Disciplinary Rule Procedures Misconduct of Himalayan Smile Treks

Disciplinary Rule and Procedures for misconduct

Objective

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.

Informal Action

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

  1. No disciplinary action shall be taken until there has been a full investigation into any alleged incident.
  2. The employee has the right to receive, prior to disciplinary hearings:
    • A written statement of the alleged misconduct; and
    • Particulars on the basis for the allegation.
  3. The employee has the right to reasonable opportunity, prior to disciplinary hearings, to consider their responses to the information provided on the allegation.
  4. The employee must take all reasonable steps to attend the disciplinary and appeal hearings.
  5. The employer will ensure that the disciplinary rules and procedures are applied fairly and consistently.
  6. The employer will ensure that:-
    • All steps under the procedure are taken without unreasonable delay;
    • The timing and location of all hearings are reasonable;
    • Hearings are conducted in a manner which enables employees to explain their cases;
    • Disciplinary appeal hearings will be conducted, as far as is reasonably practicable by manager who took the disciplinary action being appealed.
  7. Once warnings have expired they will be erased from the employee’s personal record.
  8. The employer will keep written records during the disciplinary process.  These will include the complaint against the employee, notes taken during the hearings and appeals, findings and actions taken, details of the appeal and any other information relevant to the process.
  9. The employer will take all reasonable steps to ensure that confidentiality is maintained throughout the process.
  10. All warnings will clearly state the misconduct concerned and clearly indicate what the eventual outcome will be if there is no improvement on the employee’s part or a recurrence takes place.  Warnings normally relate to the same or similar misconduct and are not generally transferable between different types of misconduct.  However, where a number of warnings are called for in respect of different types of misconduct this will entitle management to review the employee’s overall suitability for continued employment and if necessary to issue a final general warning irrespective of the offence.
  11. Precautionary Suspension:  In certain cases like gross misconduct, where relationships have broken down or there are risks to the employer’s property or responsibilities to other parties, consideration will be given to a brief period of suspension with full pay whilst unhindered investigation is conducted.  The employer will also consider alternative actions which would be more acceptable to the employee yet serve the same purpose as a suspension e.g. agreeing to a temporary transfer to other duties or another work station without loss of pay or the taking of annual holidays to which the employee is entitled.  Any action taken will be reviewed to ensure it is not unnecessarily protracted.  It will be made clear that any action taken is not considered a disciplinary action.

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

  • Absenteeism
  • Lateness
  • Failure to comply with Absence Notification and Certification Procedure
  • Careless work and poor effort at work
  • Minor breach of safety/hygiene/security rules
  • Extended tea and meal breaks
  • Failure to maintain a tidy and safe working environment
  • Misuse of telephone
  • Excessive time away from the job
  • Failure to wear any protective clothing/equipment provided
  • Failure to complete time/stock or work sheets as instructed

B. MAJOR MISCONDUCT

  • Dangerous physical horseplay
  • Neglect causing damage to or loss of employer’s, customer’s or other employee’s property/ equipment/tools
  • Serious neglect of safety/hygiene/security rules
  • Smoking in the workplace
  • Consuming intoxicants during working hours or bringing intoxicants into the premises without permission
  • Entry into any unauthorised areas
  • Wilful or excessive wastage of material
  • Unsatisfactory attitude to customers
  • Use of foul language
  • Gambling on the premises
  • Insubordination
  • Gross misuse of company’s E-mail system.

 

C. GROSS MISCONDUCT

  • Theft
  • Physically violent behaviour
  • Leaving the premises or site without permission
  • Refusal to carry out a reasonable work instruction
  • Deliberately ignoring safety/hygiene/security rules and thereby endangering one’s own or another’s physical well-being or safety
  • Obscene behaviour
  • Intoxication induced by alcohol or drugs
  • Fraud
  • Disclosing confidential business information to a third party
  • Wilful damage to or gross negligence of employer’s, customer’s or other employee’s property/equipment/tools
  • Undertaking work in competition with own employer
  • Falsification of records
  • Unauthorised use of employer vehicle
  • Clocking offences

NOTE:

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.

Minor Misconduct

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.

Major Misconduct

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.

Gross Misconduct

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.

Appeals

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.

Disciplinary Authority

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 Disciplinary Hearing Appeal
  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)