This policy is designed to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance. It will apply to employees after the satisfactory completion of their probation period. It may be amended from time to time.
Dealing with matters informally
If your performance falls below the standards expected, this may be dealt with informally, where appropriate, by your manager or may be discussed in performance reviews to resolve problems. Informal warnings are not part of the formal disciplinary procedure.
Formal disciplinary procedure
General Principles
- An investigation will normally be undertaken before any decision to hold a disciplinary meeting.
- For formal action you will be advised of the nature of the complaint against you, the possible consequences /sanction and will be given the opportunity to state your case before any decision is made at a disciplinary meeting.
- You will be provided, where appropriate, with written copies of evidence and relevant witness statements in advance of a disciplinary meeting.
- At all stages of the formal procedure you will have the right to be accompanied by a trade union representative, or work colleague. Your choice of person to accompany you must be reasonable. The Institute may ask you to choose an alternative person if your request is not reasonable, for example, because the person you choose has a conflict of interest.
- Your manager will normally conduct the disciplinary hearing (depending on the circumstances) and will be accompanied by a colleague (usually HR), plus there may be a person who will take a written note of the meeting.
- Only in the case of gross misconduct will the employee be dismissed for a first breach of discipline, when the penalty will be dismissal without notice or payment in lieu of notice.
- You will have the right to appeal against any disciplinary action.
- The procedure may be implemented at any stage if your alleged misconduct warrants it
First stage of formal procedure - improvement note/ first written warning
This will normally be either:
● An improvement note for unsatisfactory performance if your performance does not meet acceptable standards. This will set out the performance problem, the improvement that is required, the timescale, any help that may be given and the right of appeal. You will be advised that it constitutes the first stage of the formal procedure. A record of the improvement note will be kept for six months on your file, but will then be considered spent – subject to achieving and sustaining satisfactory performance or
● A first warning for misconduct if conduct does not meet acceptable standards. This will be in writing and set out the nature of the misconduct and the change in behaviour required and the right of appeal. The warning will also inform you that a final written warning may be considered if there is no sustained satisfactory improvement or change. A record of the warning will be kept on your file, but it will be disregarded for disciplinary purposes after six months.
Second stage - Final written warning
If the offence is sufficiently serious, or if there is further misconduct or a failure to improve performance during the currency of a prior warning, you may be given a final written warning. This will give details of the complaint, the improvement required and the timescale. It will also warn you that failure to improve may lead to dismissal (or some other action short of dismissal) and will refer to the right of appeal. A copy of this written warning will be kept on your file but will be disregarded for disciplinary purposes after 12 months subject to achieving and sustaining satisfactory conduct or performance.
Third stage - Dismissal or other sanction
If there is still further misconduct or failure to improve performance the final step in the procedure may be dismissal or some other action short of dismissal such as demotion or disciplinary suspension or transfer.
The decision to dismiss an employee can only be taken by the Chief Executive.
You will be provided in writing with the reasons for dismissal, the date on which your employment will terminate, and the right of appeal.
If some sanction short of dismissal is imposed, you will receive details of the complaint, a warning that dismissal could result if there is no satisfactory improvement, and advised of the right of appeal. A copy of the written warning will be kept on your file but will be disregarded for disciplinary purposes after 12 months subject to achievement and sustainment of satisfactory conduct or performance.
Gross misconduct
The following list provides some examples of offences which are normally regarded as gross misconduct:
- theft, fraud, deliberate falsification of records or unauthorised entry to computer records
- physical violence or bullying
- deliberate and serious damage to property
- misuse of the Institute’s property or name, or your property or that of your colleagues, members or persons undertaking work on behalf of the Institute
- deliberately accessing internet sites containing pornographic, offensive or obscene material
- serious insubordination
- unlawful discrimination or harassment
- gross incompetence
- bringing the organisation into disrepute
- serious incapability at work brought on by alcohol or illegal drugs
- causing loss, damage or injury through serious negligence
- a serious breach of health and safety rules
- a serious breach of confidence
- serious breaches of data protection
- conviction of a criminal offence detrimental to the interests of the Institute
- using your position in the Institute to act inappropriately, abusing the position of trust or accepting or offering bribes
This list is not intended to be exhaustive.
If, on completion of the investigation and disciplinary procedure, the Institute is satisfied that gross misconduct has occurred, the result will normally be summary dismissal without notice or payment in lieu of notice.
Appeals
If you wish to appeal against a disciplinary decision, you must do so in writing to HR within five working days of the disciplinary decision against which you are appealing.
If you request an appeal please specify the grounds on which you are appealing.
HR will arrange for your appeal to be heard by someone more senior than the person who heard your disciplinary, and his/her decision is final. At the appeal any disciplinary penalty imposed will be reviewed.
Suspension
In certain circumstances the Institute may decide to move you to work in another department or role during the period of the investigation. The aim will be to remove a source of tension and / or ensure the smooth working of the department. The Institute will aim to ensure that this is for as short a period as is necessary.
This is not a sanction against you, does not imply that any decision has been made, or that a case has been proved.
In certain circumstances the Institute may decide to suspend you from work as part of a disciplinary process. Any such suspension will be on full pay.
The Institute will aim to ensure that you are suspended only for as long as is reasonably required to carry out any investigations and arrange a disciplinary hearing if necessary.
Suspension does not imply either your guilt or that the institute has made any decision as to whether a disciplinary sanction is appropriate in the circumstances.
