Disciplinary Policy

About this policy

This disciplinary procedure is designed to ensure good standards are achieved and maintained and to regulate conduct and performance.

Before invoking the formal procedure the Society will consider whether it is appropriate to invoke an informal process of counselling and coaching, for example for first instance of underperformance, or very minor issues of misconduct. The formal disciplinary procedure provides for warnings to be given for the failure to meet acceptable standards of work performance and misconduct (whether during working hours or not), including breach of any terms and conditions of employment. In the case of serious misconduct or continued failure to reach acceptable standards, the disciplinary procedure can lead to dismissal.

The procedure applies to all colleagues irrespective of their length of service, and colleagues should familiarise themselves with its provisions. The aim of the policy is to ensure consistent and fair treatment for all. However, this policy does not form part of your contract of employment.

 

Investigations

No disciplinary action will be taken against a colleague until the case has been investigated, either during an investigation process or as part of a disciplinary meeting.

Any meetings and discussions as part of an investigation are solely for the purpose of fact-finding. Where a colleague requests a work colleague or trade union representative to accompany them at an investigation meeting, the Society will seek to accommodate it provided that it does not cause unreasonable delay in the process.

The Society reserves the right to suspend a colleague pending the outcome of an investigation or disciplinary meeting. Such suspension will be on basic pay and benefits and for such time as is needed to carry out the investigation and/or disciplinary. Any suspension shall be confirmed in writing. During any period of suspension the colleague will not be entitled to access the Society’s premises, except at the prior request, or with the prior consent, of the Society and subject to such conditions as the Society may, at its absolute discretion, impose. Suspended colleagues should not contact any of our clients, customers, suppliers, contractors or staff, unless authorised to do so.

 

The Hearing

All colleagues will be given the opportunity to state their case before any final disciplinary decision is made.

An invitation to attend a disciplinary meeting will always be communicated in writing, in advance of the meeting, outlining the alleged misconduct or poor performance which will be discussed during the disciplinary meeting.

A colleague may be accompanied at the hearing by a trade union representative or a colleague. The colleague’s companion will be permitted to address the meeting and confer with the colleague during the meeting, but the companion is not allowed to answer questions on the colleague’s behalf.

If the colleague’s chosen companion is not available at the time proposed for the meeting by the Society, the parties will seek to agree an alternative time which is within five working days of the date originally proposed by the Society. Where that can be accommodated, the Society will rearrange the meeting.

The Society shall permit a colleague to take reasonable time off during working hours for the purpose of accompanying another of the Society’s colleagues at a disciplinary meeting, where a colleague reasonably requests to be accompanied by that colleague at a meeting.

The person conducting the meeting shall be an appropriate Manager who has, so far as possible, not been involved in the investigation. He or she may be accompanied by someone else from the Society to take notes and advise on procedure.

No colleague will be dismissed for a first act of misconduct or poor performance except in the case of gross misconduct.

The outcome of the disciplinary meeting will be confirmed in writing. Where dealing with issues of poor performance a warning may be accompanied by a Performance Improvement Plan, where appropriate.

All colleagues will have the right to appeal against any disciplinary sanction imposed, whether relating to misconduct or poor performance.

The disciplinary procedure may be implemented at any stage if the colleague’s conduct or performance warrants it. The procedure may also be varied according to the circumstances of the case.

 

Disciplinary Action and Dismissal

The usual penalties for misconduct or poor performance are:

• Verbal Warning - A verbal warning may be given in the case of a first breach of discipline involving a minor offence, or failure to achieve satisfactory standards of job performance. A note of the verbal warning will be kept on the colleague’s personnel record for disciplinary purposes for 6 months, subject to satisfactory conduct or performance. In the case of under-performance, the colleague does not heed the verbal warning during the six month period, the procedure will be progressed to the next stage of the disciplinary procedure.

• First Written Warning - A written warning may be given for a more serious first breach of discipline or for further acts of misconduct or failure to achieve satisfactory standards of job performance following a verbal warning. A copy of the written warning will be kept on the colleague’s personnel file for 9 months, subject to satisfactory conduct or performance during the nine month period. In the case of under-performance, if the colleague does not heed the written warning during the nine month period, the procedure will be progressed to the next stage of disciplinary procedure.

• Final Written Warning - A final written warning is the sanction imposed for a serious first breach of discipline which falls short of gross misconduct, further acts of misconduct or failure to improve standards of job performance following a written warning. The final written warning will warn that any recurrence of the same behaviour, serious incident of misconduct or failure to improve may lead to dismissal. A copy of the final written warning will be kept on the colleague’s personnel file for 12 months, subject to satisfactory conduct or performance during the twelve month period.

• Dismissal - Dismissal is the sanction for a very serious breach of discipline, a breach of discipline which constitutes a gross misconduct offence, or may be imposed for further breaches of discipline or failure to improve standards of job performance. The decision to dismiss will be confirmed to the colleague in writing and he or she will be advised of his or her right to appeal. If the colleague is found to be guilty of gross misconduct the colleague will be dismissed without notice or pay in lieu of notice, and without pay in lieu of any outstanding holiday. In exceptional circumstances if there are mitigating circumstances, alternative disciplinary action short of summary dismissal may be taken, including dismissal with notice, extension of a final written warning and/or demotion.

 

Appeals

The process for appealing against a disciplinary sanction is as follows:

• The colleague will have five working days, from the date of the letter notifying him or her of the result of the disciplinary outcome to lodge an appeal, setting out the grounds of the appeal, in writing to the person named in the outcome letter or the HR Manager.

• The Society will arrange for an appeal meeting to be conducted. The appeal will be heard by someone of appropriate seniority and experience who so far as possible, has not previously been involved in the disciplinary procedure.

• There will be an appeal meeting during which the colleague will be given appropriate notice. He or she will have the same right to be accompanied as at a disciplinary meeting.

• The Appeal Officer will decide if the appeal is by way of re-hearing, or a review of specific points only and, if so, which points.

• The outcome of the appeal meeting will be notified to the colleague in writing as soon as is possible, and will be final.

 

Gross Misconduct

Examples of conduct which may amount to gross misconduct under the Society’s procedures:

• Actual or threatened physical or verbal violence towards colleagues or customers.

• Conduct which is discriminatory or amounts to bullying or harassment of other colleagues or workers, or applicants for employment, whether the conduct is related to age, disability, gender reassignment, race, religion or belief, sex, sexual orientation, marriage and civil partnership and pregnancy and maternity or otherwise in breach of the Society’s policies, including Diversity and Inclusion Policy and Respect in the Workplace Policy.

• Obtaining unauthorised access to, making unauthorised use of, or making unauthorised amendments to information stored on the Society’s computers, computer software or computer hardware.

• Misusing the Society’s computer system, for example, by using the Society’s computer system to download, store or forward pornographic or other offensive material, or committing any other serious breach of the Society’s Acceptable Use of IT Policy and Use of Social Networks Policy.

• Theft , fraud or any offence involving dishonesty or falsification of records, either from the Society, it’s colleagues, clients, customers or agents, including the unauthorised possession of any of the Society’s goods, materials or products.

• Refusal to carry out a reasonable management instruction.

• Breach of the duty of confidentiality and failure to observe the confidential nature of information concerning the Society and the Society’s customers (subject to the Public Interest Disclosure Act 1998).

• Acting in competition with the Society’s businesses.

• Attendance at work under the influence of alcohol, non-prescribed drugs or an abuse of prescription drugs.

• Deliberate damage to the Society’s property or property of fellow colleagues.

• Serious infringement of Health and Safety rules.

• Serious negligence which causes or might cause loss, damage or injury.

• Misuse of the Society’s property or name.

• Bringing the Society into serious disrepute.

• Serious breach of contract.

• Deliberate falsification of any documentation involving Society business, such as inaccurate recording of time worked, falsification of travel claims, time sheets or self-certification forms, misrepresentation on an employment application, alteration of Society records or other Society documents.

• Any criminal act or conduct, whether inside or out of work, which may bring the Society into disrepute.

• The failure to provide evidence of continued right to work in the UK.

• Serious breach of a Society policy.

This list is not exhaustive.

Policy name	Disciplinary Policy	Date of last review	April 2019
Policy owner	PSG	Issue number	PSG-SM-004