Disciplinary

Not always, if an issue is minor and you have no live warnings for similar issues, we'll try to deal with things informally by discussing the problem with you and explaining how you can improve, we might also set up a performance improvement, training or development plan for performance-related concerns.

Sometimes our informal approach doesn't resolve things, or our concerns are too serious for to be dealt with informally. When that happens, we'll usually start our disciplinary process. Any process we follow will always be done promptly without unreasonable delay to meetings, decisions or confirmations of those decisions.

misconduct is defined as inappropriate or unacceptable behaviour. Some examples of misconduct include (but aren't limited to):

• Bullying

• Harassment

• Refusing to do work

• Being absent without permission

1. Investigation - gathering facts

2. Formal invite to attend a disciplinary hearing

3. Formal disciplinary hearing

4. Written confirmation of the outcome

5. Appeal

Each step of the process will be carried out by a manager with authority to issue a disciplinary sanction (up to and including dismissal), or we may use a third party, such as CUBE HR, who have our full authority to issue any level of disciplinary sanction, including dismissal and summary dismissal.

The investigation part of the process is a fact find, where we gather evidence, witness statements, CCTV, etc. to decide if there's a case to answer. We might do an investigation meeting with you (we don't need to give you formal notice of this, nor do you have the right to be accompanied as this is not part of the formal process).

Investigations will usually be carried out by your direct manager, although other managers, area managers, senior members of the head office team or HR may also be involved.

Once the investigation is complete, the person investigating will decide if thy have reasonable grounds to believe an offence has been committed, taking into account the spirit of the rule that has been breached, your previous record and how we've dealt with similar instances in the past.

If there's no case to answer, you'll be notified that no further action is to take place. If there is a case to answer, all the investigation information will be passed on to another manager (of an equal or higher seniority), who will then take over the disciplinary process from step 2.

You'll always be invited in writing (either via letter, email or both) if you're required to attend a formal disciplinary hearing. You'll be given reasonable notice so you have time to prepare for the meeting and organise representation. We usually consider reasonable notice to be 2 working days.

We'll make sure you have enough information about the alleged misconduct or poor performance and the possible consequences, to allow you to prepare, and you'll be given copies of any evidence we'll be referring to - we'll never rely on any evidence that hasn't been shared with you before the disciplinary hearing, however there may be times we decide to withhold witness statements - this will usually be where there is a fear of retribution (e.g. to disclose witness statements would put witnesses at risk or physical or mental harm from you or others related to you). If we do decide to withhold statements, we'll still make sure you have enough information to defend yourself.

Our invitation will give details of the date, time and venue for the meeting and your statutory right to be accompanied.

If you want to bring any witnesses to give evidence, please let us know as soon as possible.

We expect you to make every effort to attend. If you don't attend without good cause, or continually refuse to attend, we might decide to hold the hearing in your absence and make a decision based on what we have available to us.

At the meeting, we'll explain your alleged misconduct or performance issues, and present you with any evidence. We'll always take notes and may have a separate note-taker present or we may ask your permission to record the meeting for accuracy.

During the hearing, you'll be:

• allowed to set out your case and answer any allegations made

• given reasonable opportunity to ask questions, present evidence and call relevant witnesses

• given an opportunity to raise points about any information provided by witnesses

It's important, where possible, you bring with you any evidence you want us to consider.

At the end of the hearing, we'll adjourn, review all the information and decide if a sanction is to be given. The timeframe for giving you a decision will depend on the complexity of the allegations, but we'll set some expectations for this at the end of the hearing.

Whilst considering the outcome, we'll consider all the findings from any investigation and the disciplinary hearing, your previous disciplinary record, what is fair and reasonable in the circumstances and what we might have done in similar cases before.

In some cases, we might decide no formal action is needed, in which case we'll let you know that the disciplinary process has ended, we might back this up with a letter of concern.

As an alternative to a formal warning we might also consider other actions such as suspension without pay, demotion, loss of seniority or loss of a potential salary increase.

We'll always confirm any formal outcome in writing and our outcome letter will specify:

• what the misconduct or performance issue is

• the changes needed and a timescale

• what could happen if you don't make the changes

• what could happen if there's further misconduct or poor performance

• the level of warning or sanction

• how long the warning will stay in place

• any support or training we'll provide

• your right of appeal

The levels of sanction are:

Written warning

Usually used for first or minor breaches of conduct or poor performance. Stays on file for 12 months

Final written warning (or first and final written warning)

Used where the offence is serious, or you already have a written warning live on your personnel file. Stays on file for 12 months

Dismissal

Used where conduct or performance remains unsatisfactory, or for serious offences. You'll be provided with a written reason for dismissal, the date your employment will end, details of your notice period and your right of appeal.

Summary Dismissal - see our Gross Misconduct section

If you think the sanction given was too severe or our process was wrong or unfair, you can appeal our decision. An appeal is not designed to repeat the original investigation - it may be in the form of a review of the original process (which may be carried out purely in writing), or a rehearing where new evidence or matters have come to light. Your letter of appeal should be sent to the person detailed in your outcome letter and by the deadline given (usually 5 working days), and should detail on what grounds you are appealing.

Your appeal will usually be handled by a more senior person than did your disciplinary (or at least someone of equal standing), and who has had no previous involvement in the case. We might also outsource an appeal to HR.

You have the statutory right to be accompanied at your appeal and you'll be notified of this in writing when you are invited to your appeal hearing.

At the appeal you'll be given the chance to explain why you are appealing. Once you've presented all your facts and evidence, we'll adjourn the hearing to consider all the facts, then we'll write to you about our decision. That decision is final and will be confirmed to you in writing.

In cases of dismissal, where the decision to dismiss is upheld, the date of dismissal will be the date you were originally dismissed. You will not receive pay pending the outcome of your appeal, other than that covering any applicable notice period.

We'll keep details of any disciplinary action confidential, but during the course of our investigations other team members may become aware of what is happening. We'll talk privately with anyone involved to make sure there are no negative effects, but we'll never disclose the outcome of your disciplinary to them.

Yes, but if you do we'll consider the nature of your grievance. We may decide to pause the disciplinary, that your grievance is your defence, or we may decide it is appropriate to deal with both at the same time.

We'll consider the nature of your illness, the seriousness of the disciplinary issue, your previous disciplinary record and how we've dealt with similar cases in the past before deciding whether to continue or delay the process. We may also ask for your consent to seek a medical opinion on whether you are fit to attend any meetings.

You have a statutory right to be accompanied by a colleague or a trade union representative from a recognised trade union. Whoever you choose must be a reasonable choice, so we'll ask you to let us know who you want your companion to be (what is reasonable will depend on the circumstances of each case).

If your chosen companion isn't available on the date we've given, you have the right to request an alternative date up to 5 working days after our original date.

If you have a disability, you may also be accompanied by a support worker or someone with knowledge of your disability and its effects.

The role of any companion is to:

• help you prepare what to say at the hearing

• accompany you to the hearing

• ensure the process is fair

• support you throughout the proceedings

Your companion can address the hearing, sum up your case, respond on your behalf to any views expressed and confer with you during the hearing. They can also request a reasonable adjournment if needed.

They don't have the right to answer questions on your behalf, speak without your permission or prevent the hearing manager from explaining their case.

Yes, we may have a designated note-taker, or we record the meeting (we will share the recording with you in lieu of written notes). Copies of notes or recordings will be put in your personnel file and you'll be given a copy.

Written notes will include the following:

• date and time of the meeting

• location

• individuals present including job titles/roles

• purpose of the meeting

• all questions and responses

• action taken (if confirmed at the meeting)

No, in the first two years of your employment (including your probation) we may shorten this process if we believe warnings or further training won't lead to improvement. In particular, we may consider dismissal for an initial offence.

The basic process of disciplinary remains the same, however will will always:

• obtain up to date medical advice from your GP, specialist or occupational health

• consider adjustments to your work environment or any alternative employment (if practical)

• provide extra support where we can

• consult with you about available options and consider your views on your health and continuing employment