Disciplinary Policy & Procedure - February 2021

3. General Principles

• Informal action will be considered by the line manager, where appropriate, to resolve minor breaches of discipline. 

• The disciplinary investigation or formal procedure may be suspended at any stage to explore mediation as a means of resolving the disciplinary matter if agreed by the relevant Director or nominated representative and the employee. 

• Suspension from work with pay should be considered only as a last resort and the suspended employee advised that this is not considered disciplinary action and how pay will be calculated during this period.  It is in the interests of all parties to progress the investigation and disciplinary hearing (if appropriate) as quickly as possible.  Any suspension should be kept under review and the employee informed of the progress of the investigation at regular intervals.  (Please note, in some cases, account will have to be taken of the requirements of professional Codes and Standards governing child and vulnerable adult abuse).  The People Management (PM) HR Advisors must be consulted before a decision to suspend is made. 

• Whenever possible, employees will be informed of the complaint made against them from the outset and a fair investigation will be conducted into any allegations that have been made prior to commencement of disciplinary action. As part of the investigation, an employee must, wherever possible, have an opportunity to respond to the allegations.  

• If, following investigation, the complaint or allegations are not substantiated, all reference to the issue will be deleted from the employee’s personal file and other related records. 

• Officers who investigate an alleged disciplinary issue will be precluded from adjudicating upon it. 

• At all formal stages of the procedure the employee will have the right to be accompanied by a companion. A companion may be a trade union representative or official  or a work colleague. (The Trade Union representative who is not an employed official of a trade union must hold written certification from their Union that they have experience of or have received training in acting as a companion.  This may take the form of a card or letter).

• A minimum of 14 calendar day’s written notice of a disciplinary hearing will be given to employees (except in cases of Gross Misconduct where it may be appropriate to deal with the matter as quickly as possible).  This notice period can be reduced by mutual agreement but should be long enough to give the employee time to prepare. 

• In the written notification of the hearing the employee will be advised of the nature of the complaint and will be provided with written copies of evidence and relevant witness statements in advance of a disciplinary hearing. 

• At the hearing the employee will be given the opportunity to state his or her case before any decision is made by the disciplinary panel. 

• If an employee cannot attend a disciplinary hearing, they must advise of the reasons as soon as possible.  If the reason is outside the employee’s control and unforeseeable at the time the meeting was arranged (e.g. illness), another hearing will be arranged.  If the Trade Union representative or official or work colleague cannot attend, another date can be arranged, provided it is not more than 7 calendar days after the original date.   

• Failure to attend a disciplinary hearing without good reason may result in a decision being taken in the employee’s absence.  

• If it is decided to proceed with a disciplinary hearing without the employee being present, they should be given the opportunity of sending a representative to attend the meeting on their behalf or to make written representations which can be considered at the hearing. 

• If an employee is represented by a Trade Union representative or official or work colleague, copies of disciplinary hearing notices, witness statements, written warnings, etc. will be sent to that person, unless the employee advises otherwise, in writing. 

• Dismissal will not normally be appropriate for a first breach of discipline except in the case of proven gross misconduct, when the penalty will be dismissal without notice or payment in lieu of notice. 

• It is good practice to give employees at least one chance to improve before they are issued with a final written warning.  However, if the misconduct is sufficiently serious e.g. because any continuance is likely to have a harmful effect on the Authority or its services, then it may be appropriate to move straight to a final written warning.  

• An employee will be given a written explanation for any disciplinary sanction and have the right to appeal against the disciplinary action. 

• The deadlines contained within the procedure can be varied with mutual agreement. 

• Support and counselling may be offered to employees involved in disciplinary investigation and hearings.  Please contact PM HR Advisors for advice.   

• Investigating Officers and Disciplinary Hearing Panel members must consider disabled employees’ needs during the process and make reasonable adjustments as necessary.  For example, ensuring that locations have appropriate access, written information is provided in a suitable format, etc.