DISCIPLINARY POLICY

Contents

1 Purpose. 3

2 Scope. 4

3 General misconduct 5

4 Gross misconduct 5

5 Capability. 8

6 Procedure. 8

6.2 Informal procedure – counselling. 9

6.3 Suspension. 10

6.4 Investigation. 11

6.5 Formal procedure – disciplinary hearing. 12

6.6 Approach. 14

6.7 First written warning (or improvement note) 15

6.8 Final written warning. 15

Dismissal 16

6.9 Penalties other than dismissal 16

6.10 Appeals. 16

7 Overlapping disciplinary and grievance cases. 17

8 Sickness absence during disciplinary proceedings. 18

9 Mediation. 19

10 Confidentiality and data protection. 20

11 Related policies and documents. 20

12 Further information. 20

13 Policy owner. 20

1 Purpose

1.1 We aim to ensure that employees achieve and maintain a high standard of performance, attendance, and conduct whilst at work and operate a zero-tolerance stance on any form of bullying, harassment or discrimination. It is expected that employees treat their colleagues, and our clients and others with respect and behave in a way that does not conflict with our activities or business dealings or which may adversely affect or undermine our reputation.

1.2 Whilst we recognise that most of our employees conduct themselves in a responsible manner, it is important that any breaches of our rules, or failure to achieve and maintain satisfactory standards of conduct, attendance, or job performance, are dealt with effectively, fairly and consistently.

1.3 We will treat all matters as confidential between the employee and any individuals directly involved in the process. Witness statements and decisions will be kept confidentially and in accordance with data protection legislation.

1.4 Minor issues concerning performance, attendance or behaviour will normally be dealt with as they arise on a day-to-day basis, without the need to resort to the formal disciplinary procedure. However, where more difficult or serious situations arise, or where the informal route does not result in the required improvement, the formal procedure may be deemed to be appropriate.

1.5 This policy is non-contractual and does not form part of any employee’s terms and conditions of employment. It sets out the procedure that will normally be followed, although we reserve the right, at our discretion, to vary, replace or terminate the procedure at any stage.

2 Scope

2.1 This policy and procedure applies to all employees including managers and supervisors and is designed to ensure that anyone whose falls below the required standards is aware of the procedure that we will follow.

2.2 Whilst this policy is most frequently used for conduct issues, it will also be used where there are concerns regarding performance that are unrelated to conduct, with the aim of supporting the individual to achieve the most positive outcome. Employees with a pattern of persistent absence may also be subject to this policy.

2.3 It will also apply to any incidents of misconduct that occur whilst working on or off our premises, or whilst attending work organised social events, both during and outside of working hours unless otherwise stated.

2.4 However, there are a limited number of exceptions as listed below.

2.4.1 Employees on probationary periods: the formal disciplinary procedure will not apply to a probationary employee who fails to meet the required standards of performance, attendance, or behaviour. However, the employee will normally be informed of any shortfalls in performance, attendance or behaviour and given the opportunity to address the issues and thereafter, if no satisfactory improvement is made, the individual's contract may be terminated.

2.4.2 Employees with less than two years’ service: we also reserve the right not to follow this procedure where the employee has less than two years’ service.

2.4.3 Long-term ill-health, redundancy, and fixed-term contracts: this procedure does not apply to dismissals due to long-term ill-health, redundancy, or the non-renewal of a fixed-term contract on its expiry.

3 General misconduct

3.4.1 It is not practical to list all types of misconduct, therefore the following list serves as a guide, however it is not exhaustive:

· absence from place of work without permission

· bad behaviour

· breach of our policies or procedures

· failure to adhere to our rules including failure to follow our absence notification procedures and failure to provide Statements of Fitness for Work (fit note/medical certificate) when absent through illness or injury

· failure to notify us promptly of any endorsements to the driving licence or any diagnosis of a health condition that may affect the employee’s ability to drive safely (if they drive on business)

· minor breach of our cash handling procedure (including cash discrepancies and breaching till/safe operation rules)

· minor damage to our property, or that belonging to our clients or other employees

· persistent extended breaks

· persistent poor timekeeping and/or attendance

· poor work performance, capability, or effort

· wilful failure to carry out a reasonable request from a manager including refusing to undertake a task for which the employee is accountable (insubordination)

· undertaking unauthorised external employment.

4 Gross misconduct

4.1 It is not practical to list all types of gross misconduct, therefore the following serves as a guide, and is not exhaustive:

General:

· failure, neglect, refusal or otherwise to perform any normal duties or to comply with a reasonable management instruction

· wilful breach of any of our rules, policies or expected standards

· any action in serious breach of legislative requirements which may affect our business

· bringing, or anything that may bring, our business or any individuals connected to the business, into disrepute - this includes taking part in activities which result in adverse publicity to ourselves, or which cause us to lose faith in the employee's integrity

· conviction of a criminal offence that is relevant to the employee’s employment with us and renders them unsuitable for their work

· working in competition with us or contacting any of our past, current or prospective suppliers or customers for any purpose other than for legitimate business interests

· any other misconduct which, in the circumstances, is considered serious enough to warrant summary dismissal.

Conduct:

· dishonesty

· false declarations regarding work completed by computer, manual records or any other means

· falsification of time sheets, attendance/sickness claims, expense claims, shared parental leave declarations or other documents for personal or another’s gain

· serious breach of our cash handling procedures (including cash discrepancies and breaching till/safe operation rules)

· fraudulent behaviour

· the inclusion of incorrect or misleading information on the employee’s job application documents (including cv, letter of application or our application form) or the provision of false references

· frivolous or vexatious claims made under the grievance procedure

· use of foul language or any act that violates commonly accepted standards of behaviour

· threatening, intimidating or abusive behaviour

· physical violence and/fighting

· assault or causing bodily harm to another employee, manager, client/customer, visitor or any other third party, either on our premises or whilst engaged on our business or where the act committed irrevocably damages the required trust and mutual confidence between employer and employee

· misuse of our property or name

· any act, or failure to report an incident or suspicion, of bribery or corruption.

· receiving or procuring for another, a commission, bonus, rebate, kickback, other payment, reward, or benefit in kind arising from any transaction connected with a business relationship between us and any person or organisation (bribery)

· deliberate sabotage and/or damage of our property, business, or business relationships or that of our employees, or our clients

· theft or unauthorised possession of property belonging to us, our employees, contractors, visitors, clients/customers or any other third party

· removal of any of our property from the premises without permission

· gambling of any kind when on work premises, or when using work equipment or during working time, including but not limited to, accessing or downloading online gambling sites

· accessing or downloading online games when using work equipment or during working time contravention of the Obscene Publications Act 1959

· unauthorised disclosure or misuse of confidential information internally and/or externally to the media or any other third party

· possession, selling, attempting to sell or transfer, any intoxicating liquor, drugs (other than those medically prescribed) or any other substances, including solvents or volatile substances

· serious negligence which causes or might cause unacceptable loss, damage or injury

· setting of an alarm, such as a burglar or fire alarm, deliberately and without good cause

· sleeping on duty

· smoking/vaping on our premises or in our vehicles or outside a designated smoking/vaping area

· undertaking private work on our premises and/or during working hours without express permission

· contravention of data protection and/or copyright laws.

· Covert recording of meetings and/or conversations that include employees or representatives of the company, its clients, partners or other associated businesses or individuals which may be viewed as a breach of trust and confidence.

Discrimination/equal opportunity:

· any act of bullying, harassment, sexual harassment, victimisation, or any other form of unlawful discrimination

· any discrimination. This includes any discrimination related to a protected characteristic (age, disability, gender reassignment, marital or civil partnership status, pregnancy or maternity, race, (including colour, nationality, ethnic or national origin) religion or belief, sex, or sexual orientation)

Health and safety:

· serious breach of health and safety rules, irrespective of whether this resulted in an accident

· attending work unfit through alcohol, non-prescribed drugs, or other substance abuse (including “legal highs”)

· carrying or using any explosives or weapons

· failure to notify us of any driving ban or any diagnosis of a health condition that may result in a driving ban (where the employee drives on business)

· driving any vehicle on business whilst intoxicated

· disqualification from driving, if relevant to the employee’s duties

IT misuse:

· accessing and using unauthorised internet sites during working hours (including chat and social networking / social media sites)

· using social media to make inappropriate, derogatory, or offensive comments, or making comments of a sexual nature (which can include sharing, posting or liking inappropriate videos and/or images) about us, our colleagues, or our customers, clients, suppliers, contractors or any other third party associated with us

· accessing or downloading material that could offend others because of its racist, religious, political or violent nature, or material deemed to incite hatred, violence or slander towards a specific individual or group

· creating, accessing, or downloading inappropriate, offensive, sexual, obscene or indecent (i.e. pornographic, or sexually explicit) material on any of our computers and/or systems

· downloading and/or installing unauthorised software

· unauthorised accessing or use of computer data

· failure to comply with our IT policy

· installing unauthorised software that subsequently destroys part or all of our operating systems

· unauthorised use of, or tampering with, our IT equipment or other equipment

· unauthorised use of another employee’s or user’s password or keys to gain access to confidential information.

5 Capability

5.1 Employees with a pattern of regular, or persistent, absence may be subject to action under this policy.

5.2 This policy will also be followed in situations where employees are finding it difficult to meet our minimum performance standards, despite making every effort to do so. An example would be where an adjustment in technology results in the fundamental nature of the role being the same, but the skills required have changed and the employee is finding it difficult to develop the required skills.

5.3 Managers will provide clear guidance on what is expected in each role. Ideally a job description will outline the key responsibilities, if not this should be requested so that one can be agreed.

5.4 Managers will also provide relevant support, such as coaching and training, as well as regular constructive ‘example led’ feedback. This will be discussed in regular reviews where objectives will be reviewed and fresh ones set.

6 Procedure

6.1 Recording Meetings

6.1.1 Meetings will take place either face to face where it is possible to do so or remotely.

6.1.2 Where it is necessary to record a meeting using a recording device the interviewing manager will always ask the employee’s permission to do so before recording the meeting. It is strictly forbidden for either party to record meetings covertly.

6.1.3 If a manager records a meeting using a recording device this will be for the purpose of taking notes of the meeting and a transcript will be produced. The employee will be provided with a copy of the transcript of the meeting for their records.

6.2 Informal procedure – counselling

6.2.1 Counselling will not be regarded as action taken under the formal disciplinary procedure. Its main purpose is to find a solution to the problem that benefits both us and the employee.

6.2.2 Employees who are aware that they are finding their jobs difficult, or who are unwell, and this is impacting on their performance, should raise this with their manager who will try to help in a supportive and constructive way.

6.2.3 If the manager has concerns regarding capability and the employee has not already raised these, the manager will discuss these with the employee as soon as possible to try to establish the reasons. It may be, for example, that some coaching, training, occupational health support or career guidance is all that is required. The manager should always try to address any concerns informally in the first instance by offering the appropriate support.

6.2.4 The employee and manager will then jointly agree an action plan, which clearly lays out what they are going to do to try to resolve the situation and which confirms an appropriate timescale for this. The agreed action plan should be realistic, clear and measurable and may relate to required skill levels, key results expected, job characteristics (e.g. relationship building) or a combination of these. The support or action that the manager will take will also be agreed. This might include arranging training where this is deemed appropriate. If training is agreed, a timescale for when this will be delivered and the method of training should be included within the action plan (e.g. coaching, one to one training, self-development, a formal course). The manager will be responsible for ensuring this is carried out.

6.2.5 Unsatisfactory performance, attendance or conduct may be improved by informal guidance or coaching. This can often be the most effective way to improve this without the need to initiate the formal disciplinary procedure.

6.2.6 Any counselling will be either confirmed in writing, or brief notes will be made and recorded on the employee’s personnel file for reference purposes. The employee may be requested to sign this record to confirm its accuracy and may also be provided with a copy of the notes. If the problem continues, these may be used as a basis for formal disciplinary action.

6.2.7 If the informal approach has been exhausted, but no (or insufficient) improvement has occurred, then the formal stages will be followed.

6.2.8 Employees should note that, if the issue is considered to be very serious, then the informal action stage may be bypassed, and formal disciplinary procedures will be started immediately.

6.3 Suspension

6.3.1 We may, at our absolute discretion, suspend you from work, and as a protective measure in order to carry out investigations, where we have reasonable grounds to believe you may be guilty of a serious misconduct offence(s). For example (and not an exhaustive list):

· where relationships have broken down

· where allegations of sexual harassment or any other form of harassment, bullying or discrimination is raised

· where we have any grounds to consider that our property or responsibilities to other parties are at risk,

· where we consider that your continued presence at our premises would hinder an investigation

· ensure impartiality

· to prevent the risk of the reoccurrence of the behaviour in question

· the employee’s ability to continue working has been adversely affected by the situation being investigated.

6.3.2 During any such suspension employees will be paid at the rate of pay to which they would be entitled to if you were not subject to the suspension.

6.3.3 Alternatives to suspension will always be considered which may include undertaking alternative duties during the relevant period, or temporarily removing access to either systems, equipment, or individuals.

6.3.4 When carrying out a suspension, the company will ensure that it is carefully and sensitively handled to minimise distress and to preserve, as far as possible, the working relationship.

6.3.5 The suspension will be confirmed verbally at the time, with confirmation in writing being sent as soon as is reasonably practical and ideally within two working days.

6.3.6 Suspension will only be imposed after careful consideration, where there is no other alternative, it will last no longer than is reasonably necessary or for a period agreed with the individual, dependent upon the nature of the investigation or availability of witnesses. Suspension will be kept under review.

6.3.7 If a suspension meeting is held, there is no legal right for an employee to be accompanied.

6.3.8 We will consider whether there is a case of gross or serious misconduct to answer and whether suspension remains appropriate. If this is the case, the employee will be informed of the continued suspension and the reasons.

6.3.9 During a period of paid suspension, the employee will be expected to be available for interviews during normal working hours. They will not be permitted to enter our premises, undertake any activity on our behalf nor have any contact with other employees. Exceptions to this can occur only with the permission of their manager.

6.3.10 In the event of sickness absence either due to sickness or an injury; the employee will be provided with the normal pay they would have been entitled to if they had not been suspended. Further details contained in section Absence during disciplinary proceedings.

6.3.11 Every effort will be made to arrange any disciplinary hearing as soon as possible to minimise unnecessary anxiety and disruption.

6.3.12 Suspension on its own does not constitute formal action.

6.4 Investigation

6.4.1 In most cases, an investigation will take place before formal disciplinary action is put into process.

6.4.2 The employee will be invited to an investigation meeting to discuss the matters surrounding the alleged incident. The employee will be informed of the investigator’s name, job title and contact details, any suspension, or restrictions, that the matter is to be kept confidential and that any breach may be a disciplinary matter.

6.4.3 Investigations should be carried out promptly before memory fades, to ensure all statements are as accurate as possible and to prevent any evidence being altered or destroyed.

6.4.4 The manager or person undertaking the investigation should not chair the disciplinary hearing unless, due to the size of the organisation or complexity of the case, there are not enough suitable people to allow a separate investigator and hearing chairperson.

6.4.5 At this stage, information relating to any witnesses to an alleged incident (such as other employees or external individuals) should be checked and statements taken from these witnesses. All witnesses will be informed of the reason for this. Employees are required to fully co-operate with such investigations in a professional manner and to provide all information that may be relevant to the investigation.

6.4.6 Other employees are required not to discuss any information relating to the case with anyone outside of the meeting, either inside or outside our organisation: this will be regarded as a breach of confidentiality.

6.4.7 A witness may add written comments to be attached to their statement. The manager will inform the witness if their statement is to be presented at the disciplinary hearing, if so, they may be requested to attend the hearing.

6.4.8 The investigation may also include examination of written or physical evidence, such as documents, photographs, CCTV footage or equipment.

6.4.9 Within the investigation, employees will have the opportunity to respond to any allegations and provide their version of events. It is important to note that the right to be accompanied by a colleague or union representative does not apply to meetings held at the investigatory stage.

6.4.10 Witnesses and informants may request to remain anonymous in certain instances. In order that a fair procedure is followed, we will, in such circumstances, explore the reasons for this request and decide whether the statements should be anonymous, disregarded or considered as holding less weight than statements from other named witnesses/informants. Where we agree to protect the identity of the witness/informant, statements and documents will be anonymised and relevant sections redacted.

6.4.11 When taking statements from a witness/informant who wishes to retain their anonymity, we will make them aware that this cannot be guaranteed at a later stage in the process and that if the matter results in legal proceedings, they may be subject to a witness order requiring their attendance at an employment tribunal to provide evidence in the proceedings.

6.4.12 The manager responsible for conducting the investigation will review the case including all the evidence collected to determine if a formal disciplinary hearing seems warranted.

6.5 Formal procedure – disciplinary hearing

6.5.1 In most cases, formal disciplinary action will not be taken until the case has been fully investigated.

6.5.2 The employee will be advised in writing of the nature of the issue and provided with any relevant evidence that may exist.

6.5.3 To enable them to prepare, they will be given adequate notice (normally at least 24 hours) of any formal disciplinary hearing and provided, in writing, with full details of the case to answer, including all evidence gathered as part of the investigation process, and a copy of our disciplinary policy (or access to this). This may be extended in serious or more complicated cases to ensure that the employee has every opportunity to consider all the facts and prepare their response.

6.5.4 Employees have the right to be accompanied at all formal disciplinary hearings by a fellow worker of their choice, a trade union representative, or an official employed by a trade union. Any trade union representative must be certified in writing by their union as having experience of, or having received training in, acting as a worker's companion at disciplinary hearings. The employee should tell the person conducting the hearing in advance whom they have requested to act as a companion. If they do not wish to be accompanied, this will be noted. Fellow workers may not be compelled to attend as a companion.

6.5.5 Should the date and time not be convenient for the representative, and/or the employee is unable to attend due to valid reasons that are beyond their control, we will reschedule the hearing to a date within five working days of the original date set.

6.5.6 The employee must take all reasonable steps to attend the disciplinary hearing; failure to attend the hearing without notifying us or providing genuine reasons may be considered an act of misconduct itself. Where an employee is persistently unable or unwilling to attend an agreed or rescheduled disciplinary hearing, without good reason, a decision may be made in their absence based on the evidence available at that time. We may consider in exceptional and reasonable circumstances where an employee is unable to attend the hearing, for them to submit written representations instead.,

6.5.7 Dependent on the level of the case and/or nature of the allegations, the individual’s manager will normally conduct any formal disciplinary hearings. At all formal stages of this procedure, the person chairing the hearing is advised to be accompanied by a further suitable employee who will act as a witness and take full notes of everything that is said. Where no internal person of sufficient seniority or confidential status is available, or where preferred, an external party may be invited to attend in this capacity. The Company may, at any time during the disciplinary process, engage with external consultants to conduct any or all the stages of the disciplinary procedure. This may include acting as chair of the hearing. This may be considered if the case is complex or there is no one internally suitable who is available to carry out the process.

6.5.8 Both parties have the right to request witnesses to give evidence at the disciplinary hearing. However, it is recognised that this may not always be appropriate. If it is deemed that the witness(es) may have relevant information about the alleged offence(s), we will invite them to attend.

6.5.9 At every stage in the formal procedure, the employee will be advised, in writing, of the nature of the allegation(s) and provided with the relevant evidence gathered.

6.5.10 The employee will be given the opportunity to state their case and respond to the allegation(s) at the hearing before any decision is made.

6.5.11 The hearing will normally be adjourned to allow for full consideration of the evidence before a decision is made. It should be noted that further investigation may be required following the hearing, should new information/evidence emerge that was not previously known.

6.5.12 The employee and/or companion may also request an adjournment as required. The companion is there to act as a witness to what is said, to provide moral support and to assist and advise the employee in presenting the case. They may address the hearing (provided the employee wishes this), ask questions on the employee’s behalf and confer with the employee but not answer questions on their behalf, nor may they prevent us from explaining our case.

6.5.13 The employee will be informed of the outcome verbally (either in person or remotely) and then in writing.

6.5.14 At all stages of the formal disciplinary procedure, if meetings have not been recorded, notes will be taken. These will detail the nature of any breach of disciplinary rules or unsatisfactory performance, the employee’s defence or mitigation, the action taken and the reasons for our decision. The notes may not be verbatim but should be an accurate reflection of the hearing. The employee will be requested to sign the notes and/or a copy of the transcript to confirm their accuracy and will be provided with a copy of them. Under no circumstances should any hearing or conversation be recorded without the prior permission of those present.

6.5.15 An employee who is not happy with the accuracy of the notes can request, in writing, amendments to be made and we will consider this request. Where it is agreed to revise the notes, a copy will then be provided to the employee with an additional copy retained on their personnel file. Where the suggested amendments are not agreed, a copy of the employee’s written comments will be filed alongside the original notes.

6.6 Approach

6.6.1 A disciplinary penalty will only be issued once a formal hearing has taken place and all the evidence and the employee’s defence has been heard and considered. Before making any decision on disciplinary action, we will consider the employee’s disciplinary and general record; length of service; any similar precedents; any mitigating circumstances or explanations given; what would be reasonable under the circumstances and whether any training, additional support or adjustments to the role or workload are necessary.

6.6.2 Under normal circumstances, the formal disciplinary procedure will begin with a first written warning (or improvement note) and then will progress through the stages as necessary.

6.6.3 However, if the matter is of a particularly serious nature, then we reserve the right to escalate the procedure, by omitting one or more stages, if it is appropriate to do so in the circumstances. This means that, on occasion, we may proceed directly to a final written warning for a first offence if this is viewed as a serious disciplinary matter which may, for example, fall just short of gross misconduct. In such cases we will consider the seriousness of the conduct or poor performance, any past disciplinary history, length of service, the likelihood of effective corrective action by the employee and the extent to which our concerns have been notified to the employee other than through this procedure.

6.6.4 It is also important to recognise that any offence which constitutes gross misconduct may, following an investigation and disciplinary hearing, result in summary dismissal (dismissal without notice or payment in lieu of notice).

6.7 First written warning (or improvement note)

6.7.1 Following a disciplinary hearing, if we decide to issue a first written warning (or improvement note) this will be confirmed to the employee. This will provide details of the offence(s), the improvement required and the agreed timescales in which the improvement will be expected as well as the right to appeal. The employee will also be advised of the potential consequences of any further misconduct or unsatisfactory improvement.

6.7.2 A copy of this first written warning (or improvement note) will be retained on the employee’s personnel file. Subject to future satisfactory conduct, attendance and/or performance and, where appropriate, no repetition of the offence or a similar offence this warning will be disregarded for disciplinary purposes after six months from the date of issue.

6.8 Final written warning

Where there is a reoccurrence or a further disciplinary offence which is of a similar nature, or where the gravity of the offence warrants this, the employee will be invited to attend a disciplinary hearing, following which the employee may be given a final written warning. This will provide details of the offence(s), the improvement required and the agreed timescales in which the improvement will be expected as well as the right to appeal.

6.8.1 This formal written warning will be retained on the employee’s personnel file. Subject to future satisfactory conduct and performance, and no repetition of the offence or a similar offence, this warning will be disregarded for disciplinary purposes, after 12 months from the date of issue.

6.8.2 The employee will be informed that dismissal may be considered if there is either no satisfactory improvement, a repetition of the offence or if a similar offence occurs during the following 12 months. This period may be extended at our discretion or may be of an indefinite duration – the employee will be informed if this applies.

Dismissal

6.8.3 Dismissal will be considered if an employee is found to have committed an act or acts of gross misconduct or has failed to improve their performance, attendance and/or conduct despite a previous warning.

6.8.4 The employee will be provided with written reasons for dismissal, the date on which employment will terminate and details of the right of appeal.

6.8.5 All records of the process and the outcome will be retained on the employee’s personnel file.

6.9 Penalties other than dismissal

6.9.1 There may be circumstances where we consider alternative disciplinary sanctions to dismissal to be appropriate. These could include:

· a period of disciplinary suspension without pay;

· loss of seniority;

· loss of increment;

· demotion (which may result in a reduction in pay for the employee);

· redeployment to another position or working pattern which may result in a reduction in pay.

6.9.2 Demotion, as an alternative to dismissal, would constitute a permanent change to the employee’s terms and conditions of employment including, but not limited to, job title, pay and other remuneration. This penalty will usually be accompanied by a final written warning. An employee who does not accept this alternative will be dismissed from our employment.

6.10 Appeals

6.10.1 At any stage of the formal disciplinary procedure, including dismissal, employees have the right to appeal the outcome of the hearing.

6.10.2 When making an appeal, the employee will need to clearly state the grounds for the appeal. Typically, this will be based on procedural issues, new evidence, or a belief that the penalty imposed is disproportionate to the offence.

6.10.3 All appeals must be made as soon as is reasonably practicable – we would normally expect this to be within five working days from receipt of the outcome letter.

6.10.4 On receipt of the appeal letter, acknowledgement will be made, and an appeal hearing will be arranged without unreasonable delay.

6.10.5 The appeal will be reviewed by the a senior manager dependent upon who chaired the original hearing. This may result in a full review of the evidence. The person conducting the appeal is advised to be accompanied by a suitable employee who will act as a witness and take full notes of everything that is said.

6.10.6 An independent external person (such as a professional adviser) may be appointed to attend the appeal or review the matter impartially and provide advice.

6.10.7 The employee will have the right to be accompanied by a fellow worker of their choice, a trade union representative, or an official employed by a trade union. As with a disciplinary hearing, the companion will be able to address the hearing, ask questions on the employee’s behalf and confer with the employee but not answer questions on their behalf.

6.10.8 Should the date and time not be convenient for the companion, we will reschedule the hearing to a date within five working days of the original date set.

6.10.9 The employee must take all reasonable steps to attend the appeal hearing. The grounds of the appeal will be considered when deciding the extent of any new investigation: it may be that a complete re-hearing will be held, should there be any suspected procedural defects.

6.10.10 Where possible, the employee will be informed verbally of the decision reached. The findings of the appeal will then be notified in writing as soon as reasonably practicable, unless otherwise notified.

6.10.11 The outcome of the appeal is final.

6.10.12 Decisions previously imposed may be upheld or removed, or alternative sanctions may be imposed, but any sanction or penalty will not be increased.

6.10.13 In cases where a decision to dismiss is upheld, the termination date will be the original date of termination. If a decision is taken to overturn a dismissal, both parties revert to the position as it was on the day of dismissal and continuity of service is preserved.

7 Overlapping disciplinary and grievance cases

7.1 If an employee or worker raises a grievance, a complaint of bullying, harassment or discrimination or a whistleblowing complaint during disciplinary/capability proceedings, and/or they believe that they are subject to or threatened to conduct or capability related disciplinary action which is unlawfully discriminatory then it may be appropriate to:

· temporarily suspend the disciplinary/capability process to deal with the grievance, bullying, harassment or discrimination, or whistleblowing complaint

· deal with both issues concurrently or

· deal with the issues of concern as mitigating factors in the disciplinary/capability hearing.

7.2 The individual will be informed in writing of the way in which we propose to deal with the issues.

8 Sickness absence during disciplinary proceedings

8.1 We aim to ensure that all matters relating to discipline are dealt with fairly and promptly and will, wherever possible, follow the principles set out in the disciplinary procedure. However, circumstances may arise when an employee’s ill health prevents the disciplinary procedure from being followed because they are too ill or have an injury, to participate in the investigation, are unable to adequately prepare for a hearing or cannot attend the hearing itself. Where this is the case, we will act consistently with the following principles:

· The ill health of an employee will not usually be a ground for abandoning any ongoing disciplinary procedures.

· If an employee fails to attend work due to sickness or injury during a disciplinary investigation or any part of the disciplinary process, they may not be entitled to occupational sick pay, if applicable.

· If the employee is signed off due to sickness or an injury during a period of suspension, they will receive their normal pay they would have been entitled had they not been suspended in accordance with the company absence policy.

· Where the absence is likely to be short, we will usually wait until the employee recovers and are able to take a full part in the process.

· When the absence is ongoing and it appears to us that the employee is likely to remain off sick for an extended period, we may require the employee to cooperate with their GP or medical practitioner, in compliance with the Absence procedures. This is to determine whether the employee is sufficiently fit to take part in the disciplinary process. This may include providing a letter from the employee’s GP/medical practitioner explicitly stating that they are unfit to participate in a disciplinary hearing.

8.2 Following consultation with a GP or registered medical practitioner, if it appears to us that the employee is fit to take part in the disciplinary process, the process will continue. Although we may at our discretion also implement reasonable adjustments as requested.

8.3 Where there is a disability in accordance with the Equality Act 2010 or where it appears, an employee may not be well enough to effectively participate in the disciplinary process, we will consider taking any of the reasonable adjustments noted below:

· Venue. We will consider holding the disciplinary hearing at a venue other than our premises, either to reduce the stress caused to the employee by attending the hearing or to accommodate any physical or mental health needs that the employee may have.

· Written representations. In exceptional circumstance, where an employee may have difficulty in explaining their case, consideration will be given to allowing the employee to submit their response in writing.

· Companion. In exceptional circumstances, we may allow for an employee to be accompanied by a companion who does not fall within the categories, defined within this policy in order to provide support. This is limited to a family member or health care professional.

· Documentation. We will take particular care to ensure that the employee receives all documentation relating to the disciplinary process sufficiently in advance to allow the employee to prepare fully, taking into account any effect that their health may have on their ability to analyse the information and prepare a response.

· Timings. While being committed to the principle that matters should be dealt with promptly, we may allow extra time for any stage of the disciplinary process to ensure that the employee can participate effectively. Particular attention will be given to the duration of any disciplinary hearing and its impact on the employee and the need to take appropriate breaks.

Holding the hearing in the employee’s absence

8.4 We believe that, in most cases, it should be possible by using any or all of the measures outlined above to conduct a fair disciplinary process in which the employee can reasonably and fully participate. However, there may be exceptional circumstances when the employee will not be able to attend a disciplinary hearing, whatever measures are taken.

8.5 In such circumstances, we reserve the right to proceed with a disciplinary hearing in the employee’s absence, although full consideration will be given as to whether this is necessary in the circumstances. Where this is the case:

· The employee will have been forewarned in advance that a hearing could take place in their absence and a decision made based on all available evidence.

· The outcome of the hearing will be communicated in writing to the employee, paying particular attention to the need to explain the details of any factual findings made and the basis of the decision reached.

· The employee will be given a full opportunity to appeal against any decision in accordance with the Disciplinary procedure.

9 Mediation

9.1 There may be circumstances where we consider that it may be beneficial to use mediation to help resolve an issue. Mediation is not suitable in all circumstances and will not necessarily be offered, but where appropriate and offered, may be introduced at any stage of the process where both parties agree that this could be an effective approach.

9.2 Where mediation is introduced before or during the disciplinary process, the disciplinary procedure may be adjourned whilst the mediation is being undertaken. Should mediation prove unsuccessful the disciplinary procedure will be resumed.

10 Confidentiality and data protection

10.1 We aim to deal with disciplinary matters sensitively and with respect for the privacy of the individuals involved. All staff must treat as confidential any information communicated to them in connection with an investigation or a disciplinary matter.

10.2 We process personal data collected during the investigation stage and any subsequent stages in accordance with our data protection policy. In particular, data collected as part of the investigation stage and any subsequent stages is held securely and accessed by, and disclosed to, individuals only for the purposes of completing the disciplinary procedure.

10.3 Inappropriate access or disclosure of staff data constitutes a data breach and should be reported in accordance with our data protection policy immediately. It may also constitute a disciplinary offence, which will be dealt with under this disciplinary procedure.

11 Related policies and documents

· Bullying and harassment policy

· Grievance policy

· Whistleblowing policy

The above list is not exhaustive.

12 Further information

Any queries or comments about this policy should be addressed to your line manager in the first instance.

13 Policy owner

This policy is owned and maintained by the Managing Director.