Scope: Applies to all employees of AstraZeneca UK Limited ( the Company ), based in the UK.

Transcription

1 Policy Summary UK Policy: Discipline Summary: Provides guidance to Line Managers and employees on how misconduct is managed. This does not apply to cases involving an employee's capability to perform their role or in cases of sickness absence, which are dealt with under separate policies. Scope: Applies to all employees of AstraZeneca UK Limited ( the Company ), based in the UK. Key Salient Points: Minor misconduct may be resolved via Informal Guidance. Where the matter is not resolved or where an informal approach is not appropriate, formal action will be taken. Appropriate investigation, where necessary, will be conducted prior to a disciplinary hearing. Suspension of the employee may be necessary. The employee should be given 48 hours notice to consider their response before a disciplinary hearing. An employee does not have the right to be accompanied to an investigation interview but has the right to be accompanied in a Disciplinary or Appeal Hearing. The following formal sanctions may be issued at a disciplinary hearing, depending on the nature of the misconduct: First Written Warning, Final Written Warning; Dismissal. An employee has a right of appeal against any formal sanction issued. Reference: My employee has breached a standard of conduct (discipline) Guidance Note Informal and Formal Procedures 1/7

2 Discipline UK Scope This policy applies to all employees of the Company, based in the UK and replaces all preexisting Disciplinary policies and procedures. This policy does not form part of the contract of employment. Purpose The Company aims to ensure a fair and consistent approach to maintaining global standards of conduct. If an employee s conduct falls below the required standards, this policy sets out the steps that will be followed. The aim of this policy is to help the employee to improve their conduct where possible, and/or, to reinforce adherence to the Global Code of Conduct and all other Company policies. If a breach has occurred, this may result in disciplinary measures being taken. This policy does not apply to cases involving an employee's capability to perform their role or in cases of sickness absence, both of which will usually be dealt with under separate policies. Roles and Responsibilities It is the responsibility of all Line Managers, employees and companions to ensure that they fully understand and comply with the policy, when applicable. Standards and Procedure General Principles Where appropriate, minor misconduct may be resolved informally via Informal Guidance (see Guidance Note Informal and Formal Procedures). These discussions should be held promptly and in private whenever there is cause for concern. A note of any informal discussions will be placed onto the local employee file and may be taken into account in any future disciplinary proceedings. Where the matter cannot be resolved informally or where an informal approach is not appropriate, formal action will be taken in accordance with the procedure outlined below. At all formal stages of this procedure, the employee will be informed of the complaint against them and will be given a reasonable opportunity to consider their response before any disciplinary hearing. 2/7

3 In considering any appropriate action and next steps, the Company will come to a reasonable decision based on the balance of the available evidence. Employees will not normally be dismissed for a first breach of discipline, except in the case of gross misconduct (when the sanction may be dismissal without notice/payment in lieu of notice) or in the case of an aggregated dismissal (where the employee has live sanctions under other procedures) or if they have not yet completed their probationary period, as applicable. The disciplinary sanction applied may be any one of the three outlined in the procedure below, depending on whether the conduct is serious enough to justify such action. Disciplinary issues will be treated sensitively and where possible, with respect for the privacy of those involved. All parties should treat information relating to any matter dealt with under this procedure as confidential and failure to do so may be a serious disciplinary offence. The employee (and their companion if applicable) must make every effort to attend the disciplinary and/or appeal hearing. Where the employee fails to attend the hearing without good reason, or is persistently unavailable (for example, due to ill-health), the Company may make a decision based on the evidence available, without the employee in attendance. Procedure Suspension It may be necessary to suspend an employee from work as part of this procedure where, for example, their presence at work could hinder an investigation or pose a potential threat to the business. Any period of suspension will be for no longer than is necessary to investigate the allegations. Suspension of this kind is not a disciplinary penalty and the employee s pay and benefits will continue as normal during the suspension. The specific conditions of the suspension will be confirmed in writing. Investigation Where necessary, an investigation will take place without unreasonable delay before any disciplinary action is taken. This may involve simple fact-finding or holding an investigation interview with the employee and/ or relevant witnesses. The extent of the investigation will depend on the complexity of the issue. 3/7

4 Criminal charges Where an employee s conduct is the subject of a criminal investigation, charge or conviction, the Company will investigate the facts before deciding whether to take formal disciplinary action. The Company will not usually wait for the outcome of any prosecution before deciding what action to take, if any. A criminal investigation, charge or conviction relating to conduct outside work may be treated as a disciplinary matter if the Company considers that it is relevant to the employee s employment. Notification If following an investigation, the Company considers that there is a case to answer, the employee will be invited to a disciplinary hearing. This will be in writing setting out the allegations, possible consequences and should give at least 48 hours notice. The employee should be provided with copies of evidence to be considered in advance of the hearing. Hearing The Disciplinary Hearing will be held without unreasonable delay. The employee has the right to be accompanied. At the hearing, the Hearing Manager will explain the case against the employee and review the evidence. The employee will be allowed to respond to the allegations, ask questions, present evidence and request an adjournment if required. The hearing may be adjourned if it is necessary to carry out any further investigations (e.g. re-interviewing witnesses in light of any new points raised) and also for the Manager to consider what they have heard and make their decision. The Hearing Manager will confirm the outcome at the end of the hearing and/or confirm the outcome in writing to the employee, within a reasonable time of the hearing, advising them of the right of appeal. Appeal An employee can raise an appeal against any formal sanction applied under this policy within 5 working days of written confirmation of the decision, by following the steps outlined under the Guidance Note Informal and Formal Procedures see link in Policy Summary. 4/7

5 Sanctions Any failure to comply with this policy or the associated standards will be fully investigated and appropriate action taken. The usual sanctions for misconduct are set out below. For further information on how sanctions may be issued, see Guidance Note Informal and Formal Procedures. o First Written Warning If an employee s conduct does not meet acceptable standards, they will normally be given a First Written Warning. This will set out the nature of the misconduct, the change in behaviour required and the right of appeal. The warning will also inform them that a Final Written Warning may be considered for further misconduct. A record of the warning will be kept on the employee s personnel file. Subject to satisfactory conduct, this will be disregarded for disciplinary purposes after a specified period (usually 6 months). If the employee s conduct has not improved sufficiently at the end of the warning period, the Company may extend the period of the warning. o Final Written Warning If the misconduct is sufficiently serious, or there is further misconduct whilst a prior warning is live, a Final Written Warning will usually be given. This will set out the nature of the misconduct, the change in behaviour required and the right of appeal. It will inform them that dismissal may result if there is further misconduct. A record of the warning will be kept on the employee s personnel file. Subject to satisfactory conduct, this will be disregarded for disciplinary purposes after a specified period (usually 12 months). If the employee s conduct has not improved sufficiently at the end of the warning period, the Company may extend the period of the warning. o Dismissal This may be considered where: o There is further misconduct whilst an employee has an active warning on file. o The employee is found to have committed an act of gross misconduct. In which case, dismissal without notice or payment in lieu of notice may result and they may be dismissed for a first offence. o As an alternative to dismissal, the hearing manager may consider action short of dismissal, which may include: Demotion (which could result in a reduction of pay) Reallocation of duties Redeployment 5/7

6 Gross Misconduct The following non-exhaustive list provides examples of offences that are normally regarded as gross misconduct, for which an employee may be dismissed: Theft, fraud, deliberate falsification of records, deceit, or dishonesty. Fighting, bullying, harassment, victimisation, discrimination or actual or threatened assault on another person. Reckless, wilful or deliberate damage to the Company s property or name. Being concerned or involved in action that is damaging or anti-competitive to the business of the Company. Attending work under the influence of alcohol or drugs or in possession of illegal drugs. Wilful or negligent behaviour causing unacceptable loss to the Company, damage or injury. Deliberately accessing internet sites containing pornographic, offensive or obscene material. Serious act of insubordination. Bringing the Company into serious disrepute. Serious breach of health and safety rules. Serious breach of confidence. Serious breach of a relevant code (e.g. Code of Conduct; APBI Code etc.). Conduct likely to seriously offend customers, suppliers, visitors or employees of the Company and that detracts from the Company s good name and reputation including swearing or aggressive behaviour. Misconduct The following non-exhaustive list provides examples of offences that are normally regarded as misconduct: Failure to follow the ABPI Code or a breach of the Code of Conduct Failure to comply with operating instructions or safety, health and environment precautions Misuse of equipment and systems Unauthorised absence or persistent bad time-keeping Lack of effort/co-operation with colleagues and/or management Insubordination Inadvertent breach of confidentiality 6/7

7 Key Contact For additional queries on this policy, please see the links in the Policy Summary or contact the HR Service Centre on or extension 29000, option 1. If you are a Line Manager who needs HR support on an individual disciplinary case, please contact the HR Service Centre as above and select Option 1, followed by Option 3. Ownership and Accountability Document Owner: UK Employee Relations Director. Subject Matter Experts: UK Employment, Legal. Approval Date: 1 st September /7