| Policies and Procedures |

# Whirl the World - Disciplinary Procedures

These procedures are designed to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance. The procedures apply to all employees. The aim is to ensure consistent and fair treatment for all in the company.

## Principles

- Informal action will be considered, where appropriate, to resolve problems.

- No disciplinary action will be taken against an employee until the case has been investigated.

- For formal action, the employee will be advised of the nature of the complaint against him or her and will be given the opportunity to state his or her case before any decision is made at a disciplinary meeting.

- Employees will be provided, where appropriate, with written copies of evidence and relevant witness statements in advance of a disciplinary meeting. At all stages of the procedure the employee will have the right to be accompanied by a union representative or a work colleague.

- No employee will be dismissed for a first breach of discipline except in the case of gross misconduct, when the penalty will be dismissal without notice and without payment in lieu of notice.

- An employee will have the right to appeal against any disciplinary action.

## Policies and Procedures

In Employee Care this content is in a table. Here it is formatted as a list.

### Informal Warnings

1. Minor breaches of discipline, misconduct, poor time-keeping and so on may result in an informal oral warning given by the employee’s immediate manager.

2. It is expected that in most cases an informal oral warning will resolve most difficulties. Where an employee commits a more serious act of misconduct or fails to improve and maintain that improvement with regard to conduct, behavior or job performance, the formal steps detailed below may be taken.

### Formal Warnings

The lists below have been created using a multi-level list style.

1. A disciplinary hearing conducted by an appropriate management representative will be held. A reasonable time before the hearing the employee will be advised in writing of the reason(s) for thinking that the employee is guilty of misconduct or unsatisfactory job performance, provided with any evidence such as copies of witness statements and informed of the right to be accompanied at the hearing by a work colleague of his or her choice, or a union official. A union official means a full-time official or a lay official certified by the union as having experience of, or having been trained in, acting as a companion at disciplinary hearings. It should be noted that neither spouse/partner nor solicitor are suitable companions.

2. At the disciplinary hearing, the employee will be invited to state his or her case and to answer the allegations against him or her. If, following the hearing, it is decided that disciplinary action should be implemented; the employee will be told of the decision and given a letter in confirmation of this as soon as practicable.

3. In the case of minor offences the employee will be given a formal verbal warning. Employees should be advised of the reason for the warning, that it constitutes the first stage of the disciplinary procedure and of their right of appeal. This warning will be recorded and retained in the employee’s file and will remain active for disciplinary purposes for six months.

4. In the case of a more serious offence or if a further offence occurs within the currency of a prior warning, the employee may be given a formal written warning or, where the offence is sufficiently serious, a final written warning. The written warning will state:

a. Details of the misconduct or complaint that has occasioned the warning

b. Details of the action necessary to remedy the situation and any period of review

c. The period of time the warning will remain active on the employee’s file for disciplinary purposes

d. That the employee has the right to appeal against the warning

e. That any further misconduct of any kind will result in:

i. Dismissal with appropriate notice in the case of a final written warning, or

ii. A further disciplinary hearing and a final written warning which, if unheeded, may result in dismissal with notice.

5. Alternative disciplinary actions short of dismissal may be considered. These are:

a. Suspension without pay up to a maximum of seven days

b. Demotion to a suitable job, if one is available

c. Transfer to another section or department or to another unit or branch of the company

d. Loss of seniority, pay increment or discretionary bonus.

### Summary Dismissal

1. Employees may be summarily dismissed if it is established, after investigation and hearing the employee’s version of the matter, that there has been an act of gross misconduct, major breach of duty or conduct that brings or might bring the company’s name into disrepute.

2. Gross misconduct includes (but is not limited to):

a. Serious acts of insubordination

b. Serious breaches of health and safety rules

c. Theft

d. Fraud and deliberate falsification of records

e. Being under the influence of alcohol or drugs during working hours

f. Serious negligence (even a single error where the actual or potential consequences are extremely serious), which causes, or is likely to cause, unacceptable loss, damage or injury

g. Flagrant failure to follow the company’s documented procedures and regulations

h. Breach of duty regarding non-disclosure of confidential information

i. Deliberate or negligent damage to the company’s property

j. Disorderly or indecent conduct

k. Fighting or threatening physical violence on the company’s premises or at events organized or sponsored by the company

l. Acts of incitement or actual acts of discrimination or harassment on the grounds of sex, trans-gender status, marital status, civil partnership status, pregnancy, color, race, nationality, national origins, ethnic origins, religion or belief, religious practices, sexual orientation, disability or age.

m. Serious misuse of the employer’s computer systems, including misuse of e-mail and internet access.

### Suspension

1. The employee may, at the employer’s discretion, be suspended with pay while the circumstances of any complaint or allegation are investigated.

2. In cases of potential gross misconduct, suspension with pay will be automatic.

3. Such suspension does not constitute a disciplinary sanction but is instigated in order to allow the company to investigate the conduct in question properly.

### Appeal

1. The employee may appeal in writing to Human Resources against any disciplinary action within seven days of receipt of the letter confirming the action taken.

2. An appeal hearing will be held.

3. The employee will have the right to be accompanied at the appeal hearing by a work colleague of his/her choice or a union official. A union official means a full-time official or a lay official certified by the union as having experience of, or having been trained in, acting as a companion at disciplinary hearings. It should be noted that neither spouse/partner nor solicitor are suitable companions

4. Following the hearing, the appeal decision will be confirmed in writing.

5. The decision at the end of the appeal is final.

6. The decision may include:

a. The original decision is upheld

b. The original decision is overturned

c. Suspension without pay

d. Demotion

e. Re-instatement where the employee has been dismissed.

## Contacting Human Resources

Human Resources can be contacted at the following locations:

### Mail

First Avenue, Anytown, U.S.A.

### Email

hr.usa@whirltheworld.com