The objective of this procedure is to give employees the opportunity to improve their conduct or performance. It identifies who has authority to take disciplinary action and aims to ensure that employees are protected against unjustifiable or inconsistent disciplinary action. It also identifies the type of offence which would result in disciplinary action being taken, what that action would be and what further action would result if there is no improvement or a recurrence takes place.
Cases of minor misconduct or unsatisfactory performance may be dealt with informally. The employer may have a quiet word of caution or advice and encouragement with the employee in order to improve an employee’s conduct or performance. This informal approach may be used in dealing with problems quickly and confidentially. There will, however be situations where matters are more serious or where this informal approach has been tried but is not working. In these circumstances, the employer will use the formal procedure.
General Principles for the Formal Disciplinary Procedures
Types of misconduct
The following list categorised the type of rules/offense which the employer has categorised/nature for each level of misconduct.
A. MINOR MISCONDUCT
B. MAJOR MISCONDUCT
C. GROSS MISCONDUCT
Any allegation of bullying in the workplace or any allegation of discrimination, victimisation or harassment linked to anti-discrimination legislation including gender, gender reassignment, sexual orientation, marriage, civil partnership, disability, race, age, religious beliefs or political opinions will be thoroughly investigated and where appropriate will be dealt with under the disciplinary procedure. The disciplinary response will depend upon the nature and seriousness of the incident; and in extreme cases will result in summary dismissal.
Formal Procedure of action for Misconduct
When taking formal disciplinary action, the employer will comply with the Statutory Procedures by ensuring that the following steps are taken at all stages of the formal disciplinary process.
Step 1 Statement of grounds for action and invitation to meeting
The employer will provide to the employee a written statement of the alleged misconduct which has led to the consideration of formal disciplinary action or dismissal. The employer will invite the employee to a hearing to discuss the issue.
Step 2 Meeting
Prior to the hearing the employer will supply the basis of the allegation. After the meeting the employer will inform the employee of the decision and offer the right to appeal.
Step 3 Appeal
If the employee wishes to appeal he or she will inform the employer within 5 working days. The employer will invite the employee to a further hearing to discuss the appeal. The final decision will be communicated to the employee.
Action Process for misconducts.
If the alleged breach falls within the minor misconduct category the employer will follow the formal procedure outlined above and the following action will be taken if the employer is satisfied that an offence has occurred:
Stage 1 You will be given a verbal warning. It will be recorded and retained on file for a period of 6 months.
Stage 2 If the same or similar offence is repeated within 6 months you will be given a first written warning. It will be recorded and retained on file for a period of 12 months.
Stage 3 If the same or similar offence is repeated within 12 months you will be given a final written warning. This will contain a clear notice that a repeat of the offence within 12 months will result in dismissal.
Stage 4 If the same or similar offence is repeated within 12 months you will be dismissed.
If the alleged breach falls within the major misconduct category the employer will follow the formal procedure as outlined earlier. If the employer is satisfied that an offence has occurred you will receive a final written warning which will contain clear notice that a repeat of the offence within 12 months will result in dismissal.
If the alleged breach falls within the gross misconduct category the employer will follow the formal procedure as outlined earlier. If the employer is satisfied that an offence has occurred the employee will be dismissed summarily: i.e. without notice and without wages-in-lieu of notice.
Where an employee feels that action taken at an earlier stage under this procedure is unjustified or unfair, there shall be the right of appeal. All appeals must be made in writing to (insert job title) within 5 working days of being informed of the disciplinary sanction. Appeal hearings will be held within 5 working days of receiving the notification of appeal. The employee has the right to be accompanied at the appeal hearing.
The result of the appeal hearing will be notified to the employee within 5 working days in writing.
In the event of a breach of the employer’s rules disciplinary hearings and appeals will be conducted by the appropriate disciplinary authority as follows: –
|Stage 1 (Recorded Verbal)||(Insert Job title)||(Insert Job title)|
|Stage 2 (First written)||(Insert Job title)||(Insert Job title)|
|Stage 3 (Final written)||(Insert Job title)||(Insert Job title)|
|Stage 4 (Dismissal)||(Insert Job title)||(Insert Job title)|