Disciplinary Procedure - Template, Sample Form Online
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________
DISCIPLINARY PROCEDURE
(The Procedure)
Scope of the Procedure
This procedure has been created by ________ ('we', 'our', 'us). It applies to all of our employees ('you',' your', yours').
The purpose of the procedure is to aid, stimulate and encourage employees to continuously maintain expected standards of performance.
The procedure will assist in ensuring that all employees are treated fairly, equally and consistently throughout the disciplinary process. The procedure allows the process to be transparent and known to all employees.
We will strive to resolve any disputes, problems and incidents in respect of your performance or conduct informally before resulting to the formal procedures set out below. Informal discussions will cover how you can improve your performance or conduct to the required level and standard expected by us. Where a dispute, problem or incident cannot be adequately resolved through informal discussions, a formal procedure will take effect.
Status of the Procedure
This procedure does not form part of any contract of employment.
We will inform and consult with all staff members about this procedure, as appropriate.
Application of the Disciplinary Procedure
The procedure will be applicable in the following circumstances:
Standards of work
The procedure will apply where you fail to perform to the expected standards reasonably required by us in relation to the performance of your job.
Contractual obligations
The procedure will apply where you breach a contractual obligation that is owed by you. This shall include any situation where you fail to adhere to the specific rules and requirements that are set out within your contract of employment.
Regulations
The procedure will apply where you fail to comply with any relevant codes of conduct, all regulations and standards applicable to them as part of your job role.
Industry standards
This procedure will apply when you conduct yourself in a manner that falls below industry-specific expected standards.
Conduct outside of work
This procedure may apply where you conduct yourself in a manner outside of work which has an impact on the performance of your job, the reputation of the industry and/or our reputation.
Conduct and Behaviour
A non-exhaustive list of examples of actions and behaviour which may result in disciplinary action are detailed below:
Minor offences and/or general misconduct
Offences such as poor job performance, minor breaches of business policy and procedures, absenteeism and unpunctuality shall constitute minor offences.
Breaches to our policies, procedures and rules may constitute either misconduct or gross misconduct depending upon the seriousness of the breach.
Serious offences and gross misconduct
Serious offences and/or gross misconduct may include:
- a serious breach of our policies or rules
- failure to comply with health and safety rules/endangering the safety of others
- drunkenness or drug misuse in the workplace
- assault or attempted assault in the workplace
- bullying, harassment or victimisation
- sexual harassment
- malicious damage
- falsification and/or fabrication of records
- theft
- criminal activity at work
Overview and Approach to Disciplinary Matters
We will generally address disciplinary matters in the following steps:
Informal steps
In the first instance, we will establish the facts surrounding the case and, where necessary, we will take into account the statements of any available witnesses. Where we do not find that it is necessary to invoke the formal disciplinary procedure, we shall hold an informal discussion with you regarding the issue and how it can be resolved.
Formal hearing
Record keeping
A formal record of the disciplinary hearing and what was discussed within it shall be kept in your personnel file.
- An initial written warning (first warning) will normally be kept on your personnel file for 6 months, subject to continuing conduct and the required improvements.
- A final written warning will form part of your permanent record, but will usually be disregarded for disciplinary purposes after 12 months.
If your conduct or performance is found to relapse again after the warning period, we shall be entitled to generally refer to any previous course of action.
Issues to address and improvement
Where, after the outcome of the hearing, we consider that it is necessary to continue the disciplinary process, you will be issued with a formal written warning which shall set out what was discussed in the hearing, how you can improve your conduct or performance and the timescale (the improvement period) within which you must do so. We reserve the right to alter the timescale for the improvement period throughout the disciplinary process and shall take into account the experience, previous training, length of service, and your record of employment.
Escalation
In the event that you make little or no improvement during the improvement period, we will be able to proceed to the next stage in the disciplinary process without waiting for the completion of the improvement period.
Disciplinary Outcomes
The relevant outcomes and decisions which may be made during the formal disciplinary hearing are set out below. Where the circumstances of a case are serious enough certain stages may be omitted and the procedure shall begin at stages later in the disciplinary process.
1. First written warning
2. Final written warning
Where we find that the conduct and/or performance issues are more serious, or where you have failed to make the required improvements following a first written warning, you will be issued with a final written warning. The final written warning shall set out the reason or reasons that the hearing was held, what was discussed between us, the ways in which you must improve and the timescale of the improvement period you will have to do so. The warning shall state that your performance and/or conduct will be consistently reviewed throughout the improvement period to gauge whether you improve sufficiently. We will set out the consequences which will apply should you fail to make such improvements within the improvement period, which may include dismissal, and details of your right of appeal.
3. Dismissal
In the event that you fail to make the required improvements set out in the final written warning issued to them, or where there has been misconduct which amounts to gross misconduct, you will be dismissed.
You will be provided in writing with the reasons for your dismissal, the date of your final day of employment and the details of your final pay plus any holiday pay that is owed to you. You will also be advised of your right of appeal.
4. Gross misconduct
If you are accused of committing an act of gross misconduct, we will carry out a necessary investigation into such allegations.
Where the alleged gross misconduct relates to theft from the business, we may ask your permission to conduct a search of your personal effects. Any personal search will be conducted in private. You will have the right to request that the search is conducted by a person of a particular sex or gender. You will be entitled to have a witness present for the search. If you refuse to cooperate with the search, we may draw inferences from this.
Where an investigation finds that you are guilty of gross misconduct, we shall have the right to dismiss them without notice. In all cases, you will be informed of the allegations against them and given the opportunity to state your case.
If your position is conditional upon achieving, holding and/or retaining certain qualifications, the loss of such qualifications shall constitute gross misconduct and be the reason for dismissal. This shall be at our sole discretion and will be determined in relation to the circumstances of the case. In the circumstance where you remain working for us, we may specify the terms of work as is considered reasonable in light of the loss of an essential qualification.
5. Suspension
At our discretion and authorisation by a relevant manager, you may be suspended during an investigation into alleged gross misconduct. During the period of suspension, you will continue to receive full basic pay.
6. Appeals
Where you believe that a decision to take action against them under the procedure has been unfair or unwarranted, you shall be able to appeal against any decision made against them. You will be able to lodge an appeal at any stage during the disciplinary process.
You will have to appeal in writing and it should detail accurately why you believe the decision that has been taken against them is wrong. Any appeals must be made within 10 working days of a written warning or dismissal being issued.
If we receive an appeal in writing, an appeal meeting shall be held within 10 working days of the appeal being issued. You will be provided with the opportunity to state your case at this meeting.
Once the appeal meeting has taken place and you have been heard, we will inform you of our decision in writing within 10 working days after the date of the appeal meeting.
The outcome of an appeal shall either be that the decision will be upheld or reversed. Where a decision is reversed, any written warning issued by us shall be repealed and removed from your personnel file, or it may mean that you receive a lesser penalty. Where you have been dismissed and an appeal is successful you will be reinstated and shall be paid in full from the date of your dismissal until the date of your reinstatement.
Our decision in relation to any appeal is final and you will not be able to appeal internally again.
This procedure is endorsed by us at all levels of management.
Date: ________
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