Didcot Railway Centre – Home of the Great Western Society The Disciplinary Procedure INTRODUCTION This procedure is designed to help employers, employees and their representatives’ deal with disciplinary situations in the workplace. Disciplinary situations include misconduct and/or poor performance. This Disciplinary Procedure supersedes all other disciplinary procedures currently in force within the Society and applies to all employees. It is designed to encourage improvement by discussion, advice and positive action. The intention is to ensure fair and consistent treatment for all employees who become liable to disciplinary action. The Procedure aims to be corrective rather than punitive. In the normal course of your work you may expect to be made aware, informally, of any minor shortcomings in your conduct or performance. After establishing the facts, your Manager may consider that there is no need to resort to the formal Disciplinary Procedure and that it is sufficient to talk the matter over with you. Such informal verbal warnings are not recorded; they merely provide an opportunity for improvement or for the matter to be corrected without the necessity for the formal Disciplinary Procedure to be initiated. Only if such shortfalls in performance or conduct persist, or if the matter is more serious, will the Disciplinary Procedure be brought into operation. Where disciplinary action is considered necessary, the measures taken will depend upon the seriousness of the offence. In most cases, these measures will occur sequentially (i.e. in the order in which they are set out in this document) but, in exceptional circumstances, where the nature of the offence so dictates, the Disciplinary Procedure may be advanced (i.e. one measure or more may be bypassed). Where this happens, the reason for this will be recorded in writing.

GENERAL The formal disciplinary procedure applies to all employees and is based on the following principles. The principles will also be followed when dealing with the conduct of volunteers.

Principles a) The procedure is designed to establish the facts quickly and to deal consistently with disciplinary issues. No disciplinary action will be taken until the matter has been fully investigated.

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b) At every stage you will be informed in writing of what is alleged and have the opportunity to state your case at a disciplinary meeting and be represented or accompanied, if you wish, by a colleague. c) You have the right to appeal against any disciplinary penalty.

1. Paid Suspension Where the Society is investigating alleged misconduct on the part of an employee, the Society may consider it appropriate to suspend the employee(s) on full basic pay pending completion of its investigation. The Paid Suspension will be recorded in writing. A period of Paid Suspension is not a disciplinary measure and carries no implication of guilt. While on suspension, you must be available for work or to attend a meeting/hearing if required during your normal working hours.

2. Investigatory Meetings / Disciplinary Hearings / Appeal Hearings Employees are expected to take all reasonable steps to attend investigatory meetings / disciplinary/appeal hearings. Please note, even if you are off work ill, this does not automatically mean that you cannot attend an investigatory meeting / disciplinary/appeal hearing. A normal sick note excuses you from doing a full day’s work. If you are genuinely too ill to even attend a meeting/hearing, you should get your Doctor to confirm this. Such a meeting may be at your normal place of work. If it is considered inappropriate to hold the meeting/hearing at your normal place of work it may be held at a nearby location. If you need special assistance, or special facilities or arrangements, to attend such a meeting/hearing, please let us know before arrangements are finalised. Please identify what your need is and why.

3. Investigations Before any disciplinary action is taken, an investigation to establish the facts will be conducted. All employees are required to co–operate with investigations relating to disciplinary issues. In order to deal with issues fairly, the Society needs to gather all relevant facts and information. You must give a full and honest account of matters within your knowledge when investigations are in progress. Employees under the age of 18 are entitled to have a parent/guardian present during an investigatory meeting. If an investigation indicates that there are grounds for taking action, relevant employees will be invited in writing to a Disciplinary Hearing. The letter will outline the allegations / complaints against you.

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4. The Disciplinary Hearing Before any disciplinary action is taken, except an informal verbal warning, you will be invited to a Disciplinary Hearing if it is appropriate in the circumstances. Prior to any Disciplinary Hearing, you will be:   

Informed of the allegations/complaints/performance concerns against you. Given advance notice of the interview. Offered the opportunity to be accompanied by one other person.

5. Accompaniment at the Disciplinary Hearing a). You have the right to be accompanied at a Disciplinary Hearing by one

companion of your choice from the following categories: i) ii) iii) iv)

Another employee of the Society or a Society member. A Trade Union Official who is an employee of a Trade Union A Trade Union Official holding written certification as to having experience or training in acting as an accompanying person at disciplinary hearings A Parent or Guardian if under the age of 18

b). The person you choose to be your companion at the Disciplinary Hearing will be permitted to address the hearing. You will also be able to confer freely together. However, your companion will not be permitted to answer questions on your behalf. c). Any person who is requested to be a companion to an employee at a Disciplinary Hearing, and who is entitled to do so, will be permitted time off in working hours for the purpose, by the Society. d). If your companion is unable to attend the Disciplinary Hearing at the time proposed by the Society, the Society will postpone the Disciplinary Hearing. You will be asked to propose a new time, agreed between yourself and your companion, for the Disciplinary Hearing to take place. The time suggested must be reasonable and must be no later than five working days from the first full working day after the cancelled Disciplinary Hearing date.

6. The Role of a Companion If you are asked by a colleague to be their companion at a disciplinary hearing/appeal, you are free to do so. You are helping to make sure that the matters are dealt with fairly. You are not obliged to agree to be someone’s ‘companion’ but you should be clear that whatever your colleague may have done or not done will not count against you because you are their companion at a meeting. Your role as ‘companion’ is to make sure that procedures are properly followed and the matters are dealt with fairly and ensuring that your colleague has the support that they are entitled to, whatever the

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circumstances. As ‘companion’, you are present at the interview to act as a witness. You are free to take notes, and we encourage you to do so. You should also join in with the discussions where you have relevant input, and ask questions if you do not understand. You are not a representative of your colleague – your colleague speaks for him/herself. However, it is right for you to help your colleague present their arguments as effectively as possible, and you can ask for an adjournment at any time to discuss the matter privately with them. Discussions you witness as part of this procedure are confidential, and should not be discussed except with the colleague you were supporting or with the manager during the hearing.

7. During the Hearing A Manager, who will be accompanied by another employee/volunteer of the Society, will conduct the Hearing: 1. You will be informed of the allegations, misconduct or performance issues to be discussed. 2. You will be given the opportunity to reply to any allegations made against you and to outline any mitigating circumstances you wish to be considered. 3. Your companion may address the hearing and talk to you during the hearing, but he/she may not answer questions on your behalf. 4. The Hearing may then be adjourned to enable all the facts to be considered. 5. Where appropriate you will be advised of the time scale in which improvement is to be achieved and the likely consequences if there is no improvement. 6. You will be told of any disciplinary penalty, including possible demotion or transfer. 7. You will be advised of the right to appeal.

8. Possible Outcomes of a Disciplinary Hearing The possible outcomes of a disciplinary hearing are:   

No disciplinary action to be taken; The hearing is adjourned for further investigation or consideration (in which case you may be suspended until the resumed meeting) Disciplinary action to be taken

DISCIPLINARY OUTCOMES Purpose and scope This section sets out the action which will be taken in disciplinary situations.

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Procedure Stage 1 – formal verbal warning This is the first stage in the formal Disciplinary Procedure. If, after establishing the facts, the Manager is satisfied that you have failed to meet the standards required by the Company in terms of either conduct or performance, a Formal Verbal Warning will be issued. The Warning will be confirmed in writing and the notes of any disciplinary related interview will remain on your file for 13 weeks. Where the first offence is sufficiently serious, for example because it is having, or is likely to have, a serious harmful effect on the Great Western Society Ltd, it may be justifiable to move directly to a higher level of written warning following the appropriate investigation. You will be advised of the nature of the complaint, targets to be met and where appropriate a time limit for improvement. It will be made clear that any further misconduct or culpable failure to meet these targets may result in further disciplinary action being taken. You will also be informed of your right of appeal, and how and where this should be made.

Stage 2 - first written warning This is the second stage of the Disciplinary Procedure. If the matter is one of a more serious nature, or where you have culpably failed to meet the required standards after receiving a Formal Verbal Warning, you may be given a First Written Warning by a Manager. The Warning will be confirmed in writing. The Warning and the notes of any related disciplinary interview will remain on your file for 26 weeks. The Warning will state the nature of the complaint, targets to be met and where appropriate a time limit for improvement. It will be made clear that any further misconduct or culpable failure to meet these targets may result in further disciplinary action being taken. You will also be informed of your right of appeal, and how and where this should be made.

Stage 3 – final written warning This is the third stage of the Disciplinary Procedure. If the offence is serious, or there is no improvement in standards, or if a further offence of a similar kind occurs, a final written warning may be given which will include the reason for the warning and a note that if no improvement results within six months, action at Stage 4 may be taken. The warning will be confirmed in writing. The warning and the notes of any related disciplinary interview will remain on your file for 26 weeks. The Warning will state the nature of the complaint, targets to be met and where appropriate a time limit for improvement. It will be made clear that any further misconduct or culpable failure to meet these targets will result in further

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disciplinary action being taken. You will also be informed of your right of appeal, and how and where this should be made

Stage 4 – dismissal or action short of dismissal This is the fourth and final stage of the Disciplinary Procedure. If the conduct or performance has failed to improve, the employee may suffer demotion, disciplinary transfer, loss of seniority (as allowed in the contract) or dismissal. Where action falls short of dismissal the Warning will state the nature of the complaint, targets to be met and where appropriate a time limit for improvement. It will be made clear that any further proven misconduct or culpable failure to meet these targets may result in further disciplinary action being taken. You will also be informed of your right of appeal, and how and where this should be made

Note: Gross misconduct If, after investigation, it is confirmed that an employee has committed an offence of the following nature (the list is not exhaustive), the normal consequence will be dismissal without notice or payment in lieu of notice:   

            

Malicious damage to or any unauthorised removal of the Society’s property Dishonesty, fraud, theft or misappropriation of monies or property belonging to the Society, its employees or customers, or collusion with others in the furtherance of such activities Deception, e.g. making untrue statements to the Society on employment application forms, in statements relating to qualifications; falsifying references, documents relating to sickness/absence; falsifying expenses or Society records; providing falsified right to work in the UK documents or failing to inform the Society when the continued right to remain / work in the UK has not been granted etc Wilful or negligent behaviour likely to cause loss to the Society, its employees or its customers including removing Society tools or materials without permission Actions that breach Society Security Procedures Actions that could seriously offend a visitor or detract from the Society’s good name and reputation Sexual misconduct at work - An act of gross sexual indecency Fighting, physical assault or violent or seriously disruptive behaviour Any act of harassment Malicious damage to Network Rail property Trespass on Network Rail property Failure to comply with the reasonable requirements of your manger, statutory regulation, the Didcot Railway Centre Operating and General Regulations Manual and the Handbook for Volunteers. Unauthorised consumption of Society food or drink on Society premises Refusal or persistent failure to obey a reasonable management instruction Misuse of Society property Being at work under the influence of drink, non-prescribed drugs or other intoxicants

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        

Smoking in unauthorised places Persistent and deliberate disregard of the Society’s rules and procedures Serious breaches of Health and Safety policy Serious negligence that causes unacceptable loss, damage or injury Unauthorised entry to computer records Misuse of the Society’s computer system and abuse of the Society’s telephones for personal calls Accessing and transmission of explicit or inappropriate material via the Society’s communication network (e.g. Fax, PDA, Telephone, Computers Accessing inappropriate websites/material E-mailing inappropriate material.

While the alleged gross misconduct is being investigated, the employee may be suspended, during which time he or she will be paid their normal pay rate. Any decision to dismiss will be taken by Great Western Society Ltd only after full investigation.

Dismissals Procedural Dismissal Where you have failed to meet the required standards after due warnings have been given, you may be dismissed. Procedural Dismissals can only be authorised by a Senior Manager, following consultation with the appropriate Director. In all cases, the approval of the Human Resources Advisor must be obtained prior to the dismissal. This includes any dismissals taking place during the probationary period. The dismissal will be confirmed in writing. You will be provided with written reasons for the dismissal. You will also be informed of your right to appeal, together with how and when this should be made.

Summary Dismissal for Gross Misconduct Certain issues are regarded by the Society as being so serious that they justify Summary Dismissal without notice or pay in lieu of notice. The Summary Dismissal will be confirmed in writing. Dismissals can only be authorised by a Manager, following consultation with the appropriate Director. In all cases, the approval of the Human Resources Advisor must be obtained prior to the dismissal. This includes any dismissals taking place during the probationary period. You will be provided with written reasons for your dismissal and informed of your right of appeal and how and where this should be made.

Appeal Procedure You may appeal against Procedural or Summary Dismissal or a Formal Verbal, Written or Final Written Warning. All appeals must set out the grounds on which you are making the appeal. Your appeal should be addressed to the person identified in your written confirmation. The appeal procedure is as follows: -

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Appeals against warnings 1. You should appeal in writing within seven working days of the Warning being issued. 2. The appeal should be made to the Company Secretary and the appeal will be heard by your Manager’s senior or by a person appointed by him/her.

Appeals against dismissal 1. You should appeal in writing within ten working days of the dismissal to the Company Secretary. 2. The Appeal will normally be heard within seven working days of the appeal being received by the Chairman. Where it is not possible to arrange a mutually convenient date within this time period, the Appeal will be heard as soon as possible thereafter.

Outcome of the appeal There will normally be an adjournment of the Appeal to consider a reply to any new evidence, before a decision is taken. The length of the adjournment will depend on the circumstances of the case. The outcome of the Appeal will be confirmed to you in writing and will take one of the following forms: 1. A new Disciplinary Hearing will be convened, if there is considerable new evidence to be considered. 2. To set aside the decision that disciplinary action should be taken. 3. To impose disciplinary action at a lower level. 4. To confirm the disciplinary action already imposed. 5. The original decision will be substantially confirmed but a less severe sanction will be substituted for that originally imposed (usually in cases of appeals based on extenuating circumstances) or the original decision may be substantially confirmed and a more severe sanction may be substituted than that originally imposed (usually in cases of procedural error) 6. In all cases, the Appeal Manager’s decision is final. This procedure was approved by the Great Western Society Board on 9th November 2013 and is due for review in November 2016.

DB 7th November 2013

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