
CORPORATE PERSONNEL POLICY AND GUIDANCE PEOPLE AND DEVELOPMENT TEAM People & Law Disciplinary Procedure CONTENTS Page 1. Purpose and scope 3 2. Principles 3 3. Formal Disciplinary Procedure 4 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 2 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 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 4 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. 5 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.
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