Disciplinary procedure, Halloran Quay Hotel

Disciplinary procedure template with a stages table and appeals

A disciplinary procedure has to make sure every employee accused of misconduct hears the allegation, sees the evidence, answers it and can appeal, with the same steps and outcomes in every department. This four page procedure for a 210 staff hotel does that with a misconduct examples table, five stages with how long each warning stays live, seven investigation steps and an appeal that can never increase the penalty.

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Halloran Quay Hotel
7 June 2027

Disciplinary procedure

A fair, consistent process for dealing with conduct that falls short of hotel standards.

Prepared by
Human Resources
Date
7 June 2027
Disciplinary procedure, Halloran Quay HotelPage 2 of 4
Disciplinary procedure, Halloran Quay HotelPage 3 of 4
Disciplinary procedure, Halloran Quay HotelPage 4 of 4
1
Purpose and scope
Halloran Quay Hotel has 186 rooms, two restaurants, a bar and conference rooms, run by about 210 staff on rotating shifts. This procedure sets out how the hotel deals with misconduct so that every employee, in every department, is treated the same way. It applies to all employees after their probation period. Concerns about how well someone does their job, rather than how they behave, are handled under the performance management policy first.
2
Principles
Every disciplinary matter follows these principles:
No action is taken until the facts have been established.
The employee is told the allegation and the evidence in writing, and has a real chance to respond before any decision.
The employee may bring a support person to every formal meeting.
The person who investigates is not the person who decides, wherever the size of the department allows.
The outcome is proportionate to what happened and consistent with earlier cases.
Every formal outcome can be appealed.
3
Misconduct and serious misconduct
The examples below are a guide, not a complete list. Serious misconduct is conduct so serious that the employment relationship cannot continue, and it may lead to dismissal without notice for a first offence.
Misconduct
Serious misconduct
Repeated lateness for a shift
Theft from guests, colleagues or the hotel
Not following uniform or grooming standards
Entering a guest room without a work reason
Using a phone on the floor in guest areas
Working under the influence of alcohol or drugs
Rudeness to a colleague or a guest
Violence, threats or sexual harassment
Skipping a cleaning or food safety checklist
Falsifying food safety or till records
Not calling in when absent
Serving alcohol to an intoxicated guest
4
Stages
The hotel normally moves through the stages in order, but may start at a later stage when the conduct is more serious. A warning stays live for the period shown; after that it is disregarded for future stages.
Stage
Usually used for
Issued by
Stays live
Recorded verbal warning
A first minor breach
Head of department
6 months
First written warning
Repeat or more serious misconduct
Head of department with HR
12 months
Final written warning
Further misconduct, or a first serious breach
General manager
12 months
Dismissal with notice
Misconduct while a final warning is live
General manager
Not applicable
Summary dismissal
Proven serious misconduct
General manager after HR review
Not applicable
Before any stage, a conversation
Many issues, such as a first late arrival or a missed checklist, are best handled by the supervisor in a quiet word on the shift. This is not a disciplinary stage, nothing goes on file, and it does not need this procedure.
5
Suspension
Where an allegation of serious misconduct is made, or where the employee's presence could affect an investigation or put guests or staff at risk, the employee may be suspended on full pay. Suspension is not a disciplinary penalty and implies nothing about the outcome. It is confirmed in writing, kept as short as possible and reviewed by HR every 10 working days.
6
Investigation
The investigator, usually a head of department from another area or an HR adviser, follows these steps:
1.
Confirm the allegation in writing and decide what evidence is needed.
2.
Secure records promptly: rosters, key card logs, till and point of sale data, CCTV where the law allows.
3.
Interview witnesses separately, and give each a copy of their notes to check and sign.
4.
Interview the employee, after telling them the allegation in writing at least 2 working days before, and record their account.
5.
Follow up anything the employee raises, including witnesses they name.
6.
Write a short report setting out the facts found, the evidence for each, and anything that could not be established.
7.
Pass the report to the decision maker, without recommending a penalty.
1.
Confirm the allegation in writing and decide what evidence is needed.
2.
Secure records promptly: rosters, key card logs, till and point of sale data, CCTV where the law allows.
3.
Interview witnesses separately, and give each a copy of their notes to check and sign.
4.
Interview the employee, after telling them the allegation in writing at least 2 working days before, and record their account.
5.
Follow up anything the employee raises, including witnesses they name.
6.
Write a short report setting out the facts found, the evidence for each, and anything that could not be established.
7.
Pass the report to the decision maker, without recommending a penalty.
1.
Confirm the allegation in writing and decide what evidence is needed.
2.
Secure records promptly: rosters, key card logs, till and point of sale data, CCTV where the law allows.
3.
Interview witnesses separately, and give each a copy of their notes to check and sign.
4.
Interview the employee, after telling them the allegation in writing at least 2 working days before, and record their account.
5.
Follow up anything the employee raises, including witnesses they name.
6.
Write a short report setting out the facts found, the evidence for each, and anything that could not be established.
7.
Pass the report to the decision maker, without recommending a penalty.
7
The disciplinary meeting
If the report shows a case to answer, the employee is invited in writing to a disciplinary meeting, at least 2 working days ahead, with the allegation, the report and the evidence attached and a note that the outcome could include a warning or dismissal. At the meeting the decision maker goes through the evidence and the employee responds, calls on their support person for help and may ask for a short adjournment. The decision maker considers the response, the employee's record and length of service, and any earlier similar cases, and gives the outcome in writing within 5 working days.
8
Support person
An employee may bring a support person of their choice to any investigation interview or disciplinary meeting: a colleague, a union representative or a friend. The support person can take notes, help the employee put their case and ask for a break, but does not answer questions for them. If the support person cannot attend, the meeting is moved once by up to 5 working days. An interpreter is arranged by the hotel for any employee who asks for one.
9
Appeals
An employee may appeal any written warning or dismissal by writing to HR within 7 working days of the outcome, saying why. Grounds include new evidence, a flaw in the process, or a penalty that is too severe. The appeal is heard by a senior manager not involved before; when the general manager made the decision, by the regional operations director of the owner. The appeal decision is given in writing within 10 working days of the appeal meeting and can confirm, reduce or overturn the outcome, but never increase it.
10
Records
Investigation reports, meeting notes and outcome letters are kept by HR on the employee's confidential file for 7 years after employment ends. Expired warnings stay on file but are not relied on for any later stage. Department heads keep no separate copies.
11
Review
HR reviews this procedure every two years, and checks every six months that outcomes for similar conduct have been consistent across departments and shifts.

Section by section

What each section is for, so you can keep the ones you need and drop the rest.

Cover
Masthead cover with the hotel, title and purpose line.
1 and 2. Purpose and principles
Who it covers, the link to performance management and six principles.
3. Misconduct and serious misconduct
Six pairs of hotel examples in a two column table.
4. Stages
Five stages with when used, who issues and how long each stays live, plus a callout on informal talks.
5 and 6. Suspension and investigation
Paid suspension reviewed every 10 days and seven investigation steps.
7 and 8. Meeting and support person
Notice, evidence, response, written outcome and who may attend.
9 to 11. Appeals, records and review
A 7 day appeal window, 7 year records and consistency checks.

How to adapt this document

First, replace the examples table with your own floor, kitchen or site; a warehouse would list forklift speeding and skipping lockout, a call centre misuse of customer data. Second, set live periods that suit your workforce and keep them short enough to be fair; 12 months for a written warning is common. Third, check local law on notice, the right to be accompanied and dismissal before adopting it, and add any statutory step your country requires, such as a set warning before dismissal.

What makes this document work

Warnings have a shelf life

The stages table gives each warning a live period: 6 months for a recorded verbal warning, 12 months for first and final written warnings. Clause 10 adds that expired warnings stay on file but are never relied on later, so a lapse three years ago cannot be stacked onto a new one.

Examples from the hotel floor

The two column table sets ordinary misconduct, such as using a phone in guest areas or skipping a food safety checklist, beside serious misconduct, such as entering a guest room without a work reason or serving an intoxicated guest. Supervisors can place a case before they act.

Investigating and deciding are kept apart

The investigator, from another department or HR, writes a report of facts and passes it on without recommending a penalty. A different person decides, after a meeting with at least 2 working days' notice and the evidence attached, and gives the outcome in writing within 5 working days.

Questions people ask

Can an employer skip straight to a final warning?

Yes, when the conduct is serious enough. Stages are normally followed in order, but clause 4 lets the hotel start at a later stage, and the table shows a final written warning for a first serious breach. The decision should be explained in the outcome letter so it does not look inconsistent.

Is suspension during an investigation a punishment?

It should not be. This procedure suspends on full pay, says suspension implies nothing about the outcome, confirms it in writing and reviews it every 10 working days. Unpaid or open ended suspension can look like a penalty decided before the facts, which undermines the whole process.

What is the difference between misconduct and poor performance?

Misconduct is about behaviour a person controls, such as lateness, rudeness or breaking a rule. Poor performance is about ability to do the job to standard, such as speed or accuracy. Performance needs support and time to improve first, which is why clause 1 sends those cases to the performance management policy.

Who should hear a disciplinary appeal?

Someone senior who was not involved in the investigation or the original decision. In a hotel run by a manager for an owner, an appeal from the general manager's own decision goes to the owner's regional operations director. The appeal can confirm, reduce or overturn the outcome, but should never increase it.

How much notice should an employee get of a disciplinary meeting?

Enough to prepare and arrange a support person; this procedure uses at least 2 working days, with the allegation, the investigation report and the evidence attached. If the support person cannot attend, the meeting moves once by up to 5 working days. Surprise meetings invite claims that the process was unfair.

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