Disciplinary Procedure

Intent and Scope

ATT’s Disciplinary Procedure is part of the broader Conflict Transformation System..

The Conflict Transformation System aims to enable ATT and its members to engage with tensions and conflict healthily and productively by providing a clear system (including practices and processes) for walking towards and transforming conflict in order to help ATT and its members work fluidly and effectively towards ATT’s mission. As part of this system, this Disciplinary Procedure is designed to help and encourage all members to achieve and maintain standards of conduct (i.e. behaviour at work). This procedure applies to all members and its aim is to ensure consistent and fair treatment for all in the organisation.

We hope that by having a well-defined Conflict Transformation Process, and supporting members to walk towards conflict productively, most cases of misconduct will be successfully resolved informally, without needing to escalate them to become formal employment matters through a formal disciplinary procedure.

However, those cases the Conflict Transformation Process is unable to address successfully, or which are deemed particularly serious e.g. cases of gross misconduct, or complex, and which involve members who work 20 or more hours per week, will be escalated to become a formal employment matter, as outlined below.

Cases of unsatisfactory performance will be processed through our Feedback System and our Performance Management and Accountability system.

Principles

• Informal action will be considered, where appropriate, to resolve issues

• No disciplinary action will be taken against a member until the case has been fully investigated

• For formal action the member will be advised of the nature of the complaint against them and will be given the opportunity to state their case before any decision is made at a disciplinary meeting

• Members will be provided, where appropriate, with written copies of evidence and relevant witness statements in advance of a disciplinary meeting

• At all stages of the procedure members will have the right to be accompanied by a trade union representative, or colleague

• No member will be dismissed for a first breach of discipline except in the case of gross misconduct, when the member may be dismissed without notice or payment in lieu of notice

• A member will have the right to appeal against any disciplinary action

• The procedure may be implemented at any stage if the member’s alleged misconduct warrants this.

Misconduct

Misconduct is defined here as failure in personal conduct, or seriously and/or consistently contravening ATT's agreements, policies, rules and procedures. Examples of actions which are normally considered misconduct or gross misconduct are given below:

Examples of misconduct

• Dishonesty

• Misuse of ATT’s name

• Breach of confidentiality & data protection

• Breach of financial regulations

• Misuse of ATT’s equipment and materials

• Engaging in activities on the premises which could bring ATT into disrepute

• Supplying false or misleading information when applying for employment

• Health and Safety issues for example threatened or actual physical assault

• Deliberate or reckless damage to ATT’s property

• Abusive, obscene language or gestures

• Breach of ATT’s agreements e.g. harassment and bullying, alcohol and drug use.

Examples of gross misconduct

• Theft or fraud

• Physical assault, violence or bullying

• Deliberate and serious damage to property

• Serious misuse of ATT's property or name D

• Deliberate falsification of financial claims e.g. expenses

• Deliberately accessing internet sites containing pornographic, offensive or obscene material

• Serious insubordination

• Unlawful discrimination or harassment

• Bringing ATT into serious disrepute

• Serious incapability at work brought on by alcohol or illegal drugs

• Causing loss, damage or injury through serious negligence

• A serious breach of health and safety rules

• A serious breach of confidentiality

• A serious breach of confidence.

The Procedure

1. Informal action by members - minor misconduct

Members are encouraged to try and resolve their concerns informally with the person(s) whom they think has engaged in minor misconduct through direct communication or a supported conversation with them (see Steps 1-4 of the Conflict Transformation Process). We encourage members to make use of ATT’s Conflict Transformation Process to express feelings, needs and requests in a productive way and to review ATT’s guidelines for giving feedback without blame and criticism.

If members are not comfortable speaking directly to the person or if direct communication or a supported conversation does not resolve the issue satisfactorily, or if they think the alleged misconduct is more serious, they should inform the Conflict Transformation Team of the People and Culture Circle about their concerns. The Conflict Transformation Team will then assess the situation with reference to ATT’s various agreements and policies and decide on next steps. Next steps could include a range of informal processes as described in Step 5 of the Conflict Transformation Process, an informal discussion between the member in question and an appropriate role holder in the People and Culture Circle, or an investigation.

2. Investigation

In instances where it is reasonably suspected that a member has engaged in misconduct, an investigation will be carried out. The purpose of the investigation is to establish the facts in a fair, reasonable and objective manner and not prejudge the issue. Disciplinary action will not be taken without an investigation.

The member in question will be informed that the investigation is taking place and when it is expected to be, and has been concluded. Depending on the circumstances, the member may be requested to attend an investigatory meeting. The member will be informed at the outset that the meeting is part of the investigation process and separate from a disciplinary meeting.

Depending on the nature of the alleged misconduct, the investigation will be conducted by a Designated Person. A Designated Person is a member of ATT or trusted qualified external party (such as a Discrimination and Harassment specialist, a human resources professional, or a lawyer) who ATT determines is qualified to receive and investigate allegations of misconduct. Once the investigation is concluded all the evidence will be analysed objectively and with impartiality by the investigator and presented in an investigation report for use by the Conflict Transformation Team and/or chair of the formal disciplinary meeting (see step 4 below).

3. Informal discussions - minor misconduct

The aim, through early discussion between the member and an appropriate role holder in the People and Culture Circle, is to resolve minor breaches of discipline without invoking the formal disciplinary procedure. Informal discussions may or may not be preceded by an investigation.

These discussions offer an opportunity to agree on an acceptable outcome to a concern. It is also a chance to draw out any learning and for all parties to seek to understand the causes and the impact of the concern. These discussions are used to set out the expectations of ATT, represented by the People and Culture Circle, and to discuss any needs that the member may have to help them to resolve the concerns and not repeat the behaviour. These discussions are also used to explain any consequences, should the issues arise again in the future. Wherever possible, the process of agreeing an action plan is a collaborative and supportive process. An action plan should be agreed by both parties.

The outcome of such discussions might be, a letter setting out the content of your discussions, an agreed-on action plan, the improvements requested, a reminder about acceptable behaviour, any retraining or re-education requested and when this will be provided, and the implications of repeat incidents in future. The assigned People and Culture role holder will provide a copy to the member in writing within 7 calendar days of the action plan and/or reminder about acceptable behaviour being agreed. Regular review meetings will be scheduled to review progress and to amend/update the action plan as required. A record of the action plan and/or reminder about acceptable behaviour will be shared with the People and Culture Circle.

4. Formal disciplinary meeting

Where there are reasonable grounds to believe that a member has engaged in misconduct deemed more serious for which informal discussions may not be appropriate, or when a member has not met expectations of acceptable behaviour set out in previous informal discussions, they will be invited to attend a disciplinary meeting. In advance of the meeting, ATT will:

• give the member at least 48 hours’ notice of the disciplinary meeting, unless otherwise agreed

• set out in writing, the purpose of the meeting, including a statement that it is being held under ATT’s disciplinary procedure and provide details of the nature of the allegations

• inform the member of their right to be accompanied by a colleague or an accredited trade union representative

• provide all relevant information, including witness statements and other evidence obtained during any investigation to the member in advance of the meeting.

The meeting will be chaired by an appropriate role holder from the People and Culture Circle, an alternative role of appropriate seniority, by a panel chaired by one of these role holders, or by a third party. During the meeting the chair will:

• give a full explanation of the allegations and the content of any statements provided by witnesses

• give the member reasonable opportunity to ask questions, present evidence, call any relevant witnesses (where advanced notice has been provided), raise points about any information provided by witnesses

• refer to witness accounts or have witnesses attend the meeting to answer questions or give a statement (having given the member advance notice of this)

• adjourn the meeting if it appears necessary or desirable to do so (including for the purpose of gathering further information). The member will be informed of the period of any adjournment. If further information is gathered, the member will be allowed a reasonable period of time, together with their companion (if they have one), to consider the new information prior to the reconvening of the disciplinary meeting.

After the meeting ATT will inform the member of its decision, notify them in writing of the outcome and of their right to appeal against the decision if they are not satisfied with it.

The member must take all reasonable steps to attend the meeting. Where the member is genuinely unable to attend and provides a good reason for failing to do so, the meeting will be adjourned to another day.

Unless there are special circumstances mitigating against it, if the member is unable to attend the rearranged meeting, the rearranged meeting will take place in their absence. The member’s colleague or trade union official may attend in such circumstances and will be allowed to present the member’s case. The member will also be allowed to make written submissions in such a situation.

5. Disciplinary outcomes

If the chair/panel finds that the member has a case to answer to, it has the authority to take disciplinary action as outlined in the stages below. The chair/panel also has the authority to take action outside of these stages e.g. request satisfactory completion of a course of training or developmental activity, referral back to mediation, referral to an alternative agreement/policy/procedure. In more serious cases of misconduct a stage may be passed over in favour of higher level disciplinary action. When deciding on the level of disciplinary action to take, the chair/panel will take into account any previous disciplinary requests issued that are still current.

a. First written improvement request

The first stage will normally be a first written improvement request if conduct does not meet acceptable standards. It will set out the nature of the misconduct and the change in behaviour requested and the right of appeal. The improvement request will also inform the member that a final written request may be considered if there is no sustained satisfactory improvement or change. A record of the request will be kept by the People and Culture Circle, but it will be disregarded for disciplinary purposes after 6 months.

b. Final written improvement request

If the misconduct is sufficiently serious, or if there is further misconduct during the active period of a prior improvement request, a final written improvement request may be given to the member. This will give details of the complaint, the improvement requested and the timescale. It will also warn that failure to improve may lead to dismissal (or some other action short of dismissal) and will refer to the right of appeal. A copy of this written request will be kept by the People and Culture Circle but will be disregarded for disciplinary purposes after 12 months subject to achieving and sustaining satisfactory conduct.

c. Dismissal or action short of dismissal

If there is still further misconduct, dismissal or some other action short of dismissal such as suspension or demotion may be taken. Decisions to terminate an individual’s Member status or change an individual’s Core Member status to Member status can only be taken via a Membership Review, unless there has been a case of gross misconduct in which case these decisions will be taken by a disciplinary panel in accordance with this disciplinary procedure. The member will be provided in writing the reasons for dismissal, the date on which their employment will terminate, and the right of appeal.

If some action short of dismissal is imposed, the member will receive details of the complaint, will be warned that dismissal could result if there is no satisfactory improvement, and will be advised of the right of appeal. A copy of the written request will be kept by the People and Culture Circle but will be disregarded for disciplinary purposes after 12 months subject to achievement and sustainment of satisfactory conduct.

d. Gross misconduct

If a member is accused of an act of gross misconduct, they may be suspended from work on full pay, normally for no more than five working days, while the alleged offence is investigated. If, on completion of the investigation and the full disciplinary procedure, the organisation is satisfied that gross misconduct has occurred, the result will normally be summary dismissal without notice or payment in lieu of notice.

e. Appeals

A member who wishes to appeal against a disciplinary decision must do so within five working days. They should write to the People and Culture Circle and confirm which of the following grounds the appeal is based on:

• procedural errors where there is evidence the process was incorrectly followed

• new evidence has come to light that may change the outcome of the original decision

• fairness and reasonableness of the outcome.

The written appeal must:

• make clear the grounds for the appeal and include all relevant new information or supporting evidence

• outline which of the issues hasn’t been properly considered and why

• clearly state the desired outcome from the appeal.

The appeal will be heard without unreasonable delay. If the original decision was taken by Membership Review the member is entitled to ask for a do over as per point 9 of the Membership Review Policy. If the original decision was taken by a disciplinary chair/panel, the People and Culture Circle will appoint an appeal manager - most likely from the Mission Circle or a third party.

The appeal will not re-hear the original issues unless they were not properly considered. At the appeal meeting, the appeal manager will clarify their understanding of the basis for the appeal and ask relevant questions. Through discussion, they will explore solutions with the member and attempt to achieve resolution. The decision of the appeal manager will be conveyed to the member in writing. This decision is final.

Responsibility

• The People and Culture Circle will regularly review this procedure and make any changes needed.

• All changes must be approved by the Mission Circle.

• The People and Culture Circle is responsible for implementing this procedure.

Additional Resources

This policy is written in accordance with the ACAS Code of Practice (CoP) on disciplinary and grievance procedures. The ACAS CoP sets out principles for handling disciplinary and grievance situations in the workplace and will be used to guide the process where needed. The Code does not apply to dismissals or the non-renewal of fixed-term contracts on their expiry.

The ACAS Discipline and Grievance Guide provides more detailed and practical advice and guidance that employers and employees will often find helpful both in general terms and in individual cases.

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