Disciplinary Policy

Purpose

The purpose of this policy is to set and maintain standards of conduct within Wilson Vale Catering and in doing so ensuring that all employees are treated fairly and consistently in relation to disciplinary action taken in response to allegations of unacceptable conduct.

The policy is designed to help and encourage all employees to achieve and maintain satisfactory standards of conduct as expected by Wilson Vale.

It is important that you are aware of the actions which may result in disciplinary measures, and the seriousness with which the Company views such events.

This policy does not form part of an employee’s contract of employment and Wilson Vale Catering may amend this policy at any time.

Introduction

This policy aims to:

Set out the steps of a fair and transparent disciplinary process that is clear and coherent for Managers and employees to follow.
Effectively manage allegations of misconduct and gross misconduct.
Adhere to the best practice guidance on disciplinary procedures as advised by ACAS and in compliance with the appropriate employment law legislation.

Objectives

To provide a framework within which Managers can work with employees to maintain satisfactory standards of conduct and to encourage improvement where necessary.
To offer guidance where minor conduct issues can be resolved informally between the employee and Manager.
To ensure that all issues are fully investigated before any action is taken.
To ensure that any disciplinary matter is dealt with fairly and that steps are taken to establish the facts and to give the employee an opportunity to respond before taking any formal action.
To ensure that any disciplinary matter is dealt with promptly, equitably, and reasonably.
Disciplinary proceedings are not designed to be punitive in nature, instead the aim is to provide employees with the appropriate advice and support which will equip them to achieve and maintain the standards expected within Wilson Vale Catering.

Managers will be responsible for the application of the disciplinary policy under their leadership. They may be supported by Human Resources (HR) where it is deemed appropriate and HR guidance can be sought before any disciplinary process is commenced.

The Process – Establishing Facts

When a disciplinary matter arises, the relevant facts should be firmly established by a thorough and reasonable investigation which should be conducted as soon as practically possible.

In order to determine whether an issue is one of misconduct or capability, the Manager must ask themselves whether an employee won’t or can’t perform a task.

Where an employee won’t, the allegation would be that of misconduct and where they can’t, the allegation would be of incapability. If it is a matter of incapability, then this should instead be managed in line with Wilson Vale Catering’s Capability policy.

Investigation

If it becomes necessary to explore any matter(s) regarding conduct, this will firstly be investigated by an appropriate investigating officer, who should be an objective person to the process. The purpose of this is to establish a fair and balanced view of the facts relating to allegations against the employee before deciding whether to proceed to a disciplinary hearing. This decision will be based on several factors including the seriousness of the allegation, whether this could be addressed informally, previous disciplinary record and any mitigating evidence presented by the employee.

The investigation process will be carried out thoroughly and as quickly as possible in all circumstances. Confidentiality will be maintained, as far as reasonably practicable during the investigation and throughout the disciplinary process, should this be initiated.

The amount of investigation required will depend on the nature of the allegation(s) and will vary from case to case. It may involve interviewing and taking statements from the employee and any witnesses and / or reviewing relevant documents presented as evidence.

A formal invitation to an investigation will not always necessarily be issued as the intention is for an investigation to be conducted as soon as reasonably possible following the circumstances surrounding the allegation, which could even include immediately after the incident taking place.

Employees do not have the automatic right to bring a colleague or Trade Union representative to an investigation meeting.

Employees must co-operate fully and promptly in any investigation. This will include providing the names of any relevant witnesses, disclosing any relevant documents, and attending investigative meetings if required.

Following completion of the investigation, the investigating officer must complete an investigation report (if the allegations are of a serious nature) in full. This Investigation Report along with copies of all documents relating to the case, e.g. witness statements, meeting notes and records should be sent to the HR Department. The HR Departmentcan assist the Manager by providing advice on policy and precedent and next steps.

Potential outcomes of an investigation may be as follows:

No further action to be taken.
If the investigating officer decides that the circumstances are not serious enough to proceed through the formal disciplinary hearing process, but that the misconduct still needs to be addressed, they can decide to issue a letter of concern. This warning should be delivered to the employee verbally, and then confirmed in writing. The conversation should aim to:
Provide justification for the decision to issue a letter of concern. Clearly outline the expectations going forward and stress that, should there be a further or repeated incident(s) of misconduct in the future, then a decision may be made to proceed through the formal disciplinary hearing process. Advise that a note of the verbal cause for concern conversation will be kept on their file for an indefinite period should this need to be referred to at a later date.
If the investigating officer decides that further action is appropriate and the matter cannot be managed informally, an employee may be invited to attend a disciplinary hearing which will be chaired by a different Manager from whom conducted the investigation process.

Suspension

In some circumstances it may be deemed appropriate to suspend an employee. This will be for no longer than necessary to investigate the allegations and any suspension will be confirmed to the employee in writing. During any period of suspension, the employee will be paid in accordance with their terms and conditions. Suspension is not a form of disciplinary penalty and does not imply that any decision has already been made about the allegations.

Most disciplinary processes will not require suspension. An employee will usually be able to continue working in their normal role while the matter is investigated.

Suspension should usually only be considered if there is a serious allegation of misconduct and:

Working relationships have severely broken down, and there has been a serious breakdown in trust and confidence.
The employee could tamper with evidence, influence witnesses and / or sway the outcome of the investigation.
There is a risk to other employees, property or customers.
The employee is the subject of criminal proceedings which may affect whether they can do their job.
There are serious allegations including theft, fraud, violence, harassment and / or serious breaches of Health and Safety procedures.

Alternatives to Suspension

All Managers considering the suspension of an employee should think carefully and consider all other alternative options. Even where there are reasons to consider suspension, in most situations a temporary adjustment to the employee's working arrangements can mitigate the need to suspend.

Alternatives to suspension could include the employee temporarily:

Being moved to a different area of the workplace.
Being moved to a different site.
Working from home.
Changing their working hours.
Being placed on restricted duties.
Working under supervision.
Being transferred to a different role within the organisation (the role should be of a similar status to their normal role, and with the same terms and conditions of employment)

Only if all other options are not practical, may suspension become necessary. Managers should contact their HR Department to discuss whether suspension is appropriate in the circumstances.

Criminal Charges

Where an employee’s conduct is the subject of a criminal investigation, charge, or conviction all facts will be investigated before deciding whether to take formal disciplinary action. An outcome of any prosecution does not need to be reached before deciding what action, if any, needs to be taken. Where the employee is unable or has been advised not to attend a disciplinary hearing or say anything about a pending criminal matter, a decision may have to be made based on the available evidence at the time. A criminal investigation, charge or conviction relating to conduct outside of work may be treated as a disciplinary matter if considered that it is relevant to an employee’s employment.

The Process – Disciplinary Hearing

If the investigating officer makes the decision to proceed to a disciplinary hearing, a separate disciplinary hearing officer will be appointed. Again, this person should be objective to the process. The hearing officer should arrange a note taker and suitable location for the disciplinary hearing to take place, whether that be a physical or virtual arrangement. The hearing officer must then invite the employee, in writing, to attend a disciplinary hearing.

In the letter inviting the employee to the disciplinary hearing, the employee should be told the reason for the hearing and given full details of the allegations or concerns. They must also be provided with copies of any documentation that will be used during the disciplinary hearing. A minimum timescale of 48 hours between the employee receiving the letter of invite and the start of the hearing is normally recommended to allow the employee reasonable time to prepare their case for a disciplinary hearing relative to all the circumstances.

Hearing Objectives

To explore further the facts relating to the alleged misconduct
To give the employee the opportunity to put forward their case and to present any relevant mitigating circumstances.
To consider whether the alleged misconduct is serious enough to warrant a disciplinary warning.

Right to be Accompanied

Any employee asked to attend a disciplinary hearing has the right to be represented by a work colleague or a Trade Union representative. The employee must inform the hearing officer who the representative is in sufficient time prior to the hearing. If the representative is unavailable at the time a hearing is scheduled and will not be available for more than three working days, the employee may be requested to choose another representative.

A representative may make representations, ask questions, and sum up an employee’s case, but cannot directly answer questions on an employee’s behalf. The employee may confer privately with their representative at any time during the hearing. In instances where an employee has a disability, reasonable adjustments can be made including allowing someone else to attend such as a support worker or someone with a knowledge of the disability and its affects.

Rearrangement of a Disciplinary Hearing

If the employee or representative cannot attend a hearing, the employee should inform the officer conducting the hearing immediately to allow for this to be re-arranged. Employees must make every effort to attend a scheduled hearing. If the employee fails to attend without good reason or are persistently unable to attend, it may be decided to proceed with the hearing in the absence of the employee and a decision can be made based on any available evidence at that time; including any written representations the employee may have submitted. Typically, the guidance is that a disciplinary hearing will be rescheduled a maximum of two times.

Alternatives to attendance may be offered if this is not physically possible including:

For the hearing to be held via telephone or online i.e. Skype and Microsoft Teams.
For the hearing to be held elsewhere if deemed appropriate.
For the employee to make representation in writing.

Should an employee be signed off absent during a disciplinary process, then the intention will be for the process to continue and for this to be conducted in agreement with the employee as fairly as possible, by making any reasonable alternative arrangements for the hearing as stated above. If an employee continuously refuses to attend the hearing, then the hearing officer may decide based on the evidence available to them at the time, with the outcome being communicated to the employee in writing. A decision may also be taken to refer the employee to Occupational Health to ascertain whether they are fit to attend a meeting.

Adjournment of a Disciplinary Hearing

Upon conclusion, the disciplinary hearing will be adjourned to consider the decision. During the adjournment the hearing officer may decide to contact the HR Department to discuss policy or precedence that may be relevant to the case. However, the decision will ultimately be that of the hearing officers.

If possible, a decision will be given to the employee following the adjournment, either face to face, verbally or in writing. If further investigation of facts is necessary or there is a dispute over anything relevant to the case, the hearing may be adjourned to another day while further enquiries are made with the minimum of delay.

If any new evidence is presented at the disciplinary hearing, it may be decided to revert back to the investigatory stage of the process. If, after a disciplinary hearing, misconduct is considered to have taken place and the decision is to issue a formal disciplinary sanction, the outcome will be confirmed in writing as soon as is practicable.

Where an employee raises a grievance during the disciplinary process, the hearing officer may or may not decide to temporarily suspend the disciplinary process to deal with the grievance.

Where the grievance and disciplinary cases are related, it may be appropriate to deal with all the issues concurrently.

Considerations

When considering whether disciplinary action is appropriate, the following should be deliberated:

The findings from the investigation and disciplinary hearing including any presented mitigating factors.
What would be considered as fair and reasonable.
Company precedence to ensure consistency of approach.
The seriousness of the misconduct.
The employee’s previous disciplinary record.
Any other relevant factors.

Potential Outcomes

No Action Required

If it is decided that there is no conduct issue to answer to, then the formal disciplinary process will be ended with immediate effect, and this will be communicated to the employee verbally. The hearing officer should however keep on file how the process was conducted and concluded for future reference.

Letter of Concern

If the disciplinary hearing officer decides that the circumstances are not serious enough to warrant a formal disciplinary warning, but that the misconduct still needs to be addressed, they can decide to issue a letter of concern as outlined in the investigation section of the policy.

Alternative Disciplinary Action

Alternative disciplinary action may be considered depending on the seriousness of the misconduct. For example, instead of issuing a formal disciplinary warning, it may be decided that a demotion would be a more reasonable course of action.

The deciding officer should however discuss any alternatives with the HR Department in the first instance to understand what the employment contract allows and ensure this is discussed fully with the employee. The employee can have their chosen representative with them for this.

Reasonable Adjustments

Consideration will be given to whether conduct may be related to a disability and if so, whether there are reasonable adjustments that could be made to the employee’s working arrangements, including changing duties or providing additional equipment. Adjustments may also be made to this process in appropriate cases.

Formal Disciplinary Warnings

There are five types of formal disciplinary warnings that can occur as a result of a disciplinary hearing. These have been summarised below which also includes guidance on the nature of the misconduct for each warning as well as the timescales for which the warnings would remain active on an employee’s file.

Level of Warning

Stage 1: Verbal warning

This would be appropriate if previous unsatisfactory conduct or performance failed to improve following an informal discussion or letter of concern, or where a more serious act of misconduct is committed where there is no previous disciplinary warning on file.

Timescale: 6 months.

Stage 2: First written warning

This would cover a failure to improve or change behaviour, or where a single infringement is serious. This could either be warranted where there is already a verbal warning on file or if the misconduct or performance issue was serious enough to go straight to a written warning.

Timescale: 12 months.

Stage 3: Final written warning

This would cover a failure to improve or change behaviour, or where a single infringement is sufficiently serious. This could either be warranted where there is already a first written warning on file or if the misconduct or performance issue was serious enough to go straight to a written warning.

Stage 4: Dismissal with notice

This could result from either continued poor performance or repeated misconduct. An employee will not be dismissed for a first disciplinary offence unless it amounts to gross misconduct. The employee will be advised in writing of the reason for dismissal, the date on which the employment will terminate and the right of appeal available.

Notice may be paid in lieu in accordance with the terms and conditions of the employee’s contract of employment. Wilson Vale Catering also reserves the right to place the employee on garden leave during the notice period or require the employee to take outstanding holidays as part of this.

Stage 5: Summary Dismissal (without notice)

This will be the usual penalty in cases of gross misconduct or gross negligence and the employee is dismissed without notice. This could also apply where there is a repeated offence of misconduct or performance failures, where there are already live disciplinary warnings on file.

Unacceptable Behaviour

Examples of what the Company deems to be Unacceptable Behaviour are listed below and are not intended to be exhaustive.

Misconduct

Examples of misconduct which may result in disciplinary action being taken, but by its nature does not warrant summary dismissal:

Continuous non-completion of tasks correctly following any informal action.
Failure to carry out reasonable instructions.
Persistent lateness and / or absence from work without permission (AWOL).
Refusal to observe the provisions of any National Agreement appropriate to an individual’s employment with Wilson Vale Catering.
Misuse or unauthorised use of Wilson Vale Catering’s property, premises, or vehicles.
Failure to report any accident or personal injury in which the employee is involved, or which occurred during employment.
Breach of Wilson Vale’s Catering’s site rules.
Unruly behaviour.
Minor breach(es) of Wilson Vale Catering’s policies and procedures.
Any other behaviour which Wilson Vale Catering considers to be unacceptable, or which brings Wilson Vale Catering into disrepute.
Negligence in the performance of duties.

Gross Misconduct

Examples of gross misconduct which may result in a higher form of disciplinary sanction being warranted up to and including summary dismissal:

Withholding or supplying misleading or inaccurate information on an application form or curriculum vitae.
Disregard for any aspect of Health and Safety. This will include failure to report any contagious, infectious, or notifiable diseases which may endanger the health of other employees.
Theft, fraud and deliberate falsification of records.
Signing in on behalf of another member of the team.
Being in possession of Wilson Vale Catering’s, client, supplier, or colleague’s property without authorisation.
Gross negligence.
Bullying, harassment, victimisation or carrying out physical violence against another person or demonstrating threatening behaviour.
Using language to any other employee, customer, client or supplier which causes actual offence.
Any discrimination breach of protected characteristics (Equality Act 2010).
Deliberate damage to Wilson Vale Catering’s or client property.
Serious insubordination (serious failure to follow instruction).
Giving misleading or inaccurate information about sickness or any other absence.
Misuse of Wilson Vale Catering’s property, equipment, or communication systems.
Misuse of confidential information.
Committing a criminal act whilst on duty.
Causing Wilson Vale Catering to be in breach of an act, regulation, or legal legislation.
Deliberately accessing internet sites containing pornographic or offensive material.
Causing loss, damage, or injury through serious negligence.
Serious breach of health and safety rules.
Theft of food or retail goods – including breach of Wilson Vale Catering’s meal policy.
Serious breach of trust and confidence.
Serious breach of Wilson Vale’s policies and procedures.
Introducing, possessing, using or causing others to use controlled substances including drugs or alcohol, or being under the influence of illegal drugs or alcohol whilst at work or on company property in breach of the Substance Abuse Policy.
Any actions of bribery, including both the offering and accepting of bribes.
Any other serious behaviour which Wilson Vale Catering considers unacceptable, or which brings Wilson Vale Catering into serious disrepute.

If a hearing officer considers that dismissal may be the decided sanction, the HR Department must be informed as soon as possible to discuss their case findings. It is the responsibility of the disciplining officer to decide following any disciplinary hearing, including decisions to dismiss the employee; the decision on what action to take will not made by HR.

Content of Warning

All formal disciplinary warnings will be confirmed to the employee in writing and should include:

A specific description of the conduct which caused the formal disciplinary warning to be issued.
The potential consequences of the employee committing any further acts of misconduct.
The period during which the formal disciplinary warning will be enforced.
The right to make an appeal.

The Process - Appeal

Employees have the right of one appeal, to a pre-specified point of contact, against a decision to dismiss or to impose a warning or any other disciplinary sanction. Any appeal must be made in writing, stating the full grounds for the appeal, within five working days of receipt of the written decision from the disciplinary hearing or as soon as is practicable.

Appeals should always be heard by those who are independent of investigatory and disciplinary decisions and where practicable this will be a level of employee senior to the disciplinary hearing officer.

Considerable care must be taken to review the earlier disciplinary action without pre-judgement of any outcome. The employee will be notified of the date of the appeal hearing with this hearing taking place as early as reasonably possible.

Written notice of the time, date and location for the appeal hearing will be provided to the employee by the appeal hearing officer. The decision of the appeal hearing will be communicated in writing as soon as is reasonably practicable, taking into account that the case may require additional investigation.

The appeal officer hearing the appeal may decide to:

Confirm the disciplinary decision.
Reduce the disciplinary decision to a lower level.
Rescind the disciplinary decision.

The appeal officer may not increase the disciplinary penalty on appeal. The outcome of the appeal is the final stage of this process, and the employee will have no further right of appeal.

If an employee has been dismissed and lodges an appeal, they will not be entitled to payment during the period from dismissal to the appeal hearing and will not be employed during this period. However, if the appeal is successful and the employee is reinstated, employment rights will be continuous from the original date of dismissal and any loss of salary will be payable.

Records

All records relating to disciplinary action will be kept in accordance with the provisions of the General Data Protection Regulation (GDPR).

Confidentiality

Wilson Vale Catering aims to deal with disciplinary matters sensitively and with due respect for the privacy of all individuals involved. All employees must treat as confidential any information communicated to them in connection with an investigation or disciplinary matter. The employee and any representative or witness should not make electronic recordings of any meetings or hearings conducted under this process. The employee will usually be told the names of any witnesses whose evidence is relevant to the disciplinary.