in lieu.
Appeals
You have the right to appeal against any disciplinary action (e.g. a warning). The letter confirming the disciplinary action taken against you will state to whom you need to appeal and the timescales in which you should indicate your intention to appeal.
We will write to you normally within 10 working days of receiving the letter of appeal outlining the arrangements for the appeal hearing.
Notice Period
If your contract is terminated you will be given notice, which will commence from the date of the meeting in which the decision to terminate your contract was made. The exception is where you are dismissed for what we believe to be gross misconduct, in such cases, you will not be entitled to receive notice or pay in lieu of notice.
If you appeal against the decision, and your appeal is unsuccessful, the notice period will still start from the date of the meeting that resulted in your dismissal. You will be given the statutory minimum notice, or the notice stated in your contract of employment, whichever is greater.
The statutory minimum notice period applies if you have been continuously employed for a month or more. After one month's employment, we must give you one week's notice. This notice increases to two weeks after two years service and then by a further week for each year served up to a maximum of 12 weeks if you have 12 or more years service.
During the notice period, your normal wages will be paid.
In some circumstances, we may decide that it is inappropriate for you to work out your notice period. In such circumstances, garden leave will be granted and your wage payments will continue as normal until the end of the notice period.
Disciplinary rules
The following is a list of the disciplinary rules. These are intended to set safe and efficient standards of performance and acceptable levels of conduct.
This list is not to be regarded as exclusive or exhaustive. Acts of misconduct not falling within one of these rules may also give rise to disciplinary action.
Who do these rules apply to?
These disciplinary rules apply to all employees regardless of their length of service or the length of their contract.
How will a breach of these rules be dealt with?
If you are within your probationary period the matter will be dealt with in accordance with the End of Probationary Period Procedure. If you have been employed for over a year, the Disciplinary Procedure will apply.
Misconduct
The following is a list of examples of behaviour and conduct which is viewed as misconduct. They will normally lead to a disciplinary warning unless there are very exceptional mitigating circumstances. This list is not to be regarded as exclusive or exhaustive. Acts of misconduct not falling within one of these rules may also give rise to disciplinary action:
Unsatisfactory timekeeping including repeated lateness, taking excessive breaks an unacceptable level of attendance or failure to follow absence reporting procedures.
Non-compliance with the sickness or other policies or absence without proper authorisation or reasonable cause.
Unsatisfactory work performance. (Either repeated instances or poor work or one piece of very poor work).
Failure to use safe working practices and / or observe the requirements of the Health and Safety Policy and associated procedures.
Failure to carry out reasonable instructions.
Unwillingness to work co-operatively and positively as a member of a team.
Failure to preserve the dignity, respect and privacy of others or behaviour that would breach the harmony in the workplace.
Breach of confidentiality - to an extent short of that specified under the relevant example given for Gross Misconduct.
Placing inappropriate, derogatory or offensive comments on social networking sites, e.g. Facebook which affect the Organisation, its staff, members or suppliers.
Dishonesty - to an extent short of that specified under the relevant example given for Gross Misconduct.
Behaviour liable to bring the Organisation into disrepute - to an extent just short of Gross Misconduct.
Incapability at work brought on by the use of alcohol or drugs.
Negligence resulting in minor loss, damage or injury to DINN Enterprise CIC, a fellow employee or client.
Impropriety or disorderly conduct whether within or outside working hours which DINN Enterprise CIC reasonably considers to be detrimental to or conflicting with the interest of DINN Enterprise CIC or its clients.
Failure to disclose a personal interest which conflicts with DINN Enterprise CIC or its clients.
Unsatisfactory manner or/and appearance
Any act or omission which, after investigation and due consideration to the individual circumstances is believed to amount to misconduct.
Gross Misconduct
The following is a list of examples of behaviour and conduct which is viewed as extremely serious. They will normally lead to dismissal unless there are very exceptional mitigating circumstances. This list is not to be regarded as exclusive or exhaustive. Acts of gross misconduct not falling within one of these rules may also give rise to disciplinary action:
Intentionally making false statements when incidents or accidents are being investigated, or when applying for employment (i.e. DBS disclosure)
Fraud, deliberate falsification of records including travel or expenses sheets;
Failing to alert DINN Enterprise CIC to changes in DBS status
Negligence which potentially or actually results in serious loss, damage or injury
Physical violence or bullying
Acts of discrimination and/or harassment;
Theft of DINN Enterprise CICs resources or fraud whether attempted or actual
Unauthorised possession of property belonging to DINN Enterprise CIC, a client or another team member.
Behaviour inside or outside working time which is liable to bring DINN Enterprise CIC into disrepute.
Wilful disregard of duties or of instructions relating to employment.
Abandoning duty without permission.
Serious breach of trust or confidence relating to DINN Enterprise CIC or its clients affairs.
Serious incapability at work brought on by the use of alcohol or drugs.
Deliberately accessing internet sites containing pornographic, offensive or obscene material.
Action leading to the cautioning or conviction of an employee for an act relevant to the employment if it is decided that this makes an employee unsuitable for the type of work or unacceptable to DINN Enterprise CIC.
Serious infringement of any of DINN Enterprise CIC's policies and procedures including the Health and Safety Policy, Equality and Diversity Policy, and any policies regarding the use of information technology.
Any act or omission which, after investigation and due consideration to the individual circumstances is believed to amount to gross misconduct or gross negligence.
