Disciplinary Procedures Essay, Research Paper

DRAFT 16th May 2000

DISCIPLINARY PROCEDURE

1.Purposes

The purposes of this procedure are -

●to ensure consistent and fair treatment of disciplinary and performance issues

●to help and encourage employees to achieve and maintain appropriate standards of conduct, attendance and job performance

2.General Principles

1.The purpose of this document is to set out the company’s current procedure for the handling of disciplinary matters. It does not confer any contractual rights.

2.The procedure applies to all employees, but not during the probationary period or within the first six months of employment, whichever is longer.

3.Management may deal with minor instances of misconduct and initial unsatisfactory levels of performance informally, by way of counselling or informal caution. If a problem continues or management judges it to be sufficiently serious, this procedure will apply.

4.The Company will not dismiss any employee for a first offence, unless the offence amounts to gross misconduct (see below), in which case, the employee will be dismissed without notice or pay in lieu.

5.The Company will not take any formal action under this procedure without appropriate prior investigation and without giving the employee an opportunity to put his/her case in respect of the allegations made.

6.Employees have the right to appeal against any formal action taken against them under this procedure.

7.Depending on the seriousness of the misconduct, poor performance, or the employees’ disciplinary record taken as a whole, the first and/or second levels of the procedure may be omitted.

8.This procedure will be amended to include particular provisions in other company policies as applicable.

3.Conduct of Meetings Under the Procedure

1.In any proceedings under the procedure, an employee has the right to be accompanied by a fellow employee of his/her choice or by a recognised Trade Union official who has been reasonably certified in writing as having received training in acting as a workers companion at a disciplinary meeting. The companion will be able to address the meeting, and to confer with the employee during the meeting, but will not be able to answer questions on behalf of the employee.

2.If the companion nominated by the employee is unable to attend at the time proposed for the meeting, the meeting may be postponed for up to five working days, provided the employee nominates a reasonable alternative time when the companion will be available.

3.An employee who is requested to attend a meeting under this procedure will be informed whether the meeting is investigatory or disciplinary. Where the meeting is disciplinary, the nature of the allegation will be explained to the employee (in writing), and the employee will be given time to prepare his/her case, together with any companion (see 1 above).

4.Meetings will be conducted by the appropriate level of management (see below), together with a representative of the Human Resources Department.

5.The employee will have the opportunity to put his/her case, personally, or via his/her companion, and normally, to call and question any witnesses.

6.Any disciplinary meeting may be adjourned to enable further investigation of matters arising to be carried out.

4.Gross Misconduct

The following are examples of conduct falling within the definition of gross misconduct and which entitle the Company to dismiss without notice or payment in lieu -

●Refusal to accept and act on reasonable instructions from an employees’ supervisor or other member of management

●Serious negligence that could, or does, result in unacceptable loss, damage or injury

●Fighting, assault or threatening behaviour

●Theft, fraud, falsification of company records or any dishonesty involving the Company, its’ employees, customers or authorised visitors; or attempts to commit such offences

●Deliberate or reckless damage to the property of the Company, its’ employees, customers or authorised visitors

●Being under the influence at work of alcohol or illegal drugs

●Serious infringement of Company Health and Safety Rules

●Unauthorised disclosure of confidential information

The above list is NOT exhaustive, but illustrates the type of transgression that normally merits dismissal for a first offence. Other types of offence, such as harassment, may be treated as gross misconduct, depending on the seriousness of the particular facts.

If an employee is accused of gross misconduct, he/she may be suspended on full pay, for up to five working days, to enable investigations to take place.

If the Company is satisfied, following the investigation and a disciplinary hearing, that the employee has committed gross misconduct, the Company will normally dismiss the employee without notice or pay in lieu. In exceptional circumstances, the Company may seek the employees’ agreement to demotion, transfer, or suspension without pay, as alternative sanctions.

5.Other Misconduct or Poor Performance

In other cases coming within the ambit of this procedure, there will be no dismissal for a first offence. Instead, the Company may issue a formal warning to an employee which may be a level one, level two, or final warning, as appropriate.

The following are examples of conduct falling within the definition of other misconduct or poor performance:

•Poor time keeping and attendance,

•unsatisfactory workmanship or deviations from normal performance,

•breach of local rules,

•breach of Company Health and Safety rules,

•negligence,

•leaving the place of work early.

This list is NOT exhaustive.

Level One Warning

If conduct or performance does not meet the Company’s standards, the employee may receive a level one warning, normally from their immediate supervisor (or nominated deputy).

Where, following the disciplinary meeting, the manager decides to issue such a warning, he/she will inform the employee of the following -

•the reason for the warning,

•that it is the first stage of the Company’s disciplinary procedure,

•the action or improvement (if any) which he/she requires of the employee,

•if appropriate, the time scale for implementing any such action,

•the consequences for the employee of not implementing required action or further misconduct,

•when the warning will cease to have effect. This will normally be after six months, but a longer period may be stated in exceptional cases.

•the right of appeal

All of these matters will be confirmed to the employee in writing and a copy kept on their personnel file.

Level Two Warning

The Company may issue a level two warning if -

•the required improvement is not achieved within the timescale stated in the first warning; or

•further misconduct or poor performance takes place, whether or not involving repetition of the conduct or poor performance which was the subject of the level one warning; or

•the seriousness of the misconduct or poor performance merits it.

A level two warning may be issued by the employees’ immediate manager (or nominated deputy). As with level one warnings, where, at the conclusion of the disciplinary meeting, the manager decides to issue a level two warning, he/she will inform the employee of -

•the reason for the warning, including any prior warning(s) taken into account,

•that it is the second stage of the Company’s disciplinary procedure,

•the action or improvement (if any), which he/she requires of the employee,

•if appropriate, the timescale for implementing any such action

•the consequences for the employee of not implementing required action or of further misconduct,

•when the warning will cease to have effect. This will normally be after twelve months, but

a longer period may be stated in exceptional cases

•the right of appeal.

All of these matters will be confirmed to the employee in writing and a copy kept on their personnel file.

Final Warning

The Company may issue a final warning, if -

•the required improvement is not achieved within the timescale (if stated) in a level two warning; or

•further misconduct or poor performance takes place, whether or not involving a repetition of conduct or poor performance, which was the subject of a previous warning; or

•the seriousness of the misconduct or poor performance merits it

A final warning may be issued by the employees’ immediate manager (or nominated deputy). As with level one and level two warnings, where, at the conclusion of the disciplinary meeting, the manager decides to issue a final warning, he/she will inform the employee of -

•the reason for the final warning

•the action or improvement (if any), which he/she requires of the employee

•if appropriate, the timescale for implementing any such action

•that the next stage of the procedure will be dismissal

•when the warning will cease to have effect. This will normally be after twelve months, but a longer period may be stated in exceptional cases

•the right of appeal

All of these matters will be confirmed to the employee in writing and a copy kept on their personnel file.

Dismissal

The Company may dismiss an employee where -

•the required improvement is not achieved within the timescale stated in a final warning; or

•further misconduct takes place following a final warning – whether or not involving a repetition of conduct which was the subject of a previous warning; or

•it is reasonably believed that he/she has committed an act of gross misconduct

Unless dismissal is for gross misconduct, the employee will be dismissed with notice.

Only an Engineering Function Director may dismiss an employee. Where, at the conclusion of the disciplinary meeting, the Function Director determines to dismiss the employee, he/she will briefly state the reason, the date on which the dismissal takes effect, and inform the employee of his/her right of appeal. These matters will be confirmed in writing to the employee and a copy kept on their personnel file.

In exceptional circumstances, the Company may seek the employees’ agreement to demotion, transfer, or suspension without pay, or other penalty as an alternative to dismissal. Where it is deemed appropriate, a final warning may also be issued or continued in force.

Appeals

Any employee who is dissatisfied with a disciplinary decision taken in respect of him/her, may appeal against that decision.

Appeals should be in writing, setting out the reasons for the appeal, and should be delivered to the Human Resources Department within three working days of the disciplinary decision.

Appeals, except in the case of appeals against a decision to dismiss, will normally be heard within five working days, by a Function Director or his nominated deputy. Appeals against dismissal will normally be heard by the Engineering Director or his nominated deputy within 2 working days.

The decision on the appeal will be communicated to the employee orally, and in writing, within five working days of the appeal.