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DISCIPLINARY POLICY
Struggling to create a robust disciplinary policy for your Bristol and North Somerset -based business? Look no further! Mint Manager, your trusted HR consultancy, is offering you a free disciplinary policy template to help you maintain a fair and compliant workplace.
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This expertly crafted template provides a solid foundation for managing disciplinary procedures, protecting your business and employees. Download now and start safeguarding your company today!
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​Purpose of the Document:
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The document outlines the company's Disciplinary Policy, which aims to guide and encourage employees to maintain high standards of conduct, attendance, and job performance. It also provides a fair and consistent framework for addressing instances where these standards are not met, ensuring non discrimination and timely action.
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Key Points:
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Scope: Applies to all employees.
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General Principles: Managers must ensure employees understand the policy, and all disciplinary matters are confidential.
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Procedure: Employees are informed of allegations and have the right to be accompanied and to appeal decisions. The process includes informal and formal stages, with possible outcomes ranging from verbal warnings to dismissal. Investigation and
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Hearing: Impartial investigations are conducted, and disciplinary hearings follow a structured process.
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Sanctions: Various sanctions (e.g., warnings, dismissal) are outlined, depending on the severity of misconduct or gross misconduct.
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Suspension: Suspension is a neutral act during investigations.
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Criminal Offenses: Disciplinary action is not automatic for criminal offenses but is considered based on relevance to the workplace.
The document serves as a comprehensive guide to managing employee discipline within the company, ensuring fairness and clarity in all disciplinary actions.
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DISCIPLINARY INVESTIGATION MANAGEMENT GUIDE
Navigating disciplinary investigations can be complex and stressful. Ensure fairness and compliance with our comprehensive guide. Mint Manager, your trusted HR consultancy, is offering you a free Disciplinary Investigation guide, to help you comply with your duty to follow proper employment law procedures.
Download this free Disciplinary Investigation Management Guide to access essential tools and best practices. Protect your business and maintain a positive workplace culture.
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Summary of a Disciplinary Investigation Process
A disciplinary investigation is initiated by an organization to examine an employee's conduct or clarify the facts surrounding an incident or allegation before taking any disciplinary action. The investigation may or may not lead to a disciplinary hearing, as its primary purpose is to determine if there is a case against the employee. Common scenarios requiring an investigation include allegations of rudeness, poor time-keeping, harassment, or substance abuse at work. Importance of a Proper Investigation Even when an employee admits to wrongdoing, an investigation is still essential to understand the context, ensure fair treatment, and help the employer decide on the next steps. Conducting a fair and thorough investigation is crucial because failure to do so can lead to tribunal claims, such as for unfair dismissal. Employers must adhere to the ACAS Code on Disciplinary and Grievance Procedures, as failure to comply can result in increased compensatory awards by up to 25%.
Conducting a Fair Investigation Role of the
Investigating Officer:
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The investigating officer should not be the person who will conduct the disciplinary hearing.
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They should not be directly involved in the incident being investigated.
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Ideally, the investigator should be trained in disciplinary investigations, and in complex cases, an external investigator might be appropriate.
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The officer’s role is to gather facts and evidence impartially, without trying to prove guilt.
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Gathering Evidence:
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Evidence can include emails, CCTV footage, telephone recordings, and attendance records.
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Missing evidence should be noted, and data protection laws must be respected.
Handling Witnesses:
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Witnesses must maintain confidentiality, and in rare cases, their identities may be anonymized if there is a genuine fear of retaliation. However, anonymity should be avoided when possible.
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Investigators should corroborate anonymous evidence with other identified witnesses.
Investigatory Interview:
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Employees and witnesses involved are likely to be interviewed. While employees don’t have a legal right to be accompanied during these meetings, it’s good practice to allow it.
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The interview should be conducted courteously, with probing questions aimed at understanding the facts. Notes should be taken and approved by the employee.
Outcomes and Next Steps
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After the investigation, there are two possible outcomes:
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No Case to Answer: The employee is cleared of the allegations, and this should be communicated in writing.
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Case to Answer: The matter proceeds to a disciplinary hearing to decide on any sanctions.
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The investigator’s findings are based on the “balance of probabilities” rather than the criminal law standard of “beyond reasonable doubt.” If an employer disagrees with the investigator’s recommendation, the reasons should be documented.
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Suspension During Investigation
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In some cases, the employee may need to be suspended during the investigation. Suspension should be on full pay, kept confidential, and as brief as possible. It is not a disciplinary action but a neutral act. Upon return, a meeting should be held to address any concerns.
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FAQs
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Who should investigate a disciplinary?
The investigator should be impartial, unconnected to the incident, and ideally trained in conducting investigations.
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How long can a disciplinary investigation last?
There’s no set duration, but it should be conducted promptly. Unnecessary delays can result in tribunal rulings against the employer.
What is the difference between an investigation and a disciplinary?
An investigation is the process of gathering facts, while a disciplinary refers to a formal hearing where evidence is presented, and decisions on sanctions are made.