Disciplinary Policy

1. Informal procedure

1.1  Minor issues of misconduct will, initially, be dealt with informally through day to day management. After establishing what happened, a manager may consider there is no need to resort to the formal procedure and that it is sufficient to hold a Guidance meeting with the employee. The purpose of a Guidance meeting is to raise with the employee those areas where their conduct is not satisfactory and provide guidance on how to correct or overcome conduct issues in a constructive and supportive manner.

1.2  Where the informal route is to be used the manager should discuss the issue with the employee at the earliest possible opportunity so that the employee can take steps to improve. The discussion may therefore cover any, or all of the following areas:

• The minimum standards of behaviour
• The action required to meet the minimum requirements
• Any support, guidance or training which may be necessary  

1.3  The employee must be informed that the discussion constitutes an informal approach to resolving the issue and that continued failure to meet the appropriate standards will result in formal action being taken under the disciplinary procedure.

1.4  The manager will give the employee a written record of what was discussed at  the Guidance Meeting, and a copy sent to HR for the personal file where it will  be held for 12 months.

2. The formal disciplinary procedure

2.1  The formal disciplinary procedure will only be used when Guidance meetings have failed to result in sufficient improvement or there has been an allegation made relating to more serious misconduct.

2.2  An employee should be informed face to face and as soon as possible, if an allegation of misconduct is made against them, which will be investigated. Where possible this should be done in the presence of a trade union representative or work colleague. The employee should be given a copy of the disciplinary procedure, advised of their right to representation and provided with details of the investigation.

2.3  The above should be confirmed, in writing, and the letter should confirm whether it is potential gross misconduct and the possible consequences. 

3. Misconduct and gross misconduct

The following are examples of Misconduct and Gross Misconduct. This list is not exhaustive and there may be others

3.1 Misconduct

3.1.1.  Issues of misconduct will normally lead to a warning under the Disciplinary Procedure. Persistent misconduct will eventually lead to dismissal.  Where the matter is considered to be so serious, a final warning can be issued immediately (see Gross Misconduct below).

3.1.2.  Listed below are some examples of misconduct and gross misconduct, the list is not exhaustive.  They are not designed to cover every circumstance, but to promote consistency of application and, at the same time, recognise that mitigating circumstances may influence disciplinary decisions.  Service areas may have additional rules relating to the specialised nature of services provided. 

• Breach of the Council's or Departmental health & safety policies or practices
• 
  Breach of the Council's Code of Conduct
• Unauthorised absence from work
• Misuse of Council property/facilities
• Breach of the Council's financial regulations
• Discrimination/bullying and harassment against a member of the public, client or Council employee
• Negligence at work leading to injury, loss or damage to Council or public property
• Repeated lateness for work
• Repeated failure to follow absence notification procedures
• Abusive or threatening behaviour towards another employee, client, or member of the public
• Refusal to obey a reasonable management request/instruction

3.2 Gross misconduct

3.2.1.  Acts that constitute gross misconduct are those, which are serious enough to result in a serious breach of contract, which may warrant summary dismissal (i.e. dismissal without notice or pay in lieu of notice).  The significance of gross misconduct is that such acts are regarded as so serious that the sanction of dismissal is justified for a first offence.

3.2.2.  Managers must seek guidance from HR when faced with cases of potential gross misconduct.

3.2.3.  Only managers grade MG3 or above (or managers with delegated authority) can hold a conduct meeting related to potential gross misconduct.

• Serious breach of the Council's or Department's health & safety policies or practices
• Serious breach of the Council's Code of Conduct for employees
• Persistent unauthorised absence from work
• Serious misuse of Council property / facilities
• Serious breach of the Council's financial regulations including fraudulent activity, offering or accepting a bribe, and/or financial irregularity
• Serious discrimination/harassment against a member of the public, client or Council employee
• Serious negligence at work leading to injury, loss or damage to Council or public property
• Unauthorised removal and/or use of  property/facilities belonging to the  Council, an employee, client or member
• Intentionally accessing inappropriate internet sites containing offensive material
• Intentionally causing serious damage to the property of the Council, its employees, its clients or the public
• Fighting/physical violence at the work place, serious threatening or abusive behaviour
• Repeated refusal to obey a reasonable requests/instructions
• Culpable lack of care towards clients
• Attending work under the influence of alcohol or illegal drugs
• Falsification of Council documents, e.g., timesheets, bonus sheets, expenses
• Instigating malicious complaint(s)

4. Suspension from work

 4.1  It may be considered necessary and appropriate when dealing with cases of potential gross misconduct allegations for an employee to be suspended from work whilst the circumstances of a complaint are investigated.

4.2  Employees should be suspended at a meeting and every effort should be made for this to be done in the presence of their trade union representative or work colleague. Suspensions are undertaken by an appropriate manager MG3 and above. 

4.3  The employee should be informed of the allegations made against them, the reason for their suspension and the possible consequences, given a copy of the disciplinary procedure, advised of their right to representation, provided with details of the investigation and any conditions related to their suspension. It should also be made clear that suspension is not indicative of a disciplinary sanction and does not involve any prejudgement of the case.

4.4  The manager should provide a letter confirming all of the above to the employee at the suspension meeting. However where not possible the letter should be sent to the employee within 24 hours.

4.5  Suspension from duty is on full contractual pay.

5. Disciplinary investigations

5.1  Where it is concluded by the Commissioning Manager that the misconduct issue requires formal investigation, the employee concerned will be notified, in writing, of the alleged misconduct, whether it constitutes misconduct or gross misconduct, the possible consequences, given a copy of the disciplinary procedure, advised of their right to representation and provided with details of the investigation. 

5.2  No formal action will be taken against an employee until the matter has been fully investigated. 

5.3  The Commissioning Manager will appoint an investigating officer, who will be responsible for completing the investigation as soon as reasonably practicable and normally no later than 15 working days following the commissioning of the investigation.  If, in exceptional circumstances, it is not possible to complete the investigation within 15 working days any extensions to timescales must be discussed and reasonably agreed by both parties.

5.4  In some instances and depending on the nature of the alleged misconduct, it may be appropriate to bring in an external investigating officer with specialist skills and knowledge who brings with them an independent perspective.  Once completed, the Commissioning Manager must decide if a formal Disciplinary Meeting is appropriate.

5.5  If the Commissioning Manager decides a Disciplinary Meeting is not necessary, the employee concerned will be notified, verbally, within 2 working days and in writing, within 5 working days of receipt of the Investigating Officers report.  The letter to the employee may also contain guidance and/or other recommendations.

6. Disciplinary meetings

6.1  Where the Commissioning Manager decides a formal Disciplinary Meeting should take place, the employee concerned will be notified, verbally, within 2 working days and in writing, within 5 working days of receipt of the Investigating Officers report. In cases of gross misconduct or potential dismissal, the manager must seek advice from HR.

6.2  The letter to the employee, giving them a minimum of 10 days' notice, should contain:

• details of date, time and venue of Disciplinary Meeting
• a copy of the investigating officers' report and all relevant paperwork.
• Whether or not the matter is considered to be misconduct or gross misconduct- and what may be the potential outcomes
• Confirmation of their right to be accompanied
• A copy of this procedure.

6.3  At the Disciplinary Meeting the manager will consider the evidence, hear the Investigating Officer's report and the employee's (or their representative/work based colleague) response and decide whether disciplinary action or some other action is required.

6.4  In arriving at a decision managers should consider all the available evidence to reach a fair and reasonable judgement.

6.5  Where no disciplinary action is considered necessary the employee will be informed at the meeting.

7. Warnings - first and final warnings

7.1  A First Warning, when issued, remains on an employee's file for 6 months, in addition, the employee will not receive their next incremental salary progression. Any further offence during the 6 month period will trigger a further formal meeting which could potentially result in further disciplinary action.

7.2  A Final Warning is issued where the employee behaviour/conduct fails to improve in the 6 month timescale set out under the first warning, or where the misconduct is sufficiently serious to warrant a Final Warning.   The Final Warning will remain on the employee's file for 12 months and the employee will not receive their next incremental salary progression. Any further incidents of misconduct during that period will trigger a further Disciplinary Meeting which could potentially result in further disciplinary action/dismissal.

7.3  If, on the balance of probabilities, the manager hearing the disciplinary believes the allegation of misconduct is substantiated, they will confirm their decision to the employee, in writing, within 5 working days of the hearing.

7.4  In determining the outcome, managers should be aware that their decisions should be transparent and that, if challenged, they should be able to provide a sound rationale/explanation for their decision. Managers are responsible for ensuring that the policy and procedure are applied fairly and reasonably.

7.5  The outcome letter will detail the level of warning being issued with full reasoning, its duration and the improvements in behaviour or conduct that are required, as well as  the possible consequences of further misconduct  i.e. further warnings/dismissal.

7.6  The letter will also confirm the right of appeal against the disciplinary action taken.

8. Dismissal

8.1  HR support must be sought when dealing with alleged gross misconduct.

8.2  If, on the balance of probabilities, the manager hearing the disciplinary believes the allegation of gross misconduct has been substantiated an employee may be dismissed without notice/pay in lieu of notice.

8.3  If, on the balance of probabilities, the manager hearing the disciplinary believes the allegation of misconduct has been substantiated and the employee has a 'live' final written warning in effect, the employee may be dismissed with the appropriate notice (which they may not be required to work) or receive payment in lieu of notice.

9. Alternatives to dismissal

9.1  In exceptional circumstances the manager hearing the disciplinary, advised by HR, may decide that as an alternative to dismissal it is appropriate to offer demotion or transfer, if available to a alternative post.

9.2  Where an employee agrees to demotion, this will be on the terms and conditions relating to the grade of the post offered.  If the employee agrees to the demotion, they will be issued with a final warning and their incremental progression withheld.  They will retain their right to appeal.  If, however, the employee does not agree to the demotion, the dismissal will proceed.

10. Appeals

10.1  Employees have the right to appeal against any formal disciplinary action taken.

10.2  Appeals must be made in writing within 10 working days of the date of receipt of the outcome letter and must provide the employee's detailed grounds for their appeal. Any extension must be reasonably agreed by both parties.

10.3  The manager and the employee should exchange documents (management case statement and employee's appeal summary) at least 5 days before the hearing.

10.4  Appeal hearings will be normally held within 20 working days of the date of the appeal letter and will be chaired by officers not directly connected with the case.  The appeal panel must allow both sides to put forward their case fully.

10.5  Any extensions to timescales must be discussed and reasonably agreed by both parties.

10.6  Where an appeal is against dismissal which relates to misconduct, the employee may elect to have their appeal heard by an Elected Members Panel.  If an employee chooses to have their appeal heard by elected members it will be heard within 30 days.

11. Appeal outcomes

11.1  The appeal panel may decide to:

(a) Uphold the sanction
(b) Overturn the sanction
(c) Impose a lesser sanction
(d) Re-engagement/re-instatement

11.2  Any appeal outcome will be communicated to the employee verbally immediately following the appeal hearing or as soon as possible thereafter, and in writing within 5 working days. There is no further internal right of appeal.