DISCIPLINARY POLICY 1. Policy 1.1 The disciplinary procedure set out below is designed to ensure that all employees are treated fairly and consistently, to ensure the efficient and safe performance of work and to promote the maintenance of good relations between colleagues and between employees and their managers. 1.2 All employees should familiarise themselves with procedure and abide by it. 1.3 The procedure applies to all employees regardless of length of service. It does not apply to agency workers or self-employed contractors. It does not apply to cases involving genuine sickness absence, proposed redundancies or poor performance. In those cases reference should be made to the appropriate procedure in the Staff Handbook. 1.4 Minor conduct issues can often be resolved informally between the employee and their line manager (for further information please refer to the performance management procedure). These discussions should be held in private and without undue delay whenever there is cause for concern. Where appropriate, a note of any such informal discussions may be placed on the employee s personnel file. In some cases an informal verbal warning may be given. Formal steps will be taken under this procedure if the matter is not resolved, or if informal discussion is not appropriate (for example, because of the seriousness of the allegation). 1.5 The Company recognises the importance of dealing with disciplinary matters without unreasonable delay.
2 Suspension 2.1 When allegations of misconduct arise, before commencing the investigation a manager should consult with staff in the Human Resources Department to consider whether the employee should be suspended from work. This can happen where the employee s continued presence in the office might hinder the investigation or where, for any other reason, it is reasonable to do so. The suspension will be for no longer than is reasonable to investigate the allegations and the Company will confirm the arrangements in writing. While suspended the employee should not visit the company s premises or contact any clients, customers, suppliers, contractors or employees, unless authorised to do so in writing by the line manager. 2.2 Suspension of this kind is not a disciplinary penalty and does not imply that any decision has already been made about the allegations. The employee will normally continue to receive full basic salary and benefits during the period of suspension. In exceptional circumstances, it may be without pay. 3 Investigation 3.1 When any complaint of misconduct is made against an employee, the Company shall, at its sole discretion appoint an appropriate manager of the Company to carry out the investigation. There may also be circumstances where an investigation is not necessary (for example when the Company becomes aware of a criminal conviction). 3.2 The purpose of an investigation is for the Company to establish a fair and balanced view of the facts relating to any disciplinary allegations against the employee, before deciding whether to proceed with a disciplinary hearing. The amount of investigation required will depend on the nature of the allegations and will vary from case to case. It may involve observing or monitoring the workplace, taking photographs, interviewing and taking statements from the employee concerned and any witnesses, and/or reviewing relevant documents or records. 3.3 Investigative interviews are solely for the purpose of fact-finding and no Disciplinary Policy 2
decision on disciplinary action will be taken until after a disciplinary hearing has been held. 3.4 Having investigated the concern managers should consult with Human Resources Department to determine whether it is necessary to initiate the next step in the disciplinary procedure, whether suspension is now necessary, whether the matter should be investigated further or whether no further action is required. If the matter relates to a capability i s s u e then the manager should refer to the capability policy. 4. Notice 4.1 Following any investigation, if the Company considers that there are grounds for disciplinary action, the employee will be required to attend a disciplinary hearing. 4.2 Employees will receive advance written notice of any disciplinary hearing from the Company. 4.3 This letter or notice will; 4.3.1 set out details of the nature of the allegations against the employee and what is to be discussed at the hearing; 4.3.2 confirm the date, time and place of the hearing; 4.3.3 advise of the employee s right to be accompanied at the hearing; 4.3.4 advise who the Company witnesses will be (if any); 4.3.5 provide copies of the Company s witness statements, or where this is not appropriate, summaries; and 4.3.6 provide copies of any other supporting written evidence on which the Company intends to rely. 4.4 The Chairman should be notified in writing at least two working days in advance of the hearing of the names of such witnesses and their relevance to the allegations. Any witness who has been given notice to attend a hearing by an employee and is a fellow work colleague of the employee will be given a reasonable amount of time off work to prepare for and attend the hearing. Disciplinary Policy 3
5. Disciplinary Hearing 5.1 A disciplinary hearing will be convened as soon as the Company reasonably can after the conclusion of the investigation and once the employee has had a reasonable opportunity to consider the information provided with the notice of the hearing. No decision will be made as to whether any disciplinary action is to be taken or the nature of the disciplinary action to be taken before the hearing takes place. 5.2 The hearing will usually be heard and chaired by a manager of the Company who was not involved in the investigation (the Chairman ). This manager should prepare for the hearing by reviewing the allegations and any evidence that has been obtained through the investigation. Whilst reviewing this documentation the manager should identify matters which require further clarification and determine the questions to be put to the witnesses and the employee accordingly. Where appropriate, managers should prepare open ended questions such as who, explain, how, describe. 5.3 At the hearing, the Chairman will explain the complaints against the employee and go through the evidence that has been gathered. The employee will have an opportunity to state his or her case in relation to the allegations and challenge any evidence produced in support of the allegations by the Company. Employees will be permitted to ask questions, present evidence and call witnesses. 5.4 A minute of the hearing must be taken. In order to enable this record to be as accurate as possible, the Chairman shall have discretion to record the meeting. 5.5 If the employee fails to attend a hearing arranged for an agreed date, the Company reserves the right to proceed with the hearing in their absence. 5.6 The proceedings, any statements and all documents and records relating to disciplinary hearings will be kept confidential. Copies of all correspondence and documents should be stored in the employee s personnel file. Disciplinary Policy 4
6. Right to be Accompanied 6.1 Employees are entitled to be accompanied at any disciplinary hearing (including any appeal hearing) by a fellow work colleague of their choice or an accredited Trade Union Representative. It is the responsibility of the employee to secure the attendance at any hearing of any fellow work colleague or representative. The person accompanying the employee is entitled to address the hearing and ask questions but not to answer questions on the employee s behalf. If the person accompanying the employee cannot attend on the proposed date for the hearing, the employee may suggest a reasonable alternative date, which must be within 5 working days of the date first proposed. The hearing will take place on the agreed rescheduled date whether or not the person accompanying the employee attends. 7. Adjournment 7.1 The Chairman has discretion to adjourn a hearing for any reason, such as if he deems it necessary in order to permit further investigations to be carried out. 8. Decision 8.1 Following the hearing, the Chairman may, after having taken an appropriate amount of time to reflect upon the seriousness of the matter, issue a verbal decision on whether disciplinary action is to be taken against the employee. If the Chairman is unable to reach an immediate decision following the hearing, he is entitled to deliberate on the hearing prior to issuing a decision in writing. In any event, written notification of the outcome of the hearing will be sent to the employee, together with an explanation of any disciplinary action to be taken and notification of the employee s right to appeal. Disciplinary Policy 5
9. Stages of Disciplinary Action 9.1 Very minor cases of misconduct and unsatisfactory performance will be dealt with informally in accordance with the performance management procedure, out with the formal disciplinary procedure, with the objective of improving the employee s conduct. Where the matter is more serious or where the employee has failed to improve his or her conduct, formal action will be taken following the stages set out below. 9.2 There are three stages of disciplinary action. Other than in cases of gross misconduct, an employee will not normally be dismissed for a first offence. The Company reserves the right to take action at any stage, depending on the circumstances of the case. 9.2.1 Stage 1 - First Written Warning In cases of misconduct an employee may initially be given a formal written warning. This will give the following information:- 9.2.1.1 an explanation of the reasons for the warning; 9.2.1.2 an explanation of the improvements in conduct required; 9.2.1.3 the timescale for making these improvements; 9.2.1.4 any support the Company will provide to assist the employee; 9.2.1.5 an explanation of the consequences of any repetition of misconduct or failure to improve conduct to an acceptable standard; and 9.2.1.6 advice as to the employee s right to appeal against the disciplinary decision. A note of the first written warning will be kept on the employee s personnel record and will remain in force for 6 months, even if any specified time for improvement has passed. It will be disregarded for disciplinary purposes after a period of 6 months, subject to satisfactory conduct and performance during that time. Disciplinary Policy 6
9.2.2 Stage 2 Final Written Warning In the event of: 9.2.2.1 failure to improve or change behaviour during the currency of a prior warning; or 9.2.2.2 where the misconduct, infringement or offence is sufficiently serious to warrant only one written warning, a final written warning may be given to the employee. The final written warning will be set out in the same manner and provide the same information as the first written warning. A copy of the final written warning will be kept on the employee s personnel file and will remain in force for 12 months, even though any specified time for improvement has passed. In exceptional cases depending upon the seriousness and nature of the behaviour, misconduct or infringement, the period for which the final written warning remains in force may be longer. The final written warning will normally be disregarded for disciplinary purposes after 12 months (or such longer period as may be stipulated as above), subject to satisfactory conduct and performance during that time. 9.2.3. Stage 3 Dismissal or other sanction In the event of: 9.2.3.1 failure to improve or change behaviour or improve performance during the currency of a prior warning, or 9.2.3.2 where the misconduct, infringement or offence is sufficiently serious to warrant dismissal, or 9.2.3.3 if any employee is guilty of an act of gross misconduct (see below for a non exhaustive list of examples). Disciplinary Policy 7
Dismissal will normally result. 9.2.3.3.1 In the case of dismissal (including summary dismissal), the employee will, as soon as the Company reasonably can, be provided with the written confirmation of the dismissal which will set out the following:- 10 Misconduct 9.2.3.3.1.1 details of the reason for the dismissal; 9.2.3.3.1.2 the date on which the employment terminated or will terminate; 9.2.3.3.1.3 the appropriate period of notice or pay in lieu of notice (if any); and 9.2.3.3.1.3 information on the employee s right of appeal. 10.1 Below are some examples of misconduct which may result in disciplinary action. The list is not intended to be exhaustive: 10.1.1 Contravention of safety or hygiene requirements; 10.1.2 Acting in any way that could contribute a risk to the health and safety of yourself or any other person whilst at your job site; 10.1.3 Failing to observe published safety and fire rules and instructions; 10.1.4 Failing to report accidents; 10.1.5 Failing to comply with the designation of no smoking areas; 10.1.6 Failure to report potential hazard or unsafe conditions; 10.1.7 Sexual harassment; 10.1.8 Sexual or racial discrimination; 10.1.9 Failing to maintain an acceptable standard or level of work performance; 10.1.10 Failing to conform to Sodexo s working practices and procedures; 10.1.11 Refusing to carry out a reasonable instruction; 10.1.12 Extending tea or meal breaks; 10.1.13 Poor time keeping; 10.1.14 Persistently failing to be in attendance at the place of work at the required time; Disciplinary Policy 8
10.1.15 Leaving the place of work prior to normal finishing time without permission or acceptable reason; 10.1.16 Unauthorised and unreasonable absence from place of work; 10.1.17 Failing to report absence from work on the first day of such absence; 10.1.18 Failing to keep Sodexo informed of the reasons for your absence and the anticipated date of return to work; 10.1.19 Unreasonably failing to obtain permission for absence other than by reason of sickness or accident; 10.1.20 Poor customer relations; 10.1.21 Unsatisfactory standard of dress or appearance; 10.1.22 Disruptive behaviour; 10.1.23 Unhygienic practices; 10.1.24 Acting in a way which is prejudicial to Sodexo s interests in its dealings with customers, suppliers or other outside contacts; 10.1.25 Performing any work or activity that could be considered to be in competition with or effect in any way Sodexo s interests; 10.1.26 Using Sodexo s or our client s time, material or equipment for unauthorised work; 10.1.27 Failing to take reasonable care of business property, including uniform and safety wear; 10.1.28 Removing material or equipment without permission; or 10.1.29 Communicating any confidential information without authority to any person not entitled to receive it. 10.2 Summary Dismissal 10.2.1 If an employee is guilty of an act of gross misconduct or some other serious breach of the Company rules or of the contract of employment the employee may be summarily dismissed. This means that there will be no obligation on the Company to allow the employee to work his or her notice period or make a payment in lieu of notice. 10.2.2 Set out below are examples of behaviour which the Company treats as gross misconduct. If employee commits an act of gross misconduct they will be dismissed without notice. This list is not exhaustive: Disciplinary Policy 9
10.2.2.1 theft, dishonesty or fraud; 10.2.2.2 assault, act or threat of violence or aggression; 10.2.2.3 unacceptable use of obscene or abusive language (including language of a discriminatory nature); 10.2.2.4 possession, being under the influence of or use of non-prescribed drugs on; 10.2.2.5 Company premises, or during working hours; 10.2.2.6 possession, being under the influence of or consumption of alcohol on Company premises, or during working hours, other than on occasions approved by the Company; 10.2.2.7 wilful damage to the Company s, employee s, or customers property; 10.2.2.8 serious insubordination; 10.2.2.9 falsification of records or other Company documents, including those relating to obtaining employment; 10.2.2.10 unlawful discrimination, harassment or bullying; 10.2.2.11 refusal to carry out reasonable management instructions; 10.2.2.12 acts of indecency, or sexual harassment or bullying; 10.2.2.13 gambling, bribery or corruption; 10.2.2.14 serious breach of health and safety policies and procedures, or endangering the health and safety of a fellow employee, client or third party; 10.2.2.15 serious breach of the Company s or the client s policy on internet or e-mail use; 10.2.2.16 breach of confidentiality, including the unauthorised disclosure of Company business to the media or any other party (subject to the Public Interest Disclosure Act 1998); 10.2.2.17 unauthorised access to or use of Computer data or computer hardware; 10.2.2.18 copying of computer software, other than when authorised in the employee s normal course of employment; 10.2.2.19 bringing the Company into disrepute; 10.2.2.20 misuse of the Company s name; 10.2.2.21 serious breach of the Company s or client s policies or procedures; 10.2.2.22 any act or omission that amounts to the repudiation of the contract of employment; Disciplinary Policy 10
10.2.2.23 serious negligence which causes or might cause unacceptable loss, damage or injury or; 10.2.2.24 conviction of a criminal offence (except for minor road traffic offences). 10.2.3 If an employee s behaviour justifies it the Company may summarily dismiss an employee without any previous warning(s) having been given. 11. Appeals 11.1 Any employee who wishes to appeal against a disciplinary decision or sanction must inform the Chairman in writing within, one week if working onshore and three weeks if working offshore, of receiving notification of the disciplinary decision. The employee s written notification should specify the grounds for the appeal. If the employee wishes to produce additional evidence to support his case then this must be provided to the Chairman in advance of the appeal hearing. 11.2 All appeals will be dealt with as promptly as reasonably possible. A date will be set for the appeal hearing as soon as the Company reasonably can after the Chairman has received written notification of the employee s appeal. Wherever possible, the appeal will be heard by a Manager of the Company who has not been involved in the investigation or disciplinary hearing and is at least at the same level of management as the Chairman of the Disciplinary Hearing. 11.3 The employee will be informed of the arrangements for the appeal hearing, confirmation of the Appeal Chairman, details of any representative of the Company who will be present and of the right to be accompanied at the appeal hearing. The Company will inform the employee if any witnesses are to attend the appeal hearing on behalf of the Company. The employee may be represented by a fellow employee or accredited Trade Union Representative at the appeal. 11.4 The employee must advise the Appeal Chairman in advance of the appeal hearing of the name and relevance of any witness he or she intends to bring to the appeal hearing on his or her behalf. Any work colleague who Disciplinary Policy 11
has been requested to accompany the employee or to appear as a witness for the employee will be given a reasonable amount of time off work to prepare for and attend the appeal hearing. The employee will be notified if any witnesses are to attend the appeal hearing in support of the allegations against the employee on behalf of the Company. Where a work colleague has been asked by the employee to attend as a witness they shall be given a reasonable amount of notice to attend the hearing. If the employee fails to attend a hearing arranged for an agreed date, the Company reserves the right to proceed with the hearing in their absence. 11.5 At the appeal hearing, the employee or his or her representatives will be asked to present his or her appeal to the Appeal Chairman. 11.6 The Appeal Chairman will confirm the results to the employee in writing as soon as he reasonably can. The Appeal Chairman s decision will be final. Disciplinary Policy 12