Disciplinary, capability and grievance policy

Disciplinary Procedure

Introduction

This process is designed to support and help where your conduct falls below accepted standards, with the aim of enabling you to achieve and maintain the necessary improvements.

Feedback on your conduct should be a continuous part of your normal working relationship with your line manager. If this falls below the standards expected it will usually be dealt with informally in the first instance. In more serious cases, or where you do not make and maintain the changes agreed with your line manager at the informal stage, the formal part of this procedure may be started.

Where time limits are referred to in the course of this procedure, they may be varied by agreement with you.

Examples of misconduct include:

Dealing with matters informally

Your manager will meet with you to let you know what aspect of your conduct or attendance is not meeting the required standards and will take the opportunity to establish if there are any reasons behind this and also that you understand exactly what is expected of you.

If it becomes clear during the course of an informal or investigation meeting that formal action may be needed then the interview will be terminated and a formal meeting arranged giving appropriate notice.

The right to be accompanied does not extend to informal interviews or counselling sessions, which are not intended to result in formal warnings or other action.

Dealing with matters formally

The formal procedure will be started:

The aim of formal action is exactly the same as informal action, that is to implement an improvement plan to ensure you understand what is expected of you and that you receive appropriate support and time to make and maintain the agreed improvements.

Investigation

Where an investigation is required to establish relevant facts and to gather evidence this will, wherever possible, be conducted by a different manager to the one chairing the formal meeting. Where this is not possible the manager will keep an open mind and conduct the investigation and formal meeting objectively and fairly.

Any investigation will be completed as quickly as possible in the circumstances and will proactively look for evidence that supports and refutes the allegations against you.

Depending on the circumstances of the case, you may be invited to attend an investigatory interview. If such an interview is held prior to a disciplinary hearing, you will be informed at the outset that the interview is an investigatory interview. There is no right to be accompanied at a formal investigatory interview.

Any witnesses interviewed will be required to maintain confidentiality. Notes of the meetings will be prepared and the witness will be asked to confirm that the notes are an accurate reflection of the meeting.

Suspension

There may be instances where suspension with pay is necessary while investigations are carried out.

Suspension does not imply guilt or that any decision has been made as to whether a formal meeting is required.

Any suspension will last only for as long as is reasonably required to carry out any investigations and arrange a formal meeting if appropriate.

Procedure

Where, upon completion of an investigation, there are reasonable grounds to believe that you have committed an act of misconduct, you will be invited to attend a disciplinary hearing with your manager or equivalent.

In the event of a disciplinary hearing taking place, we will:

Where you are unable to attend a disciplinary hearing and provide a good reason for failing to attend, the hearing will be adjourned to another day. Unless there are special circumstances mitigating against it, if you are unable to attend the rearranged hearing, the rearranged hearing will take place in your absence.

Where your chosen companion is unavailable on the day scheduled for the meeting, it will be rescheduled, provided that you propose an alternative time within five working days of the scheduled date.

Right to be accompanied

You have the right to be accompanied by a work colleague, trade union official, or a trade union representative who has been trained and certified for the role. However, please let your line manager know if having someone else with you would be beneficial for your participation in the meeting and your request will be considered.

That person may confer with you during the meeting, address the meeting (to put or sum up your case and respond to any view expressed) and ask questions but may not answer questions on your behalf.

The Formal Meeting

At any formal meeting you will be given every opportunity to present your case and provide explanations for the conduct in question, including submitting witness statements and/or calling witnesses to address the meeting.

You will be given a full explanation of the case against you and be given a reasonable opportunity to ask questions as well as raise points about any information provided by witnesses. Where we intend to call relevant witnesses, you will be given advance notice. Equally, you must also give advance notice if you intend to call relevant witnesses.

The meeting may be adjourned if it becomes apparent that further investigation is needed and will always be adjourned prior to any decision being taken, to allow time for reflection and the proper consideration of the evidence. If further information is gathered, you will be given a reasonable period of time to consider the new information prior to the reconvening of the disciplinary proceedings.

You will be informed as soon as possible after the conclusion of disciplinary proceedings of any disciplinary action, if any, is to be taken. The decision will be confirmed in writing. You will also be notified of your right of appeal under this procedure.

Stages of the formal process and associated sanctions

There are three main stages to the formal procedure and the nature and seriousness of the conduct in question will determine at what stage the formal procedure is started. In some cases, there will not be a gradual progression through each stage and in cases of gross misconduct there will usually only be one stage to the procedure.

At the end of a formal meeting the chair may decide that a sanction is not appropriate in the circumstances. If a sanction is imposed the potential outcomes are:

STAGE ONE: FIRST WRITTEN WARNING

If misconduct is confirmed or you do not achieve the improvements or changes agreed with your line manager during informal action it is usual to issue a first written warning.

This warning will usually be disregarded after a period of six months if you achieve the agreed improvements and there is no reoccurrence or other formal action in relation to your conduct. We reserve the right to extend the period during which the warning remains live.

STAGE TWO: FINAL WRITTEN WARNING

A further act of misconduct or failure to achieve the agreed improvements or more serious misconduct will normally result in a final written warning. This will usually be disregarded after a period of twelve months if you achieve the agreed improvements and there is no reoccurrence or other formal action. The Company reserve the right to extend the period during which the warning remains live.

STAGE THREE: DISMISSAL

A further act of misconduct or failure to achieve the agreed improvements will normally result in termination of employment.

The sanction

Any formal warning will:

Appeal

You have the right to appeal against any disciplinary sanction if, for example, you perceive that the decision is unfair, inconsistent, or the penalty too severe, or because you believe that the procedure followed was irregular or because new evidence has come to light.

A manager who has not previously been involved in the case will hear the appeal and, wherever possible, will be more senior that the person who chaired the original formal meeting.

The appeal should be made, in writing, within five days of the decision against which you are appealing and should set out the grounds upon which it is made.

Appeal hearings will normally take place within 14 days of receipt of your written notice of appeal.

The person holding the appeal will review the evidence already produced at the formal stage and make such enquiries as may seem appropriate to him or to her. You will be given an opportunity to state your case. Where new evidence comes to light it may be appropriate to adjourn the appeal hearing for further investigation.

You have the right to be accompanied by a work colleague, trade union official, or a trade union representative who has been trained and certified for the role.

The decision at appeal will be final.

Gross Misconduct

Gross misconduct is misconduct of such a serious and fundamental nature that it breaches the contractual relationship between you and the Company.

In cases of gross misconduct there will normally be only one stage to the procedure. Following a reasonable investigation of the relevant facts you will be invited to a formal meeting and if, after hearing what you have to say, it is decided that you have committed an act of gross misconduct that may lead to your summary dismissal. That is, dismissal without notice or pay in lieu of notice.

The following are examples of gross misconduct - the list is not exhaustive:

Capability Policy

This policy is designed to help and encourage all team members to achieve and maintain excellent standards of job performance.

Feedback on your performance, both positive and negative, should be a continuous part of your normal working relationship with your line manager. If your performance falls below the standards expected this will usually be dealt with informally in the first instance. In more serious cases, or where you do not make and maintain the changes agreed with your manager at the informal stage, the formal part of this procedure may be started.

Dealing with matters informally

Your manager will meet with you to let you know what aspect of your performance is not meeting the required standards and will take the opportunity to establish if there are any reasons behind this and also that you understand exactly what is expected of you.

Together you and your line manager will agree what steps need to be taken, when they need to be taken by and how you will measure that they have been achieved, plus any review dates. Your line manager will also work with you to identify what assistance and support you need to achieve the agreed improvements. This performance improvement plan will be confirmed in writing.

Dealing with matters formally

The formal procedure will be started:

The aim of formal action is exactly the same as informal action, that is to implement a performance improvement plan to ensure you understand what is expected of you and that you receive appropriate support and time to make and maintain the agreed improvements.

In the event that a formal capability meeting is appropriate, we will:

Where you are unable to attend a capability meeting and provide a good reason for failing to attend, the meeting will be adjourned to another day. Unless there are special circumstances mitigating against it, if you are unable to attend the rearranged hearing, the rearranged hearing will take place in your absence.

Where your chosen companion is unavailable on the day scheduled for the meeting, it will be rescheduled, provided that you propose an alternative time within five working days of the scheduled date.

Right to be accompanied

You have the right to be accompanied by a work colleague, trade union official, or a trade union representative who has been trained and certified for the role. However, please let your line manager know if having someone else with you would be beneficial for your participation in the meeting and your request will be considered.

The formal meeting

At any formal meeting you will be given every opportunity to present your case and provide explanations for the performance in question.

You will be given a full explanation of the performance issues and be given a reasonable opportunity to ask questions. The meeting will be adjourned prior to any decision being made, to allow time for reflection and the proper consideration of the evidence.

You will be informed as soon as possible after the conclusion of the capability meeting whether any action, if any, is to be taken. The decision will be confirmed in writing. You will also be notified of your right of appeal under this procedure.

Stages of the formal process and associated sanctions

There are three main stages to the formal procedure and the nature and seriousness of the performance in question will determine at what stage the formal procedure is started. In some cases, there will not be a gradual progression through each stage.

At the end of a formal meeting the chair may decide that a sanction is not appropriate in the circumstances. If a sanction is imposed the potential outcomes are:

STAGE ONE: FIRST WRITTEN WARNING

If unacceptable performance is confirmed or you do not achieve the improvements or changes agreed with your line manager during informal action it is usual to issue a first written warning.

This warning will usually be disregarded after a period of six months if you achieve the agreed improvements and there is no reoccurrence or other formal action in relation to your performance. We reserve the right to extend the period during which the warning remains live.

STAGE TWO: FINAL WRITTEN WARNING

Further unacceptable performance or failure to achieve the agreed improvements or where the deficiencies in your performance are more serious, will normally result in a final written warning. This will usually be disregarded after a period of twelve months if you achieve the agreed improvements and there is no reoccurrence or other formal action. The Company reserve the right to extend the period during which the warning remains live.

STAGE THREE: DISMISSAL OR REDEPLOYMENT

Further unacceptable performance or failure to achieve the agreed improvements will normally result in dismissal. We will also look for opportunities to redeploy you to another suitable role, if there is one available, and you are under no obligation to agree to this.

Support Regarding Capability

At each stage of this process, your manager has responsibility for creating a performance improvement plan and for identifying and delivering appropriate support to enable you to make the necessary improvements to your performance. The support you receive will depend very much on the reasons for the unacceptable performance and could include training, coaching or temporary adjustments to your work responsibilities.

Grievance Policy

Introduction

We believe that all employees should be treated fairly and with respect. This procedure is designed to ensure that, if you are unhappy about your working conditions, the treatment that you have received, or about any aspect of your work or working relationships, there is an impartial and consistent process through which such issues can be resolved.

Informal Action

The first stage of resolving any issues is through an informal route by speaking directly to the individual to whom the grievance relates. If you would like some support or assistance to enable you to do this constructively, please seek advice from your line manager or any one of the senior management team with whom you feel comfortable.

Where attempts to resolve the matter informally do not work, or if you would prefer to make a formal application in relation to your grievance, you should move to the next stage of this procedure.

Mediation

It may be appropriate for the matter to be dealt with by way of mediation, depending on the nature of your grievance. This involves the appointment of a third-party mediator, who will discuss the issues raised by your grievance with all of those involved and seek to facilitate a resolution. Mediation will be used only where all parties involved in the grievance agree.

The Right to be Accompanied

You have the right to be accompanied by a work colleague, trade union official, or a trade union representative who has been trained and certified for the role at any formal grievance meeting or subsequent appeal. However, please let your line manager know if having someone else with you would be beneficial for your participation in the meeting and your request will be considered.

That person may confer with you during the meeting, address the meeting (to put or sum up your case and respond to any view expressed) and ask questions but may not answer questions on your behalf.

Your choice of companion must be reasonable. You may be asked to choose an alternative person if your request is not reasonable, for example, because the person you choose has a conflict of interest.

Where the chosen companion is unavailable on the day scheduled for the meeting or appeal, the meeting will be rescheduled, provided that you can propose an alternative time within five working days of the scheduled date.

Formal Grievance Procedure

Making the complaint

If you have a grievance relating to your employment which has not been resolved to your satisfaction at an informal level, or in relation to which you prefer to make a formal application, then you should provide written details of your grievance including the basis for your grievance and an indication of your desired outcome.

Once you have raised a grievance, the person dealing with it will:

The Grievance Hearing

The hearing is an opportunity for you to explain more fully the reasons for your grievance and to explore any potential solutions. Where appropriate, the meeting may be adjourned to allow further investigations to take place.

Following the meeting, you will be informed in writing of the outcome, usually within ten working days, and advised of any action that the Company proposes to take as a result of your complaint.

If you are dissatisfied with the outcome, you may make a formal appeal.

Appeal

You may wish to appeal against a decision on your grievance if, for example, you perceive that the decision is unfair, that any solution proposed is inadequate, because you believe that the procedure followed was irregular or because new evidence has come to light.

The appeal should be made in writing within 5 working days of the grievance decision against which you are appealing. Your request for an appeal should set out the grounds upon which it is made.

A manager who has not previously been involved in the case will hear the appeal and, wherever possible, will be more senior than the person who heard the original grievance. They will consider your grounds for appeaL. The appeal is not a rehearing of the original grievance, but a consideration of the specific areas with which you are dissatisfied in relation to the original grievance.

Following the appeal meeting, you will be informed of the outcome, usually within ten working days. The outcome of the appeal meeting will be final.

Confidentiality

We will aim to keep the facts and circumstances of your grievance confidential. However, that may not always be fully possible where, for example, a large number of your colleagues have to be interviewed in the process of investigating your grievance.