Introducing the new Royal Mail Group Conduct Agreement - CWU
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Introducing the new Royal Mail Group Conduct Agreement
New Royal Mail Group Conduct Agreement
Contents
National Conduct Agreement between
Royal Mail Group, CWU and Unite .......... 4
Conduct Policy ......................................... 16
Conduct Guides
Informal Discussions ............................ 23
Fact finding ........................................... 26
Conduct Meetings ................................. 30
Decision Making and Report Writing ... 36
When to Consider
Precautionary Suspension ................... 41
Security of Customers’ Mail ................. 46
Managing Employees
who are on Precautionary
Suspension due to a
criminal investigation ........................... 48
Late Attendance ................................... 49
Right to an Appeal ............................... 51
Approach for Union Representatives ... 53
Absent Whilst on Formal Procedure .... 55
Q&A ........................................................... 57
Who to contact ........................................ 59
August 2015
2
New Royal Mail Group Conduct Agreement
Foreword
We are pleased to be jointly launching the new Conduct
Agreement across Royal Mail Group with Unite and CWU.
The agreement aims to help employees managers need to deal with an issue formally.
achieve and maintain Royal Mail Group
A key change in the process is the different
standards of conduct and behaviour, while
approach to suspensions. In the past,
making sure employees are treated in the
employees were suspended too often, for
right way. It replaces the four previous too long and sometimes for issues that
agreements to ensure that the Group’s were not that serious. The new approach
approach to conduct is fully aligned to the way asks managers to reflect on why suspension
we want managers, union representatives is being considered; looking at the risks
and employees to work together. and consequences for the business.
The new approach and agreement are We have also clarified the definitions of
supported by the Conduct Policy and a delay as there has been some confusion
number of guides which are included in between wilful and unexcused delay.
this booklet. They have been developed This has led to unnecessary action being
jointly to support a different approach – taken. The new definitions will support
one that emphasises informal resolution managers in making the right decisions.
and is less punitive and more corrective.
We hope you find this booklet useful in
We want to let employees know in an helpling you to support us deploy the new
informal and timely manner if their conduct approach to managing conduct. We believe
or behaviour is causing concern, whilst the new approach will benefit the business,
recognising that there will be occasions when our employees and union representatives.
Jon Millidge Brian Scott Ray Ellis
Group HR Director Unite /CMA Officer Assistant Secretary CWU
3
New Royal Mail Group Conduct Agreement National Conduct Agreement between Royal Mail Group, CWU and Unite Purpose Definition of mail This Agreement is designed to help For the purposes of the agreement, and encourage all employees to the term “mail” includes all items achieve and maintain standards of which employees are entrusted conduct including behaviour. There to collect, process, convey, deliver are separate procedures to deal with or otherwise handle or have other issues like attendance and access to. This includes letters, inability to perform a job effectively. parcels and unaddressed items. Scope This Agreement applies to all employees working for Royal Mail Group irrespective of grade. This Agreement does not apply to agency staff, contractors or self-employed workers. This Agreement supersedes the former conduct code agreements in Royal Mail Letters, Parcelforce, Customer Management and Logistics. In the event of any inconsistency between this Agreement, the policy and the supporting guides, the terms of this Agreement take precedence.
National Conduct Agreement between Royal Mail Group, CWU and Unite
• Notification of action in line with the Conduct
General points
Policy will only be made when sufficient
Specifically the Agreement aims to:
facts of the case have been determined
• Reflect best practice and be • At all stages of the formal procedure
consistent with ACAS guidelines (i.e. excluding informal) the employee
• Provide an approach that is fair, will have the right to be represented
consistent and will deal with employees by their union representative or be
in a non-discriminatory and timely way accompanied by a work colleague
• Operate in a way that is normally from the same work location
supportive and corrective • An employee will be provided with
• Support business standards as detailed in an explanation for any penalty given
Our Code: Code of Business Standards and have the right to appeal against
any conduct penalty imposed
• Encourage and support employees
• When progressing a case and completely
to meet these standards
new information regarding a different
• Set down employee rights and obligations incident comes to light, then a further
Guiding principles conduct notification will be made to the
employee, including the specific details
• The business will make employees
aware of the expected standards • Where further evidence comes to light
of conduct and behaviour regarding the original conduct case e.g. its
seriousness, the original case will continue
• Employees should make every effort
to meet the business standards • Cases will be handled as speedily as possible
and where there is significant delay, the
of conduct and behaviour
employee will be notified of the reason
• Resolving conduct issues informally and when a decision is to be made
and with support and guidance will be
• Managers may seek advice and
considered when appropriate to encourage
guidance from HR Services Advice
employees to improve behaviour
& Support where appropriate
• Conduct and behaviour should be managed
by providing constructive feedback and Employee obligations
by treating each other with dignity and Royal Mail Group requires all employees to:
respect. The employee will be made • Take a responsible approach to their
fully aware of the evidence. Copies of all work, customers and fellow employees
documents will be provided in a timely • Maintain standards of conduct
manner in line with the procedure appropriate to their role
• No conduct action will be taken • Seek help as soon as they recognise
against an employee until the case that they are in a situation which could
has been fully investigated compromise their behaviour or if they
• No employee will be dismissed for a first have any concerns regarding their job
breach of conduct except in the case • Follow any reasonable instructions
of gross misconduct when the penalty of their manager
will normally be dismissal without Employees charged with a criminal offence must
notice or payment in lieu of notice notify Royal Mail Group as soon as possible.
5
New Royal Mail Group Conduct Agreement
Employees are not required to let Where the right word at the right time has
Royal Mail Group know about minor not resulted in an improvement in conduct or
offences e.g. minor traffic offences. behaviour, the manager can arrange to meet
with the employee for an informal discussion.
Employee rights and considerations The purpose of an informal discussion is for
• Employees have the right to be treated the manager and the employee to resolve
with dignity and respect by all their the issue without needing to use the formal
colleagues, whatever the situation process. If any documents are used in the
• Employees will be treated fairly, including informal discussion they should be shared at
having the right to make a case in the start of the meeting. If the employee wishes
response to any allegations or questions they can meet with their union representative
put, whether formal or informal before meeting with their manager.
• Employees will be treated in an The manager should make the employee
impartial, non-discriminatory way aware of the reason for the concern, the
• Employees may be accompanied at the standards required and identify any steps
that the employee or company may take
fact finding and formal meetings by their
to produce an immediate and sustained
union representative or a work colleague
improvement. Before dealing with an issue
normally from the same work location
informally the manager must decide that the
• An employee’s previous work record matter can be dealt with informally assuming
and conduct and any other mitigating no further information comes to light.
circumstances will be fully taken into account
Exceptionally, if during an informal discussion
Royal Mail Group Security: At the onset of an it becomes clear that there are more serious
interview relating to a criminal investigation issues, for example an employee admits to
led by Royal Mail Group Security, employees a more serious incident, the manager must
will have explained to them the role of the stop the informal discussion and arrange a
investigators, their legal rights and the fact finding meeting. They must make it clear
procedures to be followed. This applies both to the employee that they have the right to
when the employee is being interviewed either be represented at the fact finding meeting.
as a suspect or a witness. At any interview An informal discussion could include:
with Royal Mail Group investigators, an
• Highlighting the area(s) of concern
employee, unless they are under arrest, will
be entitled to be accompanied by their union • Explaining to the employee why their
representative or work colleague normally from conduct is a cause of concern
the same work location to act as an observer. • A reminder of the required standards
Informal resolution • Listening to the employee’s point of
view and understanding the reasons
Informal resolution can help to resolve many
behind the poor conduct or behaviour
minor conduct or behaviour issues before they
become more serious. The right word, at the • Identifying any initial actions that can be
right time and in the right way, may be all that taken by the employee or the manager
is needed to resolve the situation. Sometimes • A reminder of the services of the
the employee may not be aware that their Occupational Health Services and
conduct or behaviour is unsatisfactory. provision of contact numbers
6
National Conduct Agreement between Royal Mail Group, CWU and Unite
• A reminder of the potential implications if Where an employee is on overtime or
the conduct or behaviour is not improved scheduled attendance working to another
The approach to the informal discussion manager and commits an alleged offence,
should be sympathetic and supportive, and the manager at the time of the incident
focused on the improvements required. would normally deal with the case.
Comments should be constructive and the Where a Royal Mail Group Security criminal
emphasis should be on finding ways in which investigation is taking place, the Security
the employee can improve their conduct or executive summary will be sent to the
behaviour. The manager should factor in any employee’s manager. The manager should
mitigating circumstances that may have caused decide what conduct action, if any, is appropriate.
a temporary change in conduct or behaviours
Where conduct progresses through the formal
e.g. personal events or changes at work.
process, the executive summary will be included
Where an improvement is required, it is in the documents for the fact finding meeting.
important that the employee understands what
needs to be done and the standards of behaviour Where a bullying and harassment investigation
or conduct required. The employee should be has taken place and the outcome is a
advised that if there is no improvement, the next recommendation for action under the conduct
stage may be the formal conduct procedure. procedure, the case will normally be handed
to the employee’s manager who will be
Formal conduct process responsible for dealing with the conduct case.
Before progressing a case formally, a manager, The evidence gathered during the bullying
normally the first line manager should consider and harassment investigation will be used
whether it is appropriate for them to handle the to contribute to the fact finding stage.
case. For example, it would be inappropriate
if the manager concerned is a relative, close All documents used in the fact finding
friend of the employee or is directly involved meeting should be shared with the
in the incident or their evidence could cause employee at the start of the meeting or
a conflict in their decision making process. where there is more than one issue during
the meeting, before they are discussed.
Fact finding
Following the fact finding meeting, the
Most minor day to day problems if dealt
manager should consider the information
with early enough can be ‘nipped in the
bud’ by the right word, at the right time, available and decide whether the case
in the right way. In more serious cases can be dealt with informally, formally or
it will be necessary to proceed straight closed if there is no case to answer.
away to the formal conduct process. Informal resolution
When it is considered that an employee’s conduct Where the outcome of the fact finding
or behaviour has not met the required standard, investigation does not warrant formal
the employee’s manager will make a prompt
conduct action, the manager will decide
and detailed investigation of the facts and may
whether there is a need to speak informally
seek a more detailed explanation from the
employee. It may include examination of relevant to the employee to encourage them to
documents and a fact finding meeting where improve and to correct their behaviour.
the employee has a right to be accompanied
by their union representative or by a work
colleague normally from the same work location.
7
New Royal Mail Group Conduct Agreement
In the majority of cases the matter will end with Following the formal meeting the manager
the informal discussion Where the issue is dealt should consider the information available
with informally, this concludes the matter and and decide what approach to take; informal,
the case is closed. formal or closed if there is no case to answer.
Progressing a case formally If the manager decides the case can be dealt
with informally, the matter will end with an
If the manager who conducts the fact finding
informal discussion.
feels there is a case to answer, they must
decide whether, if the allegation is proven, If the manager decides to deal with the
the penalty appropriate would be likely to be case formally, they should consider the
within or outside their authority. If they feel appropriate penalty.
a major penalty is a possible outcome, they At the earliest opportunity, the manager
must, at that stage, pass it on to another dealing with the case will tell the employee the
manager, normally the second line manager. decision, normally face to face where practical.
The manager progressing the case will write The manager should also follow this up with a
to the employee to ask them to attend a formal letter setting out their thought process in
formal conduct meeting giving at least two arriving at their decision and why they consider
working days’ notice of the meeting and the penalty given is the most appropriate.
setting out details of the alleged misconduct. Where a union representative or colleague
The manager must also enclose copies of attends a conduct or appeal meeting in their
any notes or evidence that would be referred working time, they will be given sufficient
to during the meeting. At the meeting the paid release from duty to prepare, attend
employee is entitled to be accompanied by their and travel if necessary. Travel and other
union representative or by a work colleague expenses for union reps will not be met.
normally from the same work location.
Access to documents
If the manager is considering dismissal, the letter
All information and documents that a manager
inviting the employee to the conduct meeting
may consider in reaching their decision must
will make this clear. The meeting will be with
be made available at least two working days
the manager taking the decision. At the meeting
in advance of conduct meetings. Documents
the union representative or work colleague can
will be reviewed to ensure that personal details
act as an observer, help in putting the case, or
such as phone numbers are removed. In
present the case itself. The employee should
most cases anonymity cannot be preserved
respond personally to any relevant questions
in conduct cases. Anonymisation should only
raised by the manager conducting the meeting.
be considered where there is a real fear
Some delay may be necessary if the of intimidation or reprisal where a specific
issues raised need further checking or legitimate request for anonymity has been made.
investigation or where complex issues
In cases where the anonymity of witnesses
requiring detailed consideration have arisen.
has been preserved, information released will
In this event the meeting may be adjourned.
be presented in such a way as to achieve that
The employee will be provided with any
objective in accordance with employment law.
new evidence and have sufficient time to
respond to it with their representative. Access to papers will only be denied
in exceptional circumstances, e.g. if
solicitors recommend. Legal advice to
Royal Mail Group will not be disclosed.
8
National Conduct Agreement between Royal Mail Group, CWU and Unite
Authority levels Precautionary suspension
The authority to give warnings and serious When it may be necessary to
warnings lies with the immediate manager. consider precautionary suspension
Major penalties will normally be given by an Precautionary suspension should only be
employee’s second line manager of at least considered when a serious incident occurs
Royal Mail Executive Manager Level 2 grade, or is reported to a manager. It is important
Operations Manager in Parcelforce or equivalent that all cases of precautionary suspension
who is in the direct reporting line and has had only last as long as necessary. The main
the appropriate training. Managers in an acting circumstances when it may be appropriate
or temporary promoted capacity have the to consider precautionary suspension are:
authority of that grade. CWU graded employees
• Alleged inappropriate behaviour; for
whilst on acting duties will not have the authority
example, refusal to carry out a reasonable
to deal with conduct cases for managers under
instruction, violent or threatening behaviour
their control or to deal with major penalties
• Alleged serious breach of conduct, for example
cases. These minimum authority levels cannot
suspected or admitted theft or fraud, where
be altered without further national negotiations.
there is a reasonable belief that the alleged
In cases where a major penalty may be an serious breach might be repeated and/
outcome, the fact finding must be carried or there is a risk to people, property, mail
out by a manager other than the manager or the good image of Royal Mail Group
who will make the decision in the case.
• There is a reasonable belief that the
Training investigation may be hampered if
Before undertaking a conduct investigation, the employee remains at work
all managers, including acting and In the first instance, the manager should meet
temporary managers, must be trained with the employee to seek an explanation of the
in the application of the Conduct Policy facts of the case. If the manager believes that
relevant to their level of authority. the incident is serious and there is a reasonable
belief that the serious breach might be repeated
Grievances and/or there is a risk to people, property, mail
Complaints can be made through the Grievance or the good image of Royal Mail Group, then
Policy where an employee has a problem the manager should send the employee home.
or complaint about their work e.g. unhappy Where an employee has been sent home the
about an instruction or where an employee manager must contact HR Services Advice
is concerned about their employment. As and Support to discuss the facts of the case.
the Conduct process has as inbuilt appeal, The manager then decides what appropriate
employees are not able to raise a grievance action to take given the circumstances.
regarding the decision of their conduct case. Where the employee has refused to carry out
Employees who believe there have been a reasonable instruction they should be given
procedure errors should raise this during 10 minutes “cooling off” time to reconsider
the formal conduct meeting or appeal their actions. The employee should be
hearing. In exceptional circumstances, the encouraged to see their union representative
employee can raise a grievance where during this period where possible.
they feel procedural errors have not been
addressed through the conduct process.
9
New Royal Mail Group Conduct Agreement
If an employee is suspended then that When managers become aware of criminal
suspension must be kept under review; initially actions involving an employee which may make
after 48 hours and then on a weekly basis. The the employee unsuitable for their type of work,
review should take into account the seriousness cause serious problems with other employees
and the continued risk to the business. It is or unacceptable to the business, consideration
important that all cases of precautionary should be given as to whether precautionary
suspension only last as long as necessary. action is appropriate. Managers must contact
HR Services Advice and Support when they are
In most cases suspensions will be carried
made aware of an employee being involved in a
out by a unit manager, such as a Delivery
criminal action outside work before taking action.
Office Manager or an Operations Manager,
in larger units by the Shift Manager or an Loss of or damage to property
appropriate manager. Royal Mail Group All losses of property (including cash or
Security can suspend employees on the valuables) or damage to property must be
authority of an appropriate manager. reported to a manager. Where loss or damage
In all cases, whether the employee is deliberate or attributable to negligence or
is suspended or not, the outcome of carelessness, conduct action may be taken.
the case will not be affected. Gross misconduct
In cases where an employee is either Some types of behaviour are so serious and
precautionary suspended or other precautionary so unacceptable, if proved, as to warrant
action taken, the employee will be made dismissal without notice (summary dismissal)
aware that it is not a formal penalty and or pay in lieu of notice. It is not possible to
it does not suggest any prejudgment. construct a definitive list of what constitutes
If a Royal Mail Group Security criminal gross misconduct and in any event all cases
investigation is also taking place relating to will be dealt with on their merits. However,
the case, managers must liaise with Security the following examples show some types of
before making their decision on whether to behaviour which, in certain circumstances,
suspend or allow an employee to return to could be judged to be gross misconduct:
work following a suspension. This ensures • Theft
that the incident is handled appropriately and • Violence
that all relevant factors are considered.
• Abusive behaviour to customers or colleagues
Precautionary suspension will be with pay.
• Criminal acts against Royal Mail
Criminal actions outside Group or its employees
employment • Intentional delay of mail
Criminal actions outside employment • Deliberate disregard of health, safety and
should not be treated as automatic reasons security procedures or instructions
for formal notification under the Conduct
• Unauthorised entry to computer records
Policy or contemplation of dismissal.
• A serious or persistent breach of the
Employees should not be dismissed solely Continuous Disclosure and Communications
because a criminal charge against them is Policy or the Share Dealing Policy
pending or because they are absent through
having been remanded in custody.
10National Conduct Agreement between Royal Mail Group, CWU and Unite
Conduct penalties where there are reasons why the employee
Formal action in line with the Conduct Policy cannot continue working in their current role.
will always be notified in writing. Each case will Where compulsory transfer is being considered
be treated on its merits with conduct action the manager should seek to minimise any
being taken as appropriate to the seriousness potential financial loss e.g. increased travelling
of the issue. The penalties are outlined below. expenses to the new office, loss of earnings and
pension entitlement, or personal hardship.
Warning
A record will be kept for a period of 12 months. Dismissal with notice
Except in the case of proven gross
Serious warning misconduct, dismissal will always be with
The period should be clearly specified notice. Where deemed appropriate, the
in the range of 12 to 24 months (up to requirement to work notice may be waived.
36 months in cases of dishonesty).
Dismissal without statutory notice
Serious warning with transfer Summary dismissal.
A serious warning can be accompanied by a Where someone remains in employment
transfer to another job within the manager’s following a major penalty, a record will be kept
area of authority. This should be reserved for 24 months (up to 36 months if dishonesty
for cases where there are reasons why is involved).
the employee cannot continue to work in
their current role. Serious consideration
Review of compulsory transfer
must be given to the impact on earnings Once the penalty has expired the employee
level and/ or pension entitlement. may ask to return to their previous office.
Where there are no barriers for this, the
Major penalties employee can transfer back in line with
Suspended dismissal normal Royal Mail Group policies.
The period should be clearly specified in the Implementation of penalties
range of 12 to 24 months (up to 36 months Normally, from the date the decision is
in cases of dishonesty); with it clearly set announced, or on completion of an appeal if
out that any further serious breach of the one is made. However, dismissals will take effect
Conduct Policy during that time could result in from the date specified in the dismissal letter,
dismissal. The normal procedures would apply which will normally include a period of notice.
in establishing whether any further breach had It is not possible to provide a tariff of penalties.
occurred, and the employee would be given Each case has to be judged on its own merits
clear notice in the subsequent invitation to a and in the light of all the circumstances
conduct meeting that dismissal was a possibility. including the employee’s record and service
and any mitigation with the aim of being
Suspended dismissal with
corrective. Penalties may be more serious
a compulsory transfer
where frequent breaches have occurred.
This means compulsory transfer both within
and outside the manager’s area of responsibility. Repeated breaches of Conduct
This should be reserved for the most serious Where an employee has a number of
cases where dismissal is being considered or misconduct cases upheld it may be necessary
11New Royal Mail Group Conduct Agreement
to take more severe action than a particular their union representative or a colleague
breach of conduct calls for by itself. For normally from the same work location, who
example, someone who has a number of may assist them to present their case.
current serious warnings may face dismissal. The appeal is a hearing at which the appropriate
In such cases, when the person is invited to appeal manager will rehear the case in its
the conduct meeting to deal with the latest entirety. It is the employee’s opportunity to state
breach, the invitation letter will make it clear their case why the penalty should be set aside
what conduct penalty is being considered or reduced. The result could be revoking or
and that this is because of the number of confirming the decision, or reducing the penalty.
previous penalties. However, this is not an
For appeals against warnings or serious
automatic reason for more severe action.
warnings the appeal will normally be held
Mutually agreed outcome out of line (or for geographical reasons
- downgrading at an adjacent unit) at the next level of
This should be reserved for the most serious authority to where the decision was made.
cases where dismissal is being considered. Appeals against major penalties (action
It may also lead to loss of earnings and short of dismissal or dismissal) will normally
pension entitlement and full account should be held by an appeals manager.
be taken of any personal hardship before it is In some cases, further investigation will be
agreed with an employee and takes effect. required in which case the hearing may
Downgrading may only be used where the be adjourned by the appeals manager.
employee agrees to the new role at a lower The employee will be made fully aware
level, and managers must contact HR of any relevant new evidence, copies of
Services Advice and Support when they which will be provided, and they will be
are considering downgrading. given sufficient and reasonable time to
consider it with their representative.
This is not a conduct penalty. It is a mutually
agreed outcome. The employee will normally be told the
outcome of the appeal face to face as soon as
Appeal Procedure is reasonably practical. Timescales for appeals
Every employee has the right to appeal against will depend on the level of investigation required
a conduct penalty. If the employee wishes and availability of key personnel. The employee
to appeal, they should tell the manager who should be kept informed of when their appeal
imposed the penalty within three working days will be concluded. The appeals manager
of them having received a written explanation may extend the notice period if more time is
of the penalty. Employees will be encouraged required by them to conclude the appeal.
to state their grounds for appeal. A hearing will In all cases the employee will receive
then be arranged and held as soon as possible a written notification of the decision,
and within two weeks (up to serious warning) with the reasons for it.
or within four weeks (for major penalties). In the event of a successful appeal and
The employee will be notified in writing of consequential reinstatement, continuity
the time, place and manager dealing with the of employment will be preserved.
appeal at least five working days beforehand.
If the employee appeals against a conduct
penalty, they can be accompanied by
12National Conduct Agreement between Royal Mail Group, CWU and Unite
Safeguarding customers’ mail Intentional delay
Delay to customers’ mail Intentional delay of mail is classed as
Our customers trust us to collect process gross misconduct which, if proven, could
and deliver their mail securely. lead to dismissal. The test to determine
whether actions may be considered as
The responsibility for avoiding delay to
intentional delay, is whether the action
the mail and giving it prompt and correct
taken by the employee was knowingly
treatment is one of the most important
deliberate, with an intention to delay mail.
duties of all Royal Mail Group employees.
Where proven, such breaches of conduct
Training can lead to dismissal, even for a first offence;
It is essential that all Royal Mail Group employees indeed intentional delay is a criminal
receive the correct training and support to offence and can result in prosecution.
enable them to provide an excellent service to
our customers and complete their work entirely Precautionary suspension
in accordance with the requirements of the job. Precautionary suspension for delay to the mail
should not be automatic. The decision to
Managers are responsible for ensuring
suspend should only be taken after careful
appropriate training is delivered to all
consideration and an investigation of
employees. Employees who feel they need
coaching or training may discuss this with the delay has been carried out.
their manager or workplace coach. Security of the mail
Delay to mail Royal Mail Group has an obligation to minimise
Delay to mail can be treated as: the risk of loss, theft, damage and interference
to mail.
• Unintentional delay
Deliberate breach of security procedures,
• Unexcused delay
intentional delay and theft may all be classified
• Intentional delay as gross misconduct and can result in dismissal
Unintentional delay without notice, even for a first offence.
Royal Mail Group recognises that genuine Royal Mail Group expects high standards from
mistakes and misunderstandings do occur and employees when dealing with the protection
it is not our intention that such cases should of mail in its possession and everyone in the
be dealt with under the Conduct Policy beyond business has a responsibility and part to play in
informal discussions for the isolated instance. maintaining the appropriate level of protection.
Unexcused delay When mail is put at risk and when any
Security Standards or related Standard
Various actions can cause mail to be delayed,
Operating Procedures are broken, the matter
for example carelessness or negligence
leading to loss or delay of customers’ mail, or must be fully investigated and action may
breach or disregard of a standard or guideline. be taken in line with the Conduct Policy.
Such instances are to be distinguished from Royal Mail Group is responsible for
intentional delay (see below), although they protecting the security of the mail by
may also be treated as misconduct and dealt making all employees aware of and have
with under the Conduct Policy, outcomes may access to the security standards and related
range from an informal discussion to dismissal. procedures required in their role.
13New Royal Mail Group Conduct Agreement
Employees have the responsibility to Information on the approach to Unite/CMA
comply with the standards and have the representatives can be found in Appendix 4
responsibility of reporting when these are not of the CMA IR Framework.
met. For example, reporting any instances
of loss, theft, damage or interference.
Review
This agreement will be reviewed at
Deliberate breach of security procedures
national level after three months and then
and theft may be classified as gross
subsequently every six months, to monitor
misconduct and can result in dismissal
the outputs of its use and application.
without notice, even for a first offence.
In addition, this will specifically look to
Trade union representatives understand the number of precautionary
The standards contained within the Conduct suspensions and cases progressed under the
Agreement apply to all employees. However, it procedure, how many were resolved informally,
is accepted that conduct action against a trade how many resolved at the fact finding stage,
union official/representative can be misconstrued how many resolved at the formal conduct stage
as a potential way of harming the union. The and how many were subject to the appeal
long term aim will be to avoid such a perception. process. The review will also cover the outcome
Information on the approach to of each of these stages so that going forward,
CWU representatives can be found in a robust monitoring system can be put in place.
the Conduct Policy – Approach for
Union Representatives Guide.
Annex 1: Royal
reason, Royal Mail employees should
attempt to correct the problem efficiently
Mail Delivery – and effectively as soon as possible.
Avoiding delay General rules
• Employees must be made aware
Local work plan that mail must never be taken home
Delay to mail is a serious matter and could at the end of a delivery. Correct
potentially be unlawful. All employees endorsement procedures and correct
have a responsibility to ensure all items use of the pouching off wallet,
are processed in accordance with the where appropriate, will avoid this
local workplan. All employees will be • Under normal circumstances, if
made aware of the local workplan procedures have been followed, no
and the specific requirements of the conduct action will be taken against
particular job roles they will perform. individuals if it is not possible to deliver
Any time mail is delayed, for whatever all mail within their scheduled time
14National Conduct Agreement between Royal Mail Group, CWU and Unite
• The main aim will be to avoid the record. The employee can have access
circumstances that may pose operational to this record and may ask to see it prior
difficulties to an employee and to find to commencement of their delivery.
ways of overcoming any potential
problem at an early stage. It is also The employee should be encouraged to
important that all employees are made see their union representative if agreement
fully aware of the implications of delaying cannot be reached. Instances where
mail and the possible consequences there is a difference of opinion between
the employee and the manager about
• Measures must be put in place to
what is possible during the shift will be
advise employees on the course of
looked at individually within the unit
action to be taken when difficulties
on the basis of factual evidence. Such
arise when managers are unavailable
differences will be addressed prior to the
Prior to commencement employee leaving the office for delivery.
of delivery
The employee and manager should
On completion of their preparation, where
agree a specified time to phone if full
an employee believes that they may
completion of delivery workload within the
experience difficulty in completing their
allocated time proves not to be possible. If
delivery within the authorised time allotted,
they should approach their manager it becomes obvious that the delivery may
as soon as possible before setting out be a problem, the employee can contact
on delivery. It will be for the manager the manager before the arranged time.
to discuss any problem and advise the
employee what particular action should After commencement
be taken, including the consideration of of delivery
collection on delivery around associated Where an employee is prevented from
postboxes to enable USO compliance. completing their delivery for any reason,
it is essential that this is reported
When an employee has requested immediately, either by returning to the
assistance on delivery, but the manager office or by phone. A written record
believes that assistance is not required, will be kept.
the decision, along with the advice given
to the employee, should be recorded and All employees should be informed of the
associated with the daily traffic volume local authorised arrangements in writing.
15New Royal Mail Group Conduct Agreement Conduct Policy The Policy Agreement The Conduct Policy outlines the In the event of any inconsistency approach that will be taken if an between this policy; the conduct employee does not meet the expected guides and the Conduct Agreement, standards of conduct and behaviour. the terms of the Conduct Agreement Resolving issues informally with takes precedence. support and guidance will be used where appropriate to encourage improvement. Only where the issue is potentially more serious will formal conduct action be considered as outlined below. Scope This policy applies to all employees working for Royal Mail Group. This policy does not apply to agency staff, contractors or self-employed workers. This policy does not form part of contracts of employment. Royal Mail Group reserves the right to amend this policy from time to time. 16
Conduct Policy
• An employee will be given an explanation
Guiding principles
for any penalty given and have the right to
• The business will make employees
appeal against any conduct penalty imposed
aware of the expected standards
of conduct and behaviour • When progressing a case and completely
new information regarding a different
• Employees should make every effort
incident comes to light, then a further
to meet the business standards
conduct notification will be made to the
of conduct and behaviour
employee including the specific details
• Resolving conduct issues informally
• Where further evidence comes to light
and with support and guidance will be
regarding the original conduct case e.g. its
considered when appropriate to encourage
seriousness, the original case will continue
employees to improve behaviour
• Cases will be handled as speedily as possible
• Conduct and behaviour should be managed
and where there is significant delay, the
by providing constructive feedback. All
employee will be notified of the reason
conversations will be consistent with the
and when a decision is to be made
general requirement that we all treat each
other with dignity and respect. At every • Managers may seek advice and
stage in the procedure the employee will be guidance from HR Services Advice
advised of the full nature of the allegation & Support where appropriate
and the action that might be taken against Employee obligations
them and will be given the opportunity to Royal Mail Group requires all employees to:
state their case before any decision is made
• Take a responsible approach to their
• The employee will be made fully work, customers and fellow employees
aware of the evidence. Copies of all
documents will be provided in a timely • Maintain standards of conduct
manner in line with the procedure appropriate to their role
• No conduct action will be taken • Seek help as soon as they recognise
against an employee until the case that they are in a situation which could
has been fully investigated compromise their behaviour or if they
have any concerns regarding their job
• No employee will be dismissed for a first
breach of conduct except in the case • Follow any reasonable instructions
of gross misconduct when the penalty of their manager
will normally be dismissal without Employees charged with a criminal offence
notice or payment in lieu of notice must notify Royal Mail Group as soon as
• Notification of action in line with the Conduct possible. Employees are not required to
Policy will only be made when sufficient let Royal Mail Group know about minor
facts of the case have been determined offences, e.g. minor traffic offences.
• At all stages of the formal procedure Conduct approach
(i.e. excluding informal) the employee All conduct cases will be dealt with promptly.
will have the right to be represented Issues can be dealt with informally or formally
by their union representative or be depending on the nature of the issue.
accompanied by a work colleague
normally from the same work location
17New Royal Mail Group Conduct Agreement
the penalty appropriate would be likely to
Informal resolution
be within or outside their authority. If they
Informal resolution can help to resolve many
feel a major penalty is a possible outcome,
minor conduct or behaviour issues before they
they must at that stage pass it to another
become more serious. The right word, at the
manager, normally the second line manager.
right time and in the right way may be all that
is needed to resolve the situation. Sometimes The manager progressing the case will invite
the employee may not be aware that their the employee to attend a formal conduct
conduct or behaviour is unsatisfactory. meeting. The manager must also include
copies of any notes or evidence that will be
Where the right word at the right time has
referred to during the meeting. The employee
not resulted in an improvement in conduct or
has the right to be accompanied by their
behaviour, the manager can arrange to meet
union representative or a work colleague
with the employee for an informal discussion.
normally from the same work location.
The purpose of an informal discussion is for the
manager and the employee to resolve the issue Following the formal meeting the manager
without needing to use the formal process. If makes the decision whether the allegation is
the employee wishes they can meet with their upheld and what penalty should apply. The
union rep before meeting with their manager. manager should let the employee know their
decision as soon as possible, normally face to
Formal conduct process face where practical. They should also notify
In more serious cases it will be necessary the employee of their decision in writing.
to proceed straight away to the formal
conduct process.
Authority levels
The authority to give warnings and serious
Fact finding warnings lies with the immediate manager.
When it is considered that an employee’s conduct Major penalties will normally be given by
or behaviour has not met the required standard, an employee’s second line manager of at
the employee’s manager will make a prompt least Royal Mail Executive Manager Level 2
and detailed investigation of the facts and may grade, Operations Manager in Parcelforce
seek a more detailed explanation from the or equivalent who is in the direct reporting
employee. It may include examination of relevant line. Managers in an acting or temporary
documents and a fact finding meeting where promoted capacity have the authority of that
the employee has a right to be accompanied grade. CWU graded employees whilst on
by their union representative or by a work acting duties will not have the authority to deal
colleague normally from the same work location. with conduct cases for managers under their
Following the fact finding meeting the control or to deal with major penalties cases.
manager should consider the information
available and decide whether the case
Precautionary suspension
can be dealt with informally, formally or Precautionary suspension should only be
closed if there is no case to answer. considered when a serious incident occurs
or is reported to a manager. It is important
Progressing a case formally that all cases of precautionary suspension
If the manager who conducts the fact finding only last as long as necessary. The main
feels there is a case to answer, they must circumstances when it may be appropriate
decide whether, if the allegation is proven, to consider precautionary suspension are:
18Conduct Policy
• Alleged inappropriate behaviour; for the case, managers must liaise with Security
example refusal to carry out a reasonable before making their decision on whether to
instruction, violent or threatening behaviour suspend or allow an employee to return to
• Alleged serious breach of conduct for example work following a suspension. This ensures
suspected or admitted theft or fraud, where that the incident is handled appropriately and
there is a reasonable belief that the alleged that all relevant factors are considered.
serious breach might be repeated and/ Precautionary suspension will be with pay.
or there is a risk to people, property, mail
or the good image of Royal Mail Group Criminal actions outside
employment
• There is a reasonable belief that the
investigation may be hampered if Criminal actions outside employment
the employee remains at work should not be treated as automatic
reasons for formal notification under this
The manager should meet with the employee
policy or contemplation of dismissal.
to seek an explanation of the facts of the case.
If the manager believes that the incident is Employees should not be dismissed solely
serious and there is a reasonable belief that because a criminal charge against them is
the serious breach might be repeated and/ pending or because they are absent through
or there is a risk to people, property, mail or having been remanded in custody.
the good image of Royal Mail Group then the Gross misconduct
manager should send the employee home.
Some types of behaviour are so serious and
Where an employee has been sent home the
so unacceptable, if proved, as to warrant
manager must contact HR Services Advice
dismissal without notice (summary dismissal)
and Support to discuss the facts of the case.
or pay in lieu of notice. It is not possible to
The manager then decides what appropriate
construct a definitive list of what constitutes
action to take given the circumstances.
gross misconduct and in any event all cases
Where the employee has refused to carry out will be dealt with on their merits. However,
a reasonable instruction they should be given the following examples show some types of
10 minutes “cooling off” time to reconsider behaviour which in certain circumstances
their actions. The employee should be
could be judged to be gross misconduct:
encouraged to see their union representative
during this period where possible. • Theft
If an employee is suspended then that • Violence
suspension must be kept under review; initially • Abusive behaviour to customers or colleagues
after 48 hours and then on a weekly basis. The • Criminal acts against Royal Mail
review should take into account the seriousness Group or its employees
and the continued risk to the business. It is
• Intentional delay of mail
important that all cases of precautionary
suspension only last as long as necessary. • Deliberate disregard of health, safety and
In all cases, whether the employee is suspended security procedures or instructions
or not, the outcome of the case will not • Unauthorised entry to computer records
be affected. • A serious or persistent breach of the
If a Royal Mail Group Security criminal Continuous Disclosure and Communications
investigation is also taking place relating to Policy or the Share Dealing Policy
19New Royal Mail Group Conduct Agreement
Conduct penalties
Formal action in line with the Conduct Policy will always be notified in writing. Each
case will be treated on its merits with conduct action being taken as appropriate
to the seriousness of the issue. The penalties are outlined below:
Authority level Penalty Timescale
First and second line level Warning 12 months
Serious warning
Serious warning with transfer
within area
12 to 24 months (up to
Second line level Suspended dismissal 36 months for dishonesty)
Suspended dismissal with
compulsory transfer within
or outside area
Dismissal with notice
Dismissal without statutory
notice (summary dismissal)
Implementation of penalties Repeated breaches of the policy
Normally, from the date the decision is Where an employee has a number of
announced, or on completion of an appeal if misconduct cases upheld, it may be necessary
one is made. However, dismissals will take effect to take more severe action than a particular
from the date specified in the dismissal letter, breach of conduct calls for by itself. For
which will normally include a period of notice. example, someone who has a number of
current serious warnings may face dismissal.
It is not possible to provide a tariff of penalties. In such cases, when the person is invited to
Each case has to be judged on its own merits the conduct meeting to deal with the latest
and in the light of all the circumstances breach, the invitation letter will make it clear
including the employee’s record and service what conduct penalty is being considered
and any mitigation with the aim of being and that this is because of the number of
corrective. Penalties may be more serious previous penalties. However, this is not an
where frequent breaches have occurred. automatic reason for more severe action.
20Conduct Policy
Mutually agreed outcome - The appeal is a hearing at which the appropriate
downgrading appeal manager will rehear the case. It is the
This should be reserved for the most serious employee’s opportunity to state their case why
cases where dismissal is being considered. the penalty should be set aside or reduced.
It may also lead to loss of earnings and The result could be revoking or confirming
pension entitlement and full account should the decision, or reducing the penalty.
be taken of any personal hardship before it is For appeals against warnings or serious
agreed with an employee and takes effect. warnings the appeal will normally be held
Downgrading may only be used where out of line (or for geographical reasons
the employee agrees to the new role at a at an adjacent unit) at the next level of
lower level, and managers must contact authority to where the decision was made.
HR Services Advice and Support when Appeals against major penalties (action
they are considering downgrading. short of dismissal or dismissal) will normally
This is not a conduct penalty. It is a be held by an appeals manager.
mutually agreed alternative outcome. In the event of a successful appeal and
consequential reinstatement, continuity
Appeal process of employment will be preserved.
Every employee has the right to appeal against
a conduct penalty. If the employee wishes Trade union representatives
to appeal, they should tell the manager who The standards contained within the Conduct
imposed the penalty within three working days Agreement apply to all employees. The
of them having received a written explanation business and unions have agreed a different
of the penalty. Employees will be encouraged approach to dealing with union representatives
to state their grounds for appeal. A hearing will through the Conduct Policy. Information on
then be arranged and held as soon as possible the approach to CWU representatives can be
and within two weeks (up to serious warning) found in the Conduct Policy – Approach for
or within four weeks (for major penalties). Union Representatives Guide. For Unite/CMA
The employee will be notified in writing of representatives, information can be found
the time, place and manager dealing with the in Appendix 4 of the CMA IR Framework.
appeal at least five working days beforehand.
If the employee appeals against a conduct
penalty, they can be accompanied by their
relevant union representative or a colleague
normally from the same work location, that
who may assist them to present their case.
21New Royal
Conduct Guides
Mail Group Conduct Agreement
Conduct Guides
Informal Discussions .................... 23
Fact finding ................................... 26
Conduct Meetings ......................... 30
Decision Making
and Report Writing ....................... 36
When to Consider
Precautionary Suspension ........... 41
Security of Customers’ Mail ......... 46
Managing Employees
who are on Precautionary
Suspension Due to a
Criminal Investigation .................. 48
Late Attendance ........................... 49
Right to an Appeal ........................ 51
Approach for Union
Representatives ............................ 53
Absent Whilst on
Formal Procedure ......................... 55
22Informal Discussions
Informal Discussions
Overview
This guide sets out how to manage and
support employees to improve their conduct
or behaviour using an informal approach.
This should be read in conjunction with the
Conduct Policy, as well as the related guidance
documents listed in the ‘related forms and
documents’ section later in the guide.
Purpose
Royal Mail Group expects its employees to
maintain high standards of conduct and to
adhere to our business standards. There
may however be times when an employee’s
conduct or behaviour falls short of the expected
standards. Managers should consider if the
issue can be dealt with informally in the first
instance, as often the right word at the right Formal conduct outcomes
time can make a difference. An informal Following a formal conduct meeting and
discussion may be held following a formal investigation, the manager can decide that the
conduct investigation. There may also be case can be dealt with informally and the case
occasions where the employee wants to talk will be closed with an informal discussion.
to their manager on an informal basis. This
guide deals with how a manager can deal Informal discussion
with issues through informal discussions. Where an employee’s conduct or behaviour
has been or becomes a cause of concern,
Informal resolution an informal discussion should normally take
Where an employee’s conduct or behaviour place to identify and address any issues.
is unsatisfactory, a manager, normally the
The purpose of an informal discussion is to:
employee’s manager, should decide if the
issue could be dealt with informally. Once the • Make the employee aware of the
manager has decided that the issue can be reason why the manager has concerns
dealt with informally, they would not move to about their conduct or behaviour
the formal process unless there are exceptional • Provide an opportunity for the manager to
circumstances. Informal discussions can help discuss their concerns with the employee
to resolve the minor conduct or behavioural and for the employee to provide an
issue before it becomes more serious. explanation for their conduct or behaviour
23New Royal Mail Group Conduct Agreement
• Provide an opportunity for the manager • Nature of work, shift system, recent
to understand the employee’s reasons changes to the demands of the job
behind their conduct or behaviour • Actions required by the employee to
and to take these into account improve their conduct or behaviour
• Ensure that the employee understands • A review of the support that may be
what conduct or behavioural standards are required by the employee including any
expected and that they are reminded of additional coaching, training or information
the consequences of failing to meet them
• A reminder of the support that
• Identify any steps that can be taken by either Royal Mail Group can offer, including, if
the employee or Royal Mail Group to assist and appropriate, the Feeling First Class Support
support the employee to meet the standards helpline and Occupational Health
• Provide the opportunity for the employee • A reminder of standards and potential
to ask to meet with their manager to consequences of not meeting them
discuss any concerns that they may
The approach should be both sympathetic
have about the standards of conduct
and supportive. It should be clearly focused
or behaviour expected of them
on achieving improvement and maintaining
The manager would normally meet with standards. The manager and the employee
the employee for an informal discussion on will jointly identify any support measures that
the day of the incident or when behaviour is may need to be considered. The manager
becoming a cause of concern. The manager should take time to ensure that the employee
should advise the employee that they will need understands why they have a concern. The
to attend an informal discussion and make manager should factor in any mitigating
it clear that the meeting is not part of the circumstances that may have caused a
formal process. If the employee wishes, they temporary change in conduct or behaviour
can consult with their union representative e.g. personal events or changes at work.
before the meeting. If any documents are
used in the informal discussion these should Where improvement is required, it is important
be shared at the start of the meeting. that the employee understands what needs to
be done and how their behaviour or conduct
The employee can also ask their will be reviewed. The employee should be
manager for an informal discussion if informed that if there is no improvement, the
they have any concerns or questions. next stage may be the formal conduct process.
An informal discussion is an opportunity Where the employee’s conduct or behaviour does
for the employee and manager to discuss not improve following an informal discussion,
the issues and may cover such areas as: consideration should be given to moving to the
• Explaining how the standards of conduct formal conduct process. For further information,
or behaviour have not been met please refer to the Fact Finding Guide.
• Evidence and feedback on the cause of concern
• The reasons behind the conduct or behaviour
• Other problems either in or outside of work
24You can also read
