All employees must wear BLACK combats/trousers, black shoes or boots (appropriate for the site/venue), black socks, a black belt, and a black beanie hat (no branding unless T1 Security and for night-shift only). Security personnel should also dress in a black polo shirt with the collar turned down and the sleeves not pulled up. Security may wear a black jumper in colder climates, but it must never be wrapped around the waist.

When you’re not on duty or taking a break, you should take off any identifying clothing to avoid making a bad impression. It is critical that you present yourself in a professional manner at all times. You may be expected to wear smarter apparel such as a shirt, tie, trousers, and smart shoes on occasion; however, you will be advised in advance if this is the case.

T1 will provide colour-coded Hi-Vis vest with a unique number that must be worn on the outside of the building. If you do not return any PPE issued at the end of the shift, you will be charged for those items. Safety stewards wear orange tops, yellow tops for standard security, blue tops for security supervisors, all navy for response teams, and blacks for management teams wear hi-vis jackets. This is to make it easier for our clients and customers to understand the differences between jobs and duties.

Code of Conduct for SIA licensees and applicants

The following Code of Conduct details the conduct and behaviour criteria that Security Industry Authority (SIA) licensees must adhere to. Holders of SIA licences and candidates for SIA licences must adhere to this Code of Conduct. The Code of Conduct’s ideals and principles can be implemented in a variety of different contexts, but they are not negotiable or discretionary.

To hold a SIA licence, an individual must be fit and suitable. This is because those who hold SIA licences hold positions of authority. They are tasked with the responsibility of protecting persons, property, and premises. A dedication to specific norms of behaviour is critical to understanding what it means to be fit and proper, as well as to being a member of a profession. The SIA has the authority to take action against individuals on its register of licence holders who violate the Code of Conduct. This may result in a criminal prosecution in serious circumstances.

The majority of licence holders conduct themselves appropriately by adhering to the standards of behaviour expected by the SIA, their employers, and the general public. Their professionalism and commitment protect the people and combat criminality.

Licensees that act inconsistently with the Code of Conduct risk lowering the standard of service provided to the public, jeopardising public safety, and bringing themselves and the rest of the private security profession into disrepute. The Code of Conduct communicates to service users, businesses, colleagues, and employers what they may expect from individuals who protect people, property, or premises in a straightforward, consistent, and positive manner.

The SIA developed the Code of Conduct to assist you in comprehending these principles. The SIA’s Code of Conduct is based on the behaviours it expects from licence holders and applicants for licences. The Six Commitments summarise these behaviours.

The Six Principles

1. Act with honesty and integrity.
2. Be trustworthy. 
3. Protect the people and property you are entrusted to protect. 
4. Be professional at work. 
5. Act with fairness and impartiality at work. 
6. Be accountable for your decisions and actions.

Licensees must adhere to the Code of Conduct. This is because section 7 of the Private Security Industry Act 2001 establishes licencing criteria (PSIA). The Code of Conduct is applicable to all licenced security operatives, frontline and non-frontline. A few more rules apply to private security firms’ “controlling minds” (e.g. directors). These additional standards (along with a definition of “controlling minds”) are found at the Code of Conduct’s conclusion.

A licensee who violates the Code of Conduct may have their licence suspended and/or revoked.

To be granted a SIA licence, an applicant must also adhere to the Code of Conduct. If the SIA determines that they have not acted in this manner, their application for a licence may be denied.

If the SIA determines that a licensee has violated the Code of Conduct, it will write to the licensee. It will explain in this letter why it believes they have violated the Code of Conduct. They will then have 21 days to respond with any information, unless their licence has been suspended. The SIA will carefully assess any information submitted by the licensee and will notify the licensee in writing of its decision.

If the SIA does revoke or suspend a licence or denies an application, the applicant or licensee has 21 days to appeal to a Magistrates’ or Sheriffs’ Court. These procedures are described in further depth in the chapters Suspending a Licence, Refusing a Licence, and Revoking a Licence in Get Licensed – https://www.sia.homeoffice.gov.uk/Documents/licensing/sia get licensed.pdf.

The SIA drafted the Code of Conduct. The SIA regulates the private security business in the United Kingdom. It is a self-governing body that reports to the Home Secretary.

The PSIA requires individuals to have a SIA licence in order to engage in certain private security industry activities. The SIA is legally required to verify that only “fit and proper” individuals hold a SIA licence.

The SIA provides in the paper Get Licensed the criteria it employs to determine whether someone is fit and proper to hold a licence. These criteria outline the requirements for obtaining a licence, the circumstances under which the SIA may suspend or revoke a licence, and how the SIA handles criminal convictions. Additionally, Get Licensed provides licence conditions – the things that someone must accomplish in order to maintain a licence.

Read Get Licensed thoroughly to gain a thorough grasp of the factors the SIA evaluates when determining whether someone is fit and appropriate to hold a licence.

If a licensee believes they have been requested to do something that violates the Code of Conduct and is unsure what to do, they should consult a solicitor or Protect (an independent charity) at 020 3117 2520 or www.pcaw.org.uk.

This preface is not included in the Code of Conduct.

## The Conduct Code

*1) Adhere to the highest standards of honesty and integrity*

This encompasses, but is not limited to the following:

* being truthful to your employer, clients, and the general public.
* not soliciting, accepting, or providing bribes;
* avoiding any obligation to others who may attempt to influence your decisions and/or actions;
* not collaborating with another person to violate this Code of Conduct, or assisting another person in violating this Code of Conduct;
* not retaliating against anybody who expresses concern about a potential violation of this Code of Conduct and/or suspected criminal activity; and
* not associating with an organised crime group knowingly.

*Examples of how to adhere to this promise -*

/A door supervisor is offered football tickets in exchange for admitting someone to an exclusive nightclub, but declines./

/A public space surveillance (CCTV) operator informs their employer that they were convicted of common assault yesterday following an out-of-control altercation over a parking space./

*Examples of failure to adhere to this pledge –*

/A security guard’s coworkers begin to bully her after she informs management that one of her coworkers has been carrying an extendable baton while on duty./

/When permitting someone to enter a licenced establishment where they are assigned to regulate access, a door supervisor collects cash for a drink./

*2) Be dependable*

This encompasses, but is not limited to the following:

* preserving and safeguarding confidential information (unless when doing so would violate the authorised directions of your employer, a government agency, a court, or this Code of Conduct);
* not grabbing another person’s property unjustly or irrationally;
* not intentionally or grossly negligently causing damage to or loss of a client’s or member of the public’s property;
* not carrying or using any item that could reasonably be used as a weapon, or that the SIA believes you could use as a weapon;
* refraining from abusing others for your own wealth or satisfaction; and
* not engaging in an improper, unsafe, or sexually predatory manner toward someone who is vulnerable to an abuse of trust or power, or who may be vulnerable to such an abuse.

*/Examples of how this commitment has been met –/*

/An operator specialising in cash and valuables in transit is attending a home party. A buddy inquires as to which firms she receives the most money from and in what millions. The operative switches topics./

/A young woman exits a nightclub alone, impaired by alcohol, and is unable to find her way home. A male door supervisor offers to drive a colleague home as he is about to finish work. His colleague responds that if he does this, he risks giving the wrong impression. Rather than that, they coordinate with a street priest to have the woman transported home in a licenced cab.

*Examples of failure to adhere to this pledge –*

/The SIA has suspended and revoked licences in instances when licence holders advised or engaged in sexual behaviour with consumers at a licenced property where they were deployed. This is where the occurrences occurred on the premises or elsewhere immediately after their shift ended./

/The SIA has suspended and revoked licences in cases when licence holders proposed or engaged in sexual conduct with inhabitants of the housing they were guarding./

/Someone is filming the acts of a security guard on their mobile phone. The security guard responds by snatching their phone and tossing it on the ground.

*3) Ensure the safety of the people and property entrusted to your care*

This encompasses, but is not limited to the following:

* adopting all feasible preventative and deterrent measures;
* taking all reasonable means to avoid or minimise any risk of harm to a client or their property (this includes compliance with the Health and Safety at Work, etc. Act 1974, and accompanying Regulations, Guidance, and Approved Codes of Practice);
* not risking persons or property by irresponsibility;
* taking all reasonable measures to assist persons who are in danger, injured, or vulnerable;
* immediately reporting events to the proper emergency services; and
* utilising force only when it is appropriate, proportionate, and permitted by law.

*Examples of how to adhere to this promise -*

/A security guard in a business sector witnesses a member of the public tumble down several flights of stairs. They promptly approach to give assistance. Then they call an ambulance and administer first aid until the ambulance comes. After the individual exits the ambulance, the security guard contacts his manager to inform them of the incident.

/A security guard in a government facility observes a man standing guard at the entrance. This man then wanders carefully around the building’s exterior, pausing sometimes to take photographs. The security guard approaches the man and informs him of his visit’s aim. They then notify their control room about the incident./

*Examples of failure to adhere to this pledge –*

/A door supervisor pushes someone down a flight of steps during an ejection from a nightclub, even though no one was in immediate danger from the person and other door supervisors were nearby and able to assist./

/A security guard rugby tackles a shoplifter to the ground as they attempt to exit a supermarket, then restrains them face down on the ground until the police arrive./

*4) Maintain a professional demeanour at work*

This encompasses, but is not limited to the following:

* abstaining from alcohol or illegal substances; and
* exercising self-control.

*An illustration of adhering to this promise -*

/After being asked to leave a pub, a woman began swearing at two door supervisors. The door supervisors ask her to leave nicely and speak with her to help her calm down.

*An illustration of not adhering to this pledge –*

/A security guard consumes marijuana prior to reporting to night duty in a marked security vehicle./
/A door supervisor consumes several shots of alcohol in the afternoon before beginning an evening shift./

*5) Demonstrate impartiality and fairness at work*

This encompasses, but is not limited to the following:

* refraining from letting personal emotions, prejudices, hatreds, friendships, or familial ties to influence your actions and/or decisions;
* not discriminating against individuals on the basis of their age, handicap, gender reassignment, marriage and civil partnership, pregnancy and motherhood, race, religion or belief, sex, and/or sexual orientation; and
* refraining from being harsh, harassing, obnoxious, or bullying others.

*Examples of how to adhere to this promise -*

/An old buddy requests that a door supervisor provide him access to a location that he is aware his friend is not permitted to attend. The door supervisor declines politely./
/The door supervisors at a nightclub are instructed by the club’s new manager not to admit people in wheelchairs because “they are a fire hazard” and guys from certain ethnic groups because “they cause disturbance.” They inform the club’s boss that they are unable to do so./

*Examples of failure to adhere to this pledge –*

/An ecstatic admirer approaches a star at a private meal. The celebrity’s close security agent blocks the fan’s path, stands close to them, and threatens them with violence if they do not leave immediately./

/The ex-girlfriend of a door supervisor is a customer at the venue where the door supervisor is stationed. The door supervisor overhears a man conversing with his ex-girlfriend and threatens them with violence if they do not stop.

*6) Accept responsibility for your choices and actions*

This encompasses, but is not limited to the following:

* providing complete, accurate, and non-biased written and oral statements to your employer, the police or other law enforcement agency, the SIA, and/or a court;
* avoiding evidence destruction or tampering; and
* assisting the SIA, police, and other law enforcement agencies in their investigations.

*Examples of how to comply with this criteria -*

* /An operator of a public space surveillance (CCTV) system is summoned to testify in court after witnessing an assault. They detail all they witnessed./
* /During inspections to licenced establishments in a town, a SIA team discovers someone operating under a forged licence. The door supervisors who work with this individual, as well as the owner of the security business, respond completely and truthfully to all questions posed by the SIA./

*Examples of failure to comply with this criteria –*

* /Police conduct an investigation but are unable to take further action in response to an alleged sexual assault by a door supervisor inside a licenced establishment. The SIA requests a detailed explanation of the events leading up to the Police inquiry from the door supervisor. The door supervisor says that they are not required to inform the SIA of anything because the police are taking no action./
* /A door supervisor observes another door supervisor punching another door supervisor in the head. As a result, they lose consciousness and crash to the floor. The door supervisor who witnessed this does not note what they saw in the venue’s incident book and, when questioned by police, claims not to have seen what caused the victim to fall to the ground.

*Additional criteria for those in positions of authority (e.g., directors)*

* A private security service provider’s controlling mind is comprised of the following:
* director and assistant director1;
* director and shadow director of any holding or parent company/ies that are higher in the chain of command in a firm’s organisational structure than the private security business, regardless of the location of the holding or parent company;
* director and shadow director of any subsidiary company/ies located immediately between a holding or parent company and a private security firm in the organization’s chain of command;
* joint venture, in which the private security service provider is a joint venture; and ** joint venture, in which the private security service provider is a joint venture.
* a member of the body corporate, in the event that the private security service provider is a body corporate whose members oversee its affairs.

*Section 251 of the Companies Act 2006 defines a shadow director as a person in accordance with whose directions or instructions the directors of a company are accustomed to act.

Licensees and applicants who are controlling minds are required to adhere to the Code of Conduct outlined above. They must also follow the additional requirements below.

*1) Adhere to the highest standards of honesty and integrity*

This encompasses, but is not limited to the following:

* ensuring that the licence holders you deploy are fully informed of this Code of Conduct, and know how to comply with it;
* deploying individuals who are appropriately licensed, trained, briefed, and equipped to effectively and safely fulfil their duties;
* not asking any licence holder to do something illegal and/or which does not comply with this Code of Conduct;
* not “phoenixing” a company (“phoenixing” involves closing an insolvent company, and then carrying on substantially the same business using a new company);
* not allowing yourself, or the business you control, to be used as a front for an organised crime group and/or any criminal activity; and
* not representing conflicting or competing interests without the express consent of those concerned, and only after all the relevant facts have been fully disclosed to all the interested parties.

*Examples of how to comply with this criteria -*

* /* The Code of Conduct is part of the induction training given to all new employees during their first week on the job./
* /* The director of a business with Approved Contractor Scheme accreditation is asked to bid for a public sector contract on behalf of another business, but to keep that business’s involvement secret. The director refuses and tells the SIA./

*Examples of how not to meet this commitment –*

* /After a private security firm is declared insolvent, its owner sets up a new company with a similar name, the same employees, and the same offices. The new company then begin providing security services to the insolvent firm’s clients as if nothing has changed./
* /The director of a private security company purchases labour provision to fulfil one of their contracts at significantly below market rate. They also fail to carry out due diligence on whether the operatives are being paid the National Minimum Wage, have the correct employment status, and that there is no VAT fraud or other sort of tax evasion./

*2) Protect the people and property you are entrusted to protect*

This includes (but is not limited to):

* doing all necessary risk assessments thoroughly and diligently;
* taking all necessary action to ensure that the business complies with the Health and Safety at Work, etc. Act 1974 (and associated Regulations, Guidance and Approved Codes of Practice), and that reports of risks to health and safety are quickly and appropriately acted upon; and Examples of how to meet this commitment –
* taking all reasonable steps to ensure that you meet legal requirements that aim to tackle modern slavery.

*An example of how to meet this requirement –*

* /In planning for a new deployment at a building site, a director realises that they will need to use a sub-contractor to fulfil the contract at weekends. There is only one company with available security guards, and they have not worked with them before. The director therefore conducts checks on the company to ensure that it meets legal requirements/.

*An example of how not to meet this requirement –*

* /A private security firm deploys a man at a disused office building to prevent theft and damage to the site. The firms forces the man to stay at the building around the clock, only allowing him to leave once a day to search for water and food. He is paid less than the National Minimum Wage./# Code of Conduct for SIA licence holders and licence applicants Introduction

The following Code of Conduct contains the standards of conduct and behaviour that Security Industry Authority (SIA) licence holders must uphold. SIA licence holders, and applicants for SIA licences, must act in line with this Code of Conduct. The values and principles set out in the Code of Conduct can be applied in a range of different settings, but they are not negotiable or discretionary.

A person must be fit and proper if they want to hold an SIA licence. This is because the people who hold SIA licences are in positions of responsibility. They are entrusted to protect people, property, and premises. A commitment to certain standards of behaviour is fundamental to what it means to be fit and proper, and to being part of a profession. The SIA can take action if those people on its register of licence holders fail to uphold the Code of Conduct. In serious cases, this may result in a criminal prosecution.

The majority of licence holders act in a fit and proper way by upholding the standards of behaviour that the SIA, their employers and the public expect of them. Their professionalism and dedication keeps the public safe and tackles crime.

Those licence holders who behave in ways that are different from those set out in the Code of Conduct can lower the standard of service the public receives, harm public safety, and bring themselves and the rest of the private security industry into disrepute. The Code of Conduct provides a clear, consistent and positive message to service users, businesses, colleagues and employers about what they can expect of those who protect people, property or premises.

The SIA has written the Code of Conduct to help you understand these standards. The Code of Conduct is based around the behaviours that the SIA expects licence holders, and applicants for licences, to meet. These behaviours are summarised in The Six Commitments.

*The Six Commitments*
1. Act with honesty and integrity
2. 2. Be trustworthy 3.
3. Protect the people and property you are entrusted to protect 4.
4. Be professional at work 5.
5. Act with fairness and impartiality at work 6.
6. Be accountable for your decisions and actions

Licence holders must follow the Code of Conduct. This is because it is licensing criteria made under section 7 of the Private Security Industry Act 2001 (PSIA). The Code of Conduct applies to all licensed security operatives – both front line and non-front line licence holders. A small number of additional requirements apply to the “controlling minds” of private security providers (e.g. directors). These additional requirements (and a definition of “controlling minds”) are at the end of the Code of Conduct.

A licence holder who does not behave in the ways set out in the Code of Conduct may have their licence suspended and/or revoked.

Someone who is applying for an SIA licence must also behave in the way set out in the Code of Conduct in order to be granted a licence. If the SIA finds out that they have not behaved in this way, then their licence application may be refused.

The SIA will write to a licence holder if it finds out that they have breached the Code of Conduct. In this letter, it will explain why it believes they have breached the Code of Conduct. Unless their licence has been suspended, they will then be given 21 days to respond with any information. The SIA will give any information the licence holder sends them due consideration, and will write to the licence holder to inform them of its decision.

If the SIA does revoke or suspend a licence, or refuse an application, the person concerned will have 21 days in which to use their right of appeal to a Magistrates’ Court or a Sheriffs’ Court. These processes are set out in more detail in the Suspending a Licence, Refusing a Licence, and the Revoking a Licence chapters of Get Licensed – https://www.sia.homeoffice.gov.uk/Documents/licensing/sia_get_licensed.pdf.

The Code of Conduct has been written by the SIA. The SIA is the regulator of the private security industry in the UK. It is an independent body reporting to the Home Secretary.

The PSIA requires people to hold an SIA licence in order to do particular activities in the private security industry. It is the legal responsibility of the SIA to ensure that only “fit and proper” people hold an SIA licence.

The SIA publishes the criteria it uses to decide whether someone is fit and proper to hold a licence in the document Get Licensed. These criteria set out what is needed to be granted a licence, when the SIA will suspend and/or revoke a licence, and how the SIA considers criminal convictions. Get Licensed also includes licence conditions – the things that someone must do when they hold a licence.

Thoroughly reading Get Licensed is necessary for understanding what the SIA considers when it decides if someone is a fit and proper person to hold a licence.

If a licence holder believes that they have been asked to do something which breaches the Code of Conduct and do not know what to do, then they may want to seek advice from a solicitor, or Protect (an independent charity) on 020 3117 2520 or www.pcaw.org.uk.

This introduction is not part of the Code of Conduct.

## The Code of Conduct

*1) Act with honesty and integrity*

This includes (but is not limited to):

* being honest with your employer, clients, and members of the public.
* not asking for, taking, or offering bribes;
* avoiding placing yourself under any obligation to other people who might try to influence your decisions and/or actions;
* not conspiring with someone to breach this Code of Conduct, or helping someone to breach this Code of Conduct;
* not victimising someone who raises concerns about a possible breach of this Code of Conduct and/or suspected illegality; and
* not knowingly associating with a member of an organised crime group.

*Examples of meeting this commitment -*

/A door supervisor is offered football tickets if they let someone into an exclusive nightclub, and refuses the offer./

/A public space surveillance (CCTV) operator tells their employer that yesterday they were convicted of common assault following an argument over a parking space that got out of hand./

*Examples of not meeting this commitment –*

/A security guard’s colleagues begin bullying her after she reports to managers that one of her colleagues has been secretly carrying an extendable baton when on duty./

/A door supervisor accepts cash for a drink when allowing someone to enter a licensed premise where they are deployed to control entry./

*2) Be trustworthy*

This includes (but is not limited to):

* respecting and protecting confidential information (except where this is contrary to the lawful instructions of your employer, a government body, a court, or this Code of Conduct);
* not unlawfully or unreasonably seizing someone else’s property;
* not intentionally, or through gross negligence, damaging or losing the property of a client or member of the public;
* not carrying or using any item which is a weapon, or which the SIA might reasonably think you may use as a weapon;
* not exploiting other people for your personal gain or satisfaction; and
* not acting in an inappropriate, unsafe or sexually predatory way towards someone who is vulnerable, or may be vulnerable, to an abuse of trust or power.

*//Examples of meeting this commitment –/*

/A cash and valuables in transit operative is at a house party. A friend asks her which businesses she collects the most money from, and how many millions it is. The operative changes the subject./

/A young woman leaves a nightclub by herself, under the influence of alcohol, and is unable to make her own way home. A male door supervisor says to a colleague that he can drive her home as he is about to finish work. His colleague replies that people might get the wrong idea if he does this. Instead, they work with a street pastor to arrange for the woman to be taken home in a licensed taxi./

*Examples of not meeting this commitment –*

/The SIA has suspended and revoked licences where licence holders have suggested, or engaged, in sexual activity with the customers of a licensed premise where they were deployed. This has been where the incidents have taken place within the premises or somewhere else shortly after their shift has finished./

/The SIA has suspended and revoked licences where licence holders have suggested or engaged in sexual activity with the residents of accommodation that they were guarding./

/Someone is using their mobile phone to film the actions of a security guard. The security guard responds by grabbing their mobile phone and throwing it to the ground.//

*3) Protect the people and property you are entrusted to protect*

This includes (but is not limited to):

* taking all reasonable steps to prevent and reduce crime;
* taking all reasonable steps to eliminate, or minimise, any risk of harm to a client and their property (this includes complying with the Health and Safety at Work, etc. Act 1974, and associated Regulations, Guidance and Approved Codes of Practice);
* not endangering people or property by being reckless;
* promptly taking all reasonable steps to help people who are in danger, hurt, or are vulnerable;
* reporting incidents to the appropriate emergency services as soon as possible; and
* only using force that is reasonable, proportionate and allowed by law.

*Examples of meeting this commitment -*

/A security guard working in a business district sees a member of the public fall down some stairs. They quickly go over to offer help. Then they phone an ambulance and provide first aid until it arrives. After the person has left in the ambulance, the security guard phones his manager to tell them what happened./

/A security guard at a government building sees a man watching the entrance. This man then slowly walks around the outside of the building, stopping occasionally to take photographs. The security guard approaches the man and talks to him about the purpose of his visit. They then report what has happened to their control room./

*Examples of not meeting this commitment –*

/A door supervisor pushes someone down a set of steps when carrying out an ejection from a nightclub, when no-one was in danger from the person at the time, and there were other door supervisors close by and able to assist./

/A security guard rugby tackles a shoplifter to the ground as they try to leave a supermarket, and then restrains them face down on the ground while he waits for the police to arrive./

*4) Be professional at work*

This includes (but is not limited to):

* not being under the influence of alcohol or illegal drugs; and
* acting with self-control.

*An example of meeting this commitment -*

/A woman begins swearing at two door supervisors after they ask her to leave a pub. The door supervisors politely ask her to leave and talk with her to calm her down./

*An example of not meeting this commitment –*

/A security guard smokes marijuana before starting night duty and driving a marked security vehicle./
/During an afternoon, a door supervisor drinks several shots of alcohol before starting an evening shift./

*5) Act with fairness and impartiality at work*

This includes (but is not limited to):

* not allowing your personal feelings, prejudices, hatreds, friendships or family ties to influence your actions and/or decisions;
* not unlawfully discriminating on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and/or sexual orientation; and
* not being abusive, harassing, offensive, or bullying towards others.

*Examples of meeting this commitment -*

/A door supervisor is asked by an old friend to allow him entry to a venue that he knows his friend is banned from entering. The door supervisor politely refuses./
/The door supervisors at a nightclub are told by the club’s new manager that they are not to allow into the club people who use wheelchairs because “they’re a fire hazard” and men from particular ethnic groups because “they cause trouble.” They tell the club’s manager that they cannot do this./

*Examples of not meeting this commitment –*

/An over-excited fan approaches a celebrity while they are having a private dinner. The close protection operative guarding the celebrity blocks the fan’s way, stands close to them, and threatens them with violence if they do not leave at once./

/A door supervisor‘s ex-girlfriend is a customer at the venue where the door supervisor is deployed. The door supervisor sees a man talking to his ex-girlfriend, and threatens them with violence if they do not stop speaking to her/

*6) Be accountable for your decisions and actions*

This includes (but is not limited to):

* giving written and oral statements to your employer, the police or other law enforcement body, the SIA, and/or a court that are full, accurate and without bias or prejudice;
* not destroying or tampering with evidence; and
* cooperating with the SIA, police and other law enforcement bodies.

*Examples of meeting this requirement -*

* /A public space surveillance (CCTV) operator is called to give evidence in court because they witnessed an assault. They describe everything that they saw./
* /During visits to licensed premises in a town, an SIA team finds someone working with a counterfeit licence. The door supervisors who work with this person, and the owner of the security company, fully and truthfully answer all the questions the SIA ask them./

*Examples of not meeting this requirement –*

* /The police carry out an investigation, but are not able to take any further action following an alleged sexual assault by a door supervisor within a licensed premise. The SIA ask the door supervisor to provide a full account of the events that led to the Police investigation. The door supervisor responds by stating that they do not need to tell the SIA anything as the police are not taking any action./
* /A door supervisor witnesses another door supervisor punch someone to the head. This causing them to lose consciousness and fall heavily to the floor. The door supervisor who witnessed this does not record what they saw in the venue’s incident book, and, when questioned by the Police, claim that they did not see what caused the person to fall to the ground./

*Additional requirements for controlling minds (e.g. directors)*

* The controlling minds of a private security service provider are every:
* director and shadow director1 ;
* director and shadow director of any holding or parent company/ies above the private security business in the chain of command in a company’s organisational structure, regardless of where the holding or parent company is incorporated;
* director and shadow director of any subsidiary company/ies sitting directly between a holding or parent company and a private security business in the chain of command in a company’s organisational structure;
* partner, where the private security service provider is a partnership; and **
* member of the body corporate, where the private security service provider is a body corporate whose affairs are managed by its members.

*Section 251 of the Companies Act 2006 defines a shadow director as a person in accordance with whose directions or instructions the directors of a company are accustomed to act.

Licence holders and applicants who are controlling minds must follow the Code of Conduct set out above. They must also follow the additional requirements below.

*1) Act with honesty and integrity*

This includes (but is not limited to):

* ensuring that the licence holders you deploy are fully informed of this Code of Conduct, and know how to comply with it;
* deploying individuals who are appropriately licensed, trained, briefed, and equipped to effectively and safely fulfil their duties;
* not asking any licence holder to do something illegal and/or which does not comply with this Code of Conduct;
* not “phoenixing” a company (“phoenixing” involves closing an insolvent company, and then carrying on substantially the same business using a new company);
* not allowing yourself, or the business you control, to be used as a front for an organised crime group and/or any criminal activity; and
* not representing conflicting or competing interests without the express consent of those concerned, and only after all the relevant facts have been fully disclosed to all the interested parties.

*Examples of meeting this requirement -*

* /* The Code of Conduct is part of the induction training given to all new employees during their first week on the job./
* /* The director of a business with Approved Contractor Scheme accreditation is asked to bid for a public sector contract on behalf of another business, but to keep that business’s involvement secret. The director refuses and tells the SIA./

*Examples of how not to meet this commitment –*

* /After a private security firm is declared insolvent, its owner sets up a new company with a similar name, the same employees, and the same offices. The new company then begin providing security services to the insolvent firm’s clients as if nothing has changed./
* /The director of a private security company purchases labour provision to fulfil one of their contracts at significantly below market rate. They also fail to carry out due diligence on whether the operatives are being paid the National Minimum Wage, have the correct employment status, and that there is no VAT fraud or other sort of tax evasion./

*2) Protect the people and property you are entrusted to protect*

This includes (but is not limited to):

* doing all necessary risk assessments thoroughly and diligently;
* taking all necessary action to ensure that the business complies with the Health and Safety at Work, etc. Act 1974 (and associated Regulations, Guidance and Approved Codes of Practice), and that reports of risks to health and safety are quickly and appropriately acted upon; and Examples of how to meet this commitment –
* taking all reasonable steps to ensure that you meet legal requirements that aim to tackle modern slavery.

*An example of how to meet this requirement –*

* /In planning for a new deployment at a building site, a director realises that they will need to use a sub-contractor to fulfil the contract at weekends. There is only one company with available security guards, and they have not worked with them before. The director therefore conducts checks on the company to ensure that it meets legal requirements/.

*An example of how not to meet this requirement –*

* /A private security firm deploys a man at a disused office building to prevent theft and damage to the site. The firms forces the man to stay at the building around the clock, only allowing him to leave once a day to search for water and food. He is paid less than the National Minimum Wage./

Resolving Complaints

A complaint presents an opportunity to convert an unsatisfied customer into one who is. It’s a fact of life that dissatisfied customers are notorious for their outbursts. They frequently inform their friends and family about their negative experience, thereby alienating potential customers. Each team member should understand how to handle complaints properly, as an improperly handled complaint can escalate into an argument or ‘verbal conflict.’

The following dos and don’ts cover the essentials.

Please do the following:

• Listen to the customers without interrupting
• Make an attempt to understand their perspective 
• You do not have to agree with them; simply demonstrate that you understand, e.g. I understand how that has upset you.
• Demonstrate that you are taking the complaint seriously by listening to them and interrogating them to clarify points.
• Reiterate or repeat the complaint to the individual: ‘So, you’re saying that…, which indicates that you’ve grasped the issue.’ 
• Inform them of your intentions, i.e. to forward the complaint to your manager. Even better, jot it down.

Please avoid the following: 

• Taking the complaint personally 
• Allowing yourself to become angry 
• Arguing with customers 
• Blaming the management 
• Blaming your colleagues, which looks unprofessional and demonstrates a weakness in the staff team 
• They’re not interested in why the problem occurred; they’re interested in what you’re going to do about it.

You may be required to apologise even if you are not at fault, for example I apologise for the misunderstanding. Allow the customer to have the final say.

The following Code of Conduct details the conduct and behaviour criteria that Security Industry Authority (SIA) licensees must adhere to. Holders of SIA licences and candidates for SIA licences must adhere to this Code of Conduct. The Code of Conduct’s ideals and principles can be implemented in a variety of different contexts, but they are not negotiable or discretionary.

To hold a SIA licence, an individual must be fit and suitable. This is because those who hold SIA licences hold positions of authority. They are tasked with the responsibility of protecting persons, property, and premises. A dedication to specific norms of behaviour is critical to understanding what it means to be fit and proper, as well as to being a member of a profession. The SIA has the authority to take action against individuals on its register of licence holders who violate the Code of Conduct. This may result in a criminal prosecution in serious circumstances.

The majority of licence holders conduct themselves appropriately by adhering to the standards of behaviour expected by the SIA, their employers, and the general public. Their professionalism and commitment protect the people and combat criminality.

Licensees that act inconsistently with the Code of Conduct risk lowering the standard of service provided to the public, jeopardising public safety, and bringing themselves and the rest of the private security profession into disrepute. The Code of Conduct communicates to service users, businesses, colleagues, and employers what they may expect from individuals who protect people, property, or premises in a straightforward, consistent, and positive manner.

The SIA developed the Code of Conduct to assist you in comprehending these principles. The SIA’s Code of Conduct is based on the behaviours it expects from licence holders and applicants for licences. The Six Commitments summarise these behaviours.

The Six Commitments

1. Act with honesty and integrity
2. Be trustworthy
3. Protect the people and property you are entrusted to protect
4. Be professional at work
5. Act with fairness and impartiality at work
6. Be accountable for your decisions and actions

Licensees must adhere to the Code of Conduct. This is because section 7 of the Private Security Industry Act 2001 establishes licencing criteria (PSIA). The Code of Conduct is applicable to all licenced security operatives, frontline and non-frontline. A few more rules apply to private security firms’ “controlling minds” (e.g. directors). These additional standards (along with a definition of “controlling minds”) are found at the Code of Conduct’s conclusion.

A licensee who violates the Code of Conduct may have their licence suspended and/or revoked.

To be granted a SIA licence, an applicant must also adhere to the Code of Conduct. If the SIA determines that they have not acted in this manner, their application for a licence may be denied.

If the SIA determines that a licensee has violated the Code of Conduct, it will write to the licensee. It will explain in this letter why it believes they have violated the Code of Conduct. They will then have 21 days to respond with any information, unless their licence has been suspended. The SIA will carefully assess any information submitted by the licensee and will notify the licensee in writing of its decision.

If the SIA does revoke or suspend a licence or denies an application, the applicant or licensee has 21 days to appeal to a Magistrates’ or Sheriffs’ Court. These procedures are detailed in further depth in the chapters of Get Licensed on Suspending a Licence, Refusing a Licence, and Revoking a Licence.

https://www.sia.homeoffice.gov.uk/Documents/licensing/sia_get_licensed.pdf.

The Code of Conduct has been written by the SIA. The SIA is the regulator of the private security industry in the UK. It is an independent body reporting to the Home Secretary.

The PSIA requires people to hold an SIA licence in order to do particular activities in the private security industry. It is the legal responsibility of the SIA to ensure that only “fit and proper” people hold an SIA licence.

The SIA publishes the criteria it uses to decide whether someone is fit and proper to hold a licence in the document Get Licensed. These criteria set out what is needed to be granted a licence, when the SIA will suspend and/or revoke a licence, and how the SIA considers criminal convictions. Get Licensed also includes licence conditions – the things that someone must do when they hold a licence.

Thoroughly reading Get Licensed is necessary for understanding what the SIA considers when it decides if someone is a fit and proper person to hold a licence.

If a licence holder believes that they have been asked to do something which breaches the Code of Conduct and do not know what to do, then they may want to seek advice from a solicitor, or Protect (an independent charity) on 020 3117 2520 or www.pcaw.org.uk.

The Code of Conduct

1) Act with honesty and integrity

This includes (but is not limited to):

• being honest with your employer, clients, and members of the public.
• not asking for, taking, or offering bribes;
• avoiding placing yourself under any obligation to other people who might try to influence your decisions and/or actions;
• not conspiring with someone to breach this Code of Conduct, or helping someone to breach this Code of Conduct;
• not victimising someone who raises concerns about a possible breach of this Code of Conduct and/or suspected illegality; and
• not knowingly associating with a member of an organised crime group.

Examples of meeting this commitment –

• A door supervisor is offered football tickets if they let someone into an exclusive nightclub, and refuses the offer.
• A public space surveillance (CCTV) operator tells their employer that yesterday they were convicted of common assault following an argument over a parking space that got out of hand.

Examples of not meeting this commitment – 

• A security guard’s colleagues begin bullying her after she reports to managers that one of her colleagues has been secretly carrying an extendable baton when on duty.
• A door supervisor accepts cash for a drink when allowing someone to enter a licensed premise where they are deployed to control entry.

2) Be trustworthy

This includes (but is not limited to):

• respecting and protecting confidential information (except where this is contrary to the lawful instructions of your employer, a government body, a court, or this Code of Conduct);
• not unlawfully or unreasonably seizing someone else’s property;
• not intentionally, or through gross negligence, damaging or losing the property of a client or member of the public;
• not carrying or using any item which is a weapon, or which the SIA might reasonably think you may use as a weapon;
• not exploiting other people for your personal gain or satisfaction; and
• not acting in an inappropriate, unsafe or sexually predatory way towards someone who is vulnerable, or may be vulnerable, to an abuse of trust or power.

Examples of meeting this commitment –

• A cash and valuables in transit operative is at a house party. A friend asks her which businesses she collects the most money from, and how many millions it is. The operative changes the subject.
• A young woman leaves a nightclub by herself, under the influence of alcohol, and is unable to make her own way home. A male door supervisor says to a colleague that he can drive her home as he is about to finish work. His colleague replies that people might get the wrong idea if he does this. Instead, they work with a street pastor to arrange for the woman to be taken home in a licensed taxi.

Examples of not meeting this commitment –

• The SIA has suspended and revoked licences where licence holders have suggested, or engaged, in sexual activity with the customers of a licensed premise where they were deployed. This has been where the incidents have taken place within the premises or somewhere else shortly after their shift has finished.
• The SIA has suspended and revoked licences where licence holders have suggested or engaged in sexual activity with the residents of accommodation that they were guarding.
• Someone is using their mobile phone to film the actions of a security guard. The security guard responds by grabbing their mobile phone and throwing it to the ground.

3) Protect the people and property you are entrusted to protect

This includes (but is not limited to):

• taking all reasonable steps to prevent and reduce crime;
• taking all reasonable steps to eliminate, or minimise, any risk of harm to a client and their property (this includes complying with the Health and Safety at Work, etc. Act 1974, and associated Regulations, Guidance and Approved Codes of Practice);
• not endangering people or property by being reckless;
• promptly taking all reasonable steps to help people who are in danger, hurt, or are vulnerable;
• reporting incidents to the appropriate emergency services as soon as possible; and
• only using force that is reasonable, proportionate and allowed by law.

Examples of meeting this commitment –

• A security guard working in a business district sees a member of the public fall down some stairs. They quickly go over to offer help. Then they phone an ambulance and provide first aid until it arrives. After the person has left in the ambulance, the security guard phones his manager to tell them what happened.
• A security guard at a government building sees a man watching the entrance. This man then slowly walks around the outside of the building, stopping occasionally to take photographs. The security guard approaches the man and talks to him about the purpose of his visit. They then report what has happened to their control room.

Examples of not meeting this commitment –

• A door supervisor pushes someone down a set of steps when carrying out an ejection from a nightclub, when no-one was in danger from the person at the time, and there were other door supervisors close by and able to assist.
• A security guard rugby tackles a shoplifter to the ground as they try to leave a supermarket, and then restrains them face down on the ground while he waits for the police to arrive.

4) Be professional at work

This includes (but is not limited to):

• not being under the influence of alcohol or illegal drugs; and
• acting with self-control.

An example of meeting this commitment –

• A woman begins swearing at two door supervisors after they ask her to leave a pub. The door supervisors politely ask her to leave and talk with her to calm her down.

An example of not meeting this commitment –

• A security guard smokes marijuana before starting night duty and driving a marked security vehicle.
• During an afternoon, a door supervisor drinks several shots of alcohol before starting an evening shift.

5) Act with fairness and impartiality at work

This includes (but is not limited to):

• not allowing your personal feelings, prejudices, hatreds, friendships or family ties to influence your actions and/or decisions;
• not unlawfully discriminating on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and/or sexual orientation; and
• not being abusive, harassing, offensive, or bullying towards others.

Examples of meeting this commitment –

• A door supervisor is asked by an old friend to allow him entry to a venue that he knows his friend is banned from entering. The door supervisor politely refuses.
• The door supervisors at a nightclub are told by the club’s new manager that they are not to allow into the club people who use wheelchairs because “they’re a fire hazard” and men from particular ethnic groups because “they cause trouble.” They tell the club’s manager that they cannot do this.

Examples of not meeting this commitment –

• An over-excited fan approaches a celebrity while they are having a private dinner. The close protection operative guarding the celebrity blocks the fan’s way, stands close to them, and threatens them with violence if they do not leave at once.
• A door supervisor‘s ex-girlfriend is a customer at the venue where the door supervisor is deployed. The door supervisor sees a man talking to his ex-girlfriend, and threatens them with violence if they do not stop speaking to her

6) Be accountable for your decisions and actions

This includes (but is not limited to):

• giving written and oral statements to your employer, the police or other law enforcement body, the SIA, and/or a court that are full, accurate and without bias or prejudice;
• not destroying or tampering with evidence; and
• cooperating with the SIA, police and other law enforcement bodies.

Examples of meeting this requirement –

• A public space surveillance (CCTV) operator is called to give evidence in court because they witnessed an assault. They describe everything that they saw.
• During visits to licensed premises in a town, an SIA team finds someone working with a counterfeit licence. The door supervisors who work with this person, and the owner of the security company, fully and truthfully answer all the questions the SIA ask them.

Examples of not meeting this requirement –

• The police carry out an investigation, but are not able to take any further action following an alleged sexual assault by a door supervisor within a licensed premise. The SIA ask the door supervisor to provide a full account of the events that led to the Police investigation. The door supervisor responds by stating that they do not need to tell the SIA anything as the police are not taking any action.
• A door supervisor witnesses another door supervisor punch someone to the head. This causing them to lose consciousness and fall heavily to the floor. The door supervisor who witnessed this does not record what they saw in the venue’s incident book, and, when questioned by the Police, claim that they did not see what caused the person to fall to the ground.

Additional requirements for controlling minds (e.g. directors)

The controlling minds of a private security service provider are every

• director and shadow director,
• director and shadow director of any holding or parent company/ies above the private security business in the chain of command in a company’s organisational structure, regardless of where the holding or parent company is incorporated;
• director and shadow director of any subsidiary company/ies sitting directly between a holding or parent company and a private security business in the chain of command in a company’s organisational structure;
• partner, where the private security service provider is a partnership; and
• member of the body corporate, where the private security service provider is a body corporate whose affairs are managed by its members.

Section 251 of the Companies Act 2006 defines a shadow director as a person in accordance with whose directions or instructions the directors of a company are accustomed to act.

Licence holders and applicants who are controlling minds must follow the Code of Conduct set out above. They must also follow the additional requirements below.

1) Act with honesty and integrity

This includes (but is not limited to):

• ensuring that the licence holders you deploy are fully informed of this Code of Conduct, and know how to comply with it;
• deploying individuals who are appropriately licensed, trained, briefed, and equipped to effectively and safely fulfil their duties;
• not asking any licence holder to do something illegal and/or which does not comply with this Code of Conduct;
• not “phoenixing” a company (“phoenixing” involves closing an insolvent company, and then carrying on substantially the same business using a new company);
• not allowing yourself, or the business you control, to be used as a front for an organised crime group and/or any criminal activity; and
• not representing conflicting or competing interests without the express consent of those concerned, and only after all the relevant facts have been fully disclosed to all the interested parties.

Examples of meeting this requirement –

• The Code of Conduct is part of the induction training given to all new employees during their first week on the job.
• The director of a business with Approved Contractor Scheme accreditation is asked to bid for a public sector contract on behalf of another business, but to keep that business’s involvement secret. The director refuses and tells the SIA.

Examples of how not to meet this commitment –

• After a private security firm is declared insolvent, its owner sets up a new company with a similar name, the same employees, and the same offices. The new company then begin providing security services to the insolvent firm’s clients as if nothing has changed.
• The director of a private security company purchases labour provision to fulfil one of their contracts at significantly below market rate. They also fail to carry out due diligence on whether the operatives are being paid the National Minimum Wage, have the correct employment status, and that there is no VAT fraud or other sort of tax evasion.

2) Protect the people and property you are entrusted to protect

This includes (but is not limited to):

• doing all necessary risk assessments thoroughly and diligently;
• taking all necessary action to ensure that the business complies with the Health and Safety at Work, etc. Act 1974 (and associated Regulations, Guidance and Approved Codes of Practice), and that reports of risks to health and safety are quickly and appropriately acted upon; and
• taking all reasonable steps to ensure that you meet legal requirements that aim to tackle modern slavery.

An example of how to meet this requirement –

• In planning for a new deployment at a building site, a director realises that they will need to use a sub-contractor to fulfil the contract at weekends. There is only one company with available security guards, and they have not worked with them before. The director therefore conducts checks on the company to ensure that it meets legal requirements.

An example of how not to meet this requirement –

• A private security firm deploys a man at a disused office building to prevent theft and damage to the site. The firms forces the man to stay at the building around the clock, only allowing him to leave once a day to search for water and food. He is paid less than the National Minimum Wage.

CURRENT THREAT LEVEL at February 2022

SEVERE – Meaning an attack is highly likely

• Be aware of surroundings, including Vulnerable access points
• Be mindful of Vehicle tactics, again providing access to the premises, or a route to areas where attendees or public are vulnerable.
• Watch what is going on away from search areas and entry point, is anyone paying particular attention, are they watching the search/entry points
• How secure is the building pre-event. Ensure staff entering are checked, INCLUDING other badged security staff whom they may not recognise.
• Don’t be afraid to challenge. Bring any activity to the attention of supervisors.
• Beware of people waiting until the last minute to try and gain entry.
• Learn the area in which you are working.
• Provide patrols outside of the venue. Both provides reassurance to guests, and provides a measure of Target Hardening.
• Ensure colleagues remain equally alert. BE PRO-ACTIVE
• Maintain vigilance throughout the event.
• Danger of relaxing once event has started.
• Re check area of responsibility,
• Supervisors to remain proactive.. This is when HR is most likely to take place

Employee training

T1SMS will have at least 2 Managers at all times, 2 Qualified Trainers and multiple Supervisors for this event, all of whom are fully trained in counter terrorism with ACT online training. We regularly run refreshers for our employees and encourage all security personnel to undertake this invaluable training. 

In the unlikely event of a Terror Attack – T1 Senior Management Team will take immediate control. The Security Radio Channel will maintain Complete Radio Silence and must only used by SMT. We will create muster points on each day to help divide the crowd into smaller groups for potential damage limitation. For security purposes the exact location of cluster points will not announced until the event brief.

WEATHER PROTECTION

In addition to standard attire and that provided by T1 Security we advised all employees to pack their own weather protection. We suggest bringing black waterproof trousers, black wellington boots and sunscreen keeping them prepared for all the elements.

ENVIRONMENTAL

We are committed to the campaign of “Staying Green”. Therefore, we ask all staff to bring a reusable water bottle with them. There are numerous water points throughout sites so plenty of points for obtaining a refill. 

SIA LICENSED STAFF

All SIA employees must wear their SIA badge so it is visible at all times when on duty, except covert teams who must have their badge on their person. SIA officials often attend sites un-announced doing spot checks and they will prosecute individuals and companies that do not comply with this legislation. Badges should be worn in a suitable arm holder on the outer most layer or in the secure pockets provided on our T1 Hi-Vis Jackets. 

TRAINING

All T1 employees looking to work events will need to complete our 3-day (EM-Power) in-house training program aimed specifically at spectator safety, crowd control and advanced levels of conflict resolution and physical intervention. This is mandatory training for all T1 employees. If you have not completed our in-house training program you must inform your superiors who will make suitable arrangements for your training to be conducted in the very near future.

EQUIPMENT  

T1 and Event Organisers will provide you with adequate radio equipment to perform your duties as a security operative, these will be assigned to you by unique identifying number at which point they become your responsibility. Any losses or damages will be charged for, therefore you must take good care of equipment in your possession and ensure they are signed back in at the end of the shift. Other equipment you should have includes; a working torch, suitable gloves, hand sanitiser and protective eye wear where required.  

BRIEFINGS

All staff will be given a general briefing prior to your shift. A more thorough job specific/position related briefing will be given by your Supervisor once you arrive at your position. You will also be issued a staff handbook prior to the event to fully prepare you before arriving on site. 

INDUCTION 

All staff will be given a site tour before the start of their shift with particular attention and detailed explanation of fire/emergency exits and evacuation protocols.  Included in site specific handbooks will be maps and all procedures enabling staff to conduct themselves in alignment with current legislation, venue/site specific protocols and to the demanding standards set by T1 Security. 

TRAVEL & PARKING

You will be responsible for all aspects of your own travel and parking, although we will try to arrange something on site where possible. In any event, vehicles are left at your own risk. 

ALCOHOL & DRUG USE

T1 take a zero tolerance approach to Alcohol and Drug abuse. Any employee found to be under the influence of alcohol or drugs whilst on location will be immediately removed from their duties, be ejected from the site and denied any future work. 

Please be advised that T1 carry out Alcohol and Drug testing unannounced and you may be subject to random testing.

SMOKE FREE 

Due to changes in the Smoke Free (Signs) Regulations 2012, smoking is not permitted within any working area or vehicle. No smoking signs will be placed in any hire/working vehicle and in all tented arenas. Smoking is not permitted whilst on duty. Smoking should be done discretely whilst you are on a break and not within an enclosed area. You must remove any identifying garments before you take a smoke break. 

NOISE AT WORK

Staff working in ear protection zones will be required as a condition of contract to ensure that they wear ear protection. Ear protection will be provided.

USE OF LANGUAGE 

We will NOT tolerate any abusive and/or aggressive language being spoken to event-goers. All event- goers must be spoken to in a polite and courteous manner at all times. All employees must remain diplomatic and sensitive when dealing with any heightened situation. There are more complaints received about abusive and aggressive language from staff than any other complaint! We take this matter very seriously and disciplinary action will be taken accordingly. Remember your Hi-Vis will identify you so you can and will be held accountable for your own actions.

The ACAS statutory code of practise on punishment and grievance is set out in the following pages at paragraphs 1 to 45. It provides employers, employees, and their representatives with fundamental practical assistance and establishes guidelines for resolving workplace disciplinary and grievance problems. The Code does not apply to redundancy dismissals or non-renewal of fixed-term contracts at their expiration. ACAS’ advisory pamphlet on redundancy management contains guidance on how to handle redundancies.

The Code was put before both Houses of Parliament on 9 December 2008 under section 199 of the Trade Union and Labour Relations (Consolidation) Act 1992. It takes effect on 6 April 2009, after the Secretary of State’s decision, and supersedes the 2004 Code.

Failure to comply with the Code does not automatically subject a person or organisation to legal action. Employment tribunals, on the other hand, will assess relevant instances in light of the Code. Tribunals will also have the authority to reduce any awards issued in relevant instances by up to 25% for wilful violation of any provision of the Code. This means that if the tribunal determines that an employer has been unreasonable in failing to follow the Code’s instructions, the tribunal may raise any award made by up to 25%. On the other hand, if they believe an employee has acted unreasonable in failing to follow the code’s advice, they can lower any reward they have made by up to 25%.

Employers and employees should always attempt to address workplace disciplinary and grievance issues. If this is not practicable, employers and employees should consider retaining the services of an independent third party to assist in resolving the issue. The third party does not have to be external to the organisation; they could be an internal mediator, as long as they are not personally involved in the disciplinary or grievance matter. In some instances, an external mediator may be necessary.

Numerous disciplinary or grievance situations are amenable to informal resolution. Often, all that is required to resolve an issue is a quiet word. However, if an informal resolution is not possible, the matter may be pursued formally. This Code establishes the fundamental principles of fairness that will apply in the majority of cases; it is designed to serve as the norm of reasonable behaviour in the majority of cases.

Employers would be wise to maintain a written record of any disciplinary or grievance proceedings. Organisations may choose to consider establishing a distinct mechanism for dealing with complaints of bullying, harassment, or whistle blowing.

ACAS’s booklet, ‘Discipline and grievances at work: the ACAS guide’, contains more thorough information and guidance on dealing with disciplinary and grievance problems. Additionally, the brochure includes sample disciplinary and grievance procedures. ACAS can provide copies of the guidelines.

In contrast to the Code, employment tribunals are not compelled to take the ACAS instruction booklet into account. It does, however, provide more thorough counsel and assistance that employers and employees frequently find beneficial, both in general and in specific instances.

CODE OF PRACTICE 1 – PROCEDURES FOR DISCIPLINARY AND GRIEVANCE 

The Code of Practice

Introduction

1. This Code is intended to assist employers, employees, and their representatives in resolving workplace disciplinary and grievance problems.

• Disciplinary actions may be taken in response to misconduct and/or poor performance.
• Employers may opt to address performance issues through a separate capability method if they have one. If this is the case, however, the fundamental principles of justice outlined in this Code should still be observed, albeit with some adaptations
• Grievances are issues, worries, or complaints raised by employees with their employers. The Code does not apply to dismissals due to redundancy or to the non-renewal of fixed-term contracts after their expiration.

2. By defining and implementing norms and processes for managing disciplinary and grievance situations, fairness and transparency are fostered.
These should be documented in writing and should be precise and unambiguous. Employees and, if applicable, their representatives should participate in the establishment of rules and procedures. Additionally, it is critical to educate employees and supervisors on the rules and procedures, where they can be located, and how they should be followed.

3. Where some type of formal action is required, the appropriate or justified course of action will rely on the totality of the circumstances surrounding the particular instance.

• Employment tribunals will consider an employer’s size and resources when deciding on relevant matters, and it is not always feasible for all firms to implement all of the actions outlined in this Code.

4. Having stated that, if a disciplinary or grievance procedure is followed, it is critical to resolve disputes fairly. There are several components to this:

• Employers and employees should address issues swiftly and should avoid unreasonable delays in scheduling meetings, making decisions, or confirming those decisions.
• Employers and employees should be consistent in their behaviour.
• Employers should conduct whatever inquiries are necessary to ascertain the facts of the issue.
• Employers should tell employees of the nature of the problem and provide them with an opportunity to respond before making any choices.
• Employers should permit employees to attend formal disciplinary or grievance meetings in their company.
• Employers should provide an avenue for an employee to appeal any formal decision made.

Discipline The first step in resolving workplace disciplinary concerns is to determine the facts of each case.

5. It is critical to conduct appropriate inquiries into potential disciplinary concerns expeditiously in order to ascertain the facts of the case. This may necessitate the conduct of an investigative meeting with the employee prior to any disciplinary hearing. In others, the investigatory step will consist of the employer compiling material for use at any disciplinary tribunal.

6. Wherever possible, separate individuals should conduct the inquiry and disciplinary hearing in situations of misbehaviour.

7. If an investigation is conducted, this should not result in any disciplinary action. While there is no statutory right for an employee to be accompanied during a formal investigative meeting, such a privilege may be granted by an employer’s own policy.

8. When a time of paid suspension is deemed essential, it should be kept as brief as possible, monitored, and it should be made clear that this suspension is not considered disciplinary action.

Notify the employee of the issue.

9. If it is determined that a disciplinary case exists, the employee shall be informed in writing. This letter should include adequate information about the alleged wrongdoing or poor performance and the potential repercussions to enable the employee to prepare to defend himself or herself during a disciplinary hearing. Normally, copies of any written evidence, which may include witness statements, should be sent with the notification.

10. The notification should also include the date, time, and location of the disciplinary meeting, as well as information on the employee’s entitlement to be accompanied at the meeting.

Consult with the employee to resolve the issue

11. The meeting should take place without undue delay while leaving sufficient time for the employee to prepare their case.

12. Employers and employees (together with their guests) should make every effort to attend. The employer should clarify the complaint against the employee and go over the evidence acquired during the meeting. The employee should be given the opportunity to present their case and respond to any complaints made. Additionally, the employee should be given a reasonable opportunity to present evidence, ask questions, and summon relevant witnesses. Additionally, they should be given the option to voice objections to any testimony supplied by witnesses. Where an employer or employee intends to summon relevant witnesses, they should do so in advance.

Allow the employee to attend the meeting accompanied.
13. Workers have a statutory right to be accompanied by a companion at disciplinary meetings that may result in: • A formal warning being issued; or • The imposition of another disciplinary action; or • The confirmation of a warning or other disciplinary action (appeal hearings).

14. The chosen companion may be a coworker, a trade union representative, or a union official. A non-employee trade union representative must have been certified by their union as competent to accompany a worker.

15. Workers must make a reasonable request to use their statutory right to be accompanied. What is reasonable will vary according to the facts of each specific case. However, it is not fair for workers to insist on being accompanied by a companion whose presence would impair the hearing, nor is it reasonable for workers to request to be accompanied by a companion from a far geographical area if someone suitable and willing is available on-site.

16. The companion shall be permitted to address the hearing in order to present and summarise the worker’s case, to respond on the worker’s behalf to any viewpoints made during the meeting, and to confer with the worker during the hearing. However, the companion does not have the authority to answer questions on the worker’s behalf, to address the hearing on the worker’s behalf if the worker does not choose to do so, or to prohibit the employer from expressing their case.

Determine the appropriate course of action
17. Following the discussion, determine whether disciplinary or other action is merited and notify the employee in writing.

18. When an employee’s wrongdoing is proven or he or she is determined to be operating below standard, it is customary to issue a written warning. In most cases, a subsequent act of misconduct or failure to improve performance within a specified time period would result in a final written warning.

19. If an employee’s first act of misconduct or substandard performance is severe enough, it may be acceptable to proceed directly to a final written warning. This could occur if the employee’s activities have had, or are likely to have, a significant or detrimental effect on the organisation.

20. A written warning, whether initial or final, should describe the nature of the misconduct or poor performance and the behaviour modification or performance improvement that is expected (with timescale). The employee should be informed of the duration of the warning. Within a specified period following a last warning, the employee should be notified of the repercussions of continued misconduct or failure to improve performance. For example, it could result in dismissal or other contractual penalties such as demotion or loss of seniority.

21. Dismissal should be made only by a management with the power to do so. The employee should be told as soon as feasible of the reasons for dismissal, the termination date of the employment contract, the necessary notice period, and their right of appeal.

22. Certain acts, referred to as severe misconduct, are so terrible in and of themselves or have such serious repercussions that a first offence may result in immediate dismissal without notice. However, prior to terminating an employee for gross misbehaviour, a fair disciplinary process should always be followed.

23. Disciplinary guidelines should define what constitutes gross misbehaviour in the eyes of the employer. These will vary according to the organization’s character and mission, but may include theft or fraud, physical assault, extreme negligence, or serious insubordination.

24. Where an employee is persistently unable or unwilling to attend a disciplinary meeting without reasonable cause, the employer should make a determination based on the available facts.

Allow employees to appeal
25. If an employee believes that disciplinary action taken against them is incorrect or unjust, they have the right to appeal the decision. Appeals should be heard expeditiously and, ideally, at a mutually agreed time and place. Employees should notify their employers in writing of the grounds for their appeal.

26. The appeal shall be handled impartially and, to the extent practicable, by a manager who has not been involved in the issue previously.

27. Workers have a statutory right to be accompanied during hearings on appeals.

28. Employees should be notified in writing as soon as feasible of the outcome of their appeal hearing.

Exceptional circumstances
29. When considering disciplinary action against a trade union representative, the standard disciplinary procedure shall be followed. However, depending on the circumstances, it is prudent to discuss the matter early on with a union official after gaining the employee’s assent.

30. Normally, an employee who is charged with or convicted of a criminal offence is not subject to disciplinary action.
Consider the impact of the charge or conviction on the employee’s appropriateness for the job and their connection with their employer, coworkers, and customers.

Grievance The keys to resolving workplace grievances Inform your employer of the nature of your complaint.
31. If an informal resolution is not possible, employees should discuss the matter formally and expeditiously with a management who is not the focus of the grievance. This should be done in writing and should include a description of the nature of the complaint.

Invite the employee to a meeting to discuss the issue.
32. Employers should arrange for a formal meeting to be held without undue delay upon receipt of a grievance.

Employers, employees, and their guests are encouraged to attend the conference. Employees should be given the opportunity to express their complaint and how they believe it should be resolved. Consider whether to adjourn the meeting to conduct any necessary investigations.

Allow the employee to attend the meeting accompanied.
34. Workers have a statutory right to be accompanied at a grievance meeting that addresses a complaint concerning an employer’s breach of a duty owed to the worker. This would apply, for example, if the allegation is that the employer is not honouring the worker’s contract or is in violation of the law.

35. The chosen partner may be a coworker, a trade union representative, or a union official. A non-employee trade union representative must have been certified by their union as competent to accompany a worker.

36. A worker who wishes to exercise his or her right to be accompanied must first make a reasonable request. What is reasonable will vary according to the facts of each specific case. However, it is not fair for employees to insist on being accompanied by a companion whose presence would impair the hearing, nor is it reasonable for workers to request to be accompanied by a companion from a far geographical area if someone suitable and willing is available on site.

37. The companion should be permitted to address the hearing in order to present and summarise the worker’s case, to respond on the worker’s behalf to any viewpoints made during the meeting, and to confer with the worker during the hearing.

However, the companion does not have the authority to answer questions on the worker’s behalf, to address the hearing on the worker’s behalf if the worker does not choose to do so, or to prohibit the employer from expressing their case.

Determine the appropriate course of action
38. Following the meeting, decide on the appropriate course of action, if any. Decisions should be conveyed to employees in writing, without undue delay, and should include a description of the action the employer intends to take to remedy the grievance, if applicable. The employee should be advised that they have the right to appeal if they are dissatisfied with the outcome.

Permit the employee to pursue the grievance further if it remains unresolved.
39. If an employee believes their grievance has not been resolved adequately, they may appeal. They should notify their employer of their appeal’s grounds without undue delay and in writing.

40. Appeals shall be heard expeditiously and at a time and location that are communicated to the employee in advance.

41. The appeal shall be handled impartially and, to the extent practicable, by a manager who has not been involved in the issue previously.

42. Workers are statutorily entitled to be accompanied to any such appeal hearing.

43. The employee should be notified in writing of the outcome of the appeal without undue delay.

Cases involving overlapping grievances and disciplinary actions
44. If an employee files a grievance during a disciplinary proceeding, the proceeding may be temporarily halted to address the grievance. Where grievances and disciplinary matters are connected, it may be acceptable to address both simultaneously.

Collective resentments
45. The provisions of this code do not apply to grievances brought by a representative of a recognised trade union or other appropriate workplace representative on behalf of two or more employees. These grievances should be resolved in accordance with the collective grievance procedure established by the organisation.