Disciplinary and Dismissal Policy

Façade Creations Ltd is committed to fair and transparent treatment of all employees. This Disciplinary and Dismissal Policy summarizes how we manage conduct and performance issues in line with UK law (including the Employment Rights Act 1996) and ACAS guidance. We encourage open communication and informal resolution where possible, but have clear procedures if formal action is needed. The policy ensures every employee understands expected standards and their rights. A brief overview of this policy is provided here, with the full policy available internally for staff.

Scope and Purpose

This policy applies to all employees of Façade Creations Ltd. Its purpose is to promote a safe, productive workplace by setting out clear conduct standards and fair procedures for handling misconduct or poor performance. It is designed to comply fully with the Employment Rights Act 1996, the ACAS Code of Practice on Disciplinary and Grievance Procedures, and other relevant statutes (including the Equality Act 2010). Our goals are to address issues promptly and consistently, protect employee rights, and provide a clear appeal process. By codifying our process in writing, we uphold the ACAS principle that “rules and procedures… should be set down in writing, be specific and clear”. All employees should familiarize themselves with these standards and procedures; managers will ensure they are applied consistently.

Conduct and Performance Standards

Employees are expected to observe the highest standards of professional conduct, safety, and integrity. This includes complying with all Company policies (health and safety, quality, confidentiality, etc.), treating colleagues and clients with respect, and performing duties competently. Façade Creations Ltd provides a written Code of Conduct and Performance Expectations which defines acceptable behavior (e.g. no bullying, discrimination or harassment) and quality standards appropriate to our bespoke aluminium façade design and installation work. These rules were developed with employee input and training, as recommended by ACAS, so that everyone clearly understands their obligations. Any breach of company rules, poor performance, or misconduct may be addressed through this policy.

Informal Resolution (Initial Stage)

Most minor issues or misunderstandings can be resolved informally. Managers should initially address performance or conduct concerns through a supportive conversation or coaching (‘a quiet word’), providing guidance or clarification without issuing formal warnings. This might include verbal advice, extra training, or setting improvement targets. Even at this stage, a brief record should be made of any discussion and outcome, in case future action is needed. ACAS advises that “many potential disciplinary… issues can be resolved informally”, and emphasises keeping records of informal discussions to ensure fairness. By addressing problems early, we aim to help employees improve and prevent escalation. Employees may also raise concerns informally with their manager at any time.

Formal Disciplinary Procedure

When informal measures do not resolve the issue, or if the misconduct is serious, the formal disciplinary procedure is used. This procedure has several stages, all of which will be conducted fairly, promptly, and consistently. At every stage the Company will:

Conduct a thorough investigation to establish the facts without unreasonable delay.
Notify the employee in writing of the complaint or performance issue and the evidence gathered.
Arrange a formal disciplinary hearing with sufficient notice (see Investigation and Notice of Hearing below).
Inform the employee of their right to be accompanied by a colleague or trade union representative.
Allow the employee to present their case, respond to evidence and call witnesses.
Decide on any disciplinary action only after the hearing, notifying the employee in writing of the decision and reasons.

These steps reflect ACAS Code requirements: we will “carry out any necessary investigations…inform employees of the basis of the problem and give them an opportunity to put their case”, and follow a fair process even when dismissal is considered.

Investigation and Suspension

Once management decides formal disciplinary action may be needed, an impartial investigator will gather facts promptly. Where practicable, the investigator will not be the same person who holds the hearing, to ensure objectivity. Evidence (documents, statements, etc.) will be collected and reviewed. If necessary—for example, if allegations involve criminal behavior or safety concerns—a short paid suspension may be imposed on the employee, keeping it under regular review and explaining that it is a neutral step, not a disciplinary punishment. The employee will be told in writing that an investigation is underway, with enough detail about the allegations to allow a response. If an investigatory meeting is convened, its purpose is to gather information; no disciplinary action is taken at this stage. ACAS advises that suspension “should be as brief as possible” and reviewed, so we avoid undue delay.

Notice of Hearing

If the investigation indicates a disciplinary case to answer, the employee will be sent a written notice of a disciplinary hearing. This notice will state the nature of the misconduct or performance issue, date and time of the hearing, and copies of any evidence or witness statements to be considered. It will also explain possible outcomes (e.g. warning, dismissal) and remind the employee of their statutory right to be accompanied. This written notice enables the employee to prepare their response. ACAS recommends that such notification include “sufficient information about the alleged misconduct…to enable the employee to prepare”. We will set the hearing without unreasonable delay while allowing the employee reasonable time to prepare.

Formal Hearing

At the disciplinary meeting, the manager conducting the hearing (or panel) will explain each allegation and present relevant evidence. The employee (and their companion, if any) will have a full opportunity to answer, provide evidence, and question witnesses. Everyone should make every effort to attend. The hearing will be conducted impartially and in private, with all parties treated with respect and dignity. As per ACAS guidance, the employee may be accompanied by a colleague or trade union representative at any formal disciplinary hearing where a warning or other action may result. If a companion is unavailable at the proposed time, the hearing will be postponed by up to five working days to a suitable time proposed by the employee. During the hearing, the companion may address the meeting, sum up the case, and confer quietly with the employee, but not answer questions on their behalf. After all evidence and statements have been heard, the manager will adjourn (if necessary) to consider the findings.

Decision and Disciplinary Sanctions

After the hearing, management will decide if there is a case to answer. If so, they will choose an appropriate disciplinary response and inform the employee in writing. Possible outcomes include: no action, a verbal warning (recorded in writing), written warning, final written warning, demotion, suspension without pay (if contract allows), or dismissal. The choice depends on the seriousness of the misconduct or poor performance, the employee’s history, and consistency with how similar cases have been handled. In most cases, minor misconduct warrants a first written warning; persistent or more serious issues lead to a final warning; only if there is further misconduct after a final warning will dismissal normally follow. If the first offence is very serious (but not gross misconduct), the employee may receive a final written warning immediately.

Any warning will be in writing and will specify the nature of the issue, the required improvement or change in behavior with a clear timescale, and the consequences of failing to improve (including possible dismissal). It will also state how long the warning will remain live (for example, 6 or 12 months) and when it will lapse. Copies of warnings are kept on file but deemed “spent” after the stated period, as per ACAS guidance, so that we do not penalize employees indefinitely for past mistakes.

A decision to dismiss will only be taken by an authorised senior manager, not by the manager who conducted the hearing unless specifically empowered. The dismissal notice will be given in writing and will include the reasons for dismissal, the termination date, the employee’s pay and notice (if any), and instructions for any appeal. If dismissal is for misconduct, statutory or contractual notice is provided (see Notice Periods below), unless the offence is gross misconduct justifying summary dismissal. All decisions will be communicated as soon as possible and without unreasonable delay after the hearing.

Gross Misconduct

Some actions are so serious (gross misconduct) that they may warrant immediate dismissal for a first offence. Examples include theft, fraud, physical violence, serious insubordination, or other major breaches of safety or trust. Façade Creations Ltd will maintain a clear list of what it considers gross misconduct (adapted to our industry), but any decision still requires fair process. As ACAS stresses, “a fair disciplinary process should always be followed, before dismissing for gross misconduct”. If gross misconduct is found proven at the hearing, the normal practice is to dismiss without notice or pay in lieu, as allowed by contract and law. However, the employee will still receive the outcome letter and right to appeal as set out below. Lesser cases of misconduct (not grave enough for dismissal) will result in appropriate warnings as above.

Repeated Misconduct and Performance

If, after a final written warning, the employee commits the same misconduct again or fails to improve performance in the specified time, this will typically result in dismissal. We will consider all circumstances (length of service, past record, sincerity, improvements made) to decide if dismissal is reasonable. For performance issues (capability), we may follow a parallel Capability Procedure; however, if performance fails to improve despite support, we may apply this disciplinary policy in practice with emphasis on capability (performance) grounds. If the employee simply refuses to participate (for example, repeatedly fails to attend hearings without good reason), the hearing may proceed in their absence and a decision made on the available evidence.

Employee Rights and Representation

Throughout the process, employees have statutory and contractual rights that the Company will uphold. In particular:

Right to be Heard: Employees will be given full opportunity to answer any allegations and present evidence. They will be informed of the basis of the complaint and the evidence against them before any decision.
Right to Accompaniment: By UK law, the employee may bring a companion (fellow worker or union representative) to any formal disciplinary or appeal meeting. A written request for accompaniment will be accommodated; if the companion cannot attend on the scheduled date, the hearing will be postponed up to five working days.
Right to Fair Process: The ACAS Code requires us to handle issues “promptly,” “consistently,” and with reasonable investigation”. All managers will apply the policy impartially. The appeal stage must be managed by a different, impartial manager not previously involved.
Right to Appeal: Employees may appeal any formal disciplinary outcome, including dismissal, on specified grounds (e.g. procedure unfair, new evidence, disproportionate sanction). The appeal must be submitted in writing, specifying the grounds. We will schedule an appeal hearing as soon as practicable, heard by a senior manager (or panel) who did not take part in the original decision. Employees again have the right to be accompanied at the appeal. The appeal outcome will be confirmed in writing without unreasonable delay.
Other Legal Protections: Under the Employment Rights Act 1996, most employees need 2 years’ service to claim unfair dismissal, but dismissals for certain reasons (e.g. pregnancy/maternity, asserting statutory rights, trade union activities, health & safety actions, whistleblowing) are automatically unfair regardless of service length. Dismissing someone solely due to a protected characteristic (e.g. race, sex, disability) is unlawful discrimination under the Equality Act 2010. This policy will be applied in a non-discriminatory manner at all times.
Written Statement of Reasons: Employees with 2 years’ service (one year if hired before April 2012) have the right to request a written statement of reasons for dismissal. We will provide this within 14 days of a written request, as required by law. This is in addition to the dismissal letter given at the time of termination.

Grounds for Dismissal

Under section 98 of the Employment Rights Act 1996, dismissal is only fair if for one of the following reasons (and the procedure has been fair): misconduct, capability (skill or health), redundancy, statutory illegality, or “some other substantial reason” (SOSR). We outline each:

Misconduct: Includes any breach of Company rules or unacceptable behavior. This covers tardiness, rudeness, safety violations, etc. Minor misconduct typically results in warnings; severe or repeated misconduct can lead to dismissal.
Gross Misconduct: (See above) Behaviors so serious that they justify immediate dismissal – e.g. fraud, violence, gross negligence, intentional harm. The Company’s disciplinary rules list examples of gross misconduct.
Capability (Performance/Ill Health): If an employee is genuinely unable to meet job requirements due to skill, training, or long-term health, and suitable adjustments or training have been offered, dismissal for capability may be fair. This usually follows a capability review or occupational health assessment, with support plans attempted first. Long-term medical absence or persistent inability to perform may ultimately lead to fair dismissal. We will make reasonable adjustments for disability in accordance with the Equality Act.
Redundancy: When the employee’s job is no longer needed (e.g. business closure, reorganisation, or technological change), redundancy procedures apply. This is a legitimate reason for dismissal if the role truly ceases to exist. We will follow statutory redundancy rules: consulting affected staff, using fair selection criteria, offering suitable alternative roles where available, and providing statutory redundancy pay and notice. The ACAS guidance notes that redundancy “is usually a type of dismissal when a role is no longer needed”. Any pay or notice due will be paid as required by law.
Statutory/Legal Restriction: If continuing the employment breaches a legal duty (e.g. a driver loses their license, or a professional loses accreditation), dismissal may be necessary. As ACAS explains, this is when “the employee cannot do their job legally”. We will consider alternatives or role change first if possible.
Some Other Substantial Reason (SOSR): This catch-all covers other significant business reasons not falling into the above categories. Examples (as noted by ACAS) include the end of a fixed-term contract, third-party pressures (e.g. a key client refusing an employee’s presence), or reorganisation outside a redundancy scheme. Dismissals in these cases require a fair process and reasonable justification.

For all dismissals, managers will ensure the reason is genuine and evidenced. The employee will always be informed of the reason(s) for dismissal in writing. If the reason is not one of the above, it may be automatically unfair (e.g. dismissing due to union membership or taking legal action). Such reasons will not be used, and employees have the right to seek recourse if they believe dismissal was for a forbidden ground.

Notice Periods and Final Pay

After any dismissal decision (other than summary dismissal for gross misconduct), employees are entitled to notice. Under the Employment Rights Act 1996, an employee with at least one month’s service must receive statutory notice: 1 week’s notice if employed 1 month–2 years; and one additional week’s notice for each year of service from 2 to 12 years (up to a maximum of 12 weeks). Where the employment contract specifies a longer notice period, we will follow the contractual notice period if it is more generous (the statutory minimum cannot be undercut). Notice may be worked (with normal duties) or paid in lieu, according to the contract and circumstances.

If dismissal is for gross misconduct, the employment may be terminated immediately without notice or pay in lieu, as allowed by law and contract. In any case, final pay, including accrued holiday pay and any other entitlements (minus any lawful deductions), will be processed promptly.

Record-Keeping and Confidentiality

All records of disciplinary cases (meeting notes, letters, warnings, outcome letters) will be kept confidentially in HR files. ACAS advises employers to “keep a written record of any disciplinary or grievance cases”. We will retain these records for at least the duration of the warning period and in accordance with data protection requirements. Records will be treated as sensitive personal data and handled in compliance with GDPR and Company privacy policy. By documenting each step, we ensure transparency and protect both the employee’s and employer’s interests in the event of future disputes or appeals.

Review and Appeal

Employees who wish to challenge a disciplinary decision must do so through the Company’s appeal process. Appeals must be made in writing within the timeframe specified on the decision letter (typically within 5–10 working days of the outcome). The appeal should state the grounds (e.g. procedural error, new evidence, disproportionate sanction). An appeal hearing will be arranged without undue delay, with a manager (or panel) who was not involved in the original hearing. Employees may again be accompanied at the appeal. The decision on appeal will be final, and the employee notified in writing of the outcome as soon as possible.

This policy itself will be reviewed periodically (and at least annually) to ensure ongoing compliance with UK law and best practice. Any updates (for example due to legislative changes) will be communicated promptly to all staff.

Legal Compliance and Policy Implementation

This Disciplinary and Dismissal Policy is underpinned by UK law and authoritative guidance. It follows the ACAS Code of Practice on discipline and grievance (issued under section 199 of TULRCA 1992), which tribunals must take into account. Failure to follow ACAS Code can affect tribunal awards (up to a 25% increase if the employer fails unreasonably, or reduction if the employee fails to follow it). Employees who feel the Code has not been followed may cite it in a tribunal, although compliance with these rules is primarily the Company’s responsibility.

Under the Employment Rights Act 1996, Façade Creations Ltd recognizes that any dismissal must be for a potentially fair reason and executed fairly. We will be consistent: dismissing an employee for something that another employee did without sanction would be unfair. We will not act harshly, unfairly or unreasonably. As GOV.UK notes, we will ensure any dismissal is justified, reasonable and properly investigated.

By adhering strictly to this policy, we protect employee rights and reduce legal risk. We commit to an open process where employees understand the allegations against them, can defend themselves, and have the opportunity to improve. For any questions about this policy or to seek further clarification, employees should contact Human Resources.

Contact Us

If you have any questions or concerns about this policy, please contact us.

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