Many cases of misconduct or poor performance are best dealt with by informal advice, support, coaching and counselling rather than through formal procedures. Employees and managers are encouraged to discuss problems in order to identify issues and agree methods to improve conduct or performance. When dealing with issues informally, the line manager will still ensure that employees understand what needs to be done, over what time period and what action will be taken if there is no improvement. The actions and standards required may be confirmed in writing.

Informal processes will not be used for serious incidents or persistent performance issues.

Before any first stage of the formal procedure is held, the matter will be investigated. This may involve gathering written information only, or may involve investigation meetings to gather information. Any meetings and discussions as part of an investigation are solely for the purpose of fact-finding and no formal action will be taken without a disciplinary hearing.

In any of the formal stages of the procedure, no decision will be made until a meeting has been convened with the employee and they have had the opportunity to state their case. Employees will be provided, where appropriate, with written copies of evidence and relevant witness statements in advance of any such formal meeting and may be accompanied by a trade union representative, work colleague or friend.

This will normally be either:

• an improvement note for unsatisfactory performance if performance does not meet acceptable standards. This will set out the performance problem, the improvement that is required, the timescale, any help that may be given and the right of appeal. The individual will be advised that it constitutes the first stage of the formal procedure. A record of the improvement note will be kept for six months, but will then be considered spent – subject to achieving and sustaining satisfactory performance 
• OR a first warning for misconduct if conduct does not meet acceptable standards. This will be in writing and set out the nature of the misconduct and the change in behaviour required and the right of appeal. The warning will also inform the employee that a final written warning may be considered if there is no sustained satisfactory improvement or change. A record of the warning will be kept, but it will be disregarded for disciplinary purposes after a specified period (eg, six months – the length of time will be dependent on the impact a likely repeat of the misconduct would have on ESC).

If the offence is sufficiently serious, or if there is further misconduct or a failure to improve performance during the currency of a prior warning, a final written warning may be given to the employee. This will give details of the complaint, the improvement required 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 warning will be kept but will be disregarded for disciplinary purposes after 12 months subject to achieving and sustaining satisfactory conduct or performance.

If there is still further misconduct or failure to improve performance the final step in the procedure may be dismissal or some other action short of dismissal such as demotion or disciplinary suspension. In the case of dismissal, the employee will be provided in writing with reasons for dismissal, the date on which the employment will terminate, and the right of appeal.

If some sanction short of dismissal is imposed, the employee 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 warning will be kept but will be disregarded for disciplinary purposes after 12 months subject to achievement and sustainment of satisfactory conduct or performance

The following list provides some examples of offences which are normally regarded as gross misconduct:

• theft or fraud
• physical violence or bullying
• deliberate and serious damage to property
• serious misuse of ESC property or name
• deliberately accessing internet sites containing pornographic, offensive or obscene material
• serious insubordination
• unlawful discrimination or harassment
• bringing the organisation 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 confidence
• failure to disclose a conflict of interest.

If an employee 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.

An employee who wishes to appeal against a disciplinary decision must do so within five working days. The Commissioner will hear all appeals and this decision is final. At the appeal any disciplinary sanction imposed will be reviewed.

Records will be kept at each stage of the formal disciplinary procedure. All parties involved will have the opportunity to check their accuracy and employees will be entitled to a copy of all records relevant to them. ESC reserves the right to withhold some information from employees where it is necessary to do so to protect the identity of a witness. All records will be treated as confidential and will be kept for no longer than necessary and in accordance with the data protection legislation.