Disciplinary/Dismissal Procedures This policy was adopted by the Board of Directors of Armagh Credit Union Limited. Signed:- Position Position Date:
STATEMENT OF POLICY The aim of Armagh Credit Union's Disciplinary Policy is to help and encourage employees to improve, achieve and maintain standards of conduct, attendance and job performance. It also enables the Board to deal effectively with those employees who do not comply with the proper standards of conduct, attendance and performance in the workplace. Equally, the policy and procedure are designed in a manner which is non-discriminatory and which is fair, consistent and effective. It must also be applied in a timely manner and without undue delay. The Board have a responsibility for ensuring that employees are made aware of the Disciplinary Policy and Procedure. All employees are to be informed of the standards of conduct and work performance expected of them and the Board should ensure that these standards are fully understood by those who work to them. Action taken under this policy must reflect fully the process detailed in the Procedural Appendix attached to this policy. Matters relating to or arising under the Disciplinary Policy and Procedure must be treated as confidential at all times. Failure to do so may itself constitute grounds for initiating disciplinary action. The first is the Disciplinary Procedure the Employer will use for dealing with cases involving misconduct by an Employee. The second is a Dismissal Procedure the Employer will use to deal with other circumstances where the Employer is contemplating the dismissal of an Employee. DISCIPLINARY PROCEDURE FOR MISCONDUCT This Procedure will apply to all employees. The intention is to ensure that employees are aware of the Employer s commitment to maintain an acceptable working environment and good discipline within the work place. The object is to ensure that all employees have the opportunity to maintain an acceptable level of behaviour at work and that all employees will enjoy equality of treatment. General Principles (a) At each Stage of the Disciplinary Procedure which involves the Employee meeting the Employer/Employer s Representative(s), the Employee will have the right to be accompanied by a work colleague. The Employee must inform the Employer, prior to the date of the date of any meeting under this Procedure, of the name and status of the person accompanying the Employee to the meeting.
Such a person accompanying an Employee at a meeting under this Procedure will be permitted to address the meeting and confer with the Employee but may not answer questions on the Employee s behalf. (b) The Employer/Employer s Representative(s) will investigate all allegations of misconduct by the Employee before deciding to initiate the Procedure. In cases of alleged persistent Minor Misconduct, Major or Gross Misconduct the Employer/Employer s Representative(s) reserves the right to suspend an Employee on full pay for a period not exceeding ten working days during which the investigation will be carried out. (c) Examples of Minor, Major and Gross Misconduct are set out below. (d) The Employer/Employer s Representative(s) reserves the right to impose penalties considered appropriate, including: 3. Issuing of warnings (verbal and written); 4. Suspension; 5. Dismissal (with or without notice) (e) Precautionary Suspension in certain circumstances the Employer/Employer s Representative(s) may impose a brief period of suspension on full pay. For example, such a suspension may be imposed in cases of alleged gross misconduct where it is considered that relationships have broken down or there are risks to the Employer s business or responsibilities to another party. Any such suspensions will be reviewed to ensure they are not unnecessarily protracted. It will be made clear that any such suspension taken is not considered as a disciplinary action. (f) Disciplinary Authority Nature of Offence Penalty Disciplinary Authority Minor Misconduct Verbal Warning Line Manager Further Minor Misconduct Written Warning Line Manager Further Minor Misconduct/ Final Written Employer Major Misconduct Warning and/or other Disciplinary action Further Minor/Major Dismissal with pay in lieu of Employer Misconduct notice Gross Misconduct Dismissal without notice Employer APPEAL AUTHORITY The Employer will appoint a person(s) to hear an Appeal.
Persons who have acted as the Disciplinary Authority in a matter under appeal, shall not be involved in the hearing of the Appeal STAGE 1 THE PROCEDURE Where it is alleged an Employee has committed an act which could be interpreted as Minor Misconduct, the Employer will arrange to have the matter investigated. The Employee will be informed in writing of the allegation and will be provided with details of the investigation. The Employee will be given an opportunity to comment upon these matters and to make representations at a disciplinary hearing. If the allegation is found to be unsubstantiated no further action will be taken and the Employee will be informed in writing. If the allegation is substantiated the Employee will be issued with a verbal warning. This warning will be recorded and will be kept on record for a period of three months. The Employee will be informed that should a further act of Minor Misconduct occur within the three month period further disciplinary action will be taken. STAGE 2 Should another allegation which could be interpreted as Minor Misconduct be made within the three month period the Employer will arrange to have the matter investigated. The Employee will be informed in writing of the allegation and will be provided with details of the investigation. The Employee will be given the opportunity to comment on these matters and to make representations at a disciplinary hearing. If the allegation is found to be unsubstantiated no further action will be taken and the Employee will be informed. If the allegation is substantiated the Employee will be issued with a Written Warning which will be recorded and kept on record for six months. The Employee will be informed that should a further act of Minor Misconduct occur within the six month period further disciplinary action will be taken. STAGE 3 Should another allegation of Minor Misconduct be made within the six month period, or should an allegation of Major Misconduct be made for the first time, the Employer will carry out an investigation. The Employee will be informed in writing of the allegation and will be provided with details of the investigation. The Employee will be given an opportunity to comment and to make representations at a disciplinary hearing.
If the allegation is found to be unsubstantiated no further action will be taken and the Employee will be informed. If the allegation is substantiated the Employee will be given a final written warning. The Disciplinary Authority may also impose additional penalties to include: 1. Suspension; and/or 2. Demotion; and/or 3. Reduction in pay rate (but not below the National Minimum Wage level) for a specified period. The final written warning will be recorded and kept on record for twelve months. The Employee will be informed that should any further act of Minor or Major Misconduct occur within the twelve month period (s)he will be dismissed. STAGE 4 A. Should an allegation of; (i) further Minor Misconduct; or (ii) further Major Misconduct be made within the nine month period the Employer will carry out an investigation into the allegation. The Employee will be informed in writing of the allegation and will be provided with details of the investigation. The Employee will be given the opportunity to comment on the allegation and to make representations at a disciplinary hearing. If the allegation is found to be unsubstantiated - no further action will be taken and the Employee will be informed. If the allegation is substantiated the Employee will be dismissed with payment of any wages due, holiday pay and pay in lieu of notice in accordance with his/her entitlements, subject to any deductions the Employer is entitled to make arising from the Employee s terms and conditions of employment. Any such payments made to an Employee will also be subject to deductions in respect of National Insurance Contributions and Income Tax. B. If an allegation of Gross Misconduct is made against an Employee, the allegation will be investigated by the Employer. The Employee will be informed in writing of the allegation and will be given details of the investigation. The Employee will be given the opportunity to comment on the allegation and to make representations. If the allegation is found to be unsubstantiated - no further action will be taken and the Employee will be informed. If the allegation is substantiated the Employee will be dismissed without notice and without payment in lieu of notice. APPEAL The Employee will have the right to appeal against any disciplinary decision. Any such appeal must be in writing and must be received by the Employer within ten working days from the date of issue of the disciplinary action to the Employee. The Employer will make arrangements for a hearing and the
Employee will be informed of the name(s) of the person (s) who will conduct the appeal. The Employee will be invited to attend and will have the right to be accompanied by a work colleague. The decision on the appeal will be issued to the Employee within ten working days following the date of the hearing. DISCIPLINARY RULES The following list gives examples of the types of offences which will warrant disciplinary action. The list is not exhaustive and the Employer reserves the right to add to it from time to time, and also to determine the category Minor, Major or Gross under which other offences, not included on the list, with be dealt. (A) MINOR MISCONDUCT Absenteeism/Lateness Using mobile phone to receive/make calls or texts when on duty Failing to switch off mobile phones when on duty Failure to comply with Absence Notification and Certification Procedure. Careless work or poor effort at work. Failure to complete records as required. Discourtesy towards other employee(s)/customers Extended tea and meal breaks. Failure to maintain a tidy and safe working environment. Failure to complete time/stock or work sheets as instructed. Minor breach of safety/hygiene/security rules. Misuse of telephone Unauthorised absence from work Disregard of hygiene requirements N.B. Persistent minor misconduct will result in more serious action by the Employer (B) MAJOR MISCONDUCT Dangerous physical horseplay Performance of duties below an acceptable level. Use of foul or offensive language Insubordination Gambling on the premises Failure to obey health and safety warnings Continued unauthorised absences, i.e. 3 or more. from work Persistent lateness for work (C) GROSS MISCONDUCT Theft or failure to properly account for missing monies, stock or property of the Employer Physically violent or obscene behaviour Leaving work/workplace without good cause or reason.
Leaving Employer s premises unsecured Repeated harassment/bullying of work colleagues Serious discourtesy towards customers or visitors to Employer s premises Displaying flags, emblems or materials of a political, racist, sexist, or sectarian nature or any other such activity giving offence to work colleague(s), customers or visitors to Employer s premises Persistent failure or refusal to carry out a reasonable work instruction Deliberately ignoring hygiene/safety/security procedures Attending for work or being at work under the influence of alcohol or drugs Consuming alcohol or drugs (other than prescribed medicines) on the Employer s premises or when carrying out work on behalf of the Employer Falsification of Self Certification Form Unauthorised disclosure of confidential business information to a third party Undertaking work in competition with this Employer or such other activities, without this Employer s permission, as may affect the proper discharge of your duties Fraud or falsification of records Unauthorised granting of credit Unauthorised use of company equipment Deliberately damaging company property DISCRIMINATION All allegations of bullying in the workplace or any allegations of discrimination, victimisation or harassment on any grounds will be thoroughly investigated and dealt with under the Disciplinary Procedure. Where it is determined that disciplinary action is appropriate, the action taken will reflect the seriousness of the incident, and in extreme cases will result in summary dismissal. PROCEDURE FOR DEALING WITH MATTERS WHICH MAY LEAD TO DISMISSAL This Procedure applies where the Employer is considering matters which may lead to the dismissal of an Employee for reasons other than misconduct. It will apply, for example, in cases where dismissal is being considered on grounds of capability, redundancy or where other circumstances arise which may give the Employer cause to consider the termination of the Employee s employment. The Procedure 1. The Employer will inform the Employee in writing of the reasons which have given cause for consideration of the termination of the Employee s contract of employment. 2. The Employee will be given reasonable time to consider the information provided by the Employer 3. The Employer will invite the Employee to attend a hearing to discuss these matters and to make representations on them. The Employer will give the Employee reasonable notice of the date and of the arrangements for the hearing. 4. The Employer will appoint the person who will conduct the hearing and any other person(s) who will attend on behalf of the Employer. The maximum number of persons appointed by the Employer to
attend the meeting with is three. The person(s) appointed by the Employer will be authorised to make a decision on the matter. 5. The Employee will be entitled to be accompanied at the meeting by a work colleague. The person accompanying the Employee is entitled to make notes during the meeting, address the meeting, confer with the Employee, but is not entitled to answer questions on the Employee s behalf. The Employee will inform the Employer in advance of the date of the hearing of the name and status of the person accompanying him/her. 6. Following the meeting, the Employee will be informed in writing of the decision. 7. The decision may be to terminate the Employee s contract of employment, to take action short of dismissal or to take no action. If it is decided to terminate the Employee s employment, the Employee will be entitled to notice (or payment in lieu thereof) in accordance with the terms and conditions of his/her employment together with any other contractual and statutory entitlements e.g. accrued holiday pay entitlement and redundancy payment. 8. If the Employee does not agree with the decision either to terminate his/her employment or to take action short of dismissal - (s)he will have the right to appeal. The name(s) of the person(s) to whom the appeal should be sent will be included with the decision. An appeal must be received by the person(s) named within ten working days from the date the Employee received the decision. The appeal must be in writing and must include the full details of the grounds for the appeal. 9. An Appeal Hearing will be arranged within fifteen working days from the date on which the appeal is received. The date and other arrangements for the Appeal Hearing will be notified to the Employee at least five working days in advance of the hearing date. 10. The Employee will be informed of name(s) the person(s) who will conduct the Appeal Hearing on the Employer s behalf. The person(s) conducting the appeal will have had no previous involvement in the matter. 11. The Employee will be entitled to be accompanied at the Appeal Hearing by a work colleague. The person accompanying the Employee at the Appeal Hearing will be entitled to take notes during the hearing, address the meeting, confer with the Employee, but will not be entitled to answer questions on the Employee s behalf. The Employee will notify the Employer in advance of the date of the hearing of the name and status of the person who will be accompanying him/her. 12. The Employee will be informed in writing of the outcome of the Appeal Hearing within ten working days from the date on which the hearing is concluded.
ANNEX A SUSPENSION LETTER (A1) Dear IN STRICTEST CONFIDENCE SUSPENSION FROM DUTY Further to our meeting held on (date) this letter is to confirm that you are suspended from duty with effect from (date). You are suspended as a result of the following alleged incident/allegation made against you to allow a full investigation to take place. (Details of the allegation/incident to be included here...) You are suspended subject to the following conditions: The suspension will be for as short a time as possible. Should your period of suspension extend beyond 4 weeks, we will advise you of this fact and give you an indication of the likely length of your suspension. Suspension does not constitute disciplinary action. Suspension will be on full pay (including contractual allowances). You are obliged to keep us informed of your whereabouts during your suspension so that we can contact you to assist any investigations or to advise you of the next steps. You are obliged to make yourself available to attend any meetings. At the end of your suspension, you will be sent a letter, either advising you to return to work on a specific date or to inform you of the arrangements for a disciplinary meeting. During the period of suspension, you are expressly forbidden from entering any Company premises or contacting people at work. Any queries on this suspension should be made to the Board Secretary.
Yours sincerely EXTENSION OF SUSPENSION LETTER (A2) IN STRICTEST CONFIDENCE Dear NOTICE OF EXTENSION OF SUSPENSION FROM DUTY Further to my letter of (date) and following our discussion on (date), I am writing to inform you that the initial 4 week period of suspension, due to end on (date) will be extended. The extension to your period of suspension is due to the fact that investigations are still being carried out. This extension to your suspension will be for a further 4 week period in the first instance, and is due to end on (date). Should I need to extend your suspension again, I will notify you of that fact prior to (date). This further period of suspension is subject to the conditions outlined in my letter of (date). Yours sincerely -
NOTIFICATION OF DISCIPLINARY MEETING (A3) IN STRICTEST CONFIDENCE Dear - NOTIFICATION OF DISCIPLINARY MEETING Further to (include details of the incident including the date) you are required to attend a disciplinary meeting on (date time venue). The disciplinary meeting will be conducted by accompanied by. Also in attendance as witnesses will be (names of management side presenting officer and any witnesses should be included here...). You are advised of your right to be accompanied by a work colleague if you so wish. I enclose the documents which will be referred to at this meeting. If you have any documentation that you wish to put forward as part of the investigation, please provide this at least 1 working day prior to the meeting. Please also provide details of any witnesses you wish to call to the meeting. I would be grateful if you would contact me to confirm that you will be attending. On arrival please report to (reception/a particular individual). Yours sincerely
NO FURTHER ACTION REQUIRED (A4) IN STRICTEST CONFIDENCE Dear At your disciplinary meeting held on (date), we considered the facts surrounding (give details of the incident...). Having considered all the relevant information relating to this matter, I can confirm the decision made verbally to you on (date) that no action is to be taken. Yours sincerely
VERBAL WARNING (A5) IN STRICTEST CONFIDENCE Dear VERBAL WARNING Further to the disciplinary meeting held on (date), I am writing to confirm the issue of a verbal warning. The warning was issued (date), following (describe the incident...) This warning will remain active for a period of 3 months from the date of the meeting. Should you be found to repeat the type of behaviour leading to this incident during this 3 month period, you are warned that further disciplinary action, including dismissal, could be taken, for recurring problems. Should there be no repeated or similar actions within the next 3 months, the warning will be made void. You have the right of appeal against this verbal warning. If you wish to exercise this right, you should write to the Board Secretary detailing the grounds of your appeal within 10 working days from the receipt of this letter. Yours sincerely
FIRST WRITTEN WARNING (A6) IN STRICTEST CONFIDENCE Dear FIRST WRITTEN WARNING Further to the disciplinary meeting held on (date), I am writing to confirm the issue of a first written warning.the warning was issued (date), following (describe the incident...). This warning will remain active for a period of 6 months from the date of the meeting. Should you be found to repeat the type of behaviour leading to this incident during this 6 month period, you are warned that further disciplinary action, including dismissal, could be taken, for recurring problems. Should there be no repeated or similar actions within the next 6 months, the warning will be made void and removed from the personnel file. You have the right of appeal against this first written warning. If you wish to exercise this right, you should write to the Board Secretary, detailing the grounds of your appeal within 10 working days from the receipt of this letter. Yours sincerely
FINAL WRITTEN WARNING (A7) IN STRICTEST CONFIDENCE Dear FINAL WRITTEN WARNING Further to the disciplinary meeting held on (date), I am writing to confirm the issue of a final written warning. The warning was issued (date) following (describe the incident...). This warning will remain active for a period of 12 months from the date of the meeting. Should you be found to repeat the type of behaviour leading to this incident during this 12 month period, you are warned that further disciplinary action, including dismissal, could be taken, for recurring problems. Should there be no repeated or similar actions within the next 12 months, the warning will be made void and removed from the personnel file. You have the right of appeal against this final written warning. If you wish to exercise this right, you should write to the Board Secretary, detailing the grounds for your appeal within 10 working days from the receipt of this letter. Yours sincerely
DISMISSAL (A8) IN STRICTEST CONFIDENCE Dear DISMISSAL Further to the disciplinary meeting held on (date) at which the panel considered (details...). I am writing to confirm the panel s decision to dismiss you from your post of (post title) with effect from (date of the meeting). You are entitled to (number) week s notice. This will be paid at full pay together with payment for any annual leave to which you are entitled. You will also receive your P45. OR You are entitled to (number) week(s) pay in lieu of notice. This will be paid at full pay together with payment for any unpaid annual leave to which you are entitled up to (date). You will also receive your P45. You have the right of appeal against this dismissal. If you wish to exercise this right, you should write to the Board Secretary detailing the grounds of your appeal within 10 working days from the receipt of this letter. Yours sincerely
SUMMARY DISMISSAL (A9) IN STRICTEST CONFIDENCE Dear Further to the disciplinary meeting held on (date) at which the panel considered (describe...) I am writing to confirm the panel s decision to summarily dismiss you from your post (post title) with effect from the date of the meeting. As this is a summary dismissal, you are not entitled to notice or payment in lieu of notice. However, you will be made a payment for any untaken annual leave due to you and this will be forwarded in due course, together with your P45. You have the right of appeal against this dismissal. If you wish to exercise this right, you should write to the Board Secretary detailing the grounds of your appeal within 10 working days from receipt of this letter. Yours sincerely