DISCIPLINARY POLICY · V6 DISCIPLINARY POLICY July 2020 Page 1 of 14 DISCIPLINARY POLICY Human Resources July 2020 ... On being advised of complaints or allegations, a colleague has

V6 DISCIPLINARY POLICY July 2020 Page 1 of 14

DISCIPLINARY POLICY

Human Resources

July 2020

1.0 SCOPE

This policy applies to all Police Mutual Group colleagues including those on temporary and

fixed term contracts regardless of length of contract.

2.0 PURPOSE

This procedure sets out the process to be followed to address misconduct or other

behavioural issues.

3.0 INTRODUCTION

The group recognises that even in the best of relationships, things go wrong from time to

time and peoples’ behaviour or conduct falls short of what we expect as an organisation.

Therefore, there needs to be practices in place that enable any problems with an

individual’s fulfilment of the Group’s requirements to be resolved fairly, consistently,

constructively and swiftly in the best interests of all concerned.

4.0 HIGH LEVEL POLICY STATEMENT

The Group wishes to create a working environment where colleagues are given the scope

to apply all of their talents to their work. Rules, policies and procedures will be kept

straightforward and relevant to the needs of the Group and sustaining high quality service

and operational efficiency. These are written in various policies and procedures and

everyone should ensure that they are familiar with them.

This policy will apply to all Group colleagues on Permanent or Fixed Term contracts (with

the exception of those within their Probationary Period where the Group reserves the right

to use a modified process) but not to temporary agency staff, consultants or others.

This policy does not confer any contractual rights on anyone who works for the Group in

whatever capacity. We reserve the right to withdraw or amend the whole or part of this

policy at any time. Where practicable, appropriate notice will be given.

Under the Senior Managers and Certification Regime (SM&CR) any colleague subject to

the regime will be required to adhere to all defined regulatory rules, Group policies and

the Authority Handbook and therefore within the application of this policy these must be

considered.

5.0 ROLES AND RESPONSIBILITIES

The Head of HR has responsibility for the maintenance of this policy.

The Disciplinary Chair will be responsible for all the disciplinary decisions made.

Human Resources will be responsible for ensuring that these procedures are up to date

and meet the needs of the business. Human Resources will also be responsible for ensuring

that the procedures are followed fairly, consistently and thoroughly and that relevant

advice and support is available throughout.


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July 2020

6.0 DISCIPLINARY RULES

Misconduct

There are other disciplinary offences which are less serious and do not constitute gross

misconduct. No document can set out every possible scenario that applies, which may in

any event vary between different parts of the Group. For these lesser offences, however,

a first offence would normally result in a warning being issued rather than dismissal

(except in the case of colleagues who are on probation).

Some examples of lesser misconduct would include:

Poor timekeeping and attendance

Failing to follow required absence reporting procedures

Gross Misconduct

Gross misconduct is defined as a fundamental breach of contract by the colleague, for

example where the necessary bond of mutual trust and confidence between the employer

and the colleague is broken and the possibility of continued employment must be in grave

doubt. It is so serious that a colleague can be dismissed on the first occurrence without

prior warning.

Examples of gross misconduct include the following (although this list is not exhaustive):

Theft, fraud or dishonesty

Bribery or serious breach of ethics

Money laundering, insider trading or other breaches of laws regulating financial

services

Deliberate falsification of records

Physical violence or threatening, abusive or indecent behaviour

Serious insubordination, for example refusal to comply with a reasonable instruction

Unauthorised absence from work

Bringing the Group into disrepute

Unsatisfactory references or employment checks

Serious incapability at work brought on by alcohol or illegal substance

Possession of, or offer to supply or produce illegal drugs

Deliberate misuse or serious damage to the Group’s or other’s property, facilities,

security or reputation

Acts of harassment or bullying Being charged with or convicted of a criminal offence that, in the Group’s opinion, is

incompatible with further employment with the Society

Serious or deliberate breach of Conduct Rules

Serious or deliberate breach of the rules of the FCA/PRA or any other authority that

regulates the Group’s business

Serious or deliberate breach of the Group’s compliance requirements

Negligence that causes or might cause unacceptable loss, damage or injury Serious breach of confidence [subject to the Public Interest (Disclosure) Act 1998] Serious or deliberate breach of the Group’s Equality Policy Serious or deliberate breach of health and safety (lack of care to their duties or other

people)


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Serious or deliberate breach of data protection regulations Breach of the Smoke Free Policy Breach of other Group policies and procedures

In all the examples above:

They also apply if a colleague attempts to breach these rules;

Bullying and harassment is not just confined to the workplace. The Group’s

expectations of a colleagues behaviour extends to all work-related activities such as

business trips, staff parties and so on. Similarly, colleagues must ensure they do not

bully or harass anyone through external means such as social networking sites, email

or text messages. They include any breach which is committed through the use of social media (whether

during or outside working hours and whether or not using the Group’s or the

colleague’s own computer, phone or other electronic equipment).

7.0 PROCEDURE

Investigations

There will normally be a thorough investigation of all the relevant facts, witness statements

and background information prior to a decision being taken about whether there is a case

to answer. In some instances, however, a detailed investigation may be unnecessary e.g.

where the evidence is overwhelming or the colleague admits the allegation.

We will normally meet with the colleague to obtain their version of events as part of the

investigation. We are not however required to do so and may dispense with such a

meeting, for example, if it is clear that whatever the colleague says, there is an apparent

case of misconduct which will need to be resolved at a disciplinary meeting.

In situations where the objectivity or fairness of the investigation may be compromised,

for example by a conflict of interest, the line manager and/ or HR can ask a colleague of

similar seniority to complete the investigation and recommend whether disciplinary action

should be considered. Typically, the person carrying out the investigation will not be the

same person who carries out any subsequent disciplinary meeting. However, in

straightforward cases this may be the same person, for example, if it is clear from the

evidence that a procedure or process has been breached and no further investigation is

necessary.

In some instances Human Resources may determine that there is a requirement to use

external consultants to carry out an investigation on behalf of the Group. The investigation

will be overseen by the Head of Human Resources and/or someone appointed on their

behalf as appropriate and will be conducted in line with the Group’s disciplinary

procedures.

On being advised of complaints or allegations, a colleague has the right to an opportunity

(usually at a disciplinary meeting) to respond and state their case.

It is essential that any colleague asked to attend an investigatory meeting (or to provide

information as part of an investigation) answers any questions truthfully and frankly. If a

colleague lies during an investigatory process or conceals facts, this constitutes gross

misconduct and this will be managed formally and may result in dismissal.


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If as a result of any investigation, we decide that there is no case to answer, the colleague

will be notified of this and the procedure is at an end. Any suspension (see below) will

then terminate and the colleague will return to work as normal.

The Group may, where the issues are clear, determine that an investigation is not required

and move straight to the next part of the procedure.

Suspension

Prior to suspending a colleague due consideration should be given to alternative measures

where possible i.e. amended/ restricted duties in order to protect the colleague and the

group

Suspension from duty will be considered where for example;

allegations or complaints involve serious or Gross Misconduct or

a continued presence in the workplace may prejudice an investigation or risk the

Group’s property or responsibilities to others or

where there is reasonable grounds for concern that evidence may be tampered with or

destroyed, or witnesses may be pressurised before the meeting or

where “relationships” have broken down or

a colleague is unable to act in the capacity of a Certified role due to a Certificate being

withdrawn

in order to suspend a colleague this must be approved by Head of HR and the Line

Executive

Such suspension will not be unnecessarily protracted and the decision to suspend will be

reviewed regularly.

Suspension will normally be with full pay. Exceptionally, the Group has the contractual

right to suspend a colleague without pay if the allegations are of theft, fraud or dishonesty

or if the resolution of the disciplinary process has been delayed due to the deliberate or

unreasonable refusal or failure of the colleague to co-operate fully with the disciplinary

procedure. Where a colleague is suspended without pay, then if they are cleared of the

disciplinary allegations as a result of the disciplinary procedure, we will re-instate their pay

retrospectively for the period of unpaid suspension.

While suspended, a colleague should be contactable and available to attend work for an

investigatory meeting or a disciplinary meeting when requested. We will endeavour to

keep in contact with a colleague during any period of suspension, however we are under

no obligation to do so.

It is essential if suspended that a colleague complies with the terms of any suspension. If

a colleague breaches the suspension (for example by having contact with other colleagues

or witnesses without our prior agreement), this constitutes gross misconduct and the

colleague may be dismissed as a result.

The Line Executive, in consultation with Compliance, will advise whether it is appropriate

to suspend a colleague whose role is either subject to approval by the FCA, the PRA or

both, or a Certified colleague. At the point of suspending the colleague relevant regulatory

action must be undertaken such as notifying the FCA/ PRA, updating the FCA Directory or

notifying appropriate committees or boards of the suspension.


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In these circumstances the colleague will be informed in advance if the Group intends to

notify the FCA/ PRA of their suspension and the Group will make it clear to the FCA/ PRA

that suspension is not in itself disciplinary action.

Allegations and advising the colleague

The colleague will receive written notification inviting them to attend a disciplinary

meeting. In exceptional circumstances, the colleague will normally be given a minimum

of two working days’ notice of the meeting. The colleague has a right to waive this notice,

if they so wish and it is agreed by the Group.

The letter will include the following information:

The date, time and location of the meeting

Who will be chairing the meeting and who, if anyone, will be accompanying from

Human Resources.

Details of the allegation or complaint

Copies of relevant information/documentation/evidence

Any other information they plan to talk about

Details of the right to be accompanied

The possible outcome (only include if it could result in dismissal)

Disciplinary Meeting

The colleague will be taken through the evidence at the start of the meeting and allowed

to set out their case and answer any allegations that have been made. They will also be

given a reasonable opportunity to ask questions, present evidence and call upon

information from relevant witnesses.

If new information is presented the existing proceedings may be adjourned. All parties

should be kept fully informed and the procedure should be recommenced at the

appropriate point, so that thoroughness and fairness are ensured.

A colleague has no automatic right to call witnesses to give verbal evidence nor to cross-

examine witnesses. If a colleague wishes us to take into account evidence from other

colleagues or challenges evidence given, the colleague should explain this to the person

chairing the disciplinary meeting and the nature of their concern. The chairperson will

then be free to arrange for additional statements to be taken from new witnesses or to

question existing witnesses if they consider this is necessary.

We will try to ensure that the time when meetings take place and their location is

reasonable. It is reasonable for the Group to expect colleagues to travel to a location that

is not their normal place of work for a disciplinary meeting or disciplinary appeal so long

as the Group pays all reasonable travelling expenses.

We can hold a disciplinary meeting at a time which does not fall within the colleague’s

normal working days/hours.


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Being accompanied at the meeting

A colleague has the right to be accompanied by a willing colleague or trained and suitably

qualified full-time or lay Trade Union official who has received training, in acting as a

companion at disciplinary and grievance meetings, provided they make a reasonable

request.

The companion’s role is to participate in helping the colleague prepare for meetings, and

to act as an observer for the colleague during the disciplinary and appeal meeting if

applicable. The companion can speak on behalf of the colleague as necessary (but not

answer questions on the colleague’s behalf). If the colleague has any understanding or

language barriers, then reasonable adjustments will be made and support provided.

Ideally this should be via the companion.

Reasonable time off will be allowed for preparatory meetings between the colleague and

companion and for them to confer during and after a meeting.

Provided reasonable explanations are given, the colleague can request an alternative time

and/or date for a meeting. If a colleague then fails to attend the pre-arranged meeting

the meeting will go ahead and a decision will be made in their absence.

The right to be accompanied extends to the disciplinary meeting. It does not extend to the

investigatory meetings and interviews as this is a fact finding meeting only at this stage.

Disciplinary Meeting Outcomes meeting

Following the conclusion of the disciplinary meeting, a fair and reasonable judgment will

be reached by the manager chairing the meeting. Dependent on the circumstances the

manager may take one of the following, possible actions. The outcome will be

communicated in writing typically within 10 working days of the meeting depending on

complexity and availability of management.

No Further Action

In a case where it is not possible to form a genuine belief that the complaint or allegation

is justified, no disciplinary action will be taken and records of the procedure will not be

placed on file.

Informal Warning

If a misconduct issue was found to be small and not serious, the line manager will have

an informal talk with the colleague to discuss any minor misconduct issues or areas of

improvement. A confidential written record of informal warnings will be kept on the

colleagues personnel file for future reference for a period of up to 6 months.

Written Warnings

A written warning is a formal warning that is issued to a colleague at the end of the

disciplinary procedure.

A first or final written warning letter should say:

what the misconduct or performance issue is


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any requirements in terms of corrective action and/or behaviour change(s) with a

timescale

a warning that if the requirements are not achieved or there are further complaints

or allegations of a similar nature, then further disciplinary action would be taken

which could lead up to and include dismissal

what level of warning is being issued to the colleague

how long the warning will stay in place

that there is a right of appeal

First Written Warning

A First Written Warning may be issued, in a case of misconduct where allegations or

complaints are upheld and it will be confirmed in writing; typically within 10 working days

of the meeting depending on the complexity and availability of management.

A copy of the Warning will be kept on file but will be disregarded for disciplinary purposes

after a specified period. Normally this will be a minimum of six months but may be longer

in appropriate cases.

Final Written Warning

Where there is a further disciplinary offence during the life of a prior warning, or where

the infringement, deficiency or misconduct is sufficiently serious, a Final Written Warning

may be issued.

This will be confirmed in writing typically within 10 working days of the meeting depending

on the complexity and availability of management.

A copy of the Final Written Warning will be kept on file but will be disregarded for

disciplinary purposes after a specified period. Normally this will be a minimum of twelve

months but may be longer in appropriate cases.

General Provisions about Warnings

If a colleague commits any further misconduct during the lifespan of a warning (whether

or not that misconduct is the same type of offence for which the original warning was

given), the next level of warning would normally be issued. In some cases we may decide

that the breach is so serious that we may decide to jump to a higher level of sanction

and/or impose other outcomes if the Group thinks those are appropriate.

For a Final Written Warning, any further act of misconduct whilst the warning is in force

would normally result in dismissal (whether or not it is the same ‘type’ of misconduct for

which the warning was given).

The duration of a warning will be suspended for any period whilst a colleague is absent

from work. For example, if a colleague is off sick or on maternity leave for a given period,

then the warning will be suspended during their absence and will continue to run on their

return to work. For example, if a colleague is given a warning for a year until 31st January

but then goes off sick for 3 months, the duration of the warning will be deemed to be

extended for the period of their absence i.e. it will now expire on 30th April.


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Once a warning has expired, in most circumstances it will be disregarded for the purposes

of deciding what disciplinary penalty should be imposed for a future offence. This does

not, however, mean that the warning never existed. For the purposes of considering, for

example, mitigation, the colleague would not therefore be able to say that they had a

‘clean’ disciplinary record and had never committed a previous disciplinary offence.

Similarly, if there is any ambiguity about whether or not the colleague knew that their

conduct was unacceptable, the fact that they had previously received a warning for that

type of behaviour could still be taken into account.

In addition to any warning, the Group can also decide that the colleague is no longer

eligible to participate in any Group bonus scheme for the duration of that warning.

Where a colleague is found to be in breach of either the Individual Conduct Rules or the

Senior Manager Conduct Rules the Group is obliged to report such breaches to the

regulator. Where this breach brings into question the colleagues continued fitness and

propriety then this may impact upon that colleagues’ ability to continue to work within the

Group.

Dismissal

No one will be dismissed for a first offence except in the case of gross misconduct or gross

negligence.

There are two types of dismissal: -

Summary dismissal

This applies in cases of Gross Misconduct or gross negligence where the circumstances are

so serious as to warrant dismissal without notice, or pay in lieu of notice. In such cases

previous warnings may have not been given i.e. the whole procedure may be completed

in one step.

Procedural dismissal

This applies in cases where previous warnings have been given and there has been a

failure to respond adequately or improve behaviour satisfactorily i.e. a sequence of actions

has been completed including the associated warnings. Notice pay (or pay in lieu of notice)

will normally be given.

Dismissal will be confirmed in writing typically within 10 working days of the meeting

depending on the complexity and availability of management. The letter will include:

The reasons for the decision.

Confirmation of the date of dismissal.

Where appropriate details of any notice or pay in lieu of notice.

The right of appeal.

Other Sanctions

The Group has the contractual right to impose the following additional sanctions (either

alone or in conjunction with any other sanction):


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Compulsory Transfer: we can compulsorily transfer a colleague to work at a

different location or in a different department either temporarily or on a permanent

basis. This may be accompanied by loss of pay or benefits.

A compulsory transfer will normally be combined with a disciplinary warning at the

appropriate level. Further misconduct will then be dealt with like any other

disciplinary offence.

Demotion: we can demote a colleague either temporarily or on a permanent basis.

This may be accompanied by loss of pay or benefits and the Group has the

contractual right to reduce the colleague’s pay and/or benefits to a level which is

appropriate to the demoted role.

A demotion would normally be combined with a disciplinary warning at the

appropriate level. Further misconduct will then be dealt with like any other

disciplinary offence.

Fine or suspension without pay: we can fine colleagues. This would involve the

colleague having to pay a sum of money to the Group. The amount of the fine

would be decided by the person conducting the disciplinary meeting but would not

normally exceed 10% of the colleague’s basic periodic remuneration. Any fine

would be deducted from the colleague’s salary and all colleagues agree that the

Group is authorised to make that deduction. Examples of such fines might include

recovering the cost of loss or damage to Group property for which the colleague is

liable or additional costs incurred by the Group as a result of the colleague’s

misconduct.

The Group can also suspend colleagues without pay for a reasonable period as a

disciplinary sanction. A reasonable period would not normally exceed a maximum

of 2 weeks save in exceptional circumstances.

A fine and/or suspension without pay would normally be combined with a

disciplinary sanction at the appropriate level. Further breaches of any Group

policies and procedures will then be dealt with like any other disciplinary offence.

Withdrawal of Certification Certificate – this may result in Compulsory Transfer or

Demotion. If a colleague is unable to remain certified in a certification role then

they are unable to act in the capacity of the certification role initially appointed

into.

Other sanctions: the Group has the right to impose other disciplinary sanctions

depending on the circumstances. Examples of other possible sanctions might

include requiring the colleague to undergo training, counselling or other

intervention to avoid any repetition of the offence and to increase their awareness

of their obligations; and requiring the colleague to apologise to the Group and/or

other colleagues (whether verbally or in writing).

If a colleague refuses to comply with any other sanctions, we have the right to re-visit the

original disciplinary penalty and to determine whether (in light of the colleague’s refusal)

a more serious sanction should be imposed.

Any of the disciplinary outcomes above may be combined with any other disciplinary

sanction.


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Advice from Human Resources will be available throughout, on request.

General

Grievance Proceedings being invoked during Disciplinary Proceedings

To avoid becoming confused and/or the risk of Disciplinary Procedures not being followed

properly, if formal Grievance proceedings are invoked during the Disciplinary Procedure,

then the Disciplinary proceedings may (in the Group’s discretion) be suspended

temporarily whilst the Grievance is addressed. Depending on the outcome, the Disciplinary

proceedings will then be resumed. Alternatively, the Group may hear the disciplinary

allegations and grievance concurrently or decide to resolve the disciplinary issue first

before addressing the grievance.

Support

The Group recognises that going through the disciplinary procedure can be a difficult event

in a colleagues’ career. Line Managers and HR will be available to answer questions and

ensure that information, support and advice is available to the colleague throughout the

proceedings.

Colleagues are encouraged to utilise the Employee Assistance Programme. Independent

support is also available through the confidential 24 hours Colleague Helpline on 0800 169

1920.

Sickness absence during Disciplinary Proceedings

Colleagues should take all reasonable steps to attend and co-operate in investigatory

meetings and/or disciplinary meetings. The Group recognises that facing disciplinary procedures can be a traumatic and stressful time for colleagues.

If a colleague is absent during proceedings we may modify this procedure and continue

with the disciplinary proceedings in the colleague’s absence if we believe it is appropriate and in the best interests of the colleague to proceed to resolve the issues.

We will maintain contact with the colleague throughout any period of absence and provide

advance warning of any modifications to be made. Where we consider it appropriate, we may take medical advice before continuing.

Colleagues are reminded that Company sick pay is discretionary. If a colleague goes off

sick whilst a disciplinary investigation or proceedings are underway, there is no guarantee that Company sick pay will be paid.

Resignations

If a colleague wishes to resign whilst undergoing disciplinary proceedings, then they should

seek advice from Human Resources.

Attendance at Meeting


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Where a colleague is unable or unwilling to attend a disciplinary meeting without a

reasonable explanation, the meeting will be arranged once. If the colleague is still unable

or unwilling to attend after this then we will proceed with a disciplinary meeting and

decision-making, based on the evidence available and without the colleague’s contribution.

The colleague will be informed if this is the case.

Colleagues whose roles are subject to regulatory approval and/ or Certification

Should disciplinary allegations be upheld against a colleague whose role is subject to

regulatory approval and/ or Certification we will be obliged to review their ongoing fitness

and propriety and suitability to carry out their role on behalf of the Group.

If the upheld allegations are serious enough to call into question the colleague’s honesty

or integrity, and / or the act of misconduct are connected to the conduct of the Group’s

business activity, the Group will be entitled to conclude that the colleague is no longer fit

to carry out their duties. Such acts of misconduct will include, but will not be limited to

acts of:

financial impropriety, fraud or theft

falsification of records

dishonesty

misrepresentation of the Group

professional malpractice

physical violence

bullying and harassment

serious breach of FCA/ PRA Individual Conduct Rules/ Senior Manager Conduct

Rules’ rules, other legislation relating to financial services or compliance

requirements

any other act which the Group considers to call into question the colleague’s fitness

and propriety

In such cases, in addition to any disciplinary sanctions (which may include summary

dismissal) the Group will inform the FCA/ PRA that the colleague has been the subject of

disciplinary action / dismissed and has ceased to perform their regulatory responsibilities.

Any notifications must be made within the appropriate timescales.

Matters of minor misconduct, such as minor breaches of internal procedures or issues of

attendance or lateness for example, which are not considered to call into question the

colleague’s honesty and integrity and / or do not relate to the conduct of the Group’s

business activity, will not preclude the colleague from carrying out their regulatory

responsibilities and will not be notified to the FCA/ PRA.


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Reporting of Conduct Rule Breaches

Under the Senior Manager and Certification Regime (SM&CR) the Group are required to

report all breaches of conduct rules by colleagues (permanent, fixed term or probationary)

or other workers (agency workers, temporary contractors and / or consultants or any other

individuals who perform duties under contract for the Group) to the regulatory authorities.

This may impact an individual’s ability to continue to work within the Group.

Confidentiality

So far as reasonably practicable, we will try to conduct all disciplinary proceedings in

confidence. Colleagues who are asked to supply information in relation to a disciplinary

investigation must keep this confidential. Any colleague who is accused of a disciplinary

offence should also maintain confidentiality in relation to the allegations; the proceedings

and the outcome of the disciplinary process and may not discuss them with or disclose

them by any means to any colleague, member, customer, supplier or third party (except

in confidence with their family and any professional adviser or trade union). Breach of

confidentiality is a serious matter and may be treated as gross misconduct.

Provision of Regulatory References

The Group is obliged to provide a regulatory reference (using a mandatory template) when

requested by a third party who is seeking an employment reference for a current or ex-

colleague who will be appointed to either a Senior Manager or Certification role.

A regulatory reference must include information which covers six years from the date of

the reference request – or which covers an unlimited time where there are serious matters

to be disclosed or where there has been serious misconduct.

Where the Group becomes aware of any relevant detail that would have changed any

information included in a regulatory reference, it will be required to update the reference

given. For example, where an internal investigation gives rise to concerns about a former

colleague’s conduct, the Group will need to consider whether it is necessary to update any

reference provided. The Group is required to make reasonable enquiries as to the identity

of an ex-colleague’s current employer, even if that ex-colleague has moved to a new

employer since the original reference was given. If the Group has reasonable grounds to

believe misconduct took place, it should be included in a regulatory reference even where

no formal finding has been made.

Criminal Charges

Where a colleague’s conduct is the subject of a criminal investigation, charge or conviction,

we will investigate the facts before deciding whether to take formal disciplinary action. The

Group will not usually wait for the outcome of any prosecution before deciding what action,

if any, to take. Where a colleague is unable or has been advised not to attend a disciplinary

meeting or say anything about a pending criminal matter, the Group may have to take a

decision based on the available evidence.

A criminal investigation, charge or conviction relating to conduct outside work may be

treated as a disciplinary matter if the Group considers that it is relevant to the colleague’s

employment or the Groups reputation. All colleagues whose roles are subject to approval

by the FCA and/or the PRA and Certification Colleagues are obliged to notify the Group of

a criminal investigation, charge or conviction in relation to themselves in order that the


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Group can assess whether there has been a change to the colleague’s fitness and

propriety.

Appeals

There will be a right of appeal against decisions resulting from formal Disciplinary

Proceedings. Appeals are an opportunity for a colleague to explain why they believe the

action taken was unfair. Generally, appeals will be based on one of the following: -

The decision is too harsh.

New information or evidence has emerged since the meeting that could have led to a

different outcome.

The procedure was not followed and the colleague was not given a fair meeting and

suffered detrimentally as a result.

Information/documentation that was not made available to the colleague was relied on

in the decision.

Appeals must be made in writing, clearly stating the grounds for appeal and addressed to

Human Resources within five working days of receipt of the decision. Appeals against

disciplinary decisions will be heard by a member of the senior management team or an

Executive who has not previously been involved in the disciplinary meeting or decision

process. The Appeal Manager will be accompanied by a member of Human Resources.

A meeting will be arranged as soon as reasonably practicable. At the Appeal Meeting the

colleague may be accompanied, as during previous stages.

The information provided will be considered carefully and any further investigation

undertaken by a senior manager/executive not previously involved in the disciplinary

process and/or a member of Human Resources. Having judged whether the disciplinary

action was fair and reasonable, the Appeal Manager may take one of the following

decisions: -

Uphold the original decision and sanction.

Reduce the level of the sanction e.g. reduce a Final Written warning to a First Written

Warning.

Overturn the decision or overturn part of the decision

Increase the level of the sanction e.g. increase a First Written warning to a Final Written

Warning.

Substitute a different decision and/or sanction at whatever level the appeal manager

thinks is appropriate (up to and including dismissal). Accordingly, if the appeal

manager considers that the original disciplinary decision or sanction was too lenient in

the light of all the facts, a more serious penalty may be imposed on appeal. Equally,

if the appeal manager considers that the original sanction was too harsh, a lesser

penalty may be substituted.

The appeal will represent the final stage of the Disciplinary Procedure. The decision will be

the final one on behalf of the Group and will be conveyed to the colleague, in writing as

soon as possible, typically within 15 working days of the appeal depending on the

complexity and availability of management.

If a colleague appeals against dismissal, the date on which the dismissal takes effect will

not be delayed pending the outcome of the appeal. If a dismissal decision is overturned


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on appeal, the effect of the appeal decision is that the colleague is re-instated retrospectively from the date of the original dismissal.

6.0 RELATED DOCUMENTS

This policy should be read in conjunction with our other Group Policies and Documents

which can be found on the Intranet under People Policies.

7.0 USEFUL RESOURCES In addition, there may also be some relevant modules available on our Learn platform.

8.0 REVIEW

This policy will be reviewed by HR Department 2 Years, or sooner where new developments

in employment legislation or changes in the business necessitate such a review.

Version Review date Who Changes made Next Review

Date

1 March 2015 K Graves – Head of

HR

Policy review

following R3

alignment

April 2017

2 July 2016 L Morris – Head of

HR Operations Periodic Review July 2018

3 July 2018 B Sherwood

HR Business Partner Periodic Review July 2020

4 November

2018

C Brookes-Jenkin

HR Business Partner

Review under

SMCR July 2020

5 June 2019 C Brookes-Jenkin

HR Business Partner

Review under

SMCR July 2020

6

July 2020

A Massey

HR Advisor Periodic Review July 2022