Disciplinary Procedure Policy

Document title

Disciplinary Procedure

Approved by

Board of Trustees

Approval date

September 2026

Review date

September 2027

Review frequency

Annually

Applies to

All employees of Heart Heroes. It does not apply to volunteers, trustees, or contractors, who are covered under separate governance or conduct arrangements.

Related documents

Code of Conduct, Equality, Diversity and Inclusion Policy, Whistleblowing Policy, Safeguarding Policy, Comments, Compliments and Complaints Policy

Purpose

Heart Heroes is committed to maintaining high standards of performance and conduct.

This policy is designed to ensure that disciplinary matters are managed promptly, fairly, and consistently, and that employees understand the expectations of conduct within the charity.

The purpose of this policy is to:

Encourage and support improvement where standards fall short;
Ensure a fair process for all employees;
Comply with the principles of the ACAS Code of Practice; and
Protect the integrity and reputation of Heart Heroes as a responsible employer and charity.

The charity reserves the right to take disciplinary action, including dismissal, without following the full procedure where:

The individual is engaged as a worker and not an employee.

Principles

Heart Heroes will:

Treat all matters of misconduct or performance with fairness, confidentiality, and sensitivity.
Ensure investigations are conducted impartially and promptly.
Allow employees the opportunity to state their case before any decisions are made.
Permit employees to be accompanied at any formal disciplinary or appeal meeting.
Apply disciplinary sanctions proportionately and consistently.

Employees must:

Cooperate fully with any investigation or disciplinary process;
Maintain confidentiality regarding any proceedings; and
Act in accordance with Heart Heroes’ Code of Conduct and organisational values.

Disciplinary Sanctions

The level of disciplinary sanction will depend on the seriousness of the issue and the circumstances. Normally, sanctions will follow a staged approach as outlined below.

Written Warning

A Written Warning will usually be issued for the first instance of minor misconduct or unsatisfactory performance. The warning will:

Outline the concern or behaviour,
Specify the required improvement and expected standard,
State the timeframe for improvement, and
Confirm that failure to improve may result in further disciplinary action.

Final Written Warning

A Final Written Warning may be issued where:

There has been no improvement following a Written Warning, or
The misconduct is more serious but does not justify dismissal.

The warning will state that further misconduct or failure to improve may result in dismissal.

Dismissal

Dismissal may occur where:

There is gross misconduct, or
There has been a failure to improve following a Final Written Warning.

Dismissal may be with notice or summary dismissal (without notice) in cases of gross misconduct.

In some cases, alternative sanctions may be imposed - such as demotion, transfer, or removal of specific duties - where appropriate. All decisions will be confirmed in writing.

Disciplinary Procedure

Suspension from Work

In cases where it is appropriate, an employee may be suspended on full pay while an investigation takes place. Suspension is a neutral act and not a disciplinary sanction.

During suspension:

The employee must not attend work or contact colleagues unless authorised.
The period of suspension will be kept as brief as possible.
Any breach of suspension conditions may result in further disciplinary action.

Investigation

An investigation will be conducted to establish the facts. The employee may be asked to attend an investigation meeting, which is informal and does not attract the right to be accompanied (except for those under 18, who may be accompanied by a parent or guardian).

If the investigation finds there is no case to answer, the employee will be informed and no further action will be taken.

Invitation to a Disciplinary Meeting

If disciplinary action is being considered, the employee will receive a written invitation stating:

The nature of the alleged misconduct or performance issue,
How seriously it is being viewed,
The possible outcomes (including dismissal), and
The date, time, and location of the meeting.

The employee will be given reasonable notice to prepare.

Right to be Accompanied

Employees have the right to be accompanied at any disciplinary meeting by a fellow employee or a trade union representative. Those under 18 may be accompanied by a parent or guardian.

The companion may:

Present and summarise the employee’s case;
Ask questions; and
Confer privately with the employee.

The companion may not answer questions on the employee’s behalf.

Attending the Meeting

Employees are expected to attend and participate in disciplinary meetings. Failure to attend without good reason may result in the meeting proceeding in their absence.

At the meeting, the employee will have the opportunity to:

Respond to the allegations,
Present evidence, and
Call relevant witnesses.

Minutes will be taken. Recording by any party is not permitted without prior consent.

Outcome

Following the meeting, a decision will be made and confirmed in writing, detailing:

The findings,
Any disciplinary sanction,
The expected improvement or standards required, and
The employee’s right of appeal.

Where further investigation is required, the meeting may be adjourned.

Right of Appeal

Employees have the right to appeal against any disciplinary decision.

Appeals must be submitted in writing within five working days of receiving the decision letter, stating the grounds for appeal.

Appeal meetings will, where possible, be conducted by a manager or trustee not previously involved in the case.

The employee may be accompanied as at the original hearing.

The decision made at the appeal stage will be final.