Disciplinary Procedure

CORPORATE PERSONNEL POLICY AND GUIDANCE

PEOPLE AND DEVELOPMENT TEAM People & Law

CONTENTS Page

1. Purpose and scope 3

2. Principles 3

Gross Misconduct 4 Investigation 4 Letter of Notification 5 Disciplinary Hearing 5 Formal Verbal Warning 5 Written Warning 6 Final Written Warning 6 Dismissal 6 Letters of Confirmation 6

4. General Conditions 7

Administrative Arrangements 7 Criminal Offences 7 Breaches of the Council’s Code of Conduct for Employees 7 Breaches of Standing Orders/Financial Regulations 8 Representation 8 Trade Union Representatives 8 Record of Formal Warnings 8 Suspension 8 Counselling 9 Timing of Disciplinary Action 9

5. Capability/Work Performance or Quality 10

6. Appeals Panel 10

7. Appeals Procedure 11

Appeals to the Head of Service 11 Appeal to the Appeal Panel 11 Notification of an Appeal 11 Arrangement of Appeal Panel Hearings 11 Further Rights of Appeal 11

8. Links to other Council Policies/Procedures 12

9. Additional Reading 12

Appendix A Procedure at Disciplinary Hearings 13 Appendix B Guidance Notes for Managers 15 Appendix C Disciplinary letter templates 21

1. Purpose and scope

It is recognised by the parties to this procedure that discipline is essential for the conduct of the Burnley Borough Council's affairs and for the safety and well-being of all employees of the Council. Disciplinary action will be considered and applied in a fair, effective and consistent manner in accordance with the principles of natural justice.

This procedure applies to all of the Council's employees but not to the Chief Executive, Directors or Heads of Service (in respect of whom disciplinary matters will be dealt with in accordance with the JNC National Conditions).

This procedure does not apply:

• Where dismissal arises from the completion of a fixed term or temporary period of employment or task or contract for which an employee has been specifically engaged;

• Where dismissal arises from unsuitability on grounds of capability due to permanent ill health, where the Council’s Managing Attendance at Work Policy will apply;

• In the event of a redundancy, where the Council’s Redundancy Policy will apply.

The aim of this procedure is to encourage improvement in individual conduct and performance.

2. Principles

The principles in connection with disciplinary situations may be summarised as follows:

• The employee should be notified in good time when and where the Disciplinary Hearing is to take place and be invited to attend. • The employee should be made aware of the nature of the allegations. • The employee should be given full opportunity of putting forward his/her case before a decision is made. • The allegations should be decided upon honestly, impartially and without bias. • The investigation or hearing will be conducted by a manager who was not involved in the matter leading to the action. • Investigations will be conducted in line with the Council’s Code of Practice on Investigations. • Disciplinary investigations will be conducted in a timely manner and concluded as soon as is reasonable • At every stage of the procedure the employee will have the right to be accompanied by a Trade Union representative or work colleague. • The procedure incorporates all statutory and legislative principles

3. The Formal Disciplinary Procedure

Within this procedure discipline is considered within the following broad categories: Misconduct, Serious Misconduct and Gross Misconduct.

Gross misconduct

Gross misconduct is generally seen as misconduct serious enough to destroy the employment contract between the employer and the employee and make any further working relationship and trust impossible. It is normally restricted to very serious offences.

The following offences would normally be considered as Gross Misconduct for the purpose of this procedure:

• Theft or fraud • Deliberate and serious damage to Council property • Serious misuse of the Council’s property or name • Deliberately accessing internet sites containing pornographic, offensive or obscene material • Unlawful discrimination or harassment • Bringing the Council into serious disrepute • Causing loss, damage or injury through serious negligence • A serious breach of health and safety rules • A serious breach of confidentiality • Deliberate falsification of records • Fighting • Assault on another person (physical or sexual) • Serious act of insubordination (e.g. persistent refusal to obey a reasonable instruction) • Serious negligence which causes unacceptable loss, damage or injury • Serious incapability through alcohol or being under the influence of illegal drugs or dangerous substances (to be considered in conjunction with the Council's Alcohol and Drug Addiction Policy).

The above list is not exhaustive and other serious offences may be regarded as Gross Misconduct.

An employee alleged to have committed an act of Gross Misconduct will be suspended on full pay and if, after a Disciplinary Hearing, the allegation is substantiated as Gross Misconduct the employee may be dismissed without notice.

Investigation Formal Disciplinary Action will not be instigated until the Manager proposing such action has ensured that a thorough preliminary investigation has taken place to establish the facts in accordance with the Council’s Code of Practice for Investigations. The Manager must be satisfied that a clear case for formal Disciplinary Action has been established.

In most circumstances, where the issue relates to employee performance or behaviour, the Line Manager or Supervisor will conduct the investigation. In certain circumstances

the Head of Service or someone from another Service Unit may need to conduct the investigation.

Where the preliminary investigation concerns breaches of the Council’s Standing Orders or Financial Regulations, then the Director of Resources and the Council’s Monitoring Officer must be informed immediately. In this case it may be appropriate for Internal Audit to conduct the investigation.

Where it is necessary for a Director to undertake a preliminary investigation, another Director or the Chief Executive would have to conduct any subsequent Disciplinary Hearing.

The investigation will involve the Investigating Officer interviewing the employee concerned, who shall be given the opportunity if they wish to be represented by a Trade Union or work colleague. This Investigatory interview does not constitute formal Disciplinary Action.

Letter of Notification

When the preliminary investigations suggest that a Disciplinary Hearing is warranted the employee will be notified in writing. The letter of notification will detail the alleged breach of discipline, inform the employee of the right to be accompanied, together with the date, time and place of the Hearing. The employee must be given at least 5 working days notice of the date of the hearing unless an earlier date is arranged by mutual agreement.

Disciplinary Hearing At the Disciplinary Hearing the alleged breach of discipline will be outlined and the employee will be given the opportunity to state their case and to comment on any facts or evidence which are to be taken into account in reaching a decision.

The intention of either side to bring witnesses must be notified to the other side not less than three days before the Hearing. The notification must state the number of witnesses and the subject area they are to be asked about. Names need not be supplied if there are concerns for the well being of the witnesses

If an employee fails to attend through circumstances beyond their control and unforeseeable at the time the meeting was arranged the Manager should arrange another meeting. If the employee fails to attend the second arranged hearing, it may be heard in the employee’s absence and a decision taken as to what, if any, disciplinary action is to be taken. Employees should be forewarned in the letter advising of the rearranged meeting that this may happen.

Formal Verbal Warning An employee against whom an allegation of Misconduct, other than Serious Misconduct or Gross Misconduct is substantiated may be given a Formal Verbal Warning. A verbal warning will remain on the employee’s personal file for a period of six calendar months from the date the employee is notified of the Warning.

Written Warning The commission, after a Formal Verbal Warning, of a further act of Misconduct may result in a Written Warning being issued to the employee. A Written Warning is also appropriate where a first offence is considered to be too serious for a Formal Verbal Warning. A written warning will remain on the employee’s personal file for a period of twelve calendar months from the date the employee is notified of the Warning.

Final Written Warning The commission, after a Written Warning, of a further act of Misconduct or the commission of a first act of Serious Misconduct may result in a Final Written Warning being issued. A final written warning will remain on the employee’s personal file for a period of twelve calendar months from the date the employee is notified of the Warning.

Dismissal

A further act of Misconduct other than Gross Misconduct will normally lead to Dismissal with appropriate notice. The employee may not be required to report for work during the notice period. Consideration may also be given to payment in lieu of notice with the agreement of the employee.

If, after a Disciplinary Hearing, the allegation is substantiated as Gross Misconduct the employee may be dismissed without notice

As an alternative to dismissal consideration may be given to extending the period of an existing Warning and/or imposing a penalty of Disciplinary Suspension without pay for a specified period of up to 10 working days and/or the withholding of the next increment payable and/or demotion and/or transfer.

Letters of Confirmation

When a decision is made to take formal disciplinary action against an employee that decision must be confirmed in writing for receipt by the employee within seven working days of the Disciplinary Hearing. The letter must outline the offence, detail the action taken and notify the employee of the right of appeal and how to do so. If the letter is confirming a decision to dismiss the employee it should inform the employee of the right to appeal to an Employment Tribunal if they satisfy the requisite service requirements. It must also state the possible consequences of a further breach of discipline, specifying the effective period of the warning. A letter of confirmation should be delivered by hand or recorded delivery to ensure that, subject to the employee's availability, it is received within the required timescale. Template letters are available at Appendix B of this procedure

4. General Conditions

Administrative Arrangements

The Council has delegated disciplinary powers to the Head of Service concerned. If it has been necessary for a Head of Service to be involved in conducting a detailed investigation prior to a Disciplinary Hearing, it will then be necessary for the Hearing itself to be conducted by a Director or another Head of Service.

During an investigation all matters shall remain confidential. This is to ensure that: • any further action is not compromised through early release of information; • the rules of natural justice prevail and that if action is to be taken against an employee, the employee and his/her trade union representative are the first to be informed; • there is no risk of pre-judgement before the facts of the case are established;

For Members of the Council to be informed of the circumstances of a suspension a clear “need to know” must be established under the Access to Information Act 1985.

Before a decision is taken to suspend or dismiss an employee for any reason, the situation must be discussed with the People & Development Manager or Principal Personnel Officer so that the Council's position with regard to claims of unfair dismissal may be protected.

Criminal Offences

The Head of Service of the Unit concerned shall immediately report the circumstances of any suspected criminal offence connected with an employee’s employment to the Director of Resources and Council’s Monitoring Officer. The Director of Resources and Monitoring Officer may, if satisfied that there are reasonable grounds for suspecting an offence, refer the case to the Police. Such a course of action shall not prevent related formal disciplinary action being taken against the employee, whether or not the Police have completed their investigations or criminal charges are made. If an employee is charged with or convicted of a criminal offence outside work, which may have a bearing on their employment, the Head of Service (or their representative) shall consult with the Director of Resources and Monitoring Officer before any disciplinary action is taken against the employee.

Breaches of the Council’s Code of Conduct for Employees

All employees have an obligation under their contracts of employment to comply with the Council’s Code of Conduct for Employees.

Managers should ensure that all employees are aware of their obligations under the Code. Any breach must be brought to the attention of the appropriate Head of Service or Director who may decide that Disciplinary Action should be initiated against the employee concerned.

Breaches of the Council’s Standing Orders/Financial Regulations

All employees have an obligation to comply with the Council’s Standing Orders and Financial Regulations which set out the Standards and Procedures of the Council. They include a nationally agreed Code of Conduct, processes for the ordering of goods and services and letting of contracts and regulations for the management of the Council’s financial affairs.

Heads of Service should ensure that appropriate employees are aware of these Standing Orders and Financial Regulations as they relate to them. Any breach of Standing Orders or Financial Regulations must be brought to the attention of the Director of Resources and the appropriate Director or Head of Service, who may decide that Disciplinary Action should be initiated against the employee concerned.

Representation

All employees have the right to be represented by a Trade Union Official or work colleague at all stages of this procedure. All communications notifying employees of Disciplinary or Appeal Panel Hearings should remind them of that right, but it is the responsibility of each employee to arrange their own representation. If requested, reasonable facilities (e.g. access to a telephone) will be provided to allow the employee to contact their representative.

Trade Union Representatives

No formal Disciplinary Action shall be taken against a Trade Union Representative until the circumstances of the case have been discussed with a full-time Officer or Senior Representative of the Trade Union concerned. Representation by a full-time Officer would normally be afforded to a Trade Union Representative, unless that would lead to undue delay in proceeding with a Disciplinary Hearing.

Record of Formal Warnings

Written records of a warning will be removed from the employee's file when the warning has expired and will be discounted in the consideration of further disciplinary action.

Suspension

An employee may be suspended from duty:

• On full pay* to enable investigations to be made where the possibility of dismissal may arise

• On full pay* where criminal investigations or procedures are being carried out, although the criminal investigations or procedures will not prevent the Council from taking formal Disciplinary Action

• On full pay* when it is in the interests of the employee or the Council for disciplinary or related reasons that the employee concerned should not be at work

• Without pay for a specified period up to 10 working days as an alternative to dismissal after a Disciplinary Hearing or Appeal

* Full pay for the purposes of this section is that level of remuneration calculated for holiday pay. Any period of suspension on full pay, which exceeds eight weeks, shall be renewed at four week intervals thereafter in consultation with the People & Development Manager

Counselling

Counselling of employees is inherent in the role of every Head of Service, Line Manager and Supervisor and may often be a more satisfactory method of resolving problems than disciplinary action. It should take the form of a discussion with the objective of encouraging and helping the employee to improve and the employee should fully understand the outcome. A note of this type of counselling should be kept for reference purposes. A counselling interview must not be allowed to turn into a formal disciplinary hearing to ensure that the employee enjoys the rights provided by this procedure (e.g. the right of representation). Managers should refer to the Council’s Guidance on Counselling employees for improvement for further information.

Timing of Disciplinary Action

It is important, to ensure fair and effective application of these procedures, that counselling and/or the application of the formal disciplinary procedure is adopted as soon as possible after the Head of Service or Supervisor becomes aware that misconduct may have occurred. Incidents of misconduct must not be allowed to accumulate, without Management response, to the point where the situation becomes more serious than would have been the case had early and prompt action been taken.

5. Capability/Work Performance/Quality

There may be circumstances where the suitability of an employee to perform his/her job gives rise for concern on grounds of capability or where the quality of their work is below acceptable standards. In such circumstances the procedure for dealing with Misconduct, as set out above shall apply. There may also be cases where an employee commits a single act of negligence or error where the actual or potential consequences are extremely serious so as to justify Dismissal for Gross Misconduct.

Employees should be left in no doubt about what is expected of them, particularly at the commencement of employment. The expected standards of work and performance should be explained to them and monitored by the use of accurate job descriptions, instructions, supervision and Performance and Development Reviews. The consequences of any failure to meet the required standard should also be explained.

If an employee is issued with a formal or informal warning relating to their capability, work performance or work quality, the employee shall be notified in writing of the improvement required to establish acceptable standards, together with the period of time in which the improvement must be achieved. Where appropriate, consideration should be given to the provision of additional training, guidance or supervision to assist the employee in achieving the required improvement.

Before action is taken to dismiss an employee on grounds of capability, consideration shall be given to the availability of suitable alternative employment within the authority.

If the capability/work performance or quality issue is in relation to ill-health managers should refer to the Managing Attendance at Work Policy and seek advice from the People & Development Team.

6. Appeals Panel

The Council has established an Appeals Panel for the purpose of hearing and determining any appeals which may be made against the issue of final written warnings or dismissal submitted by employees under this procedure. The Appeals Panel shall consist of three Members of the Executive and two Members of Management Team.

A member of the Appeals Panel shall not attend any meeting that is to consider a decision in which they have had prior involvement. Similarly, any Officer with prior involvement shall have no role in advising the Appeals Panel.

7. Appeals Procedure

All employees have the right to appeal against Formal Disciplinary Action (including dismissal) taken against them following a Disciplinary Hearing.

Appeals to the Head of Service/Director

In circumstances where the appeal is against a verbal or written warning and the Head of Service has not been involved in the disciplinary hearing, the Head of Service shall hear the appeal. Where the Head of Service has been involved in the decision, the appeal shall be heard by a Director.

Appeal to the Appeals Panel

In circumstances where the appeal is against a final written warning or dismissal (or action short of dismissal as outlined in the procedure), the appeal shall be heard by the Council's Appeals Panel.

Notification of an Appeal

If the employee decides to appeal against disciplinary action taken against them they must do so in writing, stating the grounds and enclosing relevant documents, within 10 working days of the date of the letter of notification of the decision. The notice of appeal must be sent to the Head of Service (when the appeal is to the Head of Service) or to the People & Development Manager (when the appeal is to the Appeals Panel).

Arrangement of Appeal Panel Hearings

The Head of Service or the Appeals Panel (as appropriate) shall hear the appeal not later than 15 working days after the receipt of the notice of appeal from the employee, unless a later date for the Hearing is mutually agreed. The employee shall be given, in writing, not less than five working days' notice of the hearing of an appeal, stating the date, time and location. The employee shall be in attendance at the Hearing when the Appeal is being heard and they may be represented by a Trade Union representative or work colleague. If the employee fails to attend, the Head of Service or the Appeals Panel may, dependent on the circumstances, dismiss the Appeal, consider it in their absence or defer the Hearing to an alternative date. The employee may also call witnesses on their behalf. If a witness is an employee of the Council, the appropriate Head of Service must be given prior notice in order that the employee can be granted time off work. The procedure to be adopted at Hearings is attached to this Disciplinary Procedure. Where either party intends to produce documentary evidence at the Appeal, copies of those documents should be given to the other party in advance of the Hearing.

Further Rights of Appeal

In a case of dismissal an employee who has completed one year of continuous service with the Council on the effective date of their termination of employment may complain of unfair dismissal to an Employment Tribunal and they should consult with their Trade Union or other adviser on that possibility at the earliest opportunity. An application to an Employment Tribunal may be made as soon as the Council has given notice of dismissal and should be received by the Tribunal within a period of three months beginning with the effective date of termination. An employee who wishes to appeal 11

should, therefore, register an appeal with the Employment Tribunal within three months of dismissal, with a request that it should be held in abeyance until their rights under this procedure have been exhausted.

8. Links to other Council Policies/Procedures

Code of Conduct for Investigations Managing Attendance at Work Policy & Guidance Bullying & Harassment Policy I. T. Security Policy Alcohol and Drug Addiction Policy The Right Way to Get Results Guide Redundancy Policy

9. Additional Reading

Heads of Service and Managers who may become involved with handling disciplinary and related issues are advised to obtain a copy of the A.C.A.S. Code of Practice on Discipline (www.acas.org.uk ). Further information is available from the People & Development Team.

VW/Update February 2009

SHARED\Personnel Manual PUN71\Working Documents\Disciplinary Procedure February 2009.doc

Appendix A

Procedure At Disciplinary Hearings

At a Disciplinary Hearing a member of the People & Law Unit not previously involved in the case, will be present throughout the Hearing in an advisory capacity.

The procedure to be followed at the Hearing shall be as follows

(a) The Investigating Officer to put the case in the presence of the Employee and may call witnesses;

(b) The Employee to have the opportunity to ask questions of the Investigating Officer and/or the witnesses called on the evidence given

Note: This part of the procedure must not be allowed to develop into a presentation of the Employee’s case.

Note: Where possible witnesses should be questioned in turn by the parties and should withdraw on completion of the questioning unless specifically requested to remain.

(d) The Employee to put their case in the presence of the Investigating Officer and to call such witnesses as they wish.

(e) The Investigating Officer to have the opportunity to ask questions of the Employee and their witnesses.

(f) The Manager hearing the case to have the opportunity to ask questions of the Employee and their witnesses. (see note under (c) above)

(g) The Investigating Officer may sum up their case.

(h) The Employee may sum up their case.

(i) The Investigating Officer, the Employee and all witnesses will withdraw whilst the Manager hearing the case considers the case in private (the adviser will remain).

(j) The Manager hearing the case may recall either party, with the other party in attendance, to clear points of uncertainty on evidence already given, then both parties will withdraw. The Manager may at his/her discretion recall witnesses, further witnesses, or adjourn the Hearing in order that either party may produce further evidence.

(k) When the Manager has reached a decision the parties will return and the Manager will announce the decision, which will be confirmed in writing within seven working days.

Note on procedure for Appeals

The appeals process amounts to a rehearing of the earlier disciplinary/capability case. The Head of Service or the Appeals Panel have the right to allow the appeal or to confirm or alter the decision against which the appeal is made. At the Hearing of an Appeal a member of the People & Law Unit not previously involved in the case, will be present throughout the Hearing in an advisory capacity.

The procedure to be followed at the Hearing is as above but references to the “Investigating Officer” should be taken to mean the Manager responsible for imposing the Disciplinary Action and similarly reference to the “Manager” should be taken to mean the Head of Service or Appeals Panel.

Appendix B

GUIDANCE NOTES FOR MANAGERS

This section should be read in conjunction with the Council’s Disciplinary Procedure.

WHEN SHOULD THE DISCIPLINARY PROCEDURE BE USED?

When the seriousness of a particular incident requires an immediate use of the disciplinary procedure.

When the informal process (counselling/guidance) has failed.

A flowchart intended to summarise the process can be found below.

CONDUCTING AN INVESTIGATION

When an incident/problem occurs you first need to establish the facts, promptly before recollections fade. This is known as a preliminary investigation and does not form part of the formal disciplinary procedure.

In serious cases, consideration should be given to a suspension whilst the case is being investigated.

Below are some guidelines to assist in the investigation but you should also refer to the Code of Practice for Investigations

1. Investigatory Interview with the employee concerned

Before the Interview

The employee should be informed, in writing, to attend an Investigatory Interview (sample letter available in Appendix C). The employee should be given the opportunity to be represented by a Trade Union or other representative. You must not carry out an investigatory interview alone. You should arrange for someone to be present to take notes and if necessary arrange for a representative from the People & Development team to attend as advisor.

At the Interview

State that the interview is being conducted in accordance with the Council’s Disciplinary Procedure. Check that the employee has representation if required Indicate how the interview will be conducted Introduce the issue to be discussed and state the specific allegations Give the employee opportunity to reply and ask questions Question to establish and clarify the facts Summarise key facts and points for further investigation

2. Other information that may be required

Consider whether any of the following action is required:

Interview any witnesses/relevant parties and obtain witness statements Examine any further evidence, eg computer files, manual files Check facts where possible

NB You must get the employee under investigation and any witnesses to sign interview notes/statements as being correct.

3. Upon completion of your investigations

(a) You will need to prepare a report to pass on to a senior manager for them to establish whether a Disciplinary Hearing is appropriate. This report should provide a summary of your investigation and include:

Details of allegation(s) Statement of Case Conclusions

You should attach all the relevant appendices (notes of interviews etc).

(b) If it is decided that there is a case to answer then a Disciplinary Hearing will need to be arranged in conjunction with People & Law. This constitutes the start of the formal disciplinary process.

(c) The report should be issued to the employee concerned with a letter notifying him/her to attend a Disciplinary Hearing (sample letter available).

(d) The Disciplinary Hearing should not take place earlier than five working days from the date of the letter of notification, unless an earlier date is arranged by mutual agreement.

(e) A copy of the report should also go to the Manager hearing the case and the Personnel Officer advising him/her.

(f) As the Investigating Officer you will be required to attend the Disciplinary Hearing to present the case.

Important points to note

• If you are in doubt at any stage of your investigation, please seek advice from the People & Development Team.

• Where the investigation concerns breaches of the Council’s Standing Orders or Financial Regulations, the Principal Auditor must be informed immediately.

• Notes should be made to record all aspects of the investigation.

• Listen to what is being said during interviews – avoid pre-judging what has happened.

SUSPENDING AN EMPLOYEE

In certain circumstances it may be necessary to suspend an employee from duty during investigations. These circumstances are:

When an act of gross misconduct has occurred and the possibility of dismissal may arise.

Where criminal investigations or procedures are being carried out.

When it is in the interests of the employee or the Council for disciplinary, or related reasons that the employee concerned should not be at work.

Before the suspension

Suspension should always take place immediately after the alleged incident (or immediately after you are made aware of it). The employee should not be allowed to continue working.

Arrange for the employee to be represented by a Trade Union or other representative if he/she wishes.

If practical, arrange for a member of the People & Development team to be present.

At the suspension meeting

Explain the nature of the complaint, but do not make accusations at this stage.

Tell the individual, clearly, that he/she is suspended.

Advise that the suspension is on full pay.

Advise that for the period of the suspension he/she should not contact work colleagues or enter the place of work unless accompanied by a member of the Management.

Encourage contact with Union/Representative.

Explain that he/she will be required to attend an Investigatory Interview at which he/she will be entitled to representation.

Explain that confirmation of the suspension and details of when the Investigatory Interview is to be held will be put in writing.

Retrieve any Council property from the employee e.g. keys, swipe cards etc.

Ensure that the employee is accompanied from the building after being given an opportunity to retrieve any personal belongings.

After the suspension

Liaise with the People & Development Team to ensure the follow-up letter is sent to the individual. 18

Gross Misconduct

Gross Misconduct is generally seen as misconduct serious enough to destroy the employment contract between the employer and the employee and make any further working relationship and trust impossible. Further information can be found in Section 3 of the Disciplinary Procedure.

Summary Of Disciplinary Procedure

Incident or Problem Occurs

Is it serious enough to warrant suspension?

Yes No

Suspension Interview Carry out investigation

Is there a case to answer?

Yes No Inform employee Is any other action appropriate?

Disciplinary Interview

Dismissal Dismissal with notice Final written Written warning Formal verbal Other appropriate No action Without notice (after final warning) warning warning action (Gross misconduct)

Appeal

Appendix C

Disciplinary Letter Templates

A Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Preliminary Investigatory Interview

You are requested to attend a preliminary investigatory interview to be held at …………………………………………. on …………..……………………………. at ……………………….

The purpose of this interview is to establish the facts concerning:

1. 2. 3.

A Trade Union or other representative may accompany you, if you wish.

Please note that an investigatory interview does not constitute formal disciplinary action. However, following on from the completion of the preliminary investigation, a decision will be taken as to whether to convene a disciplinary hearing.

If you have any questions concerning this matter, please contact me on the above extension number.

Yours sincerely

B Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Re: Suspension from Duty

Further to the investigatory interview / meeting on ……………………… at ……………………. which you attended with your Trade Union Representative, I am writing to confirm that you have been suspended from duty on full pay with effect from ………………………

The reason for your suspension is that it has been alleged that ……..

If this/these allegations are substantiated this could result in your dismissal for gross misconduct.

For the period of your suspension you should not contact your work colleagues and you should not enter your place of work unless accompanied by a member of management. You may, of course, contact your representative.

If you have any questions concerning the above please contact me on the above extension number.

Yours sincerely

C Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Disciplinary Hearing

I am writing to inform you that you are requested to attend a disciplinary hearing on ………………………… at ……………

The hearing will be conducted by…………………………………. in accordance with the Council’s Disciplinary Procedure. You are entitled to be accompanied by a Trade Union or other representative.

At this hearing the following allegations will be considered:

1. 2.

(Please insert the following if possible gross misconduct) If this/these allegations are substantiated this could result in your dismissal for gross misconduct.

A summary of notes made at the Investigatory Interview is enclosed for your information together with a report from the investigating officer [name and job title]. [Refer here to any enclosures e.g. notes, report, statements etc.]

[Notify of witnesses to be called] If you intend to call witnesses, please let me know how many witnesses you will be bringing and the subject area they are to be asked about. You must notify me about this not less than three days before the date of the hearing.

Once the alleged/capability/performance issues/breach(es) of discipline have been outlined, you or/and your representative will be given the opportunity to state your case and to comment on any facts or evidence which may be taken into account in reaching a decision.

If you have any questions concerning the above information, please contact me on the above extension number.

Yours sincerely

D Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Notice of Verbal Warning

I am writing to confirm the outcome of the disciplinary hearing which took place at ………………………………………… on ……………………….. and my decision that you should be given a verbal warning under the Council’s Disciplinary Procedure for (misconduct/lack of capability/poor performance – please state).

The reasons for the decision are as follows:

......

This warning will be placed on your personal file, but will be disregarded, for disciplinary purposes, after a period of six months, provided there are no further breaches of discipline. I am sure that you are aware that any further misconduct could result in disciplinary action, which could lead to your dismissal from employment with the Council.

You have a right to appeal against this decision. If you wish to do so, you should write to the People and Development Manager at Burnley Town Hall, within 10 working days of the date of this letter, stating the grounds of your appeal and enclosing all relevant documents.

An additional copy of this letter has been sent to your Union Representative.

Yours sincerely

E Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Notice of Written Warning

I am writing to confirm the outcome of the disciplinary hearing which took place at ………………………………………… on ……………………….. and my decision that you should be given a written warning under the Council’s Disciplinary Procedure for (misconduct/lack of capability/poor performance – please state).

The reasons for the decision are as follows:

......

This warning will be placed on your personal file, but will be disregarded, for disciplinary purposes, after a period of twelve months, provided there are no further breaches of discipline. I am sure that you are aware that any further misconduct could result in disciplinary action, which could lead to your dismissal from employment with the Council.

An additional copy of this letter has been sent to your Union Representative.

Yours sincerely

F Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Notice of Final Warning

I am writing to confirm the outcome of the disciplinary hearing which took place at …………………………………. on ………………………………… and my decision that you should be given a Final Warning under the Council’s Disciplinary Procedure for (misconduct/lack of capability/poor performance – please state).

The reasons for the decision are as follows

......

This warning will be placed on your personal file, but will be disregarded,, for disciplinary purposes, after a period of twelve months, provided there are no further breaches of discipline/capability or performance problems.

I am sure that you are aware that any further misconduct/capability or performance problems could result in disciplinary action, which could lead to your dismissal from employment with the Council.

An additional copy of this letter has been sent to your Union Representative.

Yours sincerely

G Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Confirmation of Dismissal

I wrote to you on …………………………….confirming your final written warning, in accordance with the Council’s Disciplinary Procedure. In that letter you were warned that if your conduct/capability/performance did not improve, you were likely to be dismissed.

At the disciplinary hearing held on …………………………..it was decided that your conduct/capability/performance in relation to this was still unsatisfactory and therefore you should be dismissed.

I am writing to confirm the decision that you be dismissed, in accordance with the Council’s Disciplinary Procedure, and that your last day of service with the Authority will be …………………………….

The reason(s) for your dismissal (is/are):

......

You have the right to appeal against this decision. If you wish to do so, you should write to the People and Development Manager Town Hall within 10 working days of the date of this letter, stating the grounds of your appeal and enclosing all relevant documents.

[If completed at least one year’s continuous service with Burnley Borough Council please insert the following]:

You have the right to claim unfair dismissal at an Employment Tribunal. The Tribunal should receive this application within three months of your termination date, as stated above.

An additional copy of this letter has been sent to your Union Representative.

Yours sincerely

H Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Confirmation of Dismissal

I am writing to confirm the decision taken at the disciplinary hearing, held on ……………………………., that you be summarily dismissed for gross misconduct without notice or payment in lieu of notice, in accordance with the Council’s Disciplinary Procedure. Your last day of service was ………………………..

The reason(s) for your dismissal is/are

......

[If completed at least one years’ continuous service with Burnley Borough Council please insert the following]:

You have the right to claim unfair dismissal at an Employment Tribunal. The Tribunal should receive this application within three months of your termination date, as stated above.

An additional copy of this letter has been sent to your Union Representative.

Yours sincerely

I Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Appeals Procedure

I have received your letter dated …………………………… in which you have indicated your decision to appeal against the disciplinary action taken when you were given a formal verbal warning/written warning/ final written warning, or when you were dismissed.

Your appeal will be heard by …………………………………… in………………………on ………………………..at…………………………..

Please telephone me to confirm that you will be attending the appeal hearing. At this appeal you may call witnesses to speak on your behalf and if you intend to produce any documentary evidence, you should let me have it, as soon as possible, so that I may evaluate it in advance of the hearing. You also have the right to be accompanied by a Trade Union or other representative.

In the meantime, if you have any questions concerning the above information, please contact me on the above extension number.

Yours sincerely

J Burnley Borough Council Appropriate Service Unit Town Hall, Manchester Road Burnley, Lancashire, BB11 1JA Tel: 01282 425011 Fax: 01282 438772

Private & Confidential

Our Ref Your ref Date

Dear

Notice of Result of Appeal Hearing

I refer to the appeal hearing which took place at ……………………………. on ……………………………………You appealed against a decision, made at an earlier disciplinary hearing, that you be given a ………………………..warning/be dismissed in accordance with the Council’s Disciplinary Procedure.

I wish to confirm that your appeal was allowed and the warning will be removed from your record/ was allowed and arrangements will be made for you to return to work/ was allowed but a lesser penalty of…………… was substituted/ was not upheld and the original decision stands.

Either

You have now exhausted your rights of appeal under the Council’s Disciplinary Procedure and the decision made is final.

You have now exercised your right of appeal under the Council’s Disciplinary Procedure. However, having completed more than one year’s continuous service with the Authority, you may claim unfair dismissal at an Employment Tribunal. You should therefore consult your Trade Union or other representative (e.g. solicitor) at the earliest opportunity, as an appeal to the Employment Tribunal must be registered within three months of dismissal.

If you have any further questions concerning the above information please contact me.

Yours sincerely