Disciplinary procedure and hearings Policy

The Company Disciplinary Procedure will be used only when necessary and as a last resort. Where possible, informal and/or formal counselling or other good management practice will be used to resolve matters prior to any disciplinary action being taken. The procedure is intended to be positive rather than punitive but takes cognisance of the fact that sanctions may have to be applied in some circumstances.

A franchisee/licensee/employee can discuss any part of this policy with their Union Representative or their Director/ Line Manager. They can help clarify a franchisee/licensee/employee rights as well as give guidance and support where it may be needed. Every individual has the right to representation at any point during the disciplinary process.

Suspension

Suspension is not disciplinary action. The purpose of suspension is manifold and can be used when it is necessary to remove a licensee or employee from the workplace pending an investigation for example, to allow time for a ‘cooling down period’ for both parties, for their own or others protection, to prevent them influencing or being influenced by others or to prevent possible interference with evidence. Only the Director or Manager in charge of that individual, at that time or their superior, have the authority to suspend an individual.

A franchisee/licensee/employee suspended from duty will receive written confirmation within three days of:

the reason for the suspension
the date and time from which the suspension will operate.
the timescale of the ongoing investigation.
the right of appeal to the Director/immediate manager of the suspending manager should the suspension last more than 7 days

Counselling

Counselling is an attempt to correct a situation and prevent it from getting worse without having to use the disciplinary procedure. Where improvement is required, the franchisee/licensee/employee must be given clear guidelines as to:

what is expected in terms of improving shortcomings in conduct or performance
the time scales for improvement
when this will be reviewed
the franchisee/licensee/employee must also be told, where appropriate, that failure to improve may result in formal disciplinary action.

A record of the counselling should be given to the franchisee/licensee/employee and a copy retained in their personnel file. It is imperative that any counselling should be followed up and improvements recognised and recorded. Once the counselling objectives have been met, any record of the counselling will be removed from the franchisee/licensee/employees file.

If during counselling it becomes clear that the matter is more serious, then the discussion should be adjourned, and pursued under the formal disciplinary procedure.

Procedure for formal investigation

Formal investigations should be carried out by the most appropriate manager/director who is not directly involved with the incident being investigated. This manager/director may involve others to assist with the investigation process. All the relevant facts should be gathered promptly as soon as is practicable after the incident. Statements should be taken from witnesses at the earliest opportunity. Any physical evidence should be preserved and/or photographed if reasonable to do so.
A report should be prepared which outlines the facts of the case. This should be submitted to the appropriate senior manager/director who will decide whether further action is required. Where appropriate, this report may be made available to the individual and their representative.
In most circumstances where misconduct or serious misconduct is suspected, it will be appropriate to set up an investigatory hearing. This would be chaired by the appropriate senior manager/director, who would be accompanied by another manager. The investigating manager would be asked to present his/her findings in the presence of the employee who has been investigated. Witnesses should be called at this stage, and the employee (or their representative) allowed to question these witnesses. The employee has a right of representation at this hearing.
Following the full presentation of the facts, and the opportunity afforded to the employee to state his side of the case, the hearing should be adjourned, and everyone would leave the room except the senior manager/director hearing the case, and the other manager. They would discuss the case and decide which of the following option was appropriate:

take no further action against the franchisee/licensee/employee
recommend counselling for the franchisee/licensee/employee
proceed to a disciplinary hearing

5. All parties should be brought back, and informed as to which option has been chosen. Should the decision be taken to proceed to a disciplinary hearing, then this may follow on immediately from the investigatory hearing if the following criteria have been met:

the franchisee/licensee/employee has been informed by letter that the investigation may turn into a disciplinary hearing, and that he has the right of representation
he has been told in advance what the nature of the complaint is, and had time to consult with a representative
all the facts have been produced at the investigatory hearing, and the manager/director is in a position to decide on disciplinary action.
the manager/director should inform the franchisee/licensee/employee and their representative that the hearing would now become a formal disciplinary hearing, and invite them to say anything further in relation to the case

6. It may be appropriate at this point to adjourn proceedings, whilst necessary arrangements are made for a representative to attend the hearing at the request of the franchisee/licensee/employee.

7.Should anyone who is subject to disciplinary action resign during the course of it, the action will cease unless there are extenuating circumstances which require its continuance. The subject of the discipline may also request that the disciplinary action continue.

Warnings

Examples of Minor Misconduct

Below are listed examples of misconduct which may warrant either a Verbal Warning or a First Written Warning. It is stressed however that this list is not exhaustive and that on all occasions a full and proper investigation must take place prior to the issue of a warning.

Persistent lateness and poor time-keeping.
Not paying royalty fees on time
Absence from work, including going absent during work, without valid reason, notification or authorisation.
Smoking within unauthorised areas.
Failure to work in accordance with prescribed procedures.
Incompetence and organization of franchise/licensing/employment business
Unreasonable standards of dress or personal hygiene.
Failure to observe Company regulations and procedures.
Failure to pay suppliers

Verbal Warning

A Verbal Warning is appropriate when it is necessary for the manager in charge to take action against a franchisee/licensee/employee for any minor failing or minor misconduct.

First Written Warning

A First Written Warning is appropriate when:

a verbal warning has not been heeded and the misconduct is either repeated or performance has not improved as previously agreed.
an offence is of a more serious nature for which a written warning is more appropriate.
the recurrence or accumulation of an offence/offences, if left, will lead to more severe disciplinary action.

Examples of Gross – Misconduct

Listed below are examples of misconduct which may be considered to be Gross Misconduct and may warrant a Final Warning, Demotion, Dismissal and contract termination. It is stressed however that this list is not exhaustive and that on all occasions a full and proper investigation will take place prior to the issuing of a Final Warning, Demotion, Dismissal and contract termination.

Theft, including unauthorised possession of Company property.
Breach of company policies and procedures
Breach of franchisee/licensee/employee contract
Failure to pay royalty fees
Breach of company health and safety policies
Breaches of confidentiality, prejudicial to the interest of the Company,
Being unfit for duty because of the misuse/consumption of drugs or alcohol.
Refusal to carry out a management instruction which is within the individuals capabilities and which would be seen to be in the interests of the Company.
Breach of confidentiality / or information giving on operations manual to third parties
Physical assault, breach of the peace or verbal abuse to customers or team members
Bringing companies name into disrepute
False declaration of qualifications or professional registration including DBS check
Failure to observe Company rules, regulations or procedures.
Wilful damage of property at work.
Incompetence or failure to apply sound professional judgement.
Bribing or attempting to bribe another individual, or personally taking or knowingly allowing another person to take a bribe.

Final Written Warning

A Final Written Warning is appropriate when:

A franchisee/licensee/employee’s offence is of a serious nature falling just short of one justifying dismissal.
A franchisee/licensee/employee persists in the misconduct which previously warranted a lesser warning.

Dismissal or termination or contract

Dismissal is appropriate when

A franchisee/licensee/employee’s behaviour is considered to be Gross Misconduct.
A franchisee/licensee/employees misconduct has persisted, exhausting all other lines of disciplinary procedure.

Time Scales for the expiry of Warnings

Warnings issued to franchisee/licensee/employees shall be deemed to have expired after the following periods of time.

Verbal Warnings: 8 months
First Written Warnings: 12 months
Final Written Warnings: 18 months (or as agreed and recorded at the hearing)

These time scales remain provided that during that period, no further warnings have been issued in respect of the Licensee/employee’s conduct.

Letter of warning

All Warnings contain the following information:

The nature of the offence and where appropriate, that if further misconduct occurs, more severe disciplinary action will be taken.
The period of time given to the employee for improvement or the letter is served with an improvement plan
A copy of the warning and any supporting documentation must be attached to the individuals personnel file.
The licensee/employee must also receive a copy of the warning which in the case of any written warning will be sent to their home address by recorded delivery if not handed to them in person.
In the case of a final written warning, reference must be made to the fact that any further misconduct will lead to dismissal, and that the licensee/employee has the right of appeal, and to who they can make that appeal.

The letter confirming dismissal will contain the following information:

The reason for dismissal and any administrative matter arising from the termination of their employment.
The franchisee/licensee/employees right of appeal and to whom they should make that appeal

Appeals

Every franchisee/licensee/employee has the right to appeal against the outcome of a disciplinary hearing. The basis of an appeal should normally relate to one of the following areas:

that the Company’s’ Procedure had not been followed correctly.
that the resulting disciplinary action was inappropriate.
that the need for disciplinary action was not warranted.
that new information regarding disciplinary action has arisen

An appeal should be put in writing to the manager/director/head office. The letter of appeal may be constructed by the franchisee/licensee/employee or their representative. The letter should contain the grounds for appeal and should be lodged within 10 days of receipt of the warning/dismissal letter.

An appeal will be arranged within 20 working days of receipt of the appeal letter.

Appeals against Verbal and First Warnings

In the case of verbal and first warnings, the appeal will be heard by the director/manager next in line to the one who issued the warning.

Appeals against Final Warnings and Dismissal

The hearing and determining of appeals against final warnings and dismissal will be heard by the appropriate Director. They may also involve another senior manager/director not previously involved with the case.

When dealing with an appeal against a Final Warning or Dismissal written statements of case may be submitted no later than 2 days prior to the date of Appeal Hearing. No additional written evidence will be admitted by the Appeal Committee on the date of the Hearing.

Witnesses may be required by either party at an appeal hearing, dependent upon the circumstances and nature of the case. However, there is no specific obligation on either party to produce a witness. Either party must give 5 days prior notice that they intend to call specific persons involved or associated with the case under consideration.

It is the responsibility of the management representative and for the appellant to each arrange for the availability and attendance of any witness they wish to call.

Grievance Procedure

The grievance procedure is intended as the tool by which a franchisee/licensee/employee may formally have a grievance, regarding any condition of their employment, heard by the management of the Company. The aggrieved franchisee/licensee/employee has the right to representation by a Trade Union Representative or a work colleague

In the event of a franchisee/licensee/employee wishing to raise a grievance, it is preferable for the grievance to be satisfactorily resolved as close to the individual and their line manager as possible. It is understood however that this is not always possible and that a formal procedure is required to ensure the swift and fair resolution of matters which aggrieve the Company’s employees.

Time scales have been fixed to ensure that grievances are dealt with quickly, however these may be extended if it is agreed upon by both parties.

This procedure is not intended to deal with:

Dismissal or disciplinary matters which are dealt with in a separate procedure.
Disputes, which are of a collective nature and which are dealt with in a separate procedure.

A franchisee/licensee/employee who has a grievance, should raise the matter with their manager/director immediately either verbally or in writing. If the matter itself concerns the employee’s immediate manager, then the grievance should be taken to the Director

If the manager/director is unable to resolve the matter at that time then a formal written grievance form should be submitted. The manager/director should then respond within 2 working days (i.e. the managers/directors normal working days) to the grievance unless an extended period of time is agreed upon by both parties. The response will give a full written explanation of the mangers/directors decision and who to appeal to if still aggrieved. In most instances the Company would expect the Directors decision to be final and for the matter to come to a close.

Using mediation

An independent third party or mediator can sometimes help resolve grievance issues before it is necessary to invoke the formal procedure. Mediation is a voluntary process where the mediator helps two or more people in dispute to attempt to reach an agreement. Any agreement comes from those in dispute, not from the mediator. The mediator is not there to judge, to say one person is right and the other wrong, or to tell those involved in the mediation what they should do. The mediator is in charge of the process of seeking to resolve the problem but not the outcome.

There are no hard-and-fast rules for when mediation is appropriate but it can be used:

for conflict involving franchisees/licensees/employees
at any stage in the conflict as long as any ongoing formal procedures are put in abeyance
to rebuild relationships after a formal dispute has been resolved
to address a range of issues, including relationship breakdown, personality clashes, communication problems and bullying and harassment.

Mediation is not part of Kalma ’s formal grievance procedure. However if both parties agree to mediation, then the grievance procedure can be suspended in an attempt to resolve the grievance through that route. If mediation is not successful, then the grievance procedure can be re-commenced.