Disciplinary Policy & Procedure - Reviewed: June 2026
In this section
- 11. Trade Union Officials
- 12. Criminal Charges and Cautions or Convictions Outside Work
- 13. Appeals
- 14. Keeping Records
- 15. Training and Support
- 16. Monitoring This Policy & Procedure
- 17. Ensuring Equality of Opportunity
- 18. The Role of the companion during the Disciplinary and Grievance Process
- 19. Disciplinary Procedure at a Glance
- 20. Supporting Guide for Witnesses
4. Roles and Responsibilities
The following is provided as guidance only. There may be circumstances which dictate a different allocation of roles and responsibilities. All officers who are likely to be involved in investigations or disciplinary hearings should be provided with appropriate training and/or support. Please contact a HR Business Partner for advice.
Human Resources
To ensure consistency, a HR Business Partner will provide advice at every stage of the procedure and will monitor and report on the application of the Policy. The HR Business Partner will also be responsible for ensuring that written records are retained on personal files for the appropriate period and following the principles of the Data Protection Act.
Investigating Officers
The investigation is usually carried out by the employee’s line manager (with advice from a HR Business Partner), who will be responsible for interviewing the employee and witnesses, taking notes and having established the facts, producing a written report outlining their recommendations on whether there is a case to answer. If it is agreed that informal action is all that is needed, the line manager will usually deal with this. If the case moves forward to a disciplinary hearing, the investigating officer will usually present the case to the hearing. If it is considered inappropriate for the line manager to carry out an investigation, another officer may take the lead (Refer to the Investigation Policy and a HR Business Partner for advice).
Disciplinary Hearing Panel
The Panel will usually consist of a representative from the Department (Director or Head of Service or their nominated representative), a HR Business Partner, and a note taker (provided by the employing department). Administration of the hearing including disciplinary notice letters, collation of supporting documentation, arranging for attendance of witnesses, etc. will be the responsibility of the employing department. The Panel will hear the facts of the case and will decide whether disciplinary action is appropriate and if so what level of action will be taken. The outcome of the hearing will be confirmed in writing by the Service Director or their nominated representative. The decision to dismiss rests with the Disciplinary Hearing Panel but this is confirmed in writing by the Assistant Chief Executive (People, Digital and Policy).