GEDNEY PARISH COUNCIL
Disciplinary Policy
Introduction
1
This policy is based on and complies with the
2015 ACAS Code of Practice
(http://www.acas.org.uk/index.aspx?articleid=2174). It
also takes account of the ACAS guide on discipline and grievances at work.
The policy is designed to
help Council employees improve unsatisfactory conduct and performance in their
job. Wherever possible, the Council will try to resolve its concerns about
employees’ behaviour informally, without starting the formal procedure set out
below.
2
The policy will be applied fairly, consistently and in accordance
with the Equality Act 2010.
3
This policy confirms:
·
informal
coaching and supervision will be considered, where appropriate, to improve
conduct and / or attendance
·
the
Council will fully investigate the facts of each case
·
the
Council recognises that misconduct and unsatisfactory work performance are
different issues. The disciplinary policy will also apply to work performance
issues to ensure that all alleged instances of employees’ underperformance are
dealt with fairly and in a way that is consistent with required standards.
However, the disciplinary policy will only be used when performance management
proves ineffective. For more information see ACAS “Performance Management” at https://www.acas.org.uk/index.aspx?articleid=6608
·
employees
will be informed in writing about the nature of the complaint against them and
given the opportunity to state their case
·
employees
will be provided, where appropriate, with written copies of evidence and
relevant witness statements in advance of a disciplinary hearing
·
employees
may be accompanied or represented by a
companion – a workplace colleague,
a trade union representative or a trade union official - at any investigatory, disciplinary or appeal meeting. The companion is permitted to address such meetings, to put the employee's
case and confer with the employee. The companion cannot answer questions put to
the employee, address the meeting against the employee’s wishes or prevent the
employee from explaining his/her case
·
the
Council will give employees reasonable notice of any meetings in
this procedure. Employee
must make all reasonable efforts to attend. Failure to attend any meeting may result in it going ahead
and a decision being taken. An employee who does not attend a meeting will be
given the opportunity to be represented and to make written submissions
·
if the employee’s companion is not available for the
proposed date of the meeting, the employee can request a postponement and can
propose an alternative date that is within five working days of the original
meeting date unless it is unreasonable not to propose a later date
·
any changes to specified time limits in the Council’s procedure
must be agreed by the employee and the Council
·
information about an employee’s disciplinary
matter will be restricted to those involved in the disciplinary process. A
record of the reason for disciplinary action and the action taken by the
Council is confidential to the employee. The employee’s disciplinary records
will be held by the Council in accordance with the General Data Protection
Regulation (GDPR)
·
audio or video recordings
of the proceedings at any stage of the disciplinary procedure are prohibited,
unless agreed by all affected parties as a reasonable adjustment that takes
account of an employee’s medical condition
·
employees have the right to appeal against any disciplinary
decision. The appeal decision is final
·
if an employee who is already subject to the
Council’s disciplinary procedure raises a grievance, the grievance will
normally be heard after the completion of the disciplinary procedure
·
disciplinary
action taken by the Council can include a written warning, final written
warning or dismissal
·
this procedure may be implemented at any stage if the employee's
alleged misconduct warrants this
·
except for
gross misconduct when an employee may be dismissed without notice, the Council
will not dismiss an employee on the first occasion that it decides there has
been misconduct
·
if an
employee is suspended following allegations of misconduct, it will be on full
pay and only for such time as is necessary. Suspension is not a disciplinary
sanction. The Council will write to the employee to confirm any period of
suspension and the reasons for it,
·
the Council
may consider mediation at any stage of the disciplinary procedure where
appropriate (for
example where there have been communication breakdowns or allegations of bullying or
harassment). Mediation is a dispute resolution process that requires the
consent of affected parties
Examples
of misconduct
4
Misconduct is employee behaviour that
can lead to the employer taking disciplinary action. The following list
contains some examples of misconduct: The list is not exhaustive.
·
unauthorised absence
·
poor timekeeping
·
misuse of the Council’s resources and facilities including
telephone, email and internet
·
inappropriate behaviour
·
refusal to follow reasonable instructions
·
breach of health and safety rules.
Examples
of gross misconduct
5
Gross misconduct is misconduct that is so serious that it is likely to lead to dismissal
without notice. The following list
contains some examples of gross misconduct: The list is not exhaustive
·
bullying, discrimination and harassment
·
incapacity at work because of alcohol or
drugs
·
violent behaviour
·
fraud or theft
·
gross negligence
·
gross insubordination
·
serious breaches of council policies and
procedures e.g. the Health and Safety Policy, Equality and Diversity Policy,
Data Protection Policy and any policies regarding the use of information
technology
·
serious and deliberate damage to property
·
use of the internet or email to access
pornographic, obscene or offensive material
·
disclosure of confidential information.
Suspension
6
If allegations of gross misconduct or serious
misconduct are made, the council may suspend the employee while further
investigations are carried out. Suspension will be on full pay. Suspension does
not imply any determination of guilt or innocence, as it is merely a measure to
enable further investigation.
7
While on
suspension, the employee is required to be available during normal hours of
work in the event that the council needs to make contact. The employee must not
contact or attempt to contact or influence anyone connected with the
investigation in any way or to discuss this matter with any other employee or
councillor.
8
The employee must
not attend work. The council will make arrangements for the employee to access
any information or documents required to respond to any allegations.
Examples of unsatisfactory work performance
9
The
following list contains some examples of unsatisfactory work performance: The
list is not exhaustive.
·
inadequate application of management instructions/office
procedures
·
inadequate IT skills
·
unsatisfactory management of staff
·
unsatisfactory communication skills.
The
Procedure
10
Preliminary enquiries.
The council may make
preliminary enquiries to establish the basic facts of what has happened in
order to understand whether there may be a case to answer under the
disciplinary procedure.
If the employee’s manager believes there
may be a disciplinary case to answer, the council may initiate a more detailed
investigation undertaken to establish the facts of a situation or to establish
the perspective of others who may have witnessed misconduct.
11
Informal Procedures. Where
minor concerns about conduct become apparent, it is the manager's
responsibility to raise this with the employee and clarify the improvements
required. A file note will be made and kept by the manager. The informal
discussions are not part of the formal disciplinary procedure. If the conduct
fails to improve, or if further matters of conduct become apparent, the manager
may decide to formalise the discussions and invite the employee to a first
stage disciplinary hearing.
Disciplinary investigation
12
A formal disciplinary investigation may
sometimes be required to establish the facts and whether there is a
disciplinary case to answer.
13
If a formal disciplinary investigation is
required, the Council’s staffing committee will appoint an Investigator who
will be responsible for undertaking a fact-finding exercise to collect all
relevant information. The Investigator will be independent and will
normally be a councillor. If the staffing committee considers that there are no
councillors who are independent (for example, because they all have direct
involvement in the allegations about the employee), it will appoint someone
from outside the Council. The Investigator will be appointed as soon as
possible after the allegations have been made. The staffing committee will
inform the Investigator of the terms of reference of the investigation. The
terms of reference should specify:
·
the allegations or events that the
investigation is required to examine
·
whether a recommendation is required
·
how the findings should be presented. For
example, an investigator will often be required to present the findings in the
form of a written report
·
who the findings should be reported to
and who to contact for further direction if unexpected issues arise or advice
is needed.
14
The Investigator will be asked to submit
their findings within 20 working days of appointment where possible. In cases
of alleged unsatisfactory performance or of allegations of minor misconduct,
the appointment of an investigator may not be necessary and the Council may
decide to commence disciplinary proceedings at the next stage - the
disciplinary meeting (see paragraph 22).
15
The staffing committee will notify the
employee in writing of the alleged misconduct and details of the person
undertaking the investigation. The employee
may be asked to meet an investigator as part of the disciplinary investigation.
The employee will be given sufficient notice of the
meeting with the Investigator so that he/she has reasonable time to prepare for
it. The letter will explain the investigatory process and that the meeting is
part of that process. The employee will be provided with a copy of the
Council’s disciplinary procedure. The Council will also inform the employee
that when he/she meets with the Investigator, he/she will have the opportunity
to comment on the allegations of misconduct.
16
Employees may
be accompanied or represented by a workplace
colleague, a trade union representative or a trade union
official at any investigatory meeting.
17
If there are other persons (e.g. employees,
councillors, members of the public or the Council’s contractors) who can
provide relevant information, the Investigator should try to obtain it from
them in advance of the meeting with the employee.
18
The Investigator has no authority to take
disciplinary action. His/her role is to establish the facts of the case as
quickly as possible and prepare a report that recommends to the staffing
committee whether or not disciplinary action should be considered under the
policy.
19
The Investigator’s report will contain his/her recommendations and
the findings on which they were based. He/she will recommend either:
·
the employee has no case to answer and there should no further
action under the Council’s disciplinary procedure
·
the matter is not serious enough to justify further use of the
disciplinary procedure and can be dealt with informally or
·
the employee has a case to answer and a formal hearing should be
convened under the Council’s disciplinary procedure.
20
The Investigator will submit the report to the staffing committee
which will decide whether further action will be taken.
21
If the Council decides that it will not take disciplinary action,
it may consider whether mediation would be appropriate in the circumstances.
The
disciplinary meeting
22
If the staffing committee decides that there is a case to answer,
it will appoint a staffing sub-committee of three councillors, to formally hear
the allegations. The staffing sub-committee will appoint a Chairman from one of
its members. The Investigator shall not sit on the
sub-committee.
23
No councillor with direct involvement in the
matter shall be appointed to the sub-committee. The employee will be
invited, in writing, to attend a disciplinary meeting. The sub–committee’s
letter will confirm the following:
·
the names of its Chairman and other two members
·
details of the alleged misconduct, its possible consequences and
the employee’s statutory right to be accompanied at the meeting
·
a copy of the information provided to the sub-committee which may
include the investigation report, supporting evidence and a copy of the
Council’s disciplinary procedure
·
the time and place for the meeting. The employee will be given
reasonable notice of the hearing so that he /she has sufficient time to prepare
for it
·
that witnesses may attend on the employee’s and the Council’s
behalf and that both parties should inform each other of their witnesses’ names
at least two working days before the meeting
·
that the employee may be accompanied by a
companion - a workplace
colleague, a trade union
representative or a trade union official
The purpose of the disciplinary meeting hearing is for the allegations to
be put to the employee and then for the employee to give their perspective. It
will be conducted as follows:
·
the Chairman will introduce the members of
the sub-committee to the employee and explain the arrangements for the hearing
·
the Chairman will set out the allegations and
invite the Investigator to present the findings of the investigation report (if
there has been a previous investigation)
·
the Chairman will invite the employee to
present their account
·
the employee (or the companion) will set out
his/her case and present evidence (including any witnesses and/or witness
statements)
·
any member of the sub-committee and the
employee (or the companion) may question the Investigator and any witness
·
the employee (or companion) will have the
opportunity to sum up
24
The Chairman will provide the employee with
the sub-committee’s decision with reasons, in writing, within five working days
of the meeting. The Chairman will also notify the employee of the right to
appeal the decision.
25
The disciplinary meeting may be adjourned to
allow matters that were raised during the meeting to be further investigated by
the sub-committee.
Disciplinary action
26
If the sub-committee decides that there
should be disciplinary action, it may be any of the following:
First written warning
If the employee’s conduct has fallen beneath acceptable standards,
a first written warning will be issued. A first written warning will set out:
·
the reason for the written warning, the improvement required (if
appropriate) and the time period for improvement
·
that further misconduct/failure to improve will result in more
serious disciplinary action
·
the employee’s right of appeal
·
that a note confirming the written warning will be
placed on the employee’s personnel file, that a copy will be provided to the
employee and that the warning will remain in force for a specified period of
time (e.g. 12 months).
Final written
warning
If the offence is sufficiently serious, or if there is further
misconduct or a failure to improve sufficiently during the currency of a prior
warning, the employee will be given a final written warning. A final written
warning will set out:
·
the reason for the final written warning, the improvement required
(if appropriate) and the time period for improvement
·
that further misconduct/failure to improve will result in more
serious disciplinary action up to and including dismissal
·
the employee’s right of appeal
·
that a note confirming the final written
warning will be placed on the employee’s personnel file, that a copy will be
provided to the employee and that the warning will remain in force for a
specified period of time (e.g. 12 months).
Dismissal
The Council may dismiss:
·
for gross misconduct
·
if there is no improvement within the
specified time period, in the conduct which has been the subject of a final
written warning
·
if another instance of misconduct has
occurred and a final written warning has already been issued and remains in
force.
27
The Council will consider very carefully a
decision to dismiss. If an employee is dismissed, he/she will receive a written
statement of the reasons for his/her dismissal, the date on which the
employment will end and details of his/her right of appeal. If the
sub-committee decides to take no disciplinary action, no record of the matter
will be retained on the employee’s personnel file. Action taken as a result of
the disciplinary meeting will remain in force unless it is modified as a result
of an appeal.
The appeal
28
An employee who is the subject of
disciplinary action will be notified of the right of appeal. His/her written
notice of appeal must be received by the Council within
five working days of the employee receiving written notice of the disciplinary
action and must specify the grounds for appeal.
29
The grounds for appeal include;
·
a failure by the Council to follow its
disciplinary policy
·
the sub-committee’s disciplinary decision was
not supported by the evidence
·
the disciplinary action was too severe in the
circumstances of the case
·
new evidence has come to light since the
disciplinary meeting.
30
Where possible, the appeal will be heard by a
panel of three members of the staffing committee who have not previously been
involved in the case. This includes the Investigator. There may be insufficient
members of the staffing committee who have not previously been involved. If so,
the appeal panel will be a committee of three members of the Council who may
include members of the staff committee. The appeal panel will appoint a Chairman from one of its members.
31
The employee will be notified, in writing,
within 10 working days of receipt of the notice of appeal of the time, date and
place of the appeal meeting. The employee will be advised that he/she may be
accompanied by a companion - a workplace
colleague, a trade union representative or a trade union
official.
32
At the appeal meeting, the Chairman will:
·
introduce the panel members to the employee
·
explain the purpose of the meeting, which is
to hear the employee’s reasons for appealing against the disciplinary decision
·
explain the action that the appeal panel may
take.
33
The employee (or companion) will be asked to
explain the grounds for appeal.
34
The Chairman will inform the employee that
he/she will receive the decision and the panel’s reasons, in writing, usually
within five working days of the appeal hearing.
35
The appeal panel may decide to uphold the
disciplinary decision of the staffing committee, substitute a less serious
sanction or decide that no disciplinary action is necessary. If it decides to
take no disciplinary action, no record of the matter will be retained on the
employee’s personnel file.
36
If an appeal against dismissal is upheld, the
employee will be paid in full for the period from the date of dismissal and
continuity of service will be preserved.
37
The appeal panel’s decision is final.
© NALC 2019
Version Number |
Date Approved |
Amendments made |
Next review Date |
V1 |
November 2014 |
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V2 |
September 2020 |
Yes |
September 2023 |
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December 2023 |
No |
December 2026 |
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