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Alchemy Techsol India Pvt Ltd

http://www.alchemysolutions.in

Disciplinary Procedure Policy

Policy Information

Policy Title Disciplinary Procedure Policy

Issued by / Author Human Resource Department

Policy Owner Human Resource Department

Effective Date April – 2017

Classification Public Policy

Approver Mr. Joseph Rudolph Lobow

Revision Control

Date Ver. No Approved By Action Pages

01-04-2017 1.0 Mr. Joseph Rudolph Lobow To be reviewed after 24 months 13

05-04-2019 2.0 Mr. Joseph Rudolph Lobow To be reviewed after 24 months 13

1. Objective

The disciplinary policy is aimed at ensuring that issues of misconduct are managed and dealt with in a fair and consistent

manner. The Trust promotes high standards of behavior and conduct for all employees and takes appropriate corrective action

where those standards are not met. Disciplinary rules and procedures are designed to assist in the standard setting for conduct

and behavior. It is important that managers and employees understand them.

The disciplinary process is not intended to be punitive in nature. The procedure therefore describes the steps to be taken to

deal with each situation reasonably and, wherever possible, help the person concerned to improve their standards of conduct

of behavior to reach acceptable standards.

The purpose of this document is to set out the procedures to be followed when standards of conduct give rise to problems

which cannot be resolved by advice and encouragement, training or increased support. Alchemy is committed to the avoidance

of formal disciplinary procedures wherever possible by addressing problems as soon as they arise. This procedure is intended

to provide consistency in the treatment of staff and, to ensure matters are dealt with promptly. Alchemy will take disciplinary

action against employees only in accordance with the provisions of this procedure.

2. Our Values and Commitment

INTEGRITY: Always Do the Right Thing

We are guided by the highest standards of ethical business conduct and by this simple principle: Do the right thing. Our business

http://www.alchemysolutions.in/http://www.alchemysolutions.in/





is built on long-lasting relationships, founded on trust. Our handshake is our bond and we stand behind our promises. We treat

our employees, customers and partners with fairness, honesty and respect, just as we would want them to treat us. At Alchemy

, our goal is to build long-term relationships and trusted partnerships.

PEOPLE: We Grow, Develop and Reward People

We value each member of our workforce by investing in personal development, rewarding accomplishments and “growing our

own” future leaders. We appreciate diversity and treat each other with respect.

PERFORMANCE: Carefully Measure our Efforts

We are an agile team with a can-do spirit. We cooperate within and across businesses to achieve shared goals. We encourage

innovation, accountability and collaboration and we hold each other accountable for our performance.

VALUE CREATION: Building a Sustainable Organization

We are committed to creating shareholder value based on sustained financial performance and long-term profitable growth.

That means managing risk and carefully considering each strategic, tactical and investment decision.

SOCIAL RESPONSIBILITY: Being a Trusted Partner

We are committed to meeting the highest standards of corporate citizenship by protecting the health and safety of our

employees, safeguarding the environment and making a positive impact on the communities where we do business.

INDEPENDENT SPIRIT: Have A ‘Can Do’ Attitude

We are committed to preserving the special qualities and unique personality that have made us a successful independent

organization.

3. Scope

This Disciplinary Procedure Policy (this “Policy”) applies to all individuals working for all affiliates and subsidiaries of Alchemy

at all levels and grades, including directors, senior executives, officers, employees (whether permanent, fixed-term or

temporary), consultants, contractors, trainees, seconded staff, casual employees, volunteers, interns, agents, or any other

person associated with Alchemy (collectively referred to as “You” or “you” in this Policy). In this Policy, “Third Party(ies)” means

any individual or organization, who / which come into contact with Alchemy or transact with Alchemy and also includes actual

and potential clients, suppliers, business contacts, consultants, intermediaries, representatives, subcontractors, agents,

advisers, joint ventures and government & public bodies (including their advisers, representatives and officials, politicians and

political parties). This policy is an organizational commitment and is applicable to all internal/direct employees of the

Organization.






4. Responsibility

4.1. Human Resources

Train Employees on the policy guidelines and the importance to adhere to this policy.

Involve respective supervisors/managers for discussion on any violation of the policy and issue a warning as found

appropriate.

4.2. Every employee and every contractor on Alchemy premises is expected to follow this policy and to report any concerns to

Alchemy management.

4.3. We share the privilege and responsibility of complying with our Code. This means we are all expected to:

Know the Code: We must read and understand our Code and all related company policies, procedures and standards

that apply to our daily work.

Know the Law: We must follow the laws and regulations that apply to us, regardless of where we are located. Violations

of these laws can result in severe civil and criminal penalties for our company as well as the individuals involved.

Investigations into potential violations are costly and disruptive to our business and damaging to our reputation.

Ask Questions: We must ask questions and seek advice if we are unsure about how to handle a situation or need guidance

on where to find information.

Raise Concerns: We are encouraged to raise concerns, even if they are difficult, and to ensure that our direct reports are

comfortable raising issues.

Never Retaliate: We are strictly prohibited from retaliating against anyone who seeks advice, raises a concern or reports

misconduct.

4.4. Failure to comply with the Code and related policies, or applicable laws, may result in an investigation and disciplinary action,

including termination of employment or services. If criminal activity is identified, we may also contact and assist relevant

authorities.

4.5. Fairness: The application of this procedure will be consistent, prompt, impartial, reasonable and applied without

discrimination.

4.6. Natural justice: At every formal stage of the disciplinary procedure, the employee will be advised of the nature of the

complaint, and will be given the opportunity to state his / her case. Where a warning is given, the employee will be provided

with appropriate support to improve his / her conduct.

4.7. Speaking Up - We all have an obligation to speak up about potential, suspected or actual violations of company policies or

applicable laws. By doing so, we uphold our Values and our commitment to integrity, honesty and ethical business practices.

In addition, it allows us to address problems and concerns before they become serious issues for our company. If you wish

to ask a question or raise a concern, you may reach out to anyone with whom you feel comfortable, including:

Any manager or supervisor

Human Resources

Ethics Committee

4.8. Open Door - We encourage a culture of open and honest communication. All managers are responsible for maintaining an

“open door” for their direct reports and others who may reach out to them. While you are encouraged to first reach out to






your manager with concerns, there may be instances where you wish to ask questions or raise concerns to any of the

resources listed in this section.

4.9. Confidentiality - Confidentiality is a priority, and we will make every effort to protect the confidentiality of reports of

concerns and the identities of those who make reports or participate in an investigation. However, there may be instances

when, due to the nature of an investigation or certain legal requirements, it is necessary to disclose someone’s identity. In

those instances, we will work closely with the reporting individual to address any questions or concerns.

4.10. Anti-Retaliation - We do not tolerate any form of retaliation against anyone who, in good faith, raises a concern, reports

misconduct or helps with an investigation. Reporting in good faith means providing all of the information you have with the

belief that such information is true, regardless of whether it later turns out to be mistaken. Examples of retaliation include:

Denial of benefits

Discipline

Suspension, demotion or termination

Threats, harassment, mistreatment, or discrimination

4.11. Representation: The employee has the right to be accompanied by a companion who is a work colleague or trade union

representative at every stage of the formal procedure.

The companion shall have an opportunity to address the hearing, put and sum up the employee's case, respond on behalf

of the employee to any views expressed at the meeting, and confer with the employee during the hearing. The companion

does not have the right to answer questions on the employee's behalf, address the hearing if the employee does not wish

it, or prevent management from explaining the case.

Any request to be accompanied at a meeting must be reasonable i.e. the companion should not be someone who may have

a conflict of interest or who may prejudice the hearing. The employee should notify the chair of the panel of his / her chosen

companion prior to a meeting.

Where the chosen companion is not available at the time proposed for the meeting, the employee has the right to request

that the meeting be postponed and to suggest an alternative time within five working days of the original hearing date and

all such reasonable requests will be agreed on one occasion only. In exceptional circumstances where the postponement of

a meeting is due to circumstances beyond the employee’s control, a second postponement will be agreed and a third

meeting arranged.

4.12. .Right of appeal: An employee has a right of appeal against any formal disciplinary sanction, except an oral warning, and

appeals will be heard by a senior manager and representative from Human Resources not previously involved in the case.

Please refer to the Appeals Policy for further information.

4.13. Recordings: Audio / Visual recordings of the proceedings by the employee, his/her companion or management is acceptable

at any stage of the disciplinary procedure, provided all parties agree.

4.14. Discipline and Grievance: Any concerns that an employee has regarding disciplinary action being taken against her or him

should be raised as part of his / her response to the disciplinary action and will normally be considered within this procedure.

Any grievance raised by an employee relating to the disciplinary process or the reasons for the disciplinary hearing, will

normally be investigated concurrently with the disciplinary process and heard on completion of the disciplinary procedure.






5. Policy Guidelines -The Disciplinary Procedure / Process

5.1. Informal action

Informal action should be taken in cases of minor misconduct. A one-to-one confidential discussion between the line

manager and the employee should be held with the intention of gaining sustained improvement in the employee's conduct.

This discussion should enable the manager to provide constructive feedback and the employee to express views on the issue.

It is important for both parties to understand that informal action is not formal disciplinary action and employees are not

entitled to representation at this stage. Where the need for improvement is identified, the manager should explain to the

employee what needs to be done and how the conduct will be reviewed in a given period.

It is essential that brief confidential notes of the discussion(s) with the employee are kept by the manager on any agreed

informal action. The manager should also write to the employee (a letter or email) to confirm what was agreed during the

meeting within 10 working days.

Note: where there is no evidence that a minor misconduct has been managed informally, this may prevent the manager

from proceeding to the formal stage of the process. This does not apply for matters which are considered as serious or gross

misconduct.

5.2. Disciplinary process – Formal Action

5.3. Formal Action – Investigation

Prior to formal disciplinary procedures being invoked, an employee may have received from his / her line manager some

Formal action is usually taken when:

An allegation is made that an employee has demonstrated unacceptable behavior / conduct (including gross misconduct)

A minor misconduct issue managed informally – has not improved

The line manager has witnessed unacceptable behavior / conduct

Investigation Officer appointed – refer to HR

for advice

Behavior / conduct considered as gross

misconduct?

If yes – consider

Suspension or exclusion if a doctor or dentist is under investigation

Redeployment to another area whilst investigation is undertaken

Refer to HR for advice If no – employee remains in

job role whilst allegation investigated

Investigating Officer arranges to interview

employee and witness (es) – who may bring a work

companion / trade union representative to the

interview HR representative to be present at investigation

interview

Investigating Officer concludes investigation and

writes report Recommends whether formal action required

Formal action recommended – Yes

HR arranges disciplinary hearing






informal indication that his / her conduct or behavior is unsatisfactory. For more serious incidents of misconduct, it will be

appropriate for this to be dealt with under the formal process in the first instance.

Disciplinary action will not be undertaken until the necessary facts have been established. An Investigating manager will be

appointed by the Head of Service in conjunction with the HR team to investigate. The investigating manager will not normally

be the employee’s line manager or the line manager of any person making a complaint that led to the disciplinary action, or

someone who works closely with the individual concerned. The investigating manager will liaise with the HR team

throughout the investigation.

5.3.1. Suspension/ Exclusion on full pay

There may be occasions where suspension or exclusion in the case of doctors and dentists, is necessary, and this is

usually where the allegation made, if proven, would be gross misconduct. Further details of matters considered as

gross misconduct are outlined in Appendix 1 – the list is not exhaustive. Where suspension or exclusion is invoked, it

will be on full pay and only for such time as is necessary to permit proper investigation or to arrange a hearing date.

Careful consideration must be given before a decision to suspend or exclude a doctor or dentist is taken.

Suspension or exclusion is not a disciplinary sanction and is not an assumption of guilt. Normally an employee will be

suspended by the Head of Service or an authorized deputy, and only when approved by a member of the Senior

Management Team (SMT). Where suspension is approved a meeting should be arranged with the employee and the

Head of Service and a representative from HR. The employee should be advised of the reason(s) for the suspension,

the terms of the suspension/exclusion, provided with contact details of the Employee Assistance Scheme and handed

a letter to confirm the discussion during the suspension meeting. In the case of a doctor or dentist the relevant section

in the Policy for Handling Concerns about a Doctors or Dentists Performance should be followed.

The period of suspension/exclusion will be kept under regular review. The fact and conditions of the

suspension/exclusion will be confirmed in a letter to the employee immediately. Where it becomes evident that the

period of suspension/exclusion will be long term then the suspension/exclusion should be reviewed every 4 weeks and

confirmed in writing.

Exceptionally, it may be necessary for a Head of Service to send an employee home before being able to consult with

a member of SMT. In such a case, formal written confirmation of the suspension and the reasons for it will be confirmed

by the Head of Services as soon as a member of SMT has been informed of the circumstances, and confirmed that

suspension/exclusion is appropriate.

5.3.2. Redeployment as an alternative to suspension/exclusion

During the initial stages the facts may not be clear and therefore managers should consider – where possible

– redeploying the individual to another area of the Trust until such time that the facts are established. The

investigating officer should arrange a meeting with the employee, and a representative from HR to outline the details

of the redeployment and the terms. The employee should be provided with a letter confirming the details of the

redeployment during the meeting. If it is not possible to provide a letter during the meeting, the Head of Service must

send a letter to the employee, within 5 working days of the suspension meeting taking place.

5.4. Conducting an investigation






The Investigating manager will conduct an investigation which is confined to establishing the facts of the case and will include

all aspects of the allegation including who made the allegation. There may be exceptional circumstances where the identity

of the person making the complaint will not be revealed as part of the investigation report i.e. where someone may be put

at risk.

The nature and extent of the investigation will depend on the seriousness of the matter. The Investigating manager will

advise the employee who is the subject of the allegation of the details in writing and invite his / her response. An

investigatory interview with the employee will be appropriate in most cases. The employee must be notified in writing of

the meeting at least 5 working days before it takes place so she / he has reasonable time to prepare.

The investigation will also include the collation of evidence for a possible hearing, taking statements from, and usually

meeting with relevant parties, including where appropriate any witness(es) to the alleged incident(s) of misconduct. Any

witness to the alleged misconduct will be asked to sign their written statement for accuracy as soon as possible after the

investigation meeting.

The Investigating manager will be accompanied by a colleague from Human Resources at such meeting(s) to provide advice

and guidance. The employee concerned may be accompanied at such meeting(s) by a companion (as defined in section 4 -

Representation). Where the employee against whom a disciplinary allegation has been made is a trade union representative,

the Director of Human Resources will (after obtaining the employee's agreement), inform a senior member of the relevant

trade union in advance of any interview under this procedure.

The Investigating manager will prepare a report based on the findings of his / her investigation, including where evidence

was not found. The Head of Service or authorized deputy with advice from HR will determine whether or not a disciplinary

hearing is required based upon the findings of the investigation. In the case of doctors and dentists, the Case Manager,

usually the Medical Director, will undertake this role. If the Head of Service / deputy consider that it is not appropriate to

convene a formal disciplinary hearing, but that informal advice or guidance is appropriate, any resulting discussion will be in

private and the employee will be informed that no disciplinary action is being taken.

5.5. The disciplinary procedure

Where there is believed to be a disciplinary case to answer, the Head of Service will consult with the Human Resources Team

before arranging a disciplinary hearing.

Where it is identified that a disciplinary hearing is required, the disciplinary procedure should be conducted within the

following timescales. In exceptional circumstances, it may be necessary to extend these time limits in discussion with both

parties.

Disciplinary Procedure

Process Timeframe

Head of Service / Panel Chair notifies employee in writing that she / he is required to attend a disciplinary hearing. Employee is provided with details of the disciplinary allegations and names of any witnesses who will be called by management – the Management Case.

No later than 10 working days before the date of the hearing

Employee contacts HR to advise if any witnesses are to be called at hearing. Employee organizes own witness statements, and their attendance at the hearing.







HR invites all witnesses to be called by management to hearing, providing a copy of this procedure. HR to provide a copy of this procedure to witnesses to be called by the employee.

No later than 5 working days before the date of the hearing.

All further written submissions including witness statements to Head of Service / Panel Chair


Both parties involved in the hearing to be provided copies of all written submissions received


Hearing

Head of Service / Panel Chair notifies employee orally of outcome of disciplinary hearing.

Within 1 working day of the decision and no later than 48 hours of the hearing, unless it is agreed that further evidence is required.

Head of Service / Panel Chair notifies employee of outcome of disciplinary hearing in writing and informs employee of his / her right to appeal

No later than 10 working days of the hearing

Right of appeal to AVP of HR

Must be done no more than 10 days after the letter has been sent to the employee.

Outlined below are the levels of management that are authorized to chair a disciplinary panel depending on the charge:

Charge Level of Management / Chair of the panel

Minor misconduct Manager

Misconduct Head of Service

Serious misconduct Head of Service

Gross misconduct Director / AVP /CEO

The Panel Chair will advise the employee, in writing (providing the appropriate notice) that she / he is required to attend a

disciplinary hearing at a specified place and time. The letter will outline the details of the allegations that have been made

against him / her with sufficient information about the alleged misconduct and its possible consequences, to enable him /

her to prepare to answer to the case at a disciplinary hearing.

The employee will be advised that she / he has the right to be accompanied at the hearing and will be provided with a copy

of this policy and procedure. The employee must be given all relevant documentation gathered in relation to the alleged

misconduct and names of any witnesses who will be called at the hearing to enable him / her to prepare.

The employee should inform HR in writing (an email is acceptable) of the names of witnesses she / he would wish to call

with brief reasons for each request, within the appropriate timescales (as specified in the table above). The employee is

responsible for providing written statements by his / her witnesses in advance of the hearing, where statements have not

already been provided as part of an investigation. The Panel Chair is entitled to query the purpose of any witness being called

and the potential for new, relevant information that the witness can offer. In such circumstances, and following consultation

with the relevant parties, the Panel Chair will decide which witnesses will be called at the Hearing. If there are difficulties

with the release of staff to attend the hearing as witnesses, HR should be informed so they can assist with these

arrangements.

In exceptional circumstances where it is not practical for witnesses to attend, the Panel Chair may continue to proceed with






the hearing if she / he is of the view that verbal evidence from the witnesses will not affect the consideration of the

complaint.

If the employee wishes to present any additional documentation in response to the allegation, it must be presented to the

Panel Chair (within the timescales specified in the table above) in order that it can be distributed to all parties.

The employee and his / her companion must make every effort to attend the hearing. The employee may offer a reasonable

alternative date if his / her chosen companion cannot attend the hearing. If the employee fails to attend for reasons outside

of his / her control e.g. sickness, another suitable date may be proposed for the hearing. If on more than one occasion,

without good reason, an employee does not attend the disciplinary hearing, the hearing may proceed in his / her absence

and a decision will be made on the evidence available. The employee will be informed in writing at least 5 working days

before that hearing that it will be taking place.

5.6. Disciplinary hearing

The Panel Chair will ensure equal treatment of all parties and ensure they have received copies of all relevant papers. The

Panel Chair will also ensure that all aspects of the case are considered and may seek further clarification of the written

submissions from whomsoever they feel appropriate. The Panel Chair will decide if the hearing needs to be adjourned if new

facts emerge that require further investigation.

The employee shall attend throughout the hearing and may call witnesses. The Panel Chair shall be empowered to call

witnesses who have been identified to the employee prior to the hearing. Witnesses who are required to attend meetings

under this procedure at times other than their normal working hours will be paid plain time or given time off in lieu.

The order of the hearing will be as follows:

a) Introductions as appropriate

b) Panel Chair will explain the complaint / allegations

c) The investigating manager will present the findings of their report and present any witnesses and explain the

evidence supporting the charges to the Panel

d) The Panel shall have the opportunity to ask questions of the investigating manager and any witnesses

e) The employee (or his / her chosen companion) shall have the opportunity to ask questions of the investigating

manager and witnesses and raise points about information provided by them

f) The employee or his/her chosen companion will then set out his / her case and present any witnesses in response

to the charges

g) The Panel shall have the opportunity to ask questions of the employee and any witnesses

h) The investigating manager shall have the opportunity to ask questions of the employee and witnesses and raise

points about information provided by them

i) The panel shall have the opportunity to ask any final questions of the employee, investigating manager or witnesses

j) The investigating manager shall have the opportunity to sum up his / her case

k) The employee (or his / her chosen companion) shall have the opportunity to sum up his / her case

l) The Panel Chair shall sum up the main points of the evidence put forward

m) If considered necessary by the Panel Chair, the meeting shall be adjourned to allow further investigation into the






matters raised or to ask questions of any witnesses who were unable to attend the hearing.

n) If further evidence or witnesses are sought, and the Panel Chair relies on this evidence to form a decision, they will

reconvene the hearing to allow consideration of the evidence by both parties and / or cross-examination of

witnesses

o) The hearing should end with the Panel Chair asking the employee if they have anything further to say

p) The Panel Chair should advise the employee when they might reasonably expect an outcome / decision within the

timescales of this procedure.

Notes will be taken of all disciplinary hearings which will be typed as soon as possible after the hearing. The typed notes will

always be made available to all parties in advance of an appeal hearing. The Parties should raise any factual inaccuracies of

notes with the Panel Chair within five working days of receipt.

5.7. Decision

After the hearing, the Disciplinary Panel, having fully considered the circumstances of the case and conducting further checks

where necessary i.e. where there are disputes over the facts, will decide whether or not a disciplinary sanction is justified.

For a disciplinary sanction to be justified in a situation where the facts of the case have been in dispute and a full investigation

has been conducted, there must be a reasonably held belief on the grounds of probability, that the employee committed

the act in question.

The decision will be provided to the employee orally within 1 working day of the decision being made (no later than 48

hours). Written confirmation with full reasoning for the decision will be provided to the employee no later than 10 working

days after the hearing.

5.8. Notification of outcome

Where disciplinary action is taken, the employee will be informed of the outcome as soon as possible, including:

a) The nature of the misconduct.

b) The disciplinary sanction awarded including the level of any warning given.

c) The reasons why the disciplinary action was taken.

d) The consequences of any further failure to adhere to acceptable standards of conduct. In cases where a final written

warning is given it should be made clear that further formal disciplinary action may result in dismissal.

e) The provision of any support, counselling or corrective action that is required and if not immediate, the time within

which improvement will be expected.

f) The period given for improvement and the improvement expected.

g) The time period within which the warning will be considered to have lapsed

h) The fact that a record of warnings will be kept.

i) The right of appeal, advising that this should be formally submitted in writing to the Director of Human Resources

and Organizational Development, and the right to representation at any future appeal hearing.

A formal written warning will normally be accompanied by the withholding of incremental progression (where the employee

is eligible for progression) for the period during which the warning is current, unless this is deemed inappropriate by the

Head of Service or Disciplinary Panel hearing the case. Incremental progression, where it is due, will resume on the 1st April






following the date on which the warning ceases to be current. There are different arrangements for medical and dental

staff.

Note: where an employee is dismissed from the employment of Alchemy or receives a disciplinary sanction and there is a

duty to inform another statutory or professional body, Alchemy will inform the organization and provide details of the

circumstances.

5.9. Levels of disciplinary action

Disciplinary action can range from an oral warning to dismissal. The levels of disciplinary action that may be applied are as

follows:

Disciplinary Action / Sanction

Details

Formal oral warning

Normally be issued if:

it is considered that the conduct of an employee has fallen below an acceptable standard and the member of staff has committed a minor offence.

where it is found that such a disciplinary offence has occurred, the outcome will normally consist in the first instance of an oral warning, which will be recorded by the manager concerned, and copy will be held by HR on the employees personal record.

A formal oral warning will be issued in writing and will normally lapse 6 months after issue. Note: although there is no right of appeal against a Formal Oral Warning, any response to a formal oral warning by an individual will be recorded on the practitioner’s personal record.

A written warning

Normally be issued if:

there is no improvement in conduct about which the employee has previously been warned or

another related instance has occurred during the currency of a previous warning or

misconduct is confirmed and the conduct is of such seriousness that an oral warning is not appropriate.

Where it is found that such a disciplinary offence has occurred, a written warning will be given to the employee and a copy placed on his / her personal record within HR. A written warning will normally lapse 12 months after issue.

Final Written Warning

Normally issued if:

A written warning has already been issued and another instance of misconduct has occurred while it is current or

there is no improvement in the conduct about which the employee has previously been warned or

the conduct is of such seriousness that verbal of further written warning are not appropriate but would not justify a dismissal.

Where it is found that such a disciplinary offence has occurred, a final written warning will be given to the employee and a copy placed on his/her personal record within the Human Resources Division. A final written warning will normally lapse 18 months after issue.






Dismissal

Normally occurs if:

an allegation of gross misconduct is found to be proven or

there is no improvement in the conduct within the specified period which has been the subject of a final written warning or

another instance of misconduct has occurred during the currency of a previous warning and a final written warning has already been issued.

Where a member of staff is dismissed; she / he will receive a written statement of the reasons for his / her dismissal, the

date on which the employment contract will end, the appropriate period of notice or payment in lieu, payment of any

outstanding annual leave and the right of appeal.

Should the Disciplinary Panel consider that in light of all the circumstances, dismissal is not warranted, an alternative to

dismissal may be imposed in the form of extending the period of the existing final written warning for up to a further twelve

months or demotion to a lower graded job role.

5.10. Gross misconduct

Some acts termed gross misconduct are so serious in themselves or have such serious consequences that they may call for

a dismissal on the first offence. Any dismissal for gross misconduct will take immediate effect once the decision has been

made and the employee will be entitled to no notice period regarding the termination of his / her employment. Below is a

list of some examples of gross misconduct which may result in dismissal.

This list is not exclusive or exhaustive.

Serious or gross negligence resulting in unacceptable loss, damage or injury

Intentional serious breach of Alchemy policy or regulations or improper conduct in relation to job responsibilities

Serious breach of a professional code of conduct

Bringing Alchemy into serious disrepute

Serious breach of Alchemy policy on harassment and bullying

Theft, fraud or deliberate falsification of records or Alchemy documents

Assault or attempted assault of a physical or sexual nature

Malicious damage to Alchemy property

Deliberate refusal to comply with reasonable instructions or requests made by a line manager within the work place

A breach of health and safety rules which places a member of staff or others in danger

Intentional misuse of confidential information

Fraudulent misuse of the Alchemy 's property or name

Unauthorized entry to computer records or inappropriate use of Alchemy data or computing equipment.

5.11. Expiry of disciplinary action

Disciplinary action taken will normally be disregarded for disciplinary purposes after the warning has expired. The decision

to dismiss will not be based on an expired warning but there may be occasions where the existence of such a warning will

explain the reasoning behind a decision to dismiss e.g. where an employee's conduct is satisfactory throughout the period a

warning is valid, but ceases to be satisfactory very soon thereafter.






5.12. Conviction or being charged with a criminal offence

Conviction or being charged with a criminal offence outside the workplace and normal working hours may be deemed as

misconduct or gross misconduct depending on the nature of the offence, effect of the charge on the employee's suitability

to do the job and his/her relationship with ALCHEMY , colleagues, patients and those external to ALCHEMY and the sentence

incurred.

5.13. Appeal Procedure

Where an employee is notified that a disciplinary sanction has been awarded against him/her, she / he will also be notified

of the right of appeal. Where an employee feels the decision taken against him / her is wrong or unjust, she / he may appeal

against the decision. Details of the appeals procedure can be found in the Appeals Policy which is available on Qnet.

5.14. Training and Awareness

The Disciplinary Policy is available on the Trust intranet and managing misconduct best practice training sessions are

provided quarterly through the Staff Development Centre to ensure compliance with the policy.

5.15. Equality

This policy will be equality impact analyzed in accordance with the Trust Procedural Documents Policy, the results of which

are published on our public website and monitored by the Equality and Diversity Operations Committee.

5.16. Monitoring Compliance with this Policy

The HR team is responsible for managing the impact of disciplinary action against staff to ensure that no group is

disadvantaged by the policy. HR also report on the number of cases (not specific details) to the board for information

purposes. The data has to be used fairly, ethically and confidentially and in accordance with the sensitive personal data

provisions of the Data Protection Act 1998.

5.17. Ethics Committee

Ethics Committee Presiding

Role Name E-mail Phone Number

Office Mrs. Diksha Ahuja [email protected] 9901031200

Member Mrs. Lilly Pushpa [email protected] 9980377538

Member Mrs. Dipanjana Bhattacharyya [email protected] 9008127704

Member Mr. Gururaj D [email protected] 9901622333

Member Mr. Joseph Rudolph Lobow [email protected] 9880952814