Disciplinary and Dismissal Procedure

Who is covered by this procedure?

All staff

What is covered by this procedure?

This procedure outlines [CHARITY NAME]’s disciplinary procedure and includes:

•	The process
•	Examples of behaviours that may lead to disciplinary action, including gross misconduct
•	How the policy will be applied
•	Disciplinary meetings and appeals.

Purpose 

Any disciplinary proceeding is intended to improve performance and resolve difficulties, rather than to punish infringements.  Disciplinary matters cover non-performance or inadequate performance of duties, breaches of contract or [CHARITY NAME] rules, and other misconduct affecting a staff member’s work at [CHARITY NAME]. 

The procedure is designed to establish the facts quickly and to deal consistently with disciplinary issues.  All meetings will be minuted.
The procedure

Examples of behaviours that may lead to disciplinary action 

This list is not exhaustive but may include:
•	Failure to deliver work to the required standard
•	Persistent lateness
•	Rudeness towards a colleague 
•	Rudeness towards a customer
•	Personal appearance that fails to reflect the brand values and standards of [CHARITY NAME]
•	Refusal to carry out a reasonable task
•	Breaching any of [CHARITY NAME]’s policies and procedures 
•	Attitude which is deemed to be negative and unhelpful
•	Being derogatory or offensive about [CHARITY NAME] or any of its staff, associates, volunteers or beneficiaries publicly, on-line or via social media
•	Any other behaviour that is reasonably deemed by [CHARITY NAME] to be inappropriate.

The table below outlines the actions, by whom, and the timescales within which the procedure is applied.	

Action	Who	By when	
The staff member will be notified that there is a potential disciplinary matter that needs to be investigated	Line manager	As close to the ‘cause’ of the discipline as is reasonable and possible	
Investigation will begin – this may involve a meeting with the staff member.
The line manager will gather any appropriate evidence including interviews with other members of staff if necessary in order to establish the facts	Line manager	Within a reasonable timescale – not more than two weeks after the staff member is notified of a potential disciplinary 	
If the investigation leads the line manager to believe a disciplinary meeting is necessary they will notify the staff member and arrange an appropriate date	Line manager	Meeting within one week of the notification where practical	
After the meeting the line manager will consider whether disciplinary action is required and will notify the staff member of their decision	Line manager	Within 24 hours of the disciplinary meeting	
If the staff member feels that disciplinary action taken against them is wrong or unjust they have a right to appeal following [CHARITY NAME]’s appeal process (below)	Staff member	Within a reasonable timescale – not more than two weeks after the employee is notified of the disciplinary decision	

How the policy will be conducted

Establishing the facts

Investigation of a potential disciplinary matter will be carried out without unreasonable delay to establish the facts of the case. In some cases this will require the holding of an investigatory meeting with the staff member before proceeding to any disciplinary hearing. In others, the investigatory stage will be the collation of evidence by [CHARITY NAME] for use at any disciplinary hearing.

It should be noted than an investigatory meeting will not by itself result in any disciplinary action.

Informing the staff member of the problem

If it is decided that there is a disciplinary case to answer, the staff member will be notified of this in writing. This notification will contain sufficient information about the alleged misconduct or poor performance and its possible consequences to enable the staff member to prepare to answer the case at a disciplinary meeting. Copies of any written evidence, which may include any witness statements, will be provided with the notification.

The notification will also give details of the time and venue for the disciplinary meeting and advise the staff member of their right to be accompanied at the meeting by a trade union representative, an official employed by a trade union, a fellow staff member, or a friend.

To exercise the statutory right to be accompanied a staff member must make a reasonable request. What is reasonable will depend on the circumstances of each individual case. A request to be accompanied does not have to be in writing or within a certain timeframe. However, the staff member should provide enough time for [CHARITY NAME] to deal with the companion’s attendance at the meeting. The staff member should also consider how they make their request so that it is clearly understood, for instance by letting [CHARITY NAME] know in advance the name of the companion where possible and whether they are a fellow worker or trade union official or representative.  [CHARITY NAME] will not normally adjust the meeting in order to fit around the needs of the companion unless there is a compelling reason to do so.

No disciplinary action will be taken until the matter has been fully investigated and until the staff member has been informed, as above, and has had a reasonable time in which to arrange their representation.

Holding a disciplinary meeting

[CHARITY NAME] representatives and the staff member (and their companions) should make every effort to attend the meeting. At the meeting the [CHARITY NAME] panel (made up of appropriate members of staff or trustees) will explain the complaint against the staff member and go through the evidence that has been gathered. The staff member will be allowed to set out their case and answer any allegations that have been made. The staff member will also be given a reasonable opportunity to ask questions, present evidence and call relevant witnesses. They will also be given an opportunity to raise points about any information provided by witnesses. Where [CHARITY NAME] or the staff member intends to call relevant witnesses they should give advance notice that they intend to do this.

If required the companion will be allowed to address the hearing to put and sum up the staff member’s case, respond on behalf of the staff member to any views expressed at the meeting and confer with the staff member during the hearing. The companion does not, however, have the right to answer questions on the staff member’s behalf, address the hearing if the staff member does not wish it or prevent [CHARITY NAME] from explaining its case.

Deciding on appropriate action

After the meeting the [CHARITY NAME] panel will decide whether or not disciplinary, or any other action, is justified and inform the staff member accordingly in writing. 

Where misconduct is confirmed or a staff member is found to be performing unsatisfactorily it will be usual to give the staff member a written warning. The warning will include the reason for the warning, change in behaviour or improvement in performance required and when the situation will be reviewed. It will indicate that if there is inadequate improvement or a repeat of the offence, a final written warning may be given. 

A written warning will remain on the staff member’s personnel file for six months.
If a staff member’s first misconduct or unsatisfactory performance is sufficiently serious, it may be appropriate to move directly to a final written warning. This might occur where the staff member’s actions have had, or are liable to have, a serious or harmful impact on the organisation.

A final written warning will set out the nature of the misconduct or poor performance and the change in behaviour or improvement in performance required (with timescale).  The staff member will be informed that the consequences of further misconduct, or failure to improve performance, within the set period following a final warning, will result in dismissal.

The right to appeal

If a staff member feels that disciplinary action taken against them is wrong or unjust, they have the right to appeal.  They should inform [ROLE WITH PERSONNEL ACCOUNTABILITY]   of their grounds for appeal without unreasonable delay and in writing.

An appeal panel will be convened which will include the senior manager, an independent member of the Leadership Team and [ROLE WITH PERSONNEL ACCOUNTABILITY]  .

The staff member may be accompanied by a trade union representative, a fellow staff member or a friend.

Appeals will be heard without undue delay and at a time and place which will be notified to the staff member in advance.

An appeal will be dealt with impartially and wherever possible by a manager who has not previously been involved in the case.

The outcome of the appeal will be communicated to the staff member in writing within two working days.

Gross misconduct

Gross misconduct includes any action which threatens [CHARITY NAME], its work or reputation, people connected with [CHARITY NAME] or members of the public, or which destroys [CHARITY NAME]’s necessary relationship of trust with a staff member. Examples include:

•	Theft
•	Damage to property
•	Fraud
•	Incapacity for work due to being under the influence of alcohol or illegal drugs
•	Physical assault
•	Threatening behaviour
•	Racist activity
•	Sexual harassment
•	Gross insubordination
•	Conduct endangering any person
•	Gross negligence
•	Breach of professional ethics, or breach of standards of good conduct.
This list is not exhaustive and other actions may also constitute gross misconduct.
If, after investigation, it is found that a staff member has committed an act or acts of gross misconduct, the normal consequence will be dismissal without notice and without pay in lieu of notice. 

Suspension

While any alleged misconduct other than gross misconduct is being investigated, a staff member may be suspended and will be paid their usual salary.  In cases of alleged gross misconduct, a staff member may be suspended on their usual pay during the investigation.