Procedure: Disciplinary Purpose of the procedure The Charity s aim is to encourage improvement in individual conduct and performance. This procedure sets out the action which will be taken when AUKRS rules are breached and follows the ACAS model of disciplinary procedures. Disciplinary action is usually invoked following instances of unacceptable conduct, and where earlier informal action has not proved sufficient. Examples of such situations might include misuse of company facilities, unauthorised absence, deliberate failure to follow instructions, poor performance. This list is not exhaustive. This policy covers disciplinary action against staff but a similar process will apply to volunteers. Principles The procedure is designed to establish the facts quickly and to deal consistently with disciplinary issues. No disciplinary action will be taken until the matter has been fully investigated. At every stage you will be informed in writing of what is alleged, have the opportunity to state your case at a disciplinary hearing and be represented or accompanied by a fellow employee of your choice or trade union representative. You have a right to appeal against any disciplinary action taken against you. In general, the reasons for taking disciplinary action fall into three main categories: persistent and wilful refusal to reach the required standards of performance, misconduct and gross misconduct. The method for commicating written documents can be via e mail, post or in person, whichever is deemed most appropriate. Informal discussions Before taking formal disciplinary action, your line manager or the Chief Officer will make every effort to resolve the matter by informal discussions with you. Only where this fails to bring about the desired improvement will the formal disciplinary Page 1 of 6
procedure be implemented following consultation between the Chief Officer and the Chair of Trustees. Informal warnings will be recorded, together with any review dates, and a note kept on file for six months. If the desired improvement is not achieved at the end of the review period, then the issue will be escalated to the next appropriate stage. The Procedure Rights of the Employee Before any formal disciplinary interview takes place, the employee must be made aware of his / her rights; The employee has the right to be clearly advised of the complaint against him / her and be given the opportunity to state his / her side of the case, together with any mitigating factors which may affect the final decision; The employee has the right to be accompanied at disciplinary interviews by a colleague; The employee has the right to access relevant documentation or information which may assist in the presentation of his / her case; The employee has the right to clarify statements from any individual who has been cited as a witness; The employee has the right of appeal against any written warning given and dismissal. Investigation No disciplinary action should be taken until a thorough investigation has been undertaken by the manager which must be done with a minimum of delay. If the investigation indicates there is a need to take matters further, the outcome of the investigation should be made available to the individual and his / her representative: Any employee who is interviewed as a result of an investigation has the right to be accompanied by a by a colleague. Notes of Meetings All disciplinary discussions should be noted and the findings and decisions confirmed in a letter to the individual, copying the agreed relevant parties. The notes should be retained in the employee s personnel file with due regard to any time limitations. Suspension At any stage where disciplinary action is taken, but in particular where serious or gross misconduct is alleged or where it is necessary to defuse a potentially difficult or inflammatory situation, the employee concerned may be suspended immediately for such period as is necessary to investigate the matter. The employee will be suspended on a pay level reflecting the Page 2 of 6
guaranteed pay and thus excluding overtime at the time of the suspension (e.g. base pay, base pay plus allowances, base pay plus shift allowances). All cases of suspension must be confirmed in writing as soon as practically possible (generally within 2 working days) stating reasons and any conditions which apply. Where a suspension extends beyond 10 working days, the employee will receive a written explanation of the reason(s) for the prolonged suspension, and will subsequently be updated on a fortnightly basis. The following formal stages of the disciplinary procedure can be invoked in respect of under performance or conduct. Depending upon the reason to move into the formal stages, AUKRS may go straight to any of the following stages. Stage 1 verbal warning A warning of failure to comply with conduct or performance standards will be given by the line manager. The employee must be given a clear indication of the deficiency(ies) involved and then be given a full opportunity to explain the shortcoming and to state his / her side of the case. Having given due consideration to any mitigating factors which emerge during the discussion, the manager may decide that disciplinary action is not appropriate, in which case the employee will be advised that the procedure will terminate at this stage. Where a verbal warning is given it should be made clear that this is the case and the warning should incorporate a clear outline of the improvement required, the timescale for improvement and the consequences of failure to improve. A letter summarising the meeting, including the date the discussion took place and details of the improvements and conduct / performance standards expected, should be handed in person to the individual, normally within 5 days of the date of the meeting. A copy should be retained by the manager for 6 months and, assuming satisfactory conduct and performance, and then be disregarded. Stage 2 first warning Where an employee has failed to respond to a warning given at Level 1, or where a more serious offence has occurred, AUKRS will arrange a formal interview with the employee, giving a minimum of 3 clear working days written notice. It must be made clear that the interview is to be of a disciplinary nature and the employee must be advised of his / her rights. The interview should be conducted by the employee s line manager or, where appropriate, the Chief Officer. Page 3 of 6
At the disciplinary interview the employee should be advised of the specific areas in which his / her conduct or performance is unsatisfactory and be given the opportunity to state his / her case and to put forward any mitigating factors. The interview may, if necessary, be adjourned to consider in detail what action is appropriate. It may be decided that no disciplinary action is to be taken, in which case this should be confirmed to the employee. If disciplinary action is appropriate, the employee should be advised of the standards required of him / her and the interview should conclude with a warning that willful failure to achieve the required standard of performance or repeated acts of misconduct will result in further disciplinary action. Further disciplinary action may include: An extension of the first written warning (for example, to give additional time for the required performance standards to be achieved in full); A further warning under Level 2 of the procedure; Invoking Level 3 of the procedure. A letter summarising the meeting, including the date the discussion took place, the duration of the warning and details of the improvements and conduct / performance standards expected, should be handed in person to the individual, normally within 5 days of the meeting. Where it is not possible to hand the letter to the individual, it should be sent via post or e mail with receipt confirmed. Where sufficient improvement has taken place by the end of the designated period, the employee should be advised in writing that no further disciplinary action will be taken provided the improvement is maintained. A copy of all correspondence should be retained by the manager for 12 months and then, assuming satisfactory conduct and performance, be disregarded. The final stage of the Disciplinary Procedure should only be invoked where there has been a wilful failure to improve performance or conduct despite previous written warning(s) or in the event of gross misconduct. Stage 3 final warning Where an employee has failed to respond to previous warnings, or a sufficiently serious breach of the rules has occurred, AUKRS will arrange a formal interview with the employee, giving a minimum of 3 clear working days written notice. Again, it must be made clear that the interview is to be of a disciplinary nature and the employee must be advised of his / her rights. In order to ensure objectivity and independence the interview should ideally be conducted by a manager not previously involved. The disciplinary interview should follow the same format as at Level 2. Page 4 of 6
If disciplinary action is appropriate, the options available at this stage of the procedure are: Termination of employment, with notice; Termination of employment without notice. Demotion or transfer to an alternative position in exceptional circumstances, and if practical a member of staff may be offered an alternative position, not necessarily on their existing terms and conditions. Either option may only occur with the prior agreement of the Chief Officer and Chair. The decision under Level 3 should be confirmed to the employee in writing, normally within 5 days of the meeting. Wherever possible the letter should be handed in person to individual where this is not possible it should be sent registered post to the individual s last recorded home address. A copy of all correspondence should be retained by the manager. In cases of employee retention, a copy of all correspondence should be retained by the manager for 18 months and then, assuming satisfactory conduct and performance, be disregarded. Gross misconduct If, after investigation, it is confirmed that an employee has committed an offence such as the following in nature (the list is not exhaustive), the normal consequence will be dismissal without notice or payment in lieu of notice: theft, damage to property, fraud, incapacity for work due to being under the influence of alcohol or illegal drugs, physical, sexual, mental or financial abuse of another person, sexual or racial harassment and gross insubordination or negligence. While the alleged gross misconduct is being investigated, the employee may be suspended, during which time he or she will be paid their normal pay rate. Any decision to dismiss will be taken by the employer only after full investigation. Appeals If you wish to appeal against any disciplinary decision, you must appeal in writing to the Chief Officer within five working days of the decision being communicated to you. Where possible, members of the Board of Trustees who have not been involved in the original disciplinary action will hear the appeal and decide the case as impartially as possible. This procedure supersedes any one that is the same or similar with a review date prior to the one below Approved by Trustees: Aug 16 Next review date: Aug 18 Page 5 of 6
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