DISCIPLINARY POLICY
1. PURPOSE
The purpose of the Disciplinary policy and associated procedures are to ensure that fairness and consistency applies in all aspects of a disciplinary process.
This policy sets out the obligations of Tingdene Group and its team members in managing fair disciplinary processes for all team members of the business in a timely, sensitive and confidential manner.
This policy explains the expectations from management and team members when handling any form of disciplinary matter.
2. SCOPE
This policy is applicable to all team members employed by Tingdene Group, who have successfully completed their probationary period.
These procedures are not to be used when dealing with lack of capability whereby no form of misconduct is involved. In such circumstances, the Capability policy must be used.
The Disciplinary policy links with other related policies such as, Absence Management, Health and Safety, Anti-harrassment and Bullying and Driving on company Business Policy. Please note that this is not an exhaustive list and is for guidance purposes only.
3. PRINCIPALS
No Disciplinary action will be taken against a team member until the case has been fully investigated by an appropriate party.
The team member will be advised in writing of the nature of the complaint against them prior to a disciplinary hearing being held and will be given the opportunity to state their case before any decision is made. They will also receive a copy of any evidence which may be used as part of the disciplinary hearing, as well as a copy of the Disciplinary policy.
The team member will be made aware that they have the right to be accompanied by a trade union representative or a suitable workplace representative or work colleague. They have the right to be accompanied at both disciplinary and appeal hearings.
All team members will have the right to appeal against any disciplinary action imposed on them. They will have 5 working days to do so upon receipt of the disciplinary outcome letter.
All stages of the process should be conducted by a member of the team who is employed in a more senior role to the team member in which the allegations have been made against. The team member who has either investigated, or chaired the disciplinary hearing should thereafter not be involved in any further hearings of appeal hearings for the same case. In the unlikely event that there is no available/suitable senior member of staff available, consideration may be given to the use of external and/or third party support.
4. INVESTIGATION
The investigation process is solely for the purpose of fact-finding and no decision on disciplinary action will be taken until after a disciplinary hearing has been held.
When an allegation of misconduct arises, an investigation manager should be appointed to conduct a fact-finding investigation.
The manager carrying out the investigation should be impartial and should not have been involved in any way to the misconduct which has allegedly taken place. The full process for conducting a fair and impartial investigation can be found in the appendix section of this policy.
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Once the investigation has been concluded, the investigating manager should make a recommendation regarding what action should be taken. The decision will fall into one of the following categories:
• To take no further action
• To deal with the matter informally outside the formal disciplinary procedure, with recommendations being made where appropriate (i.e.- further training)
• To deal with the matter in a formal capacity where the disciplinary procedure will be followed.
Where the investigations manager decides that formal action is appropriate, the full investigation report and evidence is to be provided to the team member in question, prior to any disciplinary hearing taking place.
The decision of the investigating manager is final. There is no right of appeal against this decision.
5. SUSPENSION
In appropriate circumstances a paid suspension may be considered. These circumstances include:
• Whereby the team member poses a threat to either themselves, another team member, company property or customer
• If it is perceived a team members presence in the workplace would impede a thorough impartial investigation
• A perceived risk of repetition of alleged misconduct
Suspension is a neutral act, and prior to any potential suspension, HR advice must be sought.
The period of suspension should be kept as brief as possible and pay must not be withheld. During the suspension, the team member should be kept updated as to the progress of the investigation and should be provided with a point of contact within the workplace for any questions they may have.
If required, the team member may be requested to attend the workplace to conduct further investigation meetings/interviews. The team member must make themselves available during normal contracted hours to do so.
6. CRIMINAL CHARGES/INVESTIGATIONS
Where your conduct is the subject of a criminal investigation, charge or conviction, Tingdene Group will investigate the facts before deciding whether to take formal disciplinary action.
Tingdene Group will not usually wait for the outcome of any prosecution before deciding what action, if any, to take. Where you are unable to or have been advised not to attend a disciplinary hearing, or say anything about a pending criminal matter, Tingdene Group may have to take a decision based on the available evidence. A criminal investigation, charge or conviction relating to conduct outside of work may be treated as a disciplinary matter if we consider that it is relevant to your employment.
7. DISCIPLINARY HEARING
After the investigation has been concluded, if the recommended action is that there is a case to answer, and that therefore the matter should be heard at a disciplinary hearing, the team member will be informed in writing with no less than 48 hours’ notice of the hearing. They will be provided with the following information:
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• Location of the meeting
• Date and time of the meeting
• Details of the hearing chair
• Details of their right to be accompanied by a suitable companion or trade union representative
• Full details of the alleged misconduct and it’s possible consequences/sanctions
• Copies of any evidence which may include witness statements, CCTV images, investigation interviews, investigation reports etc.
The disciplinary hearing should be conducted as soon as is reasonably practicable.
An investigation running order is included as an appendix of this policy.
If new information is brought to light during the disciplinary hearing which may affect the outcome of a hearing, the meeting should be adjourned so that this can be fully considered. If necessary, a further investigation should take place to consider the new evidence/information.
During the final adjournment, all information and facts of the case should be considered carefully on how to deal with the matter, and what the most suitable sanction (if applicable) would be. In employment law, the standard of proof to be used in deciding whether the team member committed the act of misconduct is “on the balance of probabilities”, meaning that based on the evidence available, the occurrence of the event was more likely than not. The hearing chair should seek HR advice where appropriate.
If a sanction is issued, the team member should be advised of the Right to Appeal the decision of the hearing and should be given 5 working days’ to appeal the decision by stating their grounds for appeal in writing.
8. LEVELS OF DISCIPLINARY ACTION IF ALLEGATIONS ARE UPHELD
FORMAL VERBAL WARNING
The team member will be advised that this is the first stage of a disciplinary procedure and/or that the allegation outcome did not warrant a stronger penalty. They should be advised that if further misconduct occurs of equal or increased level of severity further disciplinary action will be taken.
This type of warning will stay on the team members record for a period of 6 calendar months and will be disregarded for disciplinary purposes after this period of satisfactory conduct.
FIRST WRITTEN WARNING
The team member will be advised that this is the second stage of a disciplinary procedure, or where the misconduct warranted a more severe sanction than a verbal warning. The team member should be advised that if further misconduct occurs of equal or increased level of severity, further disciplinary action will be taken.
The Written Warning will stay on the team members record for a period of 12 calendar months, and will be disregarded for disciplinary purposes after this period of satisfactory conduct.
FINAL WRITEN WARNING
If there is repeated misconduct, or the misconduct is deemed sufficiently serious enough to warrant a First and Final Written Warning, but is not sufficiently serious to justify dismissal, a Final/First and Final Written Warning will be issued.
The Final Written Warning will stay on the team members records for a period of 12 calendar months and will be disregarded for disciplinary purposes of satisfactory conduct.
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9. THE RIGHT OF APPEAL
The team member must be advised in writing of the hearing outcome and decision, and the right of appeal. The team member should be given 5 working days to appeal the decision in writing. Appeals received outside of the 5-day period may still be heard if the team member can demonstrate good reason for the delay, and the delay is not unreasonable in the circumstances. The team member should specify in the appeal whether the grounds relate to the facts of the matter, the level of sanction imposed or the way the procedure was followed.
An Appeal should be held by a member of the team who is a more senior level to the team member who has lodged the appeal, together with a member of the HR department. The appeal chair must not have previously been involved with either the investigation or the initial disciplinary hearing, to ensure impartiality and a fair process.
The team member will be invited to attend the appeal hearing and will be given a minimum of 48 hours’ notice.
The team member has the right to be accompanied by a work colleague or trade union representative under those circumstances described above.
The outcome of the Appeal hearing will be given in writing within 5 working days of the meeting taking place.
10. TYPES OF MISCONDUCT AND POSSIBLE SANCTIONS
The examples listed below are not an exhaustive list and are designed to provide an indication of the action which may be taken if efforts to manage the situation through the informal route will be or has been ineffective.
Type of Conduct
- Continued lateness
- Unauthorised absence
- Failure to notify sickness absences using the correct reporting procedure
- Carelessness at work or failure to meet required standards of work
- Absence from place of work without notification or permission
- Minor insubordination
- Failure to improve continued unsatisfactory conduct when a team member is already in receipt of a warning
- Minor breach of company Code of Conduct
- Continued failure to meet required standards of work
- More serious misconduct which warrants a high level of sanction, i.e. threats of violence
- Action short of dismissal where mitigating circumstances may apply
- Serious breach of Tingdene Group Code of Conduct
- Theft
- Fraud
- Malicious or Willful damage to company, team member, or customer property
- Physical assault at work
- Breach of Health and Safety policy/rules
- Discriminatory or harassing behaviour
- Disclosure of confidential information
Possible sanction
Informal Verbal Warning
First Written or Final Written Warning
Summary dismissal without notice (Gross misconduct)
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Type of Conduct Possible sanction
- Incapacity, or misconduct as a result of being under the influence of alcohol or drugs. Including being in possession or use of, or being under the influence of non-medicinal drugs or alcohol on Company premises or during working hours
- Racial, sexual, or personal harassment
- Gross or serious insubordination
- Any behaviour which may bring Tingdene Group’s name into disrepute, or lead to loss of trust between Employer and team member
- Misleading or deliberate false record keeping
- Inaccurate completion of required Tingdene Group declarations
- Deliberate recording of incorrect working hours, bonus records or expenses claims
- In any way discouraging customers, or potential customers from trading with the company
- Serious breach of ‘Driving on Company Business’ policy
- Industrial sabotage
- Sleeping during contracted working hours
- Bullying
- Unacceptable use of obscene, abusive, or threatening language
- Unauthorised possession of Company property
- Unlawful discrimination, including acts of indecency or harassment. (please refer to the Equal Opportunities Policy for further guidance)
- Refusal to carry out management instruction
- Failure to declare a direct or indirect interest in an outside business with whom Tingdene Group places or intends to place business.
- Any other substantial reason
11. ALTERNATIVES TO DISMISSAL
In some cases Tingdene Group may at its discretion consider alternatives to formal sanctions including and up to dismissal. These must be authorised by the Managing Director and will usually be accompanied by a final written warning. Examples include:
i. Demotion
ii. Transfer to another department or job
iii. A period of suspension without pay
iv. Loss of seniority
v. Reduction in pay
vi. Loss of future pay increment or bonus
vii. Loss of overtime
Summary dismissal without notice (Gross misconduct)
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12. REARRANGING OF HEARINGS
The meeting may be postponed in instances where one of the parties whose attendance for the case to be concluded is unexpectedly unable to attend, or their absence is caused by a genuine unexpected reason. Whereby a hearing chair is unavailable at short notice, another member of the team of equal or increased level of seniority may take their place, providing they have not had any previous involvement in the case.
Should a second meeting be arranged, and the team member fails to attend both the first and rearranged meeting without good cause, Tingdene Group have the right to proceed with the meeting in the absence of the team member and to reach a decision based on the evidence available. Where a meeting is to take place in the absence of the team member, the HR manager must be consulted prior to the meeting commencing. Special circumstances will be considered, e.g. if the team member has a serious illness etc.
Where a team member is unable to attend an investigatory interview or disciplinary hearing due to illness, they must produce a GP “fit note”. Where the sickness continues beyond a reasonable period the employer may request the team member to attend an assessment with an Occupational Health provider, to determine whether the team member is fit to attend the interview or hearing. Before a decision is made regarding whether to proceed with the interview/hearing in the team members absence, the team member must be given the opportunity to present their case in writing in this instance.
13. RESIGNATION OF TEAM MEMBERS PRIOR TO, OR DURING DISCIPLINARY PROCEEDINGS
Team members should be aware that if they choose to resign after being notified that they are subject to disciplinary proceedings, those proceedings may continue in any event up to and including the end of their employment, and they will normally be required to co-operate with the conduct of these proceedings and to attend any meetings.
14. RESPONSIBILITIES OF THE INVESTIGATING MANAGER AND HEARING MANAGER/
CHAIR
Conduct all meetings/hearings impartially, whilst ensuring the hearing is conducted in an orderly manner free from anger, aggression and bias.
Listen to all evidence presented in the hearing, and ensure an adjournment is made at a suitable point of the hearing to ensure all evidence provided is fully reviewed and considered prior to a decision being made.
Conduct the hearing/interviews in a fair way that is free from discrimination.
Make a suitable recommendation for sanction (if applicable), in line with company Disciplinary Policy guidelines.
Ensure that for all Disciplinary hearings where the outcome may result in dismissal that a member of the HR team is present at meeting, and that no final decision is made without consultation
15. RESPONSIBILITIES OF THE TEAM MEMBER
Ensure that all evidence provided is accurate and truthful.
16. RESPONSIBILITIES OF HR
Ensure that the treatment of disciplinary matters is consistent throughout Tingdene Group and its subsidiary companies.
The HR department is responsible for promoting this consistency and will be informed of all cases where disciplinary action may be contemplated. They will ensure a HR representative is present at all hearings/appeals that may result in dismissal, and that advice is available regarding investigations, where appropriate.
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APPENDIX A - DISCIPLINARY PROCESS FLOW CHART
Investigator carries out investigation
Investigator report supporting evidence and fair recommendation given to HR
Formal action to be taken
Disciplinary hearing to be conducted
No further action. Write outcome letter to employee
More evidence requested
No further action. Write outcome letter to employee
Process complete
Action taken and sanction issued
Senior manager appointed as appeal chair
Appeal hearing conducted and decision given
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APPENDIX B - CONDUCTING A DISCIPLINARY HEARING
INTRODUCTIONS:
1. Chair introduces everyone present and what their role in the hearing will be
2. Chair to confirm that the team member has been given the right of accompaniment (Confirms name and trade union if applicable)
3. Confirms that audio recordings are not permitted at hearings
ORDER OF THE HEARING:
1. Chair will read aloud the allegations made against the team member
2. Chair will proceed to go through all evidence available
3. At the end of reading through evidence, the chair will state the investigating manager’s summary of each piece of evidence
4. The team member will then be given the opportunity to raise any points they feel they have not been given the opportunity to do so thus far
5. Chair will summarise all evidence and ask all parties if there is any further comments on the points raised
6. Chair will adjourn the hearing to deliberate the evidence and conclude their decision. If new evidence has been provided that may impact the outcome of the hearing, it may be appropriate to adjourn whilst a further investigation takes place
7. The hearing will reconvene, at which point the chair should deliver their decision
8. Chair to confirm the reason for the decision, and advises that this will be confirmed in writing, along with explaining the team members right to appeal
DECISION MAKING:
1. HR representative/note taker should record times of termination/adjournments
2. HR representative/note taker should note main points of the panel discussion and their decision in as much detail as possible
3. Panel/Chair obtains HR advice if required to inform their decision-making process
4. Panel/Chair considers relevant factors in decision on any penalty including; any mitigating factors, team members current disciplinary record and length of service, nature of the offence, evidence produced by all parties, any sanctions imposed in the past for similar offences
5. HR representative/note taker to note time when decision is reached and details of the decision
The Tingdene Group, 34-36 Bradfield Road, Finedon Road Industrial Estate, Wellingborough, Northamptonshire NN8 4HB
Tel: 01933 551627