Disciplinary Procedure - Template, Sample Form Online Pro · UK-law
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________
DISCIPLINARY PROCEDURE
(the "Procedure")
This Procedure has been prepared by ________ (a company registered in England and Wales under company number ________, whose registered office is at ________) ("we", "our", "us"). It applies to all of our employees ("you", "your", "yours").
Effective date: ________
§ 1. Purpose and Scope
1.1 The purpose of this Procedure is to assist, encourage and support employees in maintaining the standards of conduct and performance reasonably required of them, and to ensure that any matters of conduct or capability are dealt with fairly, consistently and without unreasonable delay.
1.2 This Procedure has been drafted having regard to the Acas Code of Practice on Disciplinary and Grievance Procedures (the "Acas Code") and the accompanying Acas guidance. We will follow the Acas Code in all relevant cases. An employment tribunal may adjust any compensation it awards by up to 25% where there has been an unreasonable failure to comply with the Acas Code.
1.3 We will, wherever appropriate, seek to resolve concerns about conduct or performance informally before invoking the formal stages of this Procedure. Informal discussion will address how you may improve your conduct or performance to the standard reasonably expected of you. Where a matter cannot be satisfactorily resolved informally, the formal stages set out below will apply.
§ 2. Status of the Procedure
2.1 This Procedure is non-contractual and does not form part of any contract of employment. We reserve the right to amend, supersede or withdraw it from time to time.
2.2 We will inform and consult with employees about this Procedure as appropriate.
2.3 This Procedure does not apply during any statutory or contractual probationary period unless we determine otherwise. It does not apply to the non-renewal of fixed-term contracts on their expiry, to genuine redundancies, or to ill-health capability matters dealt with under any separate policy.
§ 3. Application of the Procedure
3.1 This Procedure may apply, without limitation, in the following circumstances:
(a) Standards of work – where you fail to perform to the standards reasonably required of you in relation to your job;
(b) Contractual obligations – where you breach an obligation owed under your contract of employment, including any failure to comply with the specific rules and requirements set out in that contract;
(c) Codes and regulations – where you fail to comply with any relevant code of conduct, regulation or standard applicable to your role;
(d) Industry standards – where you conduct yourself in a manner that falls below the standards reasonably expected within our industry; and
(e) Conduct outside work – where your conduct outside work has a material adverse impact on your ability to perform your role, on the reputation of our business, or on our relationship of trust and confidence with you.
§ 4. Conduct and Behaviour
4.1 The following are non-exhaustive examples of conduct that may result in disciplinary action.
4.2 Minor offences and general misconduct may include poor job performance, minor breaches of our policies and procedures, unauthorised absence and persistent lateness.
4.3 Gross misconduct is conduct so serious that it may justify summary dismissal (dismissal without notice or payment in lieu of notice). Examples may include:
(a) a serious breach of our policies, procedures or rules;
(b) failure to comply with health and safety rules or endangering the safety of others;
(c) being unfit for work through alcohol or unlawful drugs, or their misuse in the workplace;
(d) physical assault or attempted assault;
(e) bullying, harassment or victimisation (including conduct contrary to the Equality Act 2010);
(f) sexual harassment;
(g) malicious or wilful damage to property;
(h) falsification or fabrication of records;
(i) theft, fraud or dishonesty;
(j) serious breach of confidentiality or of the UK General Data Protection Regulation and the Data Protection Act 2018; and
(k) criminal activity at work or conduct constituting a criminal offence relevant to your employment.
4.4 The above examples are illustrative only and other conduct of comparable seriousness may also be treated as gross misconduct.
§ 5. Investigation
5.1 Before any formal action is taken we will, where appropriate, carry out a reasonable investigation to establish the facts. This may include obtaining statements from relevant witnesses and reviewing relevant documents and records.
5.2 An investigation does not of itself imply that disciplinary action will follow. Wherever practicable, the person conducting the investigation will not be the person who conducts any subsequent disciplinary hearing.
5.3 You may be required to attend an investigatory meeting. There is no statutory right to be accompanied at an investigatory meeting, although we may permit it at our discretion.
§ 6. The Formal Disciplinary Hearing
6.1 Where a matter cannot be resolved informally, we will arrange a formal disciplinary hearing.
6.2 We will write to you in advance setting out the alleged conduct or performance concerns, the possible consequences, and copies of any relevant evidence, and giving you reasonable notice (ordinarily not less than ________ working days) of the date, time and place of the hearing.
6.3 In accordance with sections 10 to 13 of the Employment Relations Act 1999, you have the statutory right to be accompanied at the hearing by a colleague, a trade union official, or a trade union representative reasonably certified by the union as having experience of, or having received training in, acting as a worker's companion. The companion may address the hearing and confer with you but may not answer questions on your behalf.
6.4 You will be given a fair opportunity to state your case, respond to the allegations and put forward any mitigating circumstances before any decision is taken.
6.5 If you or your companion cannot attend the hearing for a genuine reason, we will, where reasonable, postpone it to a date proposed by you that is within five working days of the original date.
§ 7. Record Keeping
7.1 A written record of the disciplinary hearing and the outcome will be kept on your personnel file and processed in accordance with the UK GDPR and the Data Protection Act 2018.
(a) A first written warning will normally remain live on your file for ________, subject to satisfactory conduct and the required improvement; and
(b) A final written warning will normally remain live on your file for ________.
7.2 Expired warnings will ordinarily be disregarded for disciplinary purposes, save that in exceptional circumstances a pattern of repeated conduct may be taken into account.
§ 8. Improvement and Escalation
8.1 Where, following a hearing, we consider it necessary to issue a warning, the warning will set out the concern, the improvement required, and the timescale within which improvement must be achieved (the "improvement period"). We may vary the improvement period having regard to your experience, training, length of service and employment record.
8.2 If you make little or no improvement during the improvement period, we may proceed to the next stage of this Procedure without waiting for that period to expire.
§ 9. Disciplinary Outcomes
9.1 The outcomes that may be applied are set out below. Depending on the seriousness of the matter, one or more stages may be omitted and the Procedure may commence at a later stage.
9.2 First written warning. Where a minor matter is established, you may be issued with a first written warning. The warning will set out the reason for it, the improvement required, the improvement period, confirmation that your conduct or performance will be reviewed during that period, the consequences of failing to improve, and your right of appeal.
9.5 Gross misconduct and summary dismissal. Where, following investigation and a fair hearing, gross misconduct is established, we may dismiss you summarily, that is, without notice or payment in lieu of notice. In all cases you will be informed of the allegations against you and given a fair opportunity to respond before any decision is taken.
9.6 Searches. Where alleged gross misconduct relates to theft, we may ask for your consent to search your personal effects. Any such search will be carried out in private, you may request that it is conducted by a person of a particular sex and you may have a witness present. We will not conduct a search without your consent, but we may draw reasonable inferences from an unreasonable refusal to cooperate.
9.7 Loss of essential qualification. Where your role is conditional upon holding a particular qualification, licence or registration, the loss of it may, at our discretion and depending on the circumstances, constitute a fair reason for dismissal or for varying your terms and duties as we reasonably consider appropriate.
§ 10. Suspension
10.1 In appropriate cases, and with the authorisation of a relevant manager, you may be suspended from work while an investigation is carried out, in particular where allegations of gross misconduct are involved.
10.2 Suspension is a neutral act, is not a disciplinary sanction and does not imply any presumption of guilt. It will be kept as brief as reasonably possible and reviewed regularly. Throughout any period of suspension you will continue to receive your full basic pay and contractual benefits.
§ 11. Appeals
11.1 If you consider that a decision taken under this Procedure is wrong, unfair or unwarranted, you have the right to appeal.
11.2 Any appeal must be made in writing, must clearly set out the grounds of appeal, and must be sent to ________ within ________ working days of the written warning or dismissal being issued.
11.3 We will hold an appeal meeting within ________ working days of receiving your written appeal. Wherever practicable, the appeal will be heard by a manager who was not involved in the original decision and who is more senior than that person. You have the statutory right to be accompanied at the appeal meeting in accordance with § 6.3.
11.4 We will inform you of the outcome of the appeal in writing within ________ working days of the appeal meeting.
11.5 The original decision may be upheld, reversed or replaced by a lesser sanction. Where a decision is reversed, any warning will be removed from your personnel file. Where a dismissal is overturned, you will be reinstated and paid in full in respect of the period between the date of dismissal and the date of reinstatement.
11.6 Our decision on appeal is final and exhausts the internal appeal process.
§ 12. General
12.1 Where you have a disability within the meaning of the Equality Act 2010, we will make such reasonable adjustments to this Procedure as may be appropriate.
12.2 Personal data processed under this Procedure will be handled lawfully, fairly and transparently in accordance with the UK GDPR and the Data Protection Act 2018, and retained only for so long as is necessary.
12.3 This Procedure is governed by the law of England and Wales.
This Procedure is endorsed by us at all levels of management.
Signed for and on behalf of ________: ________
Position: ________
Date: ________
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