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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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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