Disciplinary Policy and Procedure
Purpose
Scope
Principles
Roles & Responsibilities
Suspension
Procedure – Informal Stage
Procedure – FormalStage
Disciplinary Hearing / DisciplinaryActionArising From the Formal Disciplinary Hearing
-First Warning
-Final Warning
-Dismissal
-No Case
-Appeals
Special Considerations
Other Factors
Examples of Gross Misconduct
Examples of Misconduct

Purpose (Back toTop)

Disciplinary rules and procedures are necessary so that employees know what is expected of them in terms of the standards required and conduct expected in carrying out their duties and the likely consequences of failing to meet those standards. The Council’s procedures and the Code of Conductset the expected standards of conduct at work: the disciplinary procedure helps ensure that these standards are adhered to and provides a fair method of dealing with alleged failures to observe them.

The disciplinary policy and procedure are designed to help and encourage all employees to achieve and maintain acceptable standards of conduct. The aim is to ensure consistent and fair treatment for everyone, rather than a means of imposing penalties.

Scope (Back to Top)

This procedure applies to all employees of Charnwood Borough Council employed under the conditions of service of the National Joint Council for Local Government Service Employees

This policy is not applicable to employees within their probationary period or casual workers.

Principles (Back to Top)
  • The Council’s commitment to equality of opportunity will be observed at all times during the operation of this procedure. This will ensure that employees are treated fairly and without discrimination on the grounds of race, nationality, ethnic or national origins, sex, marital status, disability, age, sexual orientation, trade union membership or activity, political or religious belief and unrelated criminal conviction.
  • It is the responsibility of the Line Manager to ensure that reasonable adjustments are made to the operation of the procedure for employees with a disability, for example reasonable adjustments to timescales or specialist assistance at meetings.
  • No disciplinary action will be taken against an employee before the allegation has been fully investigated and a disciplinary hearing has been held. The employee will be advised in writing of the nature of the allegation and the arrangements for the disciplinary hearing.
  • Employees will be given the opportunity to state their case and for this to be considered before any decision is made.
  • Employees will have the right to be accompanied by a Trade Union Representative or a work colleague during any investigation interviews, disciplinary hearings or subsequent appeal hearings.
  • The term working days excludes weekends, bank holidays, statutory and concessionary days.
  • When reaching decisions on appropriate disciplinary sanctions, the panel will consider any mitigating circumstances.
  • Except in the case of gross misconduct (Appendix A), no employee will be dismissed for a first breach of discipline. In the case of gross misconduct, if proven the penalty will be summary dismissal, i.e. dismissal without notice.
  • An employee will have the right of appeal against any disciplinary sanction imposed.
  • Line Managers should aim to deal with any disciplinary issues as effectively and swiftly as possible.
  • Shortfalls in performancewill be dealt with using the Council’s Capability Procedure.
  • Disciplinary action will normally relate to behaviour and conduct at work but may relate to behaviour and conduct outside of work where this has a direct bearing on an employee’s suitability for employment or the Council’s reputation. Each case will be considered according to the circumstances.

Roles & Responsibilities (Back to Top)
Line Managers / Responsible for making sure employees are aware of the standards expected of them and applying the disciplinary policy in a fair and consistent manner when standards are not met.
Employees / It is a contractual responsibility of all employees to behave in a professional manner, to be aware of and adhere to all the rules and procedures of the Council, and not bring the Council in to disrepute.
HR Services / It is the role of the HR Services team to advise and support managers in the application of the Disciplinary Policy and Procedure.
Investigating Officer / It is the role of the investigator to conduct a balanced investigation and to collect relevant evidence, including any which is favourable to the employee. It is not the task of the investigator to decide whether a disciplinary hearing is necessary but to place the manager in a position to take that decision.
Trade Union or other Representative / All employees have the right to be accompanied at a disciplinary meeting or hearing. The employee may be accompanied by:
  • A work colleague
  • A Trade Union Representative.
The work colleague or the Trade Union Representative can attend any meetings/hearings to support the employee, but is not to answer any questions asked of the employee in these situations unless agreed by all parties.
Disciplinary Panel / The Panel will consist of a Head of Service, from a different Directorate, and a representative from HR.
Appeal Panel / For an appeal the panel will consist of a Director and a representative from HR. .
Suspension (Back to Top)

Where gross misconduct is alleged (i.e. conduct of such a serious nature as to warrant dismissal without notice) then the employee may be suspended on full pay whilst an investigation of the alleged offence takes place. Managers may also consider the transfer of an employee, if deemed appropriate.

Suspension is not a disciplinary penalty and does not in itself imply any presumption of guilt on the part of the employee. Suspension should only be considered in cases of gross misconduct or when:

  • The employee has been arrested or been charged with a serious criminal offence which is potentially inconsistent with their position
  • There is a clear concern that the employee or others may be placed at risk by the employee remaining in the work place
  • It is considered that the employee may seek to influence witnesses or the conduct of the investigation

Following discussions with HR, if the manager believes that the allegation is so serious that it warrants a period of suspension, this should be approved by a Director.

When considering suspension the following should be taken into account:

  • How the suspension will be carried out, i.e. when, where and by whom
  • Who will accompany the employee back to the workplace to collect personalbelongings
  • How other members of staff will be communicated with (bearing in mind the need to maintain confidentiality in that these are only allegations at the present time)
  • Safeguarding of relevant documents, records and other items of Council property
  • Temporarily return and receipt of keys and other equipment
  • Contact arrangements with the suspended employee (include contact numbers, days, frequency and whom)
  • Contact with other employees following suspension
  • How to accompany the employee off the premises if required

The manager responsible for the suspension should notify the employee for the reasons and terms of the suspension as soon as possible; this should normally be the next working day.

Periods of suspension will be kept as short as possible and employees will be provided with support throughout the suspension (see Manager and Employee Guidance). The case will be reviewed at fortnightly intervals by the Line Manager or, where this is not appropriate, by a nominated manager. The outcome of any such review will be communicated to the employee in writing.

Procedure

Informal Stage (Backto Top)

In cases of misconduct (Appendix A), the appropriate manager should make initial enquiries about the incident or allegation. This will normally involve a discussion with the employee concerned to find out if there is a simple explanation.

It is not normal for an employee to be accompanied at this stage. If however, theemployee or the manager feel it is appropriate the employee may be accompanied by a Trade Union Representative or work colleague.

On the basis of the discussion the Line Manager may decide:

  • That following the initial enquires no further action is necessary as the incident or allegation is unsubstantiated
  • That they are satisfied that they have investigated the incident or allegation sufficiently and that the matter should be dealt with on an informal basis rather than potentially warranting formal disciplinary action. The employee should be advised of the standards which are expected and any remedial action which is required.
  • That further investigation is required and/or the incident or allegation may warrant formal disciplinary action. The matter would then be referred to the formal stage of the disciplinary policy

Any agreements reached will be confirmed in writingby the Line Managerto the employee within 5 working days of the discussion.

Formal Stage (Backto Top)

No formal disciplinary action will be taken until the matter has been fully investigated and, only if the matter is deemed to be serious then, a formal disciplinary hearing held.

An investigation will be necessary to establish the facts and deal consistently and fairly with disciplinary issues without unreasonable delay. The intention is for disciplinary matters to be dealt with as swiftly as possible and the whole process should, in the majority of cases, be completed within a 2 month time period commencing on the day the allegation is formally made.

The employee will be given the opportunity of attending a formal investigatory interview in order to put forward their version of events and will have the right to be accompanied by a Trade Union representative or work colleague.

If any allegation or suspicion involves corruption, fraud or theft, Internal Audit must be informed immediately and they will advise on the conduct of the investigation. Otherwise investigations should normally be conducted by the Line Manager, except in circumstances where they are implicated in any way. An employee has a right to make representations to the Line Manager’s manager if they feel at any time during the investigation that the Line Manager (investigator) is compromised and cannot remain impartial. The Line Manager (investigator) should handle the matter promptly and gather all the relevant facts before memories fade. Statements should be obtained from any witnesses at the earliest opportunity and witnesses should be given an opportunity to review and agree any revisions and to sign these prior to submission, in case they are required as part of formal evidence.

The role of the Line Manager (investigator) is to collect relevant evidence, including that which is favourable to the employee. It is not the task of the Line Manager (investigator) to decide whether a disciplinary hearing is necessary but to place their manager in a position to take that decision.

Upon completion of the investigation the report should be discussed with the Line Manager’s manager. That manager may decide:

  • there is no case to answer
  • to address the issues informally and the employee should be advised of the standards which are expected and any remedial action which is required.
  • to proceed to a formal disciplinary hearing. The manager is now exempt from sitting on any panels in relation to the case.

The employee should be informed of the decision in writing within 5 working days.

Disciplinary Hearing (Back to Top)

Wherever possible, arrangements for the date of the hearing should be made in consultation with the employee and their representative.

A letter will be sent by the Line Manager on behalf of the Chair of the panel to the employee stating:

  • The date, time and venue of the disciplinary hearing allowing the employee a minimum of 10 working days from the date of notification to prepare their case
  • A clear statement of the allegations
  • The employees right to be represented by their Trade Union Representative or work colleague of their choice
  • Any statements of written evidence that are to be presented will be included with the letter.

Any documentary evidence which the employee wishes to submit together with names of witnesses they wish to call should be made available to the Panel no later than 5 working days prior to the disciplinary hearing.

The Line Manager must ensure that the date of the hearing gives the employee sufficient time to arrange representation and whenever possible the date should be arranged in consultation with the employee and their representative. Where an employee’s chosen representative is unable to attend on the arranged date of the hearing the employee can select another reasonable date within 5 working days of that date.

The Line Manager will be responsible for arranging a note-taker and a panel which will consist of a Head of Service and a representative from HR. The note-taker will take notes of the proceedings and produce a typed version. They will take no part in the proceedings or the panel’s deliberations. It is not expected that a verbatim account of the hearing will be produced.

Disciplinary Action Arising From the Formal Disciplinary Hearing (Back to Top)

The following options are available to the panel dependent upon the seriousness of the offence. Examples of actions/behaviours/attitudes which would constitute gross misconduct and misconduct are shown in Appendix A.

  • First Warning (Back to Top)

For less serious breaches of discipline. A letter confirming the warning will be issued including confirmation of any improvement required and the consequences should the required standard not be met. A record of this will be kept on file for a period of 6 months from the date of the disciplinary hearing.

  • Final Warning (Back to Top)

In cases of a failure to improve or where there has been a further act of misconduct or where the misconduct is sufficiently serious, a Final Written Warning will be issued. A letter confirming the warning will be issued including confirmation of the improvement required and the consequences of their future conduct not meeting the required standards. A record of this will be kept on file for a period of 12 months from the date of the disciplinary hearing.

  • Dismissal (Back to Top)

In cases where there remains a failure to improve or where there is a further act of misconduct, other than gross misconduct, an employee will be liable to dismissal with notice or pay in lieu of notice. In cases of gross misconduct the employee will be dismissed without notice.

  • No case (Back to Top)

There may be instances where the panel may decide that there is no case to answer (no finding on the disciplinary charges or the findings are so insignificant) and in those circumstances the case will be dismissed without any further action against the employee.

A letter confirming the decision will be sent by the Chair of the Panel within 5 working days of the disciplinary hearing. The letter will state the reason for the decision, confirm the sanction awarded and advise the employee of their right of appeal. If the hearing has resulted in a sanction, the HR Adviser, who has been supporting the case, will contact the ESC in order to input the details in Trent against the employee’s record.

Appeals (Back to Top)

An employee has a right to appeal against all disciplinary sanctions.

Appeals will be heard bya Director and a representative from HR.The appeal must be submitted in writing and sent to the Chair of the panel within 7 working days of receiving their letter of confirmation.

Special Considerations (Back toTop)

Criminal Offences

If the allegation appears to involve criminal activity, the Line Manager will take advice from HR Services, and in cases involving suspected corruption, fraud or theft advice should be sought from Internal Audit. They will consult with at least one of the three statutory officers (head of paid service, monitoring officer, or s151 officer) in order to determine whether or not the matter should be referred to the Police. In such circumstances the employee will normally be informed of such action unless the Police advise otherwise.

The subsequent investigation will be to consider whether the employee may have committed the alleged offence and not to determine if they are guilty of a criminal act. The Council is not required to await the outcome of any criminal proceedings before taking any disciplinary action but it is unlikely as in many cases it will not be possible to undertake an investigation if there are criminal investigations pending.

Allegations of Financial Irregularity

If any allegation or suspicion involves corruption, fraud or theft, Internal Audit must be informed immediately and they will advise on the conduct of the investigation. Otherwise investigations should normally be conducted by the Line Manager.

Disciplinary Action against a Trade Union Official

Although the same disciplinary standards apply to their conduct as employees, no disciplinary action shall be taken against a Trade Union Representative until the circumstances of the case have been discussed with HR Servicesand a full time official of the Trade Union concerned.

Other Factors (Backto Top)

Expiry of Warnings

After expiration of the periods stated above, the warnings will be removed from an employee’s disciplinary record after the specified timescale.

Failure to attend

If an employee fails to attend a Disciplinary hearing without giving an acceptable reason, the meeting will proceed in their absence.

If the employee is unable to attend due to an unforeseen event a new meeting must be arranged. If the employee fails to attend the re-arranged meeting without there being exceptional circumstances, the meeting will go ahead in their absence.

Sickness during the Disciplinary Process

Care needs to be taken if an employee suspected of a disciplinary offence goes off sick. Being certified as sick does not necessarily prevent an employee participating and assisting with any investigations or attending a disciplinary hearing. However, in such circumstances, the employees Line Manager should seek medical advice to ascertain if the employee is well enough to be interviewed or attend any subsequent disciplinary hearing. The employee must be fully aware of the allegations and given every opportunity to respond. If necessary, an interview may be offered at the employee’s home, or alternative suitable venue or the employee can be offered the opportunity to submit a written statement. It is important that sick leave does not prevent disciplinary issues being addressed.