What Is the Disciplinary Process

Disciplinary Process

Note:Depending on the severity of the offence, managers have the discretion to start the process at either the informal stage, written warning stage or final written warning stage.

Managers should check on the Oracle Resource Management system to determine if there are any “live” written warnings in place before commencing formal action.

Due to systems constraints DCSF “Written warnings” should be entered into the RM system in the “Oral Warning” field. DCSF “Final Written warnings” should be entered into the RM system in the “”Written Warning” field.

• Talk to the individual discreetly, explain what is wrong and ensure that they are aware of the standards expected.

• Discreetly establish the facts by talking to any individuals who may have witnessed the incident and provide the individual with the opportunity to comment on the issues raised and explain any factors which may have influenced their behaviour (e.g. personal, health or disability issues).

• Encourage the individual to talk to a TU representative, colleague, friend, Doctor, or Right Corecare, if domestic, personal or health problems may be an underlying issue.
• Consider whether an Occupational Health referral, a disability assessment oran individual stress risk assessment are required.
• Agree what the individual needs to do to reach the required standard and remind them that failure to improve may lead to formal disciplinary action being considered.
• Update the Conduct Management Action Plan.

• Agree a review period (which should not exceed 3 months) unless there are exceptional circumstances to justify a longer period. The review period can be brought to an early close if it becomes clear that no progress is being made.
• Monitor conduct/behaviour throughout the review period and ensure that any agreed actions are implemented.
• Provide ongoing support, coaching and feedback and ensure that any additional concerns are discussed.

• Review the issues identified at the informal stage and consider any additional factors which have occurred during the review period (including where appropriate the comments of any available witnesses).
• At the end of the review period, let the individual know if their conduct/behaviour is now acceptable and the required standards have been met.
• If the individual has not met the required standards, managers should discuss the case with the Countersigning Officer and HR Business Partner before moving to formal action.

• Invite the individual, in writing to attend an interview to discuss concerns and inform them that they have the right to be accompanied by a TU representative or work colleague (see example letter 1). Give the individual copies of any documents that will be produced at the meeting.

• Explain concerns and go through the evidence. Allow the individual to set out their case and answer any allegations made. They should be allowed to ask questions, present evidence and call witnesses. They should also be given the opportunity to raise points about the information provided by witnesses. The meeting should also be adjourned for a short period.
• Give the individual 5 working days to submit written comments (unless exceptional circumstances mean longer is required) and carry out any further necessary investigations.
• Satisfy themselves that the offence is minor and, if so, whether a written warning should be given. Where a manager’s enquiries into an apparently minor offence bring other or more serious offences to light, they must contact HR immediately, particularly if there is a possibility of criminal proceedings.

• Within five working days of receiving written comments (unless exceptional circumstances mean longer is required), invite the individual to a short meeting to explain your decision and provide it in writing(see example letter 2). All written warnings are disregarded after one year unless other formal action is taken during the life of the warning period. The individual should be informed of their right to appeal.

• Remind the individual of the required standards and inform them that unless concerns are addressed, they may be issued with a final written warning (see next stage of the formal procedures);
• Update the Oracle Resource Management system with details of the Written warning and review period and arrange for it to be removed from the RM system after 12 months. NBDue to systems constraints DCSF “Written warnings” should be entered into the RM system in the “Oral Warning” field.
• If an individual appeals, the appeal manager should inform Employee Services of the start/end date of the appeal and any necessary deletions of disciplinary details that have been overturned via a Service Request.
• Update the Conduct Management Action Plan.

• Notify the individual that no further action will be taken (see example letter 9)

• Agree a review period, (should not exceed 3 months) unless there are exceptional circumstances to justify a longer period. The review period can be brought to an early close if it becomes clear that no progress is being made.

• Monitor conduct/behaviour throughout the review period and ensure that any agreed actions are implemented.
• Provide ongoing support, coaching and feedback and ensure that any additional concerns are discussed. Any supporting evidence during this period should be recorded.

• Indicate whether conduct/behaviour is now acceptable and the required standardshave been met.

Inform the individual that their conduct/behaviour now meets the required standard and no further formal action is required. The individual should be reminded that they need to maintain this level of conduct and that if it falls below an acceptable level within a 12 month period, this could lead to further formal action (see example letter 9)

• Update the Oracle RM system.

• If there is no improvement at the end of the review period following a written warning the individual should be invited to a formal meeting and the action outlined below should be followed.

• Inform the Countersigning Officer of their intention to instigate this stage of formal action.

• Invite the individual, in writing, to attend an interview to discuss concerns (see example letter 3) and inform them that they have the right to be accompanied by a TU representative or work colleague. Give the individual copies of any documents that will be produced at the meeting.

• Explain the purpose of the meeting and provide specific examples of where concerns still remain, despite action being taken to address them (as outlined in the Conduct Management Action Plan), and give the individual an opportunity to comment on the issues raised. The meeting should be adjourned for a short period.

• Give the individual 5 working days to submit written comments (unless exceptional circumstances mean longer is required) and carry out any further necessary investigations.

• Decide whether a final written warning is appropriate.

• Within five working days of receiving written comments (unless exceptional circumstances mean longer is required), invite the individual to a short meeting to explain your decision and provide it in writing (seeexample letter 4) and remind the individual of the required standards. The final written warning should include details of previous warnings and that failure to improve may attract an even more serious disciplinary penalty. The individual should be informed of their right of appeal.
• Update the Oracle Resource Management system with details of the penalty and arrange for it to be removed from the RM system after 12 months. NBDue to systems constraints DCSF “Final Written warnings” should be entered into the RM system in the “Written Warning” field.
• If an individual appeals, the appeal manager should inform Employee Services of the start/end date of the appeal and any necessary deletions of disciplinary details that have been overturned via a Service Request.
• Update the Conduct Management Action Plan.

• Agree a 1 month review period.
• Monitor conduct/behaviour throughout the review period and ensure that any agreed actions are implemented.
• Provide ongoing support, coaching and feedback to the individual. Any supporting evidence during this period should be recorded.

• Inform the individual that their conduct/behaviour now meets the required standard and no further formal action is necessary. The individual should be reminded that they need to maintain this level of conduct and that if it falls below an acceptable level within a 12 month period, this could lead to further formal action (see example letter 9).

• Update the Conduct Management Action Plan.

• Update the Oracle RM system.

• All cases of minor misconduct where a written and final written warning have been issued and there is still no improvement should be referred to the Employee Services Helpdesk (who will refer to an HR senior manager).
• All cases of serious or gross misconduct should be referred to the Employee Services Helpdesk (who will refer to an HR senior manager).
• HR will identify a senior manager who will be responsible for reviewing the case, chairing a meeting to discuss the issues and for deciding on a disciplinary penalty, if appropriate.
• The senior manager will invite the individual to a meeting to discuss concerns (see example letter 5).
• The senior manager will notify the individual of their decision within 10 working days (see example letters 6 to 9).
• The manager should notify Employee Services of any penalty via a Service Request.
• If an individual appeals, the appeal manager should notify Employee Services of the start/end date of the appeal and any necessary deletions of disciplinary penalties that have been overturned.