For Use as Sample Precedent Only – the enclosed Policy is furnished for discussion

purposes only. (Legal advice should always be taken in adopting or implementing a

Disciplinary Procedure).

SAMPLE DISCIPLINARY PROCEDURE

THE PURPOSE OF THE DISCIPLINARY PROCEDURE

It is the policy of the Practice to promote and ensure that appropriate conduct and
performance among all employee and facilitate the fair and consistent treatment of all
employees. The provision of a high quality service to patients of the Practice requires that all
employees adhere to a high standard of work performance, conduct and attendance.

EXAMPLES OF CONDUCT WHICH MAY LEAD TO DISCIPLINARY ACTION

Examples of conduct which may lead to disciplinary action include:

• Persistent poor time keeping

• Unsatisfactory attendance record
• Negligence (This is different to claims of negligence associated with a personal
injury claim)
• Attending at work under the influence of alcohol or drugs
• Refusal to obey reasonable instructions
• Abuse of a patient
• Poor work standards
• Bullying, harassment or sexual harassment
• Breach of Health and Safety rules
• Breach of the internet/e-mail policy
• Breach of confidentiality

This list is not exhaustive and is for illustrative purposes only.

SUSPENSION

Pending the outcome of an investigation and/or disciplinary hearing an employee may be

suspended with pay by the Managing Partner. This is a protective measure and is not a
disciplinary measure nor is it indicative of guilt.

INFORMAL COUNSELLING

Where it is alleged that an employee does not meet the required standards in relation to
his/her performance, conduct or attendance then it is solely at the discretion of the Managing
Partner to decide to deal with such issues by way of informal counselling. If the Managing
Partner determines that the allegation(s) made against the employee should not be dealt with
by way of informal counselling then they shall be dealt with by under the formal disciplinary
procedure. If the Managing Partner decides to adopt such a course of action then the
Managing Partner or a person nominated by the Managing Partner shall conduct informal
counselling with the employee.

The Informal Counselling Process:

• The employee shall be given details of the his/her performance, conduct or attendance
that requires improvement
• The employee shall be given an opportunity to respond and will be given an
opportunity to put forward any explanations
• Measures will be identified that can assist the employee to improve his/her
performance, conduct or attendance. If necessary an action plan shall be put in place
for the employee.
• Details of the informal counselling and any follow up action shall be recorded in
writing and signed by both parties.

If an employee’s performance, conduct or attendance does not meet the required standards
after the informal counselling then the matter shall be dealt with under the formal disciplinary
procedure.

THE FORMAL DISCIPLINARY PROCEDURE

The following general principles apply to the Formal Disciplinary Procedure:

INVESTIGATION
• Before any disciplinary action is taken in relation to any alleged incident(s) or
complaint(s) the facts will be investigated.
• The investigation shall be carried out by a designated person. The Managing Partner
shall decide on a case by case basis as to whether the Managing Partner or a person
nominated by the Managing Partner shall investigate the matter. The Managing
Partner at his/her sole discretion reserves the right in certain cases to appoint an
external person to carry out the investigation.
• The employee concerned shall be provided with a copy of the allegations in writing
and be advised of his right to be represented by a fellow employee, a trade union
representative or lawyer at the employee’s own expense
• The employee concerned will be provided with copies of all relevant documentation
during the course of the investigation e.g. witness statements and minutes of any
interviews held by the investigator.
• The employee concerned will be interviewed and given an opportunity to respond to
the allegations
• The findings of the investigation shall be set out in writing together with the reasons
for those findings and a copy of same shall be provided to the employee concerned.
• Confidentiality will be maintained as far as practicable
• Anyone who participates in the investigation process will be required to respect the
confidentiality of the process and will be expected not to discuss the matter with any
employees or with persons outside the Practice
• Depending on the outcome of the investigation the matter may proceed to a
Disciplinary Hearing
DISCIPLINARY HEARING

• Prior to any Disciplinary Hearing the employee shall be informed in advance in

writing the allegations that he/she faces, the time and place of the disciplinary
hearing. The employee should also be informed of the range of disciplinary sanctions
that may be taken if it is found after the disciplinary hearing that some or all of the
allegations are proven against him. The employee concerned should also be informed
that he is entitled to be represented at this hearing by a fellow employee, trade union
or lawyer at his/her own expense.
• If any witnesses are going to be heard at the Disciplinary Hearing then the employee
should be informed in advance of their names.
• The Disciplinary Hearing may be conducted by someone other than the designated
person who conducted the Investigation. The Person who carries out the Disciplinary
Hearing is called the Decision Maker. The Decision Maker may be the Managing
Partner or some other person appointed by the Managing Partner. The Managing
Partner may at his/her sole discretion appoint an independent third party as the
decision maker such as an Independent Consultant or lawyer.
• The Decision Maker and the employee concerned shall be provided with a copy of the
designated person’s findings arising out of the investigation together with all relevant
documentation from the investigation such as minutes of interviews and witness
statements.
• The Disciplinary Hearing should commence with the employee concerned being
advised in detail of the allegations against him.
• The employee concerned, through his representative, will be offered the opportunity
to question his/her accuser(s). If the employee is not represented he should be
afforded the opportunity to question his accuser(s).
• The employee shall be afforded the opportunity to respond to the allegations and give
an explanation
• The employee shall be afforded the opportunity to make representations
himself/herself or through his representative
• When the hearing is complete the Decision Maker will adjourn to consider his/her
decision. The Decision Maker will adjourn the matter for sufficient time to consider
all matters.
• The Hearing will be reconvened and the Decision Maker should inform the employee
of his decision i.e. whether the allegations are proven or not. If the Decision Maker
decides that the allegations are proven then he will afford the employee concerned
and/or his representative the opportunity to make submissions in relation to the
appropriate sanction. The Decision Maker will adjourn again to consider the
appropriate sanction.
• The employee concerned will be notified in writing of the outcome of the disciplinary
process and sanction (if any) imposed.

APPEAL
If the employee concerned is dissatisfied with the outcome of the Disciplinary Hearing he
may appeal. Such an appeal must be made in writing and sent to the Managing Partner within
5 working days of the date of the letter notifying the employee of the outcome of the
disciplinary hearing. The Appeal shall be carried out by an external 3rd party such as an
Independent Consultant or lawyer nominated at the sole discretion of the Managing Partner.
The appeal shall be in writing only. The Appeals Decision Maker shall be provided with all
documentation considered during the Disciplinary Hearing together with grounds of the
appeal submitted by the employee and any written submissions provided by him. The
Appeals decision maker can decide to confirm or vary the findings of the Decision Maker and
can further decided to confirm or vary the sanction imposed.

SANCTIONS

The disciplinary sanctions available are:

• Oral Warning – a record of such a warning will be kept on the employee’s personnel
file for a period of 6 months subject to satisfactory improvement
• Written Warning – a copy of the warning will be kept on the employee’s personnel
file for a period of up to 12 months subject to satisfactory improvement
• Final Written Warning- a copy of the warning will be kept on the employee’s
personnel file for a period of up to 18 months
• Dismissal

Dismissal without notice1 shall only occur in cases of gross misconduct. Examples of gross
misconduct:

• Physical Assault
• Sexual Assault
• Theft
• Intoxication at work due to alcohol or drug consumption
• Download/Disseminating pornographic material
• Falsifying documents or records
• Behaviour likely to prejudice the Practice or of any grave breach or persistent
breaches of the ethics or etiquette of the medical profession or of any other conduct
calculated or tending to injure the reputation of the Partnership or likely to have a
serious or adverse effect upon the Partnership’s business

This list is not exhaustive. It is for illustrative purposes only.

1
Please note that dismissal without notice does not mean that an employer is permitted to dismiss an
employee without going through the disciplinary procedure. Dismissal without notice merely means that they
are not paid their contractual or statutory notice.