1.0 Introduction
This guide helps BUDS UK manage disciplinary actions through formal investigations, hearings, appeals, early resolutions, settlement agreements, and claims. The disciplinary process can be brought against any Employee, Contractor, Member, or Trustee.
2.0 Check BUDS UK Policies and Governing Document
The first point of reference is our contract of employment or constitution. Refer to BUDS UK's disciplinary policy and procedures, which should align with our GD, policies, and procedures.
3.0 Follow the ACAS Code of Practice
Employment tribunals are legally required to consider the ACAS Code of Practice when deciding cases. It outlines the core principles of fairness for handling disciplinary situations.
4.0 Stage One: Disciplinary Investigation
The Board of Trustees (BOT) shall appoint experienced senior members to lead an investigation. Key preparation pointers:
- Compliance: Follow the ACAS Code of Practice throughout the disciplinary process.
- Fairness: Conduct a fair and thorough investigation, sharing findings with the person involved.
- Notification: Do not ask attendance at short notice or unaccompanied unless contract gives extra entitlements.
- Relevance: Consider relevant issues like health, disability, or pregnancy.
- Action: For potential gross misconduct, consider suspending the person with full allowances/pay if appropriate.
- Evidence: Gather relevant evidence (papers, email trails, CCTV footage, witness statements).
- Report: Compile an investigation report detailing the allegations, evidence, and conclusion.
6.0 Stage Two: Disciplinary Hearing
- Maintain professionalism — recognise hearings are unpleasant but necessary.
- Gather relevant documents (contract, GD, disciplinary policy, ACAS Code).
- Statutory rights: the person involved has the right to be accompanied by a colleague or representative.
- Invitation: clearly word allegations and give at least three working days' notice.
- Document pack: provide investigation report and evidence in good time before the hearing.
8.0 After the Disciplinary Hearing
Possible outcomes: no case to answer, verbal warning, written warning, final written warning, or dismissal (with or without notice). Communicate the decision in writing and provide the right of appeal.
9.0 Stage Three: Appeal Hearing
If an appeal is requested, it should be handled impartially, ideally by a Manager or Trustee not previously involved. The appeal may review evidence, consider any new evidence, and either uphold, alter, or reverse the original decision.
11.0 Settlement Agreements
A settlement agreement is a legally binding contract to end employment, contractor agreement, Trustee or membership on agreed terms. Always follow the ACAS Code of Practice and seek advice from professional bodies or legal professionals before discussing a possible settlement.