disciplinary policy - wordpress.com file · web viewdisciplinary policy. june 2010 ... fraud and...

FAZELEY TOWN COUNCIL

DISCIPLINARY POLICY

June 2010

DISCIPLINARY POLICY CONTENTS

1. Policy Statement

2. Purpose

3. Scope

4. Employee's Responsibilities

5. Support for Employees and Managers

6. Policy

7. Investigatory Meetings

8. Prior to Disciplinary Action

8.1.Suspension

8.2. Informal Stage

9. Formal Disciplinary Sanctions

9.1.Stage 1 - Oral Recorded Warning

9.2.Stage 2 - Written Warning

9.3.Stage 3 - Final Written Warning

9.4.Stage 4a - Dismissal with pay

9.5.Stage 4b - Gross Misconduct

10.Exceptional Circumstances- Alternatives to Dismissal

11.Warning

12.The Disciplinary Hearing

13.Payment for Attendance

14.Right of Appeal

15.Who can take Authorised Management Action under the Disciplinary Policy?

16.Raising a Grievance During Disciplinary Action

17.Suspicion of criminal behaviour

18.Criminal Proceedings During Disciplinary Action

19.Criminal Charges or Convictions / Inappropriate Actions Out of Work

20.Fraud and Investigations

Appendix 1- Rules

Appendix 2 - Examples of Gross Misconduct

Appendix 3 The Disciplinary hearing

Appendix 4 – Appeals

Fazeley Town Council 2

1.DISCIPLINARY POLICY STATEMENT

Fazeley Town Council recognises that discipline is essential for the safety and well-being of all employees and for the success of the Council. Disciplinary Procedures are also necessary for promoting fairness and order in the treatment of individuals and in the conduct of employee relations.

In recognising this, the aim of this procedure is to ensure that within Fazeley Town Council, there is a fair, consistent, transparent and systematic approach to dealing with disciplinary issues, in a positive manner, which will not only maintain high standards of conduct and performance, but will at each and every stage of the process, safeguard the rights of the employee.

These Procedures are intended to encourage improvements by employees whose standard of work performance or conduct is unsatisfactory. It is expected that sensitive and appropriate management handling of matters in an informal setting can deal with the majority of cases.

Line managers are encouraged to act quickly and effectively in an informal setting to tackle issues such as poor performance or inappropriate behaviour or conduct via counselling, guidance, development, corrective action etc. before taking formal disciplinary action. Guidance and counselling may involve the intervention of external or third party agencies and an independent representative. If there is no improvement and the informal route has been attempted or if the matter is considered to be serious then the formal disciplinary procedures will normally be instigated.

It is anticipated that sufficiently early action will informally resolve such issues and allow the employee and / or the Council to continue to work effectively.

The principles of the Disciplinary Procedure used at the Council are in line with those set out in the ACAS Code of Practice.

The procedure applies to all employees of Fazeley Town Council, whether employed in established posts or posts of limited term.

Signed:_______________________________________ Dated:_________________

Town Mayor.


2. Purpose

The purpose of the Disciplinary Procedure is to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance.

The Council will review this document from time to time and may make changes to the content. Changes may result from employee and management and/or from changes in employment legislation. Revisions and updates will be implemented by the Council following full discussion and review.

Updated details will be available on request.

The procedure is designed to establish the facts quickly and deal consistently with disciplinary issues.

Employees will be advised of the nature of any complaint against them and they will have the opportunity to explain.

Employees will be given the opportunity to state their case and be represented or accompanied by a colleague or Trade Union representative of their choice.

Employees will not normally be dismissed for a first breach of discipline except in the case of gross misconduct.

Employees will have a right of appeal against any disciplinary penalty or action taken.

The level of warning issued by a line manager will depend on the severity of the misconduct. The sanction for gross misconduct will normally be dismissal without notice and without pay in lieu of notice.

Where an employee's record shows a pattern of abuse of the disciplinary policy, e.g. repeated misconduct occurring once a live warning has lapsed, the Council may consider extending the duration of any warning or escalating any new action against the employee, to the next stage of the policy (i.e. as if the prior live warning had not lapsed)

Managers must comply with relevant Standing Orders and Financial Regulations when applying this policy.

Timescales for meetings, appeals etc, may be varied by mutual agreement. The intention is to avoid unreasonable delay but to allow for reasonable flexibility.

3. Scope

This Policy covers all employees of the Council.

The Council will consider disciplinary action against an employee for actions inside or outside of work, which may have a bearing on an employee's continued employment or on the reputation of the Council. Employees must notify their managers immediately of any charge or conviction.

Issues arising as a result of misconduct/negligence and issues that relate to poor performance as a result of a lack of capability will be dealt with under the Disciplinary Policy.


4. Employee's Responsibilities

All employees have a responsibility to:

take full accountability for their actions and inactions

maintain expected and reasonable levels of attendance and performance at work

respect and work in line with the Council's Code of Conduct

attend and participate in relevant meetings

comply with the Council's policies

conform with any Council or statutory rules or agreements applicable to their role

maintain a reasonable standard of behaviour acceptable to management and other employees including behaviour as outlined in the Code of Conduct and in line with the Diversity, Equal Opportunities and Anti-Bullying policies

5. Support for Employees and Managers

Employees who are facing potential disciplinary action may contact ACAS for support and guidance.

6. Policy

Under the Council's Disciplinary Policy, the Council may decide to suspend an employee with pay, pending investigation. Suspension is not a form of disciplinary action and the Council will ensure any suspension is for as short a period as is reasonable.

The disciplinary policy contains the following stages;

Informal Stage

Formal stage - Stage 1 Oral Recorded Warning

Formal stage - Stage 2 Written Warning

Formal stage - Stage 3 Final written warning

Formal stage - Stage 4a) dismissal with pay or with pay in lieu of notice and 4b) summary dismissal

Formal stage - Exceptional circumstances- alternatives to dismissal

7. Investigatory Meetings

Prior to disciplinary action, an investigation will be conducted into the allegations of misconduct by their immediate supervisor/manager. The Town Mayor will normally be consulted to agree who is the most suitable person to conduct the investigation.

Generally, employees will be informed that this is to take place and invited to present their case. In some circumstances (e.g. potential fraud), it may be appropriate not to inform the employee at the commencement of the investigation. [If necessary, covert surveillance may be used in line with the RIPA requirements]. In exceptional circumstances, the use of surveillance will be sanctioned by two members of the


Town Council giving reasons why its use is necessary. An annual review of such surveillance will be undertaken with independent representation.

Where the alleged disciplinary matter is straightforward, the investigation may be brief. In more complex situations, investigations may take longer and employees will be kept appraised of progress. The employee will be advised in writing should any additional allegations arise during an investigation. Investigations may require interviewing third parties and witnesses to gather evidence and provide contextual information.

Investigation meetings are not disciplinary hearings, and employees do not have the right of representation. However, the Council may consider and allow a request, if considered appropriate under the circumstances.

The possible outcomes of an investigation, which (will be confirmed in writing) are:

No further action to be taken

Counselling, keep under review, management action, training

A disciplinary hearing is required

8. Prior to Disciplinary Action

8.1.Suspension

The Council may decide to suspend an employee pending investigation. This is not disciplinary action and any such suspension will be with pay. The duration will vary according to the situation but timescales will be as short as reasonably possible. Employees will be given the opportunity to have someone present with them at the suspension meeting, however, there is no official right of representation, and a failure to find a suitable representative quickly, will not prevent a manager suspending an employee. Notes will be taken at the suspension meeting and a copy of the notes provided to the employee after the meeting.

Whilst line managers have the right to suspend, suspension must be approved in advance by the Town Mayor or Deputy Mayor. The employee will be issued with a letter confirming their suspension from work on full pay and confirming that the period of suspension will be regularly reviewed.

A manager may, in exceptional circumstances, send an employee home pending a decision about suspension.

Suspension can be used in serious situations of alleged gross misconduct (See appendix 2 for examples of Gross Misconduct)

It may be necessary to suspend in other circumstances such as:

Where there is a clear concern that the employee or others may be placed at risk if the employee remains in their position pending an investigation

Where it is considered possible that the employee may influence witnesses or interfere with relevant evidence and the investigation

In some circumstances, as an alternative to suspension, it may be considered more appropriate to request the employee to undertake alternative duties that remove them form their normal workplace, pending a full investigation.


Suspension or redeployment may be deemed appropriate in cases of personal harassment or bullying. If suspension or redeployment is deemed appropriate in cases of personal harassment or bullying, generally, it will be the alleged harasser who is suspended or moved.

8.2. Informal Stage

In the course of day-to-day activities, there will be occasions when managers will need to advise employees informally of minor breaches of discipline. Mediation may be used as an alternative way of managing a situation informally. This does not preclude the use of formal disciplinary procedures.

9. Formal Disciplinary Sanctions

Following a disciplinary hearing, the following sanctions may apply:

9.1.Stage 1 - Oral Recorded Warning

If following a disciplinary meeting it is decided that an employee's conduct or performance is unsatisfactory, the employee will be issued with an oral recorded warning. This will be a `live warning' for a duration of 3 months, after which it will be disregarded for disciplinary purposes, subject to no further misconduct during this period. A copy of the note of warning will remain on the employee's HR file. Managers will hold regular review meetings with employees who have a `live' warning.

9.2.Stage 2 - Written Warning

This may be issued if the first offence is serious enough to warrant action at this level. Alternatively, it may be issued after an oral recorded warning, if there is no improvement in standards, or if a further offence occurs. A copy of this written warning will be kept on file but will be disregarded for disciplinary purposes after 6 months, subject to satisfactory conduct and / or performance. Managers will hold regular review meetings with employees who have a `live' warning.

9.3.Stage 3 - Final Written Warning

This may be issued if the first offence is serious enough to warrant action at this level (or the employee has less than 1-year’s service). Alternatively, it may be issued after an oral recorded warning, or a written warning, depending on the severity of any subsequent misconduct or the failure to achieve required standards of performance/ conduct. A copy of the warning will be filed but will be disregarded for disciplinary purposes after 12 months, subject to satisfactory conduct. In exceptional cases, the period of the warning may be extended. Managers will hold regular review meetings with employees who have a `live' warning.


9.4.Stage 4a - Dismissal with pay

If there is no satisfactory improvement or if further serious misconduct occurs following previous warnings, after a consideration of the facts and circumstances of the case, an employee may be dismissed with notice or with pay in lieu of notice.

9.5.Stage 4b - Gross Misconduct

If, after investigation, an employee is found to have committed an act of gross misconduct, the normal consequence will be summary dismissal without any notice or pay in lieu of notice. While the alleged gross misconduct is being investigated, employees may be suspended with pay. (See appendix 2 for examples of incidents that will usually constitute gross misconduct.)

10.Exceptional Circumstances- Alternatives to Dismissal

Actions, short of dismissal, as an alternative to dismissal may be considered at the absolute discretion of the Council and in exceptional circumstances. Actions outside the employment contract as an alternative to dismissal may be considered, provided that the employee (after full consultation with their representative) agrees to this exceptional course of action. If alternative action to dismissal is considered appropriate, an employee will be issued with a final written warning of a duration of at least 12 months and up to 24 months. In addition, the Council may use one or more of the following, depending on the circumstances:

suspension for a period without pay

demotion to a more suitable job, if available, with no accompanying protection of salary, or benefits

loss of benefits for a specified period

withholding or deferring the receipt of bonus payments and / or pay rises for a specified period

warning will be kept live for the duration of an employee's continued employment with the Council

The alternatives, short of dismissal, mentioned above are not exhaustive and the Council reserves the right to take any action it considers reasonable and appropriate in the circumstances.

The employee may appeal against action taken as an alternative to dismissal.

Timescales and right of representation at disciplinary hearing meetings

Employees will be given a minimum of 2 working day's notice * in writing, of the requirement to attend a disciplinary hearing meeting and of their right of representation. Employees will be provided with prior information about the nature of the complaint(s) to be discussed and all supporting documents.

* A working day is defined as Monday to Friday (excluding Bank Holidays and Public Holidays) irrespective of whether this is a normal working day for the employee.


Employees will have the opportunity to comment on the allegations(s) at the disciplinary hearing meeting, prior to any decision being taken.

The employee's representative may confer with them during the course of the disciplinary hearing meeting and they may address the meeting also. However, they should not answer questions on the employee's behalf.

Managers presenting the case may be accompanied by a member of the Town Council or other appropriate person (whose role it will be to support the presenting manager, act as a management witness and ask/answer questions as appropriate) particularly in a complex case.

Employees must make all reasonable efforts to attend a disciplinary meeting. In exceptional circumstances, the original meeting date will be re-arranged. If the employee fails to attend a re-arranged meeting, then generally, this will proceed in the employee's absence. Employees will be given the opportunity to put their case in writing for consideration by management, in their absence. Alternatively, an employee's representative may attend and present the case in their absence.

11.Warnings

If issued with a warning, an employee will receive written confirmation within a reasonable timeframe. This letter will include:

the reason and duration of the warning

the consequences of a failure to improve and sustain any improvement for at least the duration of the warning, including the possibility of further disciplinary action up to and including dismissal

relevant details and timescales relating to the employee's right of appeal

Employees will have access to notes of the meeting (or a recording of the meeting in some circumstances)

12.The Disciplinary Hearing

Any hearing will take place in accordance with Appendix 3.

13.Payment for Attendance

The employee who is required to attend the disciplinary hearing, and his/her trade union representative or fellow worker will receive full pay for reasonable preparation beforehand and attendance at the disciplinary hearing meeting.

14.Right of Appeal

Employees have the right to appeal against any disciplinary action. See Appendix 4 for details on how the appeals procedure operates in practice.

Reasons for appeal may include:

o that the penalty is unfair / inconsistent under the circumstances (i.e. judgment)


o new evidence has arisen which was not considered at the original disciplinary hearing and which may have a bearing on the outcome (i.e. facts)

o that the policy and procedure have not been applied correctly (i.e. process)

15.Who can take Authorised Management Action under the Disciplinary Policy?

It is possible to take disciplinary action at any level for a first disciplinary offence dependent on the circumstances.

STAGE ACTION

RESPONSIBILITY (HR to be consulted about

process and consistency of

proposed action)

APPEALS DURATION OF WARNINGS

ONE Oral Warning

Immediate Supervisor / Manager (or nominated

deputy)

More Senior Manager 3 months

TWO Written warning

Manager (or nominated deputy)

More Senior Manager 6 months

THREE Final written warning

Manager (or nominated deputy)

Business Manager (or member of

CMG)

12 months (or may be longer in

exceptional circumstances)

FOURDismissal or Alternative

to Dismissal

Town Mayor or Deputy Mayor

Formal Appeal Panel*

As appropriate

GROSS MISCONDUCT

Summary Dismissal

Town Mayor or Deputy Mayor

Formal Appeal Panel*

N/A

* Formal Appeal Panel to consist of the Town Mayor, Deputy Mayor and two other members of the Town Council.

In exceptional circumstances, the Council reserves the right to ask an external independent Manager to hold an appeal meeting. This may be where the case is well known to the relevant pool of appeal hearing Managers or for some other exceptional reason.

16.Raising a Grievance During Disciplinary Action

The decision to suspend or continue with disciplinary action pending the investigation of a grievance will depend upon the circumstances of each individual case.


17.Suspicion of criminal behaviour

If criminal behaviour is suspected or alleged the Town Mayor in conjunction with the Town Council will discuss the situation and a decision will be taken over notifying the police in line with the Council's Standing Orders/Financial Regulations.

18.Criminal Proceedings During Disciplinary Action

Where criminal proceedings are pending against an employee, the Council will determine whether disciplinary action is appropriate. Where it is deemed appropriate, the disciplinary procedure will be carried out objectively and will not normally be delayed or deferred because of any such proceedings, unless it would be prejudicial (in the view of the Council) to those investigations to proceed. Line Managers should liaise with the Town Mayor for further guidance.

19.Criminal Charges or Convictions / Inappropriate Actions Out of Work

In addition, criminal charges or convictions may result in disciplinary proceedings being taken against the employee up to and including summary dismissal. This will occur where, in the opinion of the Council the charge or conviction is such as to affect, or be likely to affect, the suitability of the employee for the position in which he/she is employed, or the business or reputation of the Council, or where the existence of the charge or conviction could, in the opinion of the Council, otherwise seriously undermine the trust and confidence that the Council has in the employee.

20.Fraud and Investigations

Where there is any suspicion of theft or fraud then the employee's manager must contact the Town Mayor or any other member of the Town Council who will refer the matter immediately to the Town Council if appropriate.


Appendix 1- Rules

Rules are needed to set standards of conduct for employees to follow. At Fazeley Town Council, corporate rules are contained in the contract of employment and in the staff handbook. They may be supplemented by other rules or requirements particular to a Business Area. Rules will be kept to a minimum but will include (not an exhaustive list):

Attendance / timekeeping Absence Damage to Council property Discrimination Harassment or bullying Health and Safety Smoking on Council property including vehicles Unreasonable failure to follow an instruction issued by a manager or

supervisor Unsatisfactory work performance (where this isn't classified as capability)

Appendix 2 - Examples of Gross Misconduct

This list is neither exclusive nor exhaustive

Employees accused or suspected of gross misconduct will normally be suspended from work on full pay while an investigation is conducted into the alleged offence. Employees will be given a written statement of the alleged complaint(s) against them and required to attend a disciplinary interview. If the Council finds that gross misconduct has occurred, the result will normally be instant dismissal without notice or pay in lieu of notice.

Gross misconduct includes, but is not limited to, the following:

Serious abuse Corrupt practices Where an employee is charged with a criminal offence inconsistent with their

position theft, fraud and deliberate falsification of records (e.g. expenses claims, time

sheets, etc) physical violence, threats, fighting, assault on another person serious bullying, harassment or discrimination deliberate damage to Council property or employee's property removal or disposal of any Council property without Management's permission serious insubordination interference with safety devices or equipment putting other employees or

visitors at risk at work serious misuse of the Council's property or name bringing the Council into serious disrepute serious incapability whilst on duty brought on by alcohol or illegal drugs, the

miss-use of drugs or the possession of illegal drugs whilst at work


the supply and trafficking of drugs, money laundering activities, or the use, sale or distribution of illegal substances

serious negligence which causes or might cause unacceptable loss, damage or injury

serious infringement of health and safety rules serious breach of duty of confidence (subject to the Public Interest

(Disclosure) act 1998 and Confidential Reporting Policy) deliberate or reckless damage, miss-use or interference with or unauthorised

use of the Council computers and/or software or unauthorised entry to computer records

serious misuse of electronic systems conviction of a criminal offence that is relevant to the employee's employment deliberate falsification of a qualification that is a stated requirement of the

employee's employment or results in financial gain to the employee undertaking private work on the premises and/or in working hours without

express prior permission serious breach of trust or confidence

Appendix 3 The Disciplinary hearing

A disciplinary hearing will normally be conducted by the appropriate manager who will be accompanied by a representative of the Town Council.

The intention of the hearing is to give the employee every opportunity of stating his/her case and to allow management to gather all relevant information before making a final decision.

The employee will be notified in writing at least 2 working days before the hearing takes place. This notice may be extended to allow an employee to be represented adequately.

The notification will include:

the fact that there will be a hearing held under the Council's disciplinary procedure;

the reason for the hearing;

the date, time and place of the hearing;

the right of the employee to be represented or accompanied;

an indication of who is expected to be conducting the hearing;

the employee shall be informed as to the reason why his/her conduct is thought to warrant disciplinary action supported by any documentary evidence and witness statements.


The authorised manager will:

introduce the hearing and confirm that it is a formal disciplinary hearing being held under the Council's Disciplinary code.

advise the hearing that its purpose is to establish the facts and determine, on conclusion of the hearing, whether the Council has proper grounds on the balance of probabilities to take disciplinary action against the employee and, if so, the level of such disciplinary action.

advise the hearing that interview notes (or electronic recording for cases of gross misconduct or in certain circumstances); together with any witness statements will be retained. Notes of the hearing will be forwarded to the employee.

ask the parties present at the hearing to introduce themselves. The employee will be entitled to be accompanied, if he/she wishes, by a fellow worker or trade union representative of his/her choice. The manager presenting the case may also choose to be accompanied by a member of the Town Council or other appropriate person for support at the hearing. The presenting manager may confer with this individual but it is their responsibility to present the case and answer questions. The purpose of the individual is to provide support to the presenting manager (and to act as a management witness and ask/answer questions as appropriate) particularly in a complex case.

ask whether any witnesses have been asked to give evidence at the hearing, and if so, who they are.

ask for the parties to confirm where evidence has been obtained from third parties in the form of written statements, the statements themselves have been made available to all before the hearing. The Council may, on occasion, conceal the identity of the parties who provided this evidence if it thinks it is necessary or appropriate to do so.

will state for the record the allegation(s) and advise the employee that all the relevant facts will be put to the employee, with specific examples of relevant incidents being given where possible.

The chairman will then introduce the process, which will be as follows:

Management case including witnesses & statements

Opportunity to question by all

Employee's case including witness and statements, explanation of conduct and mitigating circumstances


Management case summing up

Employee case summing up

During questioning, the employee may confer with his/her representative at any time during the hearing on request


Where the appropriate officer considers that further information or discussion is required the meeting will be adjourned for a period.

Either party may request an adjournment in order to consider their response to information presented, of which they had no knowledge prior to the commencement of the disciplinary hearing. The chairman will determine the length of the adjournment.

The chairman will take into account any mitigating factors put forward by the employee when subsequently making a decision about whether or not to impose a disciplinary penalty and the level of any such penalty.

At the conclusion of the hearing the employee will be informed of the decision verbally in the presence of his/her representative. The decision will be confirmed in writing within a reasonable timeframe.

Where the decision is to give a formal warning the employee will be advised of the date from which the warning will be disregarded and the right of appeal.


Appendix 4 - Appeals

When lodging an appeal, the employee should state:

The grounds of an appeal that will normally be based on one or more of the following:

that the penalty is unfair / inconsistent under the circumstances (i.e. judgment)

new evidence has arisen which was not considered at the original disciplinary hearing and which may have a bearing on the outcome (i.e. facts)

that the policy and procedure have not been applied correctly (i.e. process)

The employee must provide notice of the appeal (preferably in writing) within 5 working days of being informed in writing of the disciplinary sanction being imposed against him/her

Appeal hearings will take place as soon as reasonably possible upon receipt of the employee's written notice of appeal

Appeals should be addressed to the manager who issued the original disciplinary decision and a copy sent by the employee to Town Council at the same time

A suitable and independent manager will hear the appeal. Wherever practicable, this will be a more senior manager than the manager who held the original hearing

Generally, the outcome of the appeal hearing will be confirmed orally at the appeal hearing. In some circumstances, it may be necessary to adjourn, to complete further investigations. In these situations, the appeal hearing meeting will be reconvened and the decision confirmed orally with subsequent written confirmation

The appeal manager's decision or the panel's decision is final. No further right of appeal exists

Where an appeal against dismissal fails, the effective date of termination of employment will be the date on which the employee was originally dismissed

The Disciplinary Appeal Hearing

The Disciplinary Appeal Hearing will be chaired by the Town Mayor assisted by the Deputy Mayor or his/her nominee.

In advance of the hearing, the Town Mayor will have available all of the documents presented to the original hearing. They will also have a copy of the record of the hearing, the letter confirming the outcome of the original disciplinary hearing, the letter of appeal and all other relevant information. The Town Mayor should make their findings based on the documentation and the submissions at the appeal hearing.

The employee shall be given notice in writing at least 2 days in advance of the time and place of the hearing and that he/she shall be allowed to be represented or accompanied and shall be enabled to call witnesses and produce documents


relevant to his/her defence at the hearing. This notice may be extended to allow an employee to be adequately represented. At the Disciplinary Appeal Hearing:

The Town Mayor will:

Initially review the proceedings to date to decide whether the appeal hearing will take the form of a review of the previous disciplinary decision or a full rehearing of the case

Advise the hearing that the appeal will normally be conducted as a review only where the facts/procedure are not in dispute but where the employee believes the judgement is unfair

Advise the employee or representative that they will be invited to put their case by explaining the grounds of the appeal and presenting any relevant evidence

Where the appeal is to be conducted as a review the outcome of the appeal will be either:

The appeal is successful in whole or in part (e.g. could be a lesser sanction imposed or the sanction could be removed altogether)

The appeal is unsuccessful - the original decision stands

The appeal will normally be conducted as a rehearing in the following instances (not exhaustive):

There was a procedural defect of substance at the original hearing

New evidence has come to light which needs to be heard in full

There is a dispute about evidence given by witnesses at the original hearing

The Town Mayor will:

advise the hearing that its purpose is to consider the basis of the appeal and at the conclusion of the hearing, determine whether, on the balance of probabilities, the original decision and/or measure was appropriate.

advise that a written (electronic recording for cases of gross misconduct or in certain circumstances) record of the hearing will be made as a summary.

advise the hearing that the record of the meeting, together with any witness statements will be retained. Notes of the hearing will be forwarded to the employee.

ask the parties present at the hearing to introduce themselves and confirm their respective roles in the hearing. The employee will be entitled to be accompanied, if he/she wishes, by a fellow worker or trade union representative of his/her choice.

ask whether any witnesses have been asked to give evidence at the hearing, and if so, who they are.

ask for the parties to confirm where evidence has been obtained from third parties in the form of written statements, the statements themselves have been made available to all before the hearing. The Council may, on


occasion, conceal the identity of the parties who provided this evidence if it thinks it is necessary or appropriate to do so.

In a rehearing, the chairman will to introduce the process, which will be as follows:

The employee or representative will put their case by explaining the grounds of the appeal and presenting any relevant evidence

The original hearing manager will put the management case again and respond to the grounds of the appeal

Relevant witnesses may be brought in by either side


Employee case summing up

Management case summing up

During questioning, the employee may confer with his/her representative at any time during the hearing on request, but the authorised person has the right to ask the employee personally to answer any questions put to him/her.

Where the appropriate officer considers that further information or discussion is required the meeting will be adjourned for a period.

Either party may request an adjournment in order to consider their response to information presented, of which they had no knowledge prior to the commencement of the disciplinary hearing. The authorised manager will determine the length of the adjournment.

At the conclusion of the hearing, the authorised manager and their advisor (who shall not actively have taken part in the decision being appealed against) will deliberate in private, only recalling the management representative and the employee to clear points of uncertainty on evidence already given. If recall is necessary, both parties are to return notwithstanding only one is concerned with the point-giving rise to doubt.

The employee will be informed of the decision verbally in the presence of his/her representative. The decision of the Authorised manager is final and it shall be confirmed in writing within a reasonable timeframe. The outcome of the appeal will be either:

The appeal is successful in whole or in part (e.g. could be a lesser sanction imposed or the sanction could be removed altogether)

The appeal is unsuccessful - the original decision stands


disciplinary policy - wordpress.com file · web viewdisciplinary policy. june 2010 ... fraud and...

Documents