National Union of Rail M ariti me k Tra nsport Workers

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1 National Union of Rail M ariti me k Tra nsport Workers General Secretary: Bob Crow Our Ref BR6/4/4 Circular IR/207/11 2nd June 2011 TO ALL BRANCHES, REGIONAL COUNCILS AND REGIONAL OFFICES Dear Colleagues, DISCIPLINARY, GRIEVANCE AND PERFORMANCE PROCEDURE - NETWORK RAIL I write to advise branches that having received a presentation from management concerning the proposed training programme, the General Grades Committee has now agreed to sign off the new Network Rail Grievance and Disciplinary Procedures. Additionally we have noted the implementation of a new Performance improvement procedure which is not a negotiable matter. The implementation date for these procedures is Monday 4th July The latest General Grades Committee decision is as follows: - "With reference to our previous decision GWW 27th April 2011 "Disciplinary, Grievance and Performance Procedure - Network Rail, we note correspondence from Graham Cuthbert, Head of Employee Relations, Network Rail in which he advised following a "principle of acceptance by this union" that he wishes to commence with the introduction of the e-learning modules surrounding the revised Disciplinary and Individual Grievance Procedures, the date specified for the implementation is 4th July Noting that our Network Rail Maintenance Coordinators, Education and Training Officer and several members of this General Grades Committee have viewed the presentation surrounding these e- learning modules and that any concerns raised have been satisfactorily resolved. We therefore instruct the General Secretary to advise Network Rail that we accept the implementation date of the 4th July 2011 as the date commence with the new training programme (elearning modules). All Branches and Regional Councils to be advised." Attached you will find copies of the three new procedures which, as outline above, are to be implemented from 4th July would be grateful if you could ensure any Network Rail members in your branch are made aware of these new procedures. Yours Sincerely Bob Crow General Secretary Union Headquarters Unity House 39 Chalton Street London NW1 1JD Tel: Fax: Helpline:

2 Disciplinary Policy & Procedure July 2011 Version 2.0 Owner Approved by Version Date issued Reference Employee Relations, HR Peter Bennett, Director of Human Resources /07/11 NR/HR/POL/013 This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party. Copyright 2007 Network Rail Uncontrolled copy once printed from its electronic source. Published & Issued by: Network Rail 40 Melton Street, London NW1 2EE Network Rail

3 Disciplinary Procedure Version 2.0 Page 2 of 12 Contents 1. Purpose 3 2. Principles 3 3. Work Rules and Standards 4 4. Informal Stage 4 5. Investigation 4 6. Notification Following the Investigation 5 7 Suspension 5 8. Right to be Represented 6 9. Formal Stages Disciplinary Hearing Witnesses Timescales and Postponed Meetings Possible Disciplinary Penalites Duration of Warnings Gross Misconduct Appeal Confidentiality and Record Keeping Links to Other Procedures Trade Union Representatives 12

4 Disciplinary Procedure Version 2.0 Page 3 of Purpose 1.1 The purpose of the Disciplinary Procedure is to emphasise and encourage improvement in the conduct of employees and will not primarily be used as a means of imposing sanctions. 1.2 This procedure covers all employees and is intended to deliver fair and consistent treatment for everyone. 2. Principles 2.1 In the operation of this procedure: Matters will be investigated fully before any disciplinary action is taken Matters will be dealt with as speedily as possible Managers will act in good faith and not prejudge an issue Personal information will be kept confidential Employees will be informed of the complaints against them Employees will have the right to be represented at the formal stages of this procedure Employees will be given a chance to state their case before management reaches a decision No employee will be dismissed for a first breach of discipline except in cases of gross misconduct An employee can appeal against any disciplinary penalty Network Rail's Equal Opportunities Policy will be observed Consideration will be given to the provision of an interpreter of facilitator if there are understanding or language difficulties and provision will be made for reasonable adjustments to accommodate the needs of anyone with a disability

5 Disciplinary Procedure Version 2.0 Page 4 of Work Rules and Standards 3.1 Expected standards of conduct can be found within the Statement and Terms of Employment and, where applicable, in work specific rules and/or regulations that are issued from time to time. Network Rail's policies and procedures may also be found on Network Rail's Intranet. 4. Informal Stage 4.1 Employees who are involved in infringements of a minor nature will be dealt with by informal discussion with their line manager outside of the formal stages of this procedure. This will be the end of the matter unless minor offences are repeated. 5. Investigation 5.1 When misconduct by an employee is suspected, the relevant manager will promptly investigate to establish the facts. Where appropriate, he/she will obtain statements from available witnesses and speak to the employee concerned to get their explanation of events. 5.2 If the employee under investigation requests a fellow employee to accompany them at the investigation this will be granted except where doing so will cause undue delay to the process. 5.3 The manager will keep a confidential written note of the investigation, together with any witness statements taken. 5.4 Having investigated the facts, the manager will decide promptly whether to disregard the matter, or arrange for the matter to be dealt with under a formal stage of the disciplinary procedure.

6 Disciplinary Procedure Version 2.0 Page 5 of Notification Following the Investigation 6.1 If following the investigation a formal disciplinary hearing is considered to be the most appropriate course of action, the employee will be informed clearly, in writing, as early as possible and delivered to them at the end of their working day or posted to their home address. 6.2 The employee will be advised of the alleged offence, their right to be represented, and be provided with a copy of all relevant evidence. The employee will be asked to attend a disciplinary hearing with the appropriate manager which will be arranged promptly, at a convenient time and location for all parties. Normally this should take place between seven and fourteen days of the date of the notification. 6.3 Different managers should carry out the investigation and disciplinary hearing. 6.4 Where a matter is to be disregarded and the disciplinary procedure ended the employee will be informed in writing. 7. Suspension 7.1 In certain circumstances, such as in cases where gross misconduct is suspected, or where it is considered that the employee's presence at work involves a risk to safety, the public, railway infrastructure, Network Rail, railway employees or themselves, consideration will be given to a brief period of suspension from duty, with pay, whilst an investigation is carried out. Where no disciplinary action is taken, the employee will be reimbursed any additional earnings they may have lost as a result of suspension. 7.2 Such suspension will be reviewed periodically, so that it is not unnecessarily protracted but will not, normally last for more than four

7 Disciplinary Procedure Version 2.0 Page 6 of 12 weeks. If the suspension extends beyond four weeks, the employee and their representative will be advised as to the reason for the delay. 8. Right to be Represented 8.1 Employees have the right to be represented at the formal stages of this procedure by a fellow employee, a lay trade union representative, or an official employed by a trade union. 8.2 The representative can address the hearing to put the case for the employee and respond on the employees behalf to views expressed in the hearing. The representative should avoid intervening in such a way that prevents any parties from participating in the hearing and answering questions of fact on behalf of the employee. 8.3 The employee and representative have the right to confer privately during the hearing should they wish to. 8.4 In selecting an appropriate representative, where he/she is an employee of Network Rail, the employee should give consideration to the representative's availability and location so as not to add undue delay to the process. 8.5 It is for the employee concerned to secure the agreement of a fellow employee or trade union representative to represent them. If the employee's representative is a Network Rail employee, the representative's details should be provided to the appropriate manager so that the manager can make arrangements for them to be released from duty with pay to enable them to attend. 8.6 Where the employee gives their written consent and contact details, all relevant documentation will be forwarded to the representative by the hearing manager, otherwise it will be the responsibility of the employee to supply details of the case to their representative.

8 Disciplinary Procedure Version 2.0 Page 7 of Reasonable time will be allowed prior to the hearing for the employee and their representative to prepare their case. The employee and their representative will also be given reasonable time after the hearing to confer. 8.8 Facilities will be provided if the employee and representative need to listen to or view any unedited electronic recordings or transcriptions which are presented as evidence. 9. Formal Stages 9.1 Disciplinary Hearing At each stage of the formal disciplinary procedure Network Rail will inform the employee of the complaints against them and provide them with copies of the supporting evidence (including witness statements) prior to the disciplinary hearing Anonymous witness statements will only be used in exceptional cases where witnesses are reluctant to have their names known because of genuine fear of retaliation. In these circumstances, the investigating manager will be required to obtain corroborative evidence and to consider carefully the weight of such evidence During the disciplinary hearing the employee or their representative will be given the opportunity to set out their case and answer any allegations that have been made Any disciplinary sanction that is to be taken will first be explained to the employee. The employee will also be informed of the consequences of further misconduct for offences of a similar nature and their right to appeal If it is decided that no disciplinary action will be taken, the employee will be told and have this confirmed in writing which will conclude the matter.

9 Disciplinary Procedure Version 2.0 Page 8 of At the conclusion of a disciplinary hearing the decision together with the employee's right of appeal will be confirmed in writing by the hearing manager, within 8 calendar days. If it is not possible to confirm the response within 8 calendar days, the employee and their representative will be advised as to the reasons for the delay. 9.2 Witnesses The employee and their representative can call other people as witnesses during a formal disciplinary hearing. Where Network Rail or employee intends to call relevant witnesses they should give advance notice that they intend to do this. If the witness is a Network Rail employee, the appropriate manager should be informed so that arrangements can be made for them to be released from duty with pay to enable them to attend The employee and their representative will be given an opportunity to raise points about any information provided by witnesses and ask them questions Where the witness is unable to attend in person, consideration should be given to re-arranging the hearing date or, where appropriate, using other means of communication e.g. telephone conference, video link or witness statement. 9.3 Timescales and Postponed Meetings There should be commitment from all parties concerned to make sure that disciplinary issues are dealt with without unreasonable delay If the employee's nominated representative is not available on the date on which the disciplinary hearing is arranged, then a new, mutually convenient date will be arranged, so long as it is within two weeks of the original hearing date.

10 Disciplinary Procedure Version 2.0 Page 9 of If the employee fails, without good reason, to attend a hearing of which he/she has received adequate notice, the manager can decide to continue in their absence and a warning can be imposed. 10 Possible Disciplinary Penalties 10.1 Disciplinary action may consist of any of the following: First written warning This warning will be given when it is found that action at the informal stage has not resolved the problem. Final written warning This action will be taken when it is found that there: (a) is a repeat of similar misconduct during the life of a previous warning for the same type of offence; or (b) the misconduct is so serious as to warrant action at this stage without previous warnings being given Dismissal with notice Action will be taken at this stage where it is found that there: (a) is a repeat of similar misconduct during the life of a previous final written warning for the same type of offence Dismissal without notice This action will be taken, without previous warnings being given, when it is found there has been gross misconduct In certain circumstances the following disciplinary penalties may be considered: Disciplinary suspension from work without pay Disciplinary transfer/demotion Suspension or curtailment of travel facilities (for travel offences only)

11 Disciplinary Procedure Version 2.0 Page 10 of Duration of Warnings 11.1 Disciplinary actions short of dismissal set out above will be regarded as 'spent' after a period of 12 months In exceptional circumstances, the period of time a warning remains on an employee's record, allowing it to be taken into account if any further misconduct of a similar nature occurs, may be extended. A note of the reason for the extension and the date on which the warning will expire will be made and placed on the employee's personal file; a copy will be provided to the employee. Generally the extension should be for no longer than 2 years. 12. Gross Misconduct 12.1 Instances of gross misconduct where found will result in dismissal without notice or pay in lieu of notice Examples of gross misconduct include: Serious infringement of health and safety rules Serous negligence which causes or might cause unacceptable loss, damage or injury Breach of Network Rail's alcohol and drugs policy Theft, fraud and deliberate falsification of records Physical violence Deliberate damage to property Serious insubordination Misuse of Network Rail's property or name, including misuse of the system or the Internet for unauthorised and inappropriate purposes as set out in the Information Security Policy Bringing Network Rail into serious disrepute Bullying, harassment or discrimination Serious breach of confidence (except where a qualifying disclosure is made under the Public Interest Disclosure Act 1998)

12 Disciplinary Procedure Version 2.0 Page 11 of Appeal 13.1 An employee has the right to appeal in writing against any disciplinary decision. To do so, the employee must inform the hearing manager in writing within ten calendar days of the date of the letter notifying the employee of the decision The reason for the appeal must be stated clearly e.g. interpretation of facts of the case, procedural irregularity, severity of punishment or new evidence which has come to light. An appeal can be made either by the employee or, if they so wish, by their representative The appeal will be heard as quickly as possible by an appropriate more senior manager, who has the authority to hear the appeal. The manager hearing the appeal will invite the employee to attend a hearing to discuss the matter and again inform them of their right to be represented (see section 7 above) Following the appeal, the manager will respond in writing with their ruling, normally within 8 calendar days At the appeal stage, the disciplinary penalty can be upheld or reduced but cannot be increased A written record of the hearing will be made and a copy provided to the employee within a reasonable time and before any appeal hearing takes place. 14. Confidentiality and Record Keeping 14.1 A confidential record of all formal disciplinary action taken will be kept on the employee's personal file in accordance with the provisions of the Data Protection Act Informal discussions concerning offences of a minor nature will not be recorded on the employee's personal file. This will also apply where a

13 Disciplinary Procedure Version 2.0 Page 12 of 12 matter is to be disregarded and the disciplinary procedure ended or if it is decided no disciplinary action will be taken following a disciplinary hearing Investigatory suspension with pay is not a punishment and will not be recorded formally on an employee's personal file or taken into account in any future disciplinary investigation Links to Other Procedures 15.1 Where misconduct is revealed during the implementation of any other procedure, that procedure will be discontinued and the matter dealt with under the Disciplinary Procedure Equally, if at the investigatory stage it appears that a case initially treated as misconduct should properly be dealt with under some other procedure, the Disciplinary Procedure will be discontinued and an appropriate alternative procedure initiated. 16. Trade Union Representatives 16.1 Formal disciplinary action will not be initiated against a trade union representative before the case is discussed with HR and a relevant fulltime officer The employee's consent should be obtained before discussing with the Trade Union. In all other respects, the procedure will apply equally to these employees.

14 Individual Grievance Policy & Procedure July 2011 Version 2.0 Owner Approved by Version Date issued Reference. Employee Relations, HR Peter Bennett, Director of Human Resources /07/11 NR/HR/POL/007 This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party. Copyright 2007 Network Rail Uncontrolled copy once printed from its electronic source. Published & Issued by: Network Rail 40 Melton Street, London NW1 2EE Network Rail

15 Individual Grievance Procedure Version 2.0 Page 2 of 9 Contents 1. Purpose 3 2. How to Raise a Grievance 3 3. Right to be Represented 4 4. Formal Stages Step 1 -Grievance Hearing Step 2 -Appeal Timescales and Postponed Meetings 7 5. Investigation 7 6. Links to Discipline Procedure 8 7. Confidentiality and Record Keeping 9 8. Whistleblowing 9 9. Collective Grievance 9

16 Individual Grievance Procedure Version 2.0 Page 3 of 9 1. Purpose 1.1 Every effort should be made for the majority of problems relating to work or the work environment to be resolved informally between employees and their immediate line manager in the course of their normal working relationship. Network Rail wants to encourage the resolution of grievances informally and at the earliest opportunity between the employee and their line manager. 1.2 The purpose of the individual grievance procedure is to provide a framework for dealing promptly and fairly with problems relating to work or the work environment which have not been resolved through the normal working relationship. Network Rail and the trade unions will encourage all managers and employees to make every effort to find resolution before initiating the formal stages of the process. 1.3 The emphasis is on informality and it is expected that most of these problems will be resolved satisfactorily in this way without the need to resort to the formal procedure. 1.4 Where use of the formal procedure is necessary, the manager hearing the grievance will have the authority to hear and resolve the grievance and receive appropriate advice and guidance from HR. 1.5 Following a grievance, where working relationships have been affected, the relevant manager and employee should work actively to re establish good working relationships and monitor the situation for a reasonable length of time. 2. How to Raise a Grievance 2.1 As a first step, the employee should speak to their immediate supervisor/line manager and seek to resolve the matter informally. If their complaint concerns the behaviour and/or actions of their line

17 Individual Grievance Procedure Version 2.0 Page 4 of 9 manager, they should, in the first instance, speak to that person's manager. 2.2 If the employee has any special requirements to assist them in pursuing their grievance they should let their line manager know as early as possible in the process. Consideration will be given to the provision of an interpreter or facilitator if there are understanding or language difficulties and provision will be made for reasonable adjustments to accommodate the needs of anyone with a disability. 3. Right to be Represented 3.1 Employees have the right to be represented at the formal stages of this procedure by a fellow employee, a lay trade union representative, or an official employed by a trade union. 3.2 The representative can address the hearing to put the case for the employee and respond on the employees behalf to views expressed in the hearing. The representative should avoid intervening in such a way that prevents any parties from participating in the hearing and answering questions of fact on behalf of the employee. 3.3 The employee and representative have the right to confer privately during the hearing should they wish to. 3.4 In selecting an appropriate representative, where he/she is an employee of Network Rail, the employee should give consideration to the representative's availability and location. 3.5 It is for the employee concerned to secure the agreement of a fellow employee or trade union representative to represent them. If the employee's representative is a Network Rail employee, the representative's details should be provided to the appropriate manager

18 Individual Grievance Procedure Version 2.0 Page 5 of 9 so that the manager can make arrangements for them to be released from duty with pay to enable attendance at the hearing. 3.6 Reasonable time will be allowed prior to the hearing for the employee and their representative to prepare their case. The employee and their representative will also be given reasonable time after the hearing to confer. 4. Formal Stages 4.1 Step 1 - Grievance Hearing If the matter has not been resolved informally, or if the employee considers the problem too serious for an informal approach, he/she must put their grievance in writing, stating what their complaint is and the reasons for it. This must then be sent to their immediate supervisor/manager (or their senior manager if the grievance concerns the behaviour or actions of the employee's line manager). An acknowledgement confirming the receipt of the formal grievance will be sent to the employee within 3 working days of submission of the grievance The hearing will be held as soon as possible and a date agreed for the hearing within 7 working days of the submission of the grievance. The immediate supervisor/manager (or their manager if the grievance concerns the employee's line manager) will invite the employee to attend a hearing to discuss the matter and inform them of their right to be represented (see section 3 above). In the event that the managers identified above do not have the authority to resolve the grievance they will identify an alternative manager who has such authority At the hearing the employee will have the opportunity to fully outline the nature of their grievance, including any suggestions he/she may wish to make regarding how it could be resolved.

19 Individual Grievance Procedure Version 2.0 Page 6 of The employee and their representative can call other people as witnesses during the grievance hearing and they will be given the opportunity to raise points about any information provided by witnesses and ask them questions Where either management or the employee intends to call relevant witnesses, they should give advance notice that they intend to do this. If the witness is a Network Rail employee, the appropriate manager should be informed so that arrangements can be made for them to be released from duty with pay to enable them to attend Where the witness is unable to attend in person, consideration should be given to re-arranging the hearing date, or, where appropriate, using other means of communication e.g. telephone conference, video link or written witness statement At the conclusion of the hearing, the response and written record from the meeting, together with the right of appeal will be confirmed in writing by the manager, within 8 calendar days. If it is not possible to confirm the response within 8 calendar days, the employee and their representative will be advised as to the reasons for the delay. 4.2 Step 2 - Appeal If the employee feels that their grievance has not been resolved to their satisfaction he/she can appeal against the outcome decision To do so, the employee must write to the hearing manager within 10 calendar days of the date of the letter notifying them of the decision to appeal. The reason for the appeal must be stated clearly. An appeal can be made either by the employee or, if they so wish, by their representative An appropriate independent senior manager will be appointed to hear the appeal. In determining the appropriateness of the senior

20 Individual Grievance Procedure Version 2.0 Page 7 of 9 manager, due consideration will be given to the nature, complexity and gravity of the grievance and that the manager has the authority to hear and resolve the appeal in these circumstances The senior manager appointed will invite the employee to attend the appeal hearing to discuss the matter and again inform them of their right to be represented (see section 3 above) The written record of the appeal hearing will be made and a copy provided to the employee within a reasonable time and before any appeal hearing takes place At the conclusion of the appeal hearing, the response and written record from the meeting will be confirmed in writing by the manager, within 8 calendar days. If it is not possible to confirm the response within 8 calendar days, the employee and their representative will be advised as to the reasons for the delay. This represents the final stage in the Individual Grievance Procedure. 4.3 Timescales and Postponed Meetings There should be commitment from all parties concerned to make sure that the grievance is dealt with without unreasonable delay. If the employee's nominated representative is not available on the date on which the grievance hearing is arranged, then a new, mutually convenient date will be arranged. 5. Investigation 5.1 An investigation will be undertaken should the relevant manager consider that the facts of a grievance are unclear or in dispute or where the seriousness of the grievance warrants it. The purpose of this stage is solely to establish the facts of the situation.

21 Individual Grievance Procedure Version 2,0 Page 8 of If the employee who has raised the grievance is interviewed and requests a fellow employee or trade union representative to accompany them at the investigation, this will be granted except where doing so will cause undue delay to the process. 5.3 The relevant manager will promptly establish the facts and, where appropriate, obtain statements from available witnesses. The manager will keep a confidential written record of the investigation, together with any witness statements taken. 5.4 The employee will be provided with a copy of the notes, including any witness statements prior to the grievance hearing in accordance with paragraph Where allegations are made about the actions of another individual, that individual will be informed of what has been said about them, interviewed and allowed to have their say. Should an employee make statements or raise grievances which, on investigation, are found to be deliberately untrue or vexatious they may face disciplinary action. 6. Links to Discipline Procedure 6.1 Should an investigation find evidence of misconduct where it is related to the grievance, the manager will consider whether or not to place the grievance on hold. 6.2 Management will then instigate the matter under the Disciplinary Procedure, taking into account the results of the investigation. Once this has been done, the relevant manager will ask the employee if they wish to proceed with their grievance and act accordingly. 6.3 The Harassment Policy & Procedure is also in place to deal with harassment, bullying and victimisation issues.

22 Individual Grievance Procedure Version 2.0 Page 9 of 9 7. Confidentiality and Record Keeping 7.1 Confidentiality will be observed at all times by everyone Involved in the individual grievance procedure. Breaches of confidentiality may result in disciplinary action being taken. Records of grievances will be kept by the company in accordance with the provisions of the Data Protection Act Whistle-blowing 8.1 This procedure is separate from any rights an employee may have under the Public Interest Disclosure Act Collective Grievances 9.1 Grievances of a collective nature will not be eligible for discussion through this Individual Grievance Procedure; such cases are to be handled through the collective bargaining procedure. 9.2 If, at any stage, while considering a question under this procedure, it becomes apparent to both parties that the question is one of collective application, it shall no longer be considered under this procedure but shall be referred to the appropriate level of the collective bargaining procedure.

23 Performance Improvement Policy Procedure & 2011 Version 2.0 Owner Approved by Version Date issued Reference Employee Relations, HR Peter Bennett, Director of Human Resources /07/11 NR/HR/POL/020 This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party. Copyright 2007 Network Rail Uncontrolled copy once printed from its electronic source. Published & Issued by: Network Rail 40 Melton Street, London NW1 2EE Network Rail

24 Performance Improvement Procedure Version 2.0 Page 2 of 12 Contents 1. Purpose 3 2. Principles 3 3. Work Rules and Standards 4 4. Informal Stage 4 5. Investigation 5 6. Right to be Represented 5 7. Formal Stages The Procedure in Operation Witnesses Timescales and Postponed Meetings First Performance Hearing Second Performance Hearing Final Performance Hearing Duration of Warnings Appeal Confidentiality and Record Keeping Links to Other Procedures Disability Trade Union Representatives 12

25 Performance Improvement Procedure Version 2.0 Page 3 of Purpose 1.1 The purpose of the Performance Improvement Procedure is to help employees achieve and maintain the performance standards expected of them. 1.2 Its aim is to identify causes of under-performance and put timely and appropriate support measures in place which are then monitored and reviewed. 1.3 This procedure addresses an individual's inability to carry out their job to the required standard (the 'can't'), rather than wilful, inadequate performance or misconduct (the 'won't'), which is dealt with under the Disciplinary Procedure. 1.4 The formal stages of the procedure will be used only when the informal stage has failed to bring about the required improvement, or where management concludes that the seriousness of the matter makes informal discussions inappropriate. 1.5 This procedure covers all employees and is intended to deliver fair and consistent treatment for everyone. 2. Principles 2.1 In the operation of this procedure: Employees will be informed of how their performance is below acceptable standards Matters will be investigated fully before any action is taken and be dealt with as speedily as possible Personal information will be kept confidential Employees have the right to be represented at the formal stages of this procedure Employees will be given a chance to state their case before management reaches a decision

26 Performance Improvement Procedure Version 2.0 Page 4 of 12 No employee will be dismissed for their first Instance of poor performance An employee can appeal against any formal warning imposed or dismissal Network Rail's Equal Opportunities Policy will be observed Consideration will be given to the provision of an interpreter or facilitator if there are understanding or language difficulties and provision will be made for reasonable adjustments to accommodate the needs of anyone with a disability 3. Work Rules and Standards 3.1 Expected standards of performance can be found within documents such as job descriptions, role profiles, the Statement and Terms of Employment and, where applicable, in work specific rules and/or regulations that are issued from time to time. Network Rail's policies and procedures may also be found on Network Rail's Intranet. 4. Informal Stage 4.1 Minor underperformance issues will be dealt with by informal discussion between the line manager and employee. Most cases of poor performance (for example repeated simple errors) can be dealt with quickly and privately in this way. However, formal action will be taken if there is no improvement within given timescales or if improvement fails to be maintained. 4.2 As a first step, the line manager will have a private meeting with the employee concerned. After checking the facts, it may become evident there is no problem. If this is the case, no further action will be taken and the employee will be informed accordingly. 4.3 However, if shortcomings are identified, the line manager will: Make the employee aware of the standards expected of them

27 Performance Improvement Procedure Version 2.0 Page 5 of 12 Seek to identify why the Individual's performance is falling short of these standards and agree ways forward Agree SMART (Specific, Measurable, Aligned, Realistic, Timespecific) objectives Put in place appropriate support to help the employee achieve these standards (for example coaching or additional training) Set timescales over which the employee's performance will subsequently be reviewed Confirm the above in writing to the employee 5. Investigation 5.1 When an employee's performance falls below acceptable levels, the relevant manager will promptly investigate to establish the facts. Where appropriate, he/she will obtain statements from available witnesses and speak to the employee concerned to get their explanation of events. 5.2 If the employee under investigation requests a fellow employee to accompany them at the investigation this will be granted except where doing so will cause undue delay to the process. 5.3 The manager will keep a confidential written note of the investigation, together with any witness statements taken. 5.4 Having investigated the facts, the manager will decide promptly whether to disregard the matter, or take action under the formal procedure. The decision will be confirmed in writing to the employee. 6. Right to be Represented 6.1 Employees have the right to be represented at the formal stages of this procedure by a fellow employee, a lay trade union representative, or an official employed by a trade union.

28 Performance Improvement Procedure Version 2.0 Page 6 of The representative can address the hearing to put the case for the employee and respond on the employees behalf to views expressed in the hearing. The representative should avoid intervening in such a way that prevents any parties from participating in the hearing and answering questions of fact on behalf of the employee. 6.3 The employee and representative have the right to confer privately during the hearing should they wish to. 6.4 In selecting an appropriate representative, where he/she is an employee of Network Rail, the employee should give consideration to their availability and location so as not to add undue delay to the process. 6.5 It is for the employee concerned to secure the agreement of a fellow employee or trade union representative to represent them. If the employee's representative is a Network Rail employee, the representative's details should be provided to the appropriate manager so that the manager can make arrangements for them to be released from duty with pay to enable them to attend. 6.6 Where the employee gives their written consent and contact details, all relevant documentation will be forwarded to the representative, otherwise it will be the responsibility of the employee to supply details of the case to their representative. 6.7 Reasonable time will be allowed prior to the hearing for the employee and their representative to prepare their case. The employee and their representative will also be given reasonable time after the hearing to confer.

29 Performance Improvement Procedure Version 2.0 Page 7 of Formal Stages 7.1 The Performance Improvement Procedure has the following formal stages: First Performance Hearing Second Performance Hearing Final Performance Hearing Appeal 7.2 The Procedure in Operation At all stages of the formal procedure Network Rail will inform the employee where their performance fall below acceptable levels and provide them with copies of all relevant evidence (including any witness statements) prior to the performance improvement hearing Employees will be informed in advance of the date, place and time of the formal performance improvement hearing and of their right to be represented. The performance improvement hearing will be undertaken by an appropriate manager and will be arranged promptly, at a convenient time and location for all parties. Normally this should take place between seven and fourteen days of the date of the notification Anonymous witness statements will only be used in exceptional cases where witnesses are reluctant to have their names known because of genuine fear of retaliation. In these circumstances, the investigating manager will be required to obtain corroborative evidence and to consider carefully the weight of such evidence In the hearing, the manager will seek to identify any reasons why the employee's performance is falling short of the standards required and to identify a way forward At the conclusion of the hearing, if a shortfall in performance is found, the employee will be informed of: The performance improvement required

30 Performance Improvement Procedure Version 2.0 Page 8 of 12 Any SMART objectives agreed The support and/or training they will receive The timescale within which the improvement should occur How this will be assessed The likely consequence of further poor performance; and The right of appeal In the hearing, the employee and their representative will be given the opportunity to state their case, comment on evidence put forward and question witnesses At the conclusion of the Performance Hearing the decision will be confirmed in writing by the hearing manager, within 8 calendar days. If it is not possible to confirm the response within 8 calendar days, the employee and their representative will be advised as to the reasons for the delay If it is decided that no action will be taken, this will also be confirmed in writing which will conclude the matter. 7.3 Witnesses The employee or their representative can call other people as witnesses and should give advance notice they intend to do this. If the witness is a Network Rail employee, the appropriate manager should be informed so that arrangements can be made for them to be released from duty with pay to enable them to attend Where a witness is unable to attend in person, consideration should be given to re-arranging the hearing date or, where appropriate, using other means of communication e.g. telephone conference, video link or witness statement. 7.4 Timescales and Postponed Meetings There should be commitment from all parties concerned to make sure that performance issues are dealt with without unreasonable delay.

31 Performance Improvement Procedure Version 2.0 Page 9 of If the employee's nominated representative is not available on the date on which the performance hearing is arranged, then a new, mutually convenient date will be arranged, so long as it is within two weeks of the original hearing date If the employee fails, without good reason, to attend a performance hearing of which he/she has received adequate notice, the manager can decide to continue in their absence and a warning can be imposed. 7.5 First Performance Hearing Action will be taken at this stage where it is found that underperformance issues have not been resolved at the informal stage A First Performance Improvement letter will be issued, which constitutes a first written warning under the procedure, if poor performance is confirmed The Performance Improvement letter will include: Detail of the required level of performance Confirmation of any SMART objectives The support measures to be put in place to help the individual achieve and sustain the required performance standards How performance will be monitored and over what timescale o For employees with less than 12 months' service, the review timescale will normally be up to one month o For employees with 12 months' service or more, the review timescale will be one month o In certain circumstances or for more complex cases, a longer monitoring period may be considered, up to a maximum of three months That further poor performance may, ultimately, lead to the employee's dismissal

32 Performance Improvement Procedure Version 2.0 Page 10 of Second Performance Hearing Action will be taken at this stage where monitoring indicates that the required level of performance as set out in a current First Performance Improvement letter is not being achieved and maintained Action will normally only be taken at the end of the review period but may be taken sooner where it is clear the employee's performance is showing no sign of improvement or it continues to remain significantly below the expected level If this poor performance is confirmed, a Second Performance Improvement letter, which constitutes a final written warning under the procedure, will be issued. The Second Performance Improvement letter will include: Detail of the required level of performance Confirmation of any SMART objectives agreed The support measures to be put in place to help the individual achieve and sustain the required performance standards How performance will be monitored and over what timescale (as for 7.5.3); and That further poor performance may lead, ultimately, to the employee's dismissal 7.7 Final Performance Hearing Action will be taken at this stage where it is found that there is a further failure to maintain the required level of performance as set out in a current final warning Performance Improvement letter Action will normally only be taken at the end of the review period but may be taken sooner where it is clear the employee's performance is showing no sign of improvement or it continues to remain significantly below the expected level If this poor performance is confirmed, dismissal with notice or pay in lieu of notice may result.

33 Performance Improvement Procedure Version 2.0 Page 11 of Duration of Warnings First and final written warnings will be regarded as 'spent' after a period of 12 months. 7.9 Appeal An employee has the right to appeal in writing against any decision under the formal stages of the procedure. To do so, the employee must inform the hearing manager in writing within ten calendar days of the date of the letter notifying the employee of the hearing decision The reason for the appeal must be stated clearly e.g. interpretation of facts of the case, procedural irregularity, or new evidence which has come to light. An appeal can be made either by the employee or, if they so wish, by their representative The appeal will be heard as quickly as possible by an appropriate more senior manager who has the authority to hear the appeal. The manager hearing the appeal will invite the employee to attend a hearing to discuss the matter and again inform them of their right to be represented (see section 6) Following the appeal, the manager will respond in writing with their decision, within 8 calendar days. If it is not possible to confirm the response within 8 calendar days, the employee and their representative will be advised as to the reasons for the delay At the appeal stage, the original penalty can be upheld or reduced but cannot be increased. 8. Confidentiality and Record Keeping 8.1 A confidential record of all formal action taken will be kept on the employee's personal file in accordance with the provisions of the Data Protection Act 1998.

34 Performance Improvement Procedure Version 2.0 Page 12 of Informal discussions concerning performance issues of a minor nature will not be recorded on the employee's personal file. This will also apply where a matter is to be disregarded and the Performance Improvement Procedure ended or it is decided that no action will be taken following a performance improvement hearing. 9. Links to Other Procedures 9.1 Where performance issues are revealed during the implementation of any other procedure, that procedure will be discontinued and the matter dealt with under the Performance Improvement Procedure. 9.2 If, on investigation, it appears that a case initially treated as poor performance should properly be dealt with under some other procedure, the Performance Improvement Procedure will be discontinued and an appropriate alternative procedure initiated. 10. Disability 10.1 Network Rail recognises that an employee's ability to achieve performance standards can be affected by disability. Where this is a possibility, the manager should contact HR to obtain specialist advice on possible reasonable adjustments that could be made and this will be discussed with the individual in all meetings under this procedure. 11. Trade Union Representatives 11.1 Formal action under the Performance Improvement Procedure will not be initiated against a trade union representative before the case is discussed with HR and a relevant full-time officer of the trade union concerned The employee's consent should be obtained before discussing with the Trade Union. In all other respects, the procedure will apply equally to these employees.

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