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UKHO HR Manual

Volume 5

Discipline Procedures to be followed by line managers when they have reason to believe that a civilian member of their staff: 1. has breached the Department’s standards of conduct; 2. has been negligent in his or her duties, failed to obey a reasonable instruction or has carried out other forms of misconduct; 3. by his or her behaviour, action or inaction, has significantly disrupted or damaged the performance or reputation of his or her organisation or unit.

Note: This document is the property of the United Kingdom Hydrographic Office. It must not be copied or transmitted to any third parties without the written permission of the Owner. © Crown Copyright 2011

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Version V 4.1

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Minor changes to add document control table and add version number, reference number, issue date and Classification to header or footer.

Approval Title, Name

Senior HR Manager

Date 03.02.2010

Next Review JUNE 2011

Document Security

Any person, other than the authorised holder, upon obtaining possession of the document should take it to the nearest Police Station or forward it, together with their name and address in a sealed envelope to:

The Principal Security Advisor The UK Hydrographic Office

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Telephone +44 (1823) 337900 Facsimile +44 (1823) 284077



Chapter 1 Introduction

1. What this volume is about

This volume sets out the rules and the procedures to be followed by line managers when they have reason to believe that a civilian member of their staff:

• has breached the Department’s standards of conduct; • has been negligent in his or her duties, failed to obey a reasonable • instruction or has carried out other forms of misconduct; • by his or her behaviour, action or inaction, has significantly disrupted or • damaged the performance or reputation of his or her organisation or unit.

2. Who is it for?

The volume is aimed at civilian and Service line managers who are responsible for initiating action and taking decisions in disciplinary cases involving civilian staff. It is also for personnel staff who are responsible for advising line managers on the procedures to be followed and penalties awarded. It must be made available to all civilian staff. The rules apply to all industrial and non-industrial grades.

3. Overriding principles

• The purpose of the disciplinary procedures is to encourage good • behaviour and to correct offenders. • The advice of the appropriate personnel officer must be sought before • taking disciplinary action and at each stage of the discipline and appeal • processes. • Action should not be delayed without good reason. • Warnings must, if unheeded, be followed by disciplinary action. • Circumstances must be fully investigated and the line manager must give • the accused a fair chance to state his or her case. • The accused must be allowed the assistance of a Trades Union • representative or colleague. • The charge must be made in writing and the accused must be made fully • aware of the nature of the offence and of the evidence supporting the • charge. • All warnings, actions, and notes of conversations must be recorded on • file. • A breach of discipline, particularly where there has been a criminal • conviction, may cast a doubt on a person’s suitability for access to • classified material. The appropriate security directorate must be advised • at the earliest opportunity in all cases in which formal disciplinary action • has been initiated. • The reasons for the award of a penalty must be explained. • The advice of DGCPHROPS-Conduct Team may be sought orally or in

writing on any points of difficulty. • The personnel officer must place all disciplinary papers on the offender’s • discipline file.



4. Fair treatment

Managers must follow the procedures laid down and must treat staff equally and fairly. Failure to do so may invalidate the proceedings. Any discrimination on the grounds of sex, marital status, race, disability or, in Northern Ireland, political opinion or religious belief, is unlawful and could result in the Department being challenged in Court, at an Industrial Tribunal or, in Northern Ireland, a Fair Employment Tribunal. Any complaints of direct or indirect sexual or racial discrimination from staff which arise from the application of these rules should be considered carefully and, where necessary, referred to CM(IR&C) Civilian Equal Opportunities Unit.

5. Codes of practice

The rules and procedures are derived from the Civil Service Management Code and the ACAS Code of Practice, Disciplinary Practice and Procedures in Employment.

6. Legal framework

Relevant Acts: • The Employment Rights Act 1996 • The Employment Rights (NI) Order 1996 • The Sex Discrimination Act 1975 • Race Relations Act 1976 • Disability Discrimination Act 1995.

7. Budgetary issues

The UKHO are responsible for the costs of defending appeals at the Civil Service Appeal Board and at Employment Tribunals and for the payment of any compensation awarded to the appellant.



Chapter 2 Disciplinary Rules and Procedures

Section 1 General

1.1 Scope

This chapter sets out the rules and procedures to be followed when a line manager has reason to believe that it may be necessary to take disciplinary action against a member of his or her staff. The chapter covers:

delegated powers (section 2);

minor offences (section 3);

major offences (section 4);

suspension from duty as a precaution (section 5);

the charge letter (section 6);

the disciplinary hearing (section 7);

decision on the disciplinary charge (section 8);

rights of appeal (section 9);

cases where two or more people are involved (section 10);

criminal convictions (section 11);

monitoring (section 12).

1.2 Access to rules and instructions

It is important that all civilian employees have ready access to the rules governing the conduct expected of them. It is the manager’s responsibility to ensure that volume 7 of the UKHO Personnel Manual and this volume, are available to staff and their representatives. Managers must also draw attention to local standing orders, and instructions on conduct, which are issued from time to time. (CONDUCT) Staff must make themselves fully aware of the regulations and of their rights under them, since failure to observe these rules, or regulations in other publications, may lead to disciplinary action being taken against them.

1.3 Trades Union representation

Individuals must be granted the right throughout disciplinary proceedings to the assistance of a Trades Union representative or colleague.

1.4 Timing

It is important to deal with disciplinary cases promptly. As a guide, the period between the issue of the charge letter and the award of a disciplinary penalty should not normally exceed 2 months.



1.5 Resignation

If an employee who is to appear on a charge in a criminal court, or is subject to disciplinary action, voluntarily tenders his or her resignation, it should be accepted. On no account should any attempt be made to persuade an employee to resign.

1.6 Publicity

The Defence Information Division (DINFOD) should be informed immediately of any case likely to attract media attention.



Section 2 Delegated powers

2.1 Delegation by PUS

The ultimate responsibility for the disciplinary control of civilian employees in MOD rests with the Permanent Head of the Department. PUS has delegated to the Chief Executive, and through them to line management, the power to award disciplinary penalties and to decide appeals. It is a condition of delegation that personnel staff must be involved at each stage of the disciplinary and appeal processes. If the offender is a member of the Senior Civil Service or a grade or group managed centrally, the Agency HR Compliance Adviser must consult the individual’s grade manager at every stage, before offering advice.

2.2 Levels for awarding disciplinary penalties

Under the powers delegated by PUS:

• no penalty may be awarded by a line manager who is lower than pay band C2 or Captain (junior) RN,. The deciding officer must take advice from a personnel officer at the minimum of pay band B or equivalent level before reaching a decision (Chapter 2, Sec 8 and Chapter 3, Annex H);

• the penalties of dismissal and downgrading may be awarded only by a line

manager who is a member of the Senior Civil Service or a Service officer at one star level or above. The deciding officer must take advice from a personnel officer at the minimum of pay band B or equivalent level before reaching a decision;

• the deciding officer must be at least 2 pay bands/ranks above that of the

offender. For the penalty of dismissal only, the deciding officer must not be the immediate line manager;

• cases which do not fall within the delegated powers of the Chief Executive

must be referred to PUS for decision through DGCPHROps- Conduct;

• decisions concerning the Chief Executives of Agencies must be taken by PUS. Cases must be submitted to PUS through DGCPHROps-Conduct;



Section 3 Minor offences

3.1 Examples

Minor offences are offences which do not, in themselves, amount to serious breaches of discipline but which, if permitted to go unchecked, could lead to more serious consequences. Typical examples include: isolated infringements of regulations without serious consequences; lateness; discourtesy; minor forms of either harassment or bullying. EQUAL OPPORTUNITIES

3.2 How to deal with minor offences

Minor offences must be dealt with orally and promptly by the line manager. The line manager must:

• make sure of the facts before interviewing the employee;

• explain the purpose of the interview and give the employee the opportunity to explain his or her actions or omissions: guilt must not be assumed;

• if justified, leave the offender in no doubt that the UKHO does not condone

the offence;

• inform the offender that what has been said is to be taken as a warning in accordance with this section of UKHO HR Manual Volume 5, Discipline;

• inform the offender that any repetition of the offence within 6 months will

lead to disciplinary action;

• make a record of the interview which must state that the offender has been told that the warning has been issued in accordance with this section of UKHO HR Manual 5, Discipline;

• pass copies of the record of the interview to the offender and to the

personnel manager for retention on the offender’s personal file;

• in cases of harassment, inform the complainant of the outcome of the complaint;

• consult the Welfare Officer, where appropriate.

If the same offence is repeated more than once, but after the expiry of the6 months warning period, an extended or indefinite warning may be given.

3.3 Minor breaches of security

Minor breaches of security must be handled in accordance with the procedures described in the UKHO Security Orders.



Section 4 Major offences

4.1 Definition

These are offences for which an employee may be charged and may receive a disciplinary penalty. They range from offences about which he or she has been previously warned to cases where the employee is suspected of, or charged with, a criminal offence against the UKHO,/MOD or its employees. Chapter 3Annex A and Annex A-1

4.2 Investigation

When a line manager has reason to suspect that a disciplinary offence has been committed he or she must:

• carry out preliminary enquiries to establish the facts;

• arrange to interview the person under investigation; Chapter 3 Annex B

• give notice of the interview, explain the purpose of the interview and inform the person under investigation of the right to be accompanied at the interview by a Trades Union representative or colleague;

• after the interview, if satisfied that there is a case to answer, issue a

charge letter; Section 6

• encourage the individual, in appropriate circumstances, to contact the Welfare Officer. Chapter 3 Annex K

Where an investigation is required into an alleged act of harassment, line managers should follow the procedures contained in Volume 13, Annex G.

Line managers are not to communicate their personal views of a case to the accused or to any other person. EQUAL OPPORTUNITIES

4.3 Police cautions

When a police caution has been issued, the normal disciplinary procedures should be followed. Chapter 3 has more detail. Chapter 3 Annex G

4.4 Criminal offences If you have reason to believe that a criminal offence has been committed you must decide whether to:

• conduct an investigation in order to determine whether any charges should be raised Chapter 3; or

• place the matter in the hands of the MOD Police.

It would be appropriate for you to conduct investigations in less serious cases involving, for instance, the completion of personal claims, records and certificates, low value theft and minor cases of assault.



You must call in the MOD Police in cases of serious fraud or theft, or where there appears to be a real potential for criminal charges. You may refer less serious cases to the MOD Police if you feel unable to conduct a comprehensive investigation or the initial enquiries suggest that the case may be less straightforward than had at first appeared. Once a matter has been referred to the MOD Police, you must take no disciplinary action in relation to the offence until police investigations are complete and any consequent court action is concluded. Alternatively, the case may be handed back to line management to be handled under internal disciplinary procedures. Criminal cases involving offences against the Department which result in acquittal by a court may still warrant internal disciplinary charges.

4.5 Serious fraud

Where there is prima facie evidence of serious fraud the senior line manager must call in the MOD Police. Decisions not to proceed with disciplinary action in cases of serious fraud, other than where the individual is being prosecuted, must be taken by the Head of Department after consultation with the appropriate Minister.

4.6 Gross misconduct An employee who:

• is convicted of a criminal offence against the UKHO or MOD; or

• is found guilty of an offence as a result of internal disciplinary proceedings will normally be dismissed, even for a first offence and without prior warning, if the offence falls into the category of gross misconduct. This is because such conduct destroys the essential trust between employer and employee.

Examples of the most common disciplinary and criminal offences falling within this category, but which should not be regarded as exhaustive, are:

• submission of false travel or subsistence claims;

• submission of false overtime claims;

• unauthorised borrowing or possession of public money or other public property;

• submission of false applications for season ticket advances, or failure

to notify changes to any details on the application;

• deliberate abuse of Flexible Working Hours schemes;

• dishonestly clocking on or clocking off;

• theft of UKHO/MOD property, including materials, office equipment, tools, stores, scrap etc;

• theft from a colleague, whether on or off UKHO/MOD premises;

• assault on a colleague;



• any instance of deliberate malpractice, deception, or falsification of documents;

• serious cases of harassment.

A case of potential fraud should only be treated as a gross misconduct offence when investigation shows that there was a clear intention to defraud. Advice on how to proceed in Flexible Working Hours cases is contained in Annex A-1. Chapter 3 Annex A-1

4.7 Trades Union representation Although normal disciplinary standards apply to members of staff who are Trades Union representatives, disciplinary charges must not be brought against a Trades Union representative until the senior line manager or personnel officer has discussed the circumstances with a senior Trades Union representative or full-time official. Such early consultation may cause management to reconsider the need for disciplinary action if there are special factors arising from the officer’s Trades Union work. Managers must take care to ensure that disciplinary action is not seen as an attack on the union’s function. Trades Union officials must be contacted again after the disciplinary hearing to let them know what penalty the deciding officer is minded to award.



Section 5 Suspension from duty as a precaution

5.1 When to suspend

Line managers may, after consulting personnel management, suspend an employee from duty when they consider such a course would be in the UKHO’s interest. Chapter 3 Annex C The circumstances in which this power may be exercised are:

• when the MOD Police advise that suspension is necessary for the conduct of their investigation;

• when criminal or UKHO charges are pending which (if proven) might lead to dismissal and where there is strong evidence against the individual; 1

• to allow a cooling-off period; for example after an act of serious insubordination; 22

• to remove an alleged harasser from the work environment of a

complainant until it is possible to identify a suitable alternative post. An employee suspended from duty may seek alternative employment during the period of suspension but must inform the line manager when taking up paid employment. 3

5.2 Action to be taken on suspension

On suspending a member of staff, the line manager, after consulting the personnel officer, must:

• send a letter on the lines of Annex C-2; Chapter 3 Annex C-2

• allow the individual to have reasonable access to the place of work, under suitable supervision, if they need to do so in order to prepare their defence in any forthcoming disciplinary hearing;

• inform the officer with power to dismiss if the suspension is to continue for

more than a day or two;

• ask the individual to complete a statement of income and expenditure and remind him or her that the services of the Welfare Officer are available if required; Chapter 3 Annex C-3& Annex K

• forward the statement of income and expenditure to the officer with power

to dismiss for a decision on any reduction to be made in the individual’s pay;

• inform the individual and the paying authority of any reduction to be

made. The individual must be given 2 months notice of the reduction; Chapter 3 Annex C-4

1 In these circumstances it might sometimes be more appropriate to transfer the person to other duties until the case is concluded, provided there would be no opportunity to commit further offences. In this case Anne C-1 can be used. 2 In this case suspension should normally be for no more than one day. 3 In these cases suspension will be on full pay.



• forward any appeals against the decision to suspend or the reduction in

pay to the officer with the power to dismiss; • initiate a review of the decision to suspend and of the level of pay at 2

monthly intervals and make any recommendation for change to the officer with the power to dismiss. Any change of financial circumstances, welfare reports and appeals by the individual should be considered.

The officer with the power to dismiss must consider each case for withholding pay on suspension on its merits, and any subsequent appeals against suspension and reduction in pay. The factors to be taken into account in determining whether, and if so how much, pay should be withheld are the employee’s financial commitments, whether the offence involved the loss of public funds, and the hardship that might be caused to the employee or his or her dependants. Where there exists good reason to withhold pay:

• the part withheld should not normally exceed half pay;

• it may be withheld in full where there are reasonable grounds to suppose that the individual has contributed to an irrecoverable loss of public funds amounting to £10,000 or more. The reduction should be made with immediate effect in these circumstances and should not await the expiry of 2 months.

Periods of suspension from duty as a precaution without pay will not reckon for pension purposes and will result in a reduction of the employee’s superannuation benefits.

5.3 Restoring of pay withheld during suspension If an employee who has had pay withheld in whole or in part during suspension is cleared of all offences, pay must be restored in full. If the employee is found guilty of any of the offences with which he or she has 4 been charged and he or she is not dismissed, the deciding officer must decide whether pay should be restored in full or in part.

5.4 Pay during legal detention

When an employee is sentenced to a term of imprisonment, detained in legal custody, or prevented from attending work by other legal restrictions, the line manager and personnel officer must ensure that pay is entirely withdrawn. In these circumstances, pay for the period of unavailability for work must not be restored, whatever the outcome of the case.

4 See Annex C, para 11.



Section 6: The charge letter

6.1 Action following investigation

When the investigation has been completed (Section 4), or the MOD Police hand a case back to the Department and any further investigation that may be necessary has been completed, and it has been decided that there is a case to answer, the line manager must:

• consult the personnel officer; Chapter 3 Annex D

• sign the charge letter, hand it to the individual and explain the implications and possible consequences.

6.2 The charge letter

Chapter 3 Annex D-1 The charge letter must:

• define the charge, set out the facts to support it and provide, and list, any documentary evidence;

• inform the individual that a disciplinary hearing will be held and that the

details of the date, time and place, and of the hearing officers, will be notified;

• inform the individual that he or she may accept the charge and request

that the matter is disposed of without a hearing;

• inform the individual that he or she may be accompanied at the hearing by a Trades Union representative or colleague;

• inform the individual that he or she may seek the assistance of the welfare

organisation. Chapter 3 Annex K If the case is one which could result in dismissal, the option to dispose of the matter without a disciplinary hearing must not be offered.



Section 7: The disciplinary hearing

7.1 Purpose and composition of the disciplinary hearing

The purpose of the disciplinary hearing is to resolve any doubts about the facts and to ensure that a clear picture is presented of the employee’s defence. The personnel officer will be responsible for appointing members of the disciplinary hearing who must:

• be independent of line management;

• have no personal interest in the case or any involvement in the events in question;

• be led by a hearing officer of at least pay band B3 or equivalent level, who

is at least 2 pay bands/grades/ranks above that of the offender; and

• include a civilian personnel representative whose function is primarily to advise on procedures.

A third officer may also be present to assist with the note taking for the record of the hearing.

7.2 The hearing

The hearing must be conducted in accordance with the guidance set out in Chapter 3. Facilities must be made available for the accused and his or her representative to be able to confer in private either before or during the hearing. Chapter 3 Annex E

7.3 Record of the disciplinary hearing After the disciplinary hearing, the hearing officer must:

• pass the record of the hearing to the employee and to his or her Trades Union representative or colleague, asking that it be signed as a fair and accurate record of the proceedings;

• request that the signed record be returned within 10 working days;

• incorporate, if possible, any amendments suggested into the record of

the hearing. The hearing officer must then prepare a report which must contain the record of the hearing (either as agreed by the employee and his or her representative or with their comments or alternative version attached). The report should include the hearing officer’s and the personnel officer’s joint conclusions and recommendations. The report must be passed to the line manager who issued the charge letter within 10 working days of receiving the employee’s comments. Neither the record of the hearing, the recommendations or the subsequent deliberations of the deciding officer should make any reference to any unsubstantiated allegations, or suspicions of other offences.



Section 8: Decision on the disciplinary charge

8.1 The line manager’s decision

When you, as the line manager, receive the hearing officer’s report and recommendation, you must decide whether the charge has been proved on the balance of probabilities. If the appropriate penalty lies within your delegated powers, you must:

• dismiss the charge; or

• award the penalty in consultation with the personnel officer. If the appropriate penalty lies outside your delegated powers, you must pass all the papers with your recommendation on the two points above, through the personnel officer to the senior line manager with the power to award the penalty.

8.2 Personnel managed centrally

If the employee is in a grade which is managed centrally, the personnel officer must consult with the grade manager before giving advice to the deciding officer.

8.3 Disciplinary penalties

The penalties which may be imposed for disciplinary offences are as follows:

• dismissal;

• downgrading, with a ban on promotion for (up to 3) years;

• loss of pay for one, five or ten days;

• restitution (a monetary payment recoverable by deduction from pay or otherwise); The penalty of restitution may be awarded in addition to another penalty.

• reprimand.

8.4 Interview by the Deciding Officer

The Deciding Officer must offer an interview to the employee in the following circumstances: • Cases where dismissal has been recommended by the Hearing Officer – e.g.

Gross Misconduct offences, where escalation of penalty imposed for a previous offence or offences applies.

• Where the Deciding Officer is minded to dismiss despite a recommendation of

a lesser penalty by the Hearing Officer. The employee will be invited to attend an interview with the Deciding Officer, (Letter at Annex H-3), and is entitled to be accompanied by their Trades Union representative or colleague. The purpose of the interview will be to provide the employee with the opportunity, in the knowledge that dismissal is a possible outcome, to make any representations direct to the Deciding Officer before the



final decision is taken. The interview shall be conducted in accordance with the guidance at Chapter 3, Annex H-4. Should the employee decline the opportunity of the interview this must be recorded and a decision made on the basis of the Hearing Officer’s recommendations and the comments made by the Manager where appropriate.

8.5 Awarding the penalty

If you are the line manager empowered to take the disciplinary decision (i.e. the deciding officer), you must notify the employee of the finding and the penalty awarded (Chapter 3 Annex H). You must convey the decision orally in the first instance or it may be done by the immediate line manager on your behalf. 5. But you must:

• confirm your decision in writing;

• warn the employee that any further offence may lead to more serious consequences;

• warn the employee if the penalty for the next offence is likely to be

dismissal;

• inform the employee of his or her right of appeal (Chapter 2, Section 9);

• inform, in confidence, the complainant in a harassment case of the outcome of the disciplinary action and any penalty awarded.

You should avoid sending notification of your findings and the penalty to an offending employee on sick leave without first seeking welfare or medical advice.

8.6 Effective date of penalty

If the employee does not appeal against a penalty less than dismissal within 5 working days of the date of the penalty letter, the penalty must be made effective. In the case of gross misconduct, dismissal is effective on the day the penalty is issued, if done in person, or 3 days from the date of the penalty letter which must be sent by recorded delivery. If dismissal is the result of an escalation of penalties appropriate notice must be given.6

5 Draft letter to be used in the case of penalties less than dismissal and in the case of dismissal are at Chapter 3, Annexes H1 and Chapter 3, Annex H2 respectively. 6 The notice to be given in these cases is:

Continuous service for: weekly paid staff monthly paid staff

up to 4 weeks 2 weeks) up to 4 weeks to 2 years 2 weeks) 5 weeks 2 to 3 years 3 weeks) 3 to 4 years 4 weeks) over 4 years 1 week plus 1 week for every year of

continuous service. Max 13 weeks.



Section 9: Rights of appeal

9.1 General

An employee who is awarded a disciplinary penalty short of dismissal or who is dismissed but is ineligible to appeal to the Civil Service Appeal Board may appeal through departmental appeals procedures. Appeals should be dealt with as a matter or urgency and, if possible, within the timescales set in Chapter 3, Annex I-1. The initial appeal must be made within 5 working days of the award of the penalty unless the employee can show good reasons for failing to meet the time limit. Unless the employee makes it clear that he or she does not wish to appeal, implementation of a penalty short of dismissal is to be deferred for 5 working days, and if the individual does appeal, pending the outcome of the appeal.

9.2 Appeals against dismissal

In cases of dismissal, the penalty letter must inform the employee of their right of appeal to the Civil Service Appeal Board (CSAB). A copy of Chapter 3, Annex I-2 should be enclosed with the letter. If the CSAB decide that the decision to dismiss was unfair and recommend reinstatement, PUS will decide whether to take the appellant back into MOD employment. If the CSAB reach a majority conclusion that dismissal was fair (ie they did not reach a unanimous decision) they will inform the appellant that he or she has a further right of appeal to PUS. If the employee is ineligible to appeal to the CSAB, the penalty letter must advise that he or she may appeal against the dismissal decision through the MOD appeals procedure (see paragraph 9.3 below).

9.3 Departmental appeals procedure

An employee who wishes to appeal against a penalty less than dismissal, or who is ineligible to appeal to the CSAB in a case of dismissal, must do so within 5 working days of the date of the penalty letter. (Chapter 3, Annex I-1.) Stage One Departmental appeals against disciplinary decisions are to be submitted in writing to the officer who awarded the penalty, that is, to the deciding officer. The appellant should indicate whether he or she is appealing against the finding or against the severity of the penalty or both. Arrangements are to be made for the employee, who will be entitled to be accompanied by a Trades Union representative or a colleague, to be interviewed by the deciding officer accompanied by the personnel officer within 10 working days of receiving the appeal. An agreed record of the interview is to be made in writing and a copy handed to the appellant within 5 working days. They should be asked to return it within 10 working days to confirm that it is a fair and accurate record of the proceedings or offer comments. The deciding officer may dismiss the charge. If he or she does not do so the case must be referred to their immediate line manager for a decision. A full explanation for the decision must be conveyed to the appellant in



writing, together with details, if necessary, of the further right of appeal and the name and address of the officer to whom it should be submitted. Stage Two If the employee is not satisfied, he or she may appeal to the Chief Executive holder setting out clearly, in writing, the grounds of appeal and the remedy desired. He or she may be assisted by a Trades Union representative or a colleague to ensure the adequate and proper presentation of the written appeal. There is no interview at this stage. The senior personnel adviser in the agency must ensure that all the papers relating to the disciplinary proceedings and stage one of the appeal are made available to the Chief Executive in order that they may consider the appeal. The Chief Executive holder must provide an explanation for their decision in writing and, if necessary, advise of the further right of appeal to PUS. Stage Three If the individual does not accept the Chief Executive’s decision, he or she may appeal to PUS. He or she may be assisted by a Trades Union representative or a colleague to ensure the adequate and proper presentation of the written appeal. The written appeal should be submitted through the Chief Executive. The Chief Executive should forward all the papers relating to the appeal to PUS through DGCPHROps - Conduct . There will be no further interview at this final stage of appeal. PUS’ decision on the appeal will be final and will be explained to the appellant in writing. The aim will be to let the employee have a reply as soon as possible. Number of appeals The procedure described above allows for 3 levels of appeal. Grade and line management levels may make it impossible to accommodate that number of levels. In these cases it may be necessary for the Chief Executive to consider the appeal at the first level and PUS the second. In some cases there may be a single right of appeal to PUS. When PUS has awarded a disciplinary penalty, the individual will have a right of appeal to the Head of the Home Civil Service.

9.4 Single route of appeal

Appeals against disciplinary findings and penalties must follow the procedures described in this section. They are similar to those for handling grievances and it is not intended that employees should have the right of appeal through both avenues. Note 1: The guidance in Chapter 3, Annex E on conducting disciplinary hearings also applies to first appeal hearings. An appellant is entitled to be accompanied by a colleague or a TU representative at any interview conducted as part of the formal appeal procedure. This is a statutory right under the Employment Relations Act (1999). It is not usual to recall witnesses at appeal hearings unless new evidence which has not previously been considered is presented by the employee. Second and subsequent appeals will be in written form only.



Section 10: Cases where two or more people are involved7

10.1 Employees in the UKHO

Where investigations reveal that 2 or more employees, industrial or non-industrial, are involved in irregularities and that disciplinary action must be taken, their cases must be handled as follows:

• they must each receive charge letters from their own line manager;

• the disciplinary hearings must be conducted by the same hearing officer and personnel officer;

• the hearing officer must be at least 2 pay bands/grades/ranks above that

of the most senior of the persons charged;

• 8there will be one deciding officer who must be a line manager of the most senior of the persons charged. The deciding officer must be at least 2 pay bands/grades/ranks above that of the most senior of the people charged. The deciding officer must not be the immediate line manager of the most senior person charged if the penalty awarded to that person is likely to be dismissal: the decisions must be taken, in these circumstances, at a higher level in the management chain;

• appeals against the finding or penalty must follow the procedures

described in section 9.

• if the employees are managed by different line or personnel officers, the personnel officers must keep in touch to avoid unjustified disparity of treatment. Particular attention may need to be paid when considering downgrading two employees at different levels within a broad pay band.

10.2 Employees in different TLBs When employees in different TLBs are involved in the same offence, line managers must decide who should take the lead in conducting the investigation. They should then consider whether charges should be raised. If disciplinary action is necessary they must proceed as follows:

• issue charge letters to members of their own staff;

• ask personnel staffs to appoint a hearing officer, who must be at least 2 pay bands/grades/ranks above that of the most senior offender, and a personnel representative, to conduct the disciplinary hearings;

• consider the hearing officer’s reports and, in consultation with personnel officers, award the appropriate penalties to their own staff; Note 2

7 This section does not apply to civilian staff if one civilian and one or more Service men or women or members of the

MDP are involved. The civilian cases should be dealt with under the earlier sections of this chapter: Service personnel and MDP under separate procedures. 8 See Section 2-2 regarding the minimum levels at which penalties may be awarded and at which personnel advice must be given to deciding officers.



• any appeal against the finding or penalty must be handled in the

appellant’s TLB in accordance with the procedures described in section 9, but personnel officers must keep in touch to avoid unjustified disparity of treatment.

10.3 Appeals involving more than one person

Where more than one employee is involved in an offence or related offences, appeals by individuals must not be held up so that all appeals may be dealt with together. This is particularly important where one of the individuals has the right of appeal to the Civil Service Appeal Board. Each appeal must be dealt with separately and as quickly as possible. Where the employees are managed by different personnel authorities, personnel officers must ensure there is no unjustified disparity of treatment.



Section 11: Criminal convictions

11.1 Arrests and court appearances

An employee who is arrested or is given a Police caution or is charged to appear before a criminal court must report the facts to a senior line manager. The line manager must arrange for an officer not below pay band B3 to be present in court as an observer. The observer must produce a report to provide background information for use in any subsequent departmental proceedings. CONDUCT If asked by anyone at the court to say what the effect of conviction would be on the accused person’s employment with the UKHO, the observer should answer that it is not a matter they can comment on. The observer should make it clear that he or she is unable to forecast the outcome of any departmental action that may be taken. Chapter 3 Annex F-1

11.2 After the court appearance

When an employee is found guilty of an offence by a criminal court, a senior line manager (at least pay band C2 or equivalent level and at least 2 pay bands/grades/ranks above that of the employee) must consider the court observer’s report. He or she must also ask the employee to report the outcome of the court appearance, if the employee has not done so already. Chapter 3 Annex F The senior line manager must then decide whether the employee’s conviction should be regarded as:

• a private-life conviction; or

• a conviction which impinges on the employer/employee relationship.

11.3 Private life convictions If a conviction has no direct bearing on any aspect of the employee’s suitability for employment with the UKHO, the senior line manager must, after consulting the personnel officer:

• inform the employee that the conviction has been noted on the personal file and warn that, if he or she comes to notice again, the consequences are likely to be more serious; Chapter 3 Annex F-2

• copy this letter to the personnel officer for the employee’s personal file

together with a copy of the employee’s report on the conviction. Copy the letter and attachments to the appropriate security directorate.

11.4 Convictions which impinge on employer/employee relationship These convictions may include:

• convictions for offences against the UKHO or MOD;

• offences committed against employees of the MOD or UKHO or contractors’ staff;



• offences which, either by their nature or by the fact that the individual has offended on previous occasions, make the individual unsuited for continued employment with the UKHO/MOD, or for continued employment in his or her present grade or post;

• offences committed while on duty or on official premises;

• offences which result in custodial sentences. When a senior line manager decides that the employee’s conviction impinges on the employer/employee relationship, he or she, after consulting the personnel officer, must:

• inform the employee that it is necessary to consider the effect of the conviction on his or her service with the UKHO; Chapter 3 Annex F-3

• invite the employee to attend a hearing accompanied, if he or she wishes,

by a Trades Union representative or colleague. The hearing must be constituted, and must conduct its proceedings, in accordance with the rules set out in section 7 of this chapter.

The purpose of the hearing is not to reconsider guilt or innocence or to impose additional penalties. These are judgements already made by the court and it is important that the UKHO should not seem to be going over the ground again and punishing the employee for the same offence. The UKHO is concerned only with the effect of the conviction on the employee’s service. That is, whether the offence is such as to call into question his or her fitness for the job and, if so, whether dismissal or removal to other work is appropriate, or whether the offender should simply be informed that a serious view is taken of the conviction, coupled with a warning about future conduct. After considering the record of the hearing and the hearing officer’s recommendation the senior line manager must consult the personnel officer. The line manager may then dispose of the case but, if dismissal would be appropriate and the power to dismiss does not fall within his or her delegated powers, the papers must be submitted to the line manager with the power to dismiss.

11.5 Custodial sentences It is important to seek advice promptly from DGCPHROps-Conduct before action is taken on custodial sentences. Chapter 3 Annex F



Section 12 : Monitoring

12.1 So that the Department can monitor compliance with rules in this volume and to achieve consistency through the MOD, personnel officers must report all criminal and private life offences to DGCPHROps-Conduct. The report must be sent as soon as the penalty has been awarded but without the supporting case papers. DGCPHROps-Conduct will wish to know if the penalty is quashed or reduced on appeal. Chapter 3 Annex M



Chapter 3 Supporting Annex A: Major offences (To be read in conjunction with Chapter 2, Section 4)

1. Like many managers, you may never have to deal with a major offence in your whole career. If you do, however, you must deal with it promptly and carefully and involve the personnel officer throughout. You must ensure that there is clear prima facie evidence that an offence has been committed before you raise a charge and that the offender ought to have been aware that the likely consequences of his or her conduct would be disciplinary action. If there is room for doubt a more appropriate response to a first offence may be a warning.

2. Remember that the alleged offender has the following rights. He or she:

• must be told exactly what the allegations are;

• must be given details of the evidence on which the allegations are

based;

• must have an opportunity to state his or her view of the facts;

• must be allowed to bring evidence to the attention of an unbiased assessor;

• must be allowed to be accompanied and represented by a trades

union representative or a colleague;

• must have any penalty imposed properly explained;

• must be informed that he or she has the right of appeal.

3. Remember too that the deciding officer in a disciplinary case has to have

reasonable grounds, on the balance of probabilities, for believing the alleged offender to be guilty. It is not for the offender to prove his or her innocence.

4. Whilst in a criminal trial guilt must be established beyond reasonable

doubt, in UKHO disciplinary proceedings the deciding officer must only be satisfied on the balance of probabilities that the offence has been committed by the alleged offender.

5. Timing

Remember that it is important to deal with disciplinary cases promptly. This is particularly so in cases of dismissal, where serious delay might persuade an appeal body that dismissal was unfair. Line managers should normally aim to award a penalty within 2 months of the issue of the charge letter.



Volume 5 Discipline Annex A-1: Common types of offence Offences relating to absence from work

1. These range from short periods away from the workplace to periods of days away from the unit.

2. Local standing orders should give clear instructions about what members

of staff should do if unexpectedly unable to come to work. If a member of staff is absent from work and does not call in, it is your responsibility as line manager to try to find out why the person is absent. You should make every effort to find out why, and do your best to see that the employee receives your communications; you may need to involve the Welfare Officer.

3. On the second day of an unexplained/unauthorised absence you should

send a letter by recorded delivery setting out the efforts which are being made to establish contact and telling the employee to respond by a specified date. A suggested draft is at Annex A-1a. If the employee does not make contact by the date specified, a second recorded delivery letter should be send giving a final chance for the employee to provide an explanation and including a clear warning that continued failure to reply or make contact by a further specified date will lead to dismissal on that date. A suggested draft letter for this purpose is at Annex A-1c. It is most important that the letters at Annex A-1b and Annex A-1c should be signed by, or clearly on behalf of, the line manager with the delegated authority to dismiss. The officer with the authority to dismiss should be kept fully informed at all stages.

4. If the member of staff returns to work or otherwise makes contact during

this process but does not provide a satisfactory explanation, you should take disciplinary action and charge the employee with the offence of being absent without leave. Where there are further instances of an employee failing to report absences correctly further disciplinary action should be taken, on each occasion, which may ultimately result in dismissal.

5. In the case of an employee being away from the workplace for part of a

day without authorisation and giving no satisfactory explanation, you may take disciplinary action and charge the offender with the offence of being absent from place of duty.

Poor timekeeping

6. A standard should be set which you should be sure all employees know about and you should apply it consistently. Whenever someone does not comply you should investigate thoroughly and take into account any mitigating circumstances. Poor timekeeping and absenteeism are frequently attributable to domestic problems and you should involve the Welfare Officer if someone persistently offends. Nevertheless, you should take firm disciplinary action at an early stage; so that your member of staff is left in no doubt that you do not condone the behaviour. Any warnings you give should be followed by a disciplinary charge if there is further lateness within 6 months.

Offences arising from negligence



7. Negligence arises if an employee fails to take reasonable care at work.

Only if it can be considered culpable negligence does it become a disciplinary offence. For a disciplinary charge of culpable negligence to succeed it must be proved that the negligence was:

• not due to lack of capability or training;

• not due to medical or welfare factors;

• not due to working conditions outside the employee’s control;

• not due to unclear instructions for the work;

• not due to inadequate supervision.

8. If your initial investigations indicate that an incident has arisen from

culpable negligence, you may bring charges. However, if the alleged offender’s reply brings to light factors that contributed to the incident and which lead you to conclude that it was not culpable negligence, you may drop the charges.

Refusal to obey a reasonable instruction

9. There must be an element of wilful disobedience for this to be a disciplinary offence. You must establish that the instruction was reasonable and, in particular, that the task fell within the employee’s job description or what is reasonable for the grade. You should try to find out the reason for the refusal before bringing charges. You will be able to avoid disciplinary action altogether if you can persuade the alleged offender that it is not in his or her own interests to continue to refuse to do the task.

Insubordination

10. If an employee not only refuses to obey an instruction but is also deliberately disrespectful to a senior officer in the process, the employee may be guilty of the offence of insubordination.

Drunkenness on duty

11. Being drunk on duty becomes an offence if it is clear that the employee is unfit for duty as a result of the effects of alcohol. In some jobs, even a modest level of inebriation will adversely affect safety and a charge would be appropriate. You should be sure that the employee’s behaviour does not result from a health condition or from medication. The charge would be “unfit for duty owing to the effects of alcohol”.

12. You will normally send the person home on the day of the offence and

start disciplinary action the following day. However, if it seems likely that the offender will recover enough to be able to go back to work, it may be better to allow some recovery time in a rest room.



13. You should call in the welfare service in cases of repeated drunkenness. The Welfare Officer will advise if a medical opinion would be appropriate. You will 9 find more guidance in volume 7 of this manual. CONDUCT

Abuse of Flexible Working Hours scheme

14. It is important to distinguish between misuse and deliberate abuse of the flexible working hours scheme. For instance, where employees accumulate significant amounts of debit, disciplinary action is not appropriate. On the other hand, any abuse which attempts to gain credit for time not worked is a disciplinary offence for which the normal penalty would be dismissal. Some examples of deliberate abuse of flexi time are:

• keying out for only part of the lunch break taken;

• submitting a flexi working hours credit slip for annual leave when no

annual leave has been deducted from the annual leave form; remaining at work at the end of the day while reading magazines or otherwise clearly not working, but still clocked in;

• keying in for colleagues who have not returned to work or keying out

for colleagues who have already left.

15. To be able to charge someone with a disciplinary offence, you must be satisfied that there was a deliberate attempt to use working time for other purposes. Normal social communication is not abuse of flexi time; if social interaction gets out of hand you might take warning action, treating it as absence from the place of work.

9 See also Annex C of the CONDUCT volume regarding the action to be taken by a line manager when he or she suspects that a member of staff is suffering from drug misuse or is involved in buying or selling illegal drugs on UKHO premises.



Volume 5 Discipline Annex A-1a: Absence without leave for more than one day –

first letter UKHO CRESTED PAPER TO BE USED By Recorded Delivery 1. I am writing concerning your continued unauthorised absence from work since

[...date...] and, because you have not provided a satisfactory explanation for it, to inform you that your pay has been stopped with effect from [...same date...].

2. Enquiries have been made in the branch, HR and with the Welfare Officer to

check whether you have notified anyone as to the reason for your absence. To date these enquiries have produced no evidence that you have tried to contact us.

3. If you have a personal problem or other cause for worry with which you would

like help, you may telephone the Welfare Officer, [...name...], on [...telephone number...]. If you wish to speak to me about any problem or other matter concerning your employment, please telephone me on [...telephone number...].

4. Whether you intend returning to work or not, will you please contact me

without further delay to explain the reason for your continued absence, and to let me know if and when you expect to return.

5. You are reminded that failure to notify the reason for non-attendance is a

disciplinary offence. 6. Finally, I must warn you that, if you fail to return to work or provide a

satisfactory explanation for your absence by [...date 7 calendar days from date of letter...], action will be taken which could lead to your dismissal.

Copy to: Personnel Office Welfare Officer



Volume 5 Discipline Annex A-1b Absence without leave for more than one day –

second letter MOD CRESTED PAPER TO BE USED By Recorded Delivery 1. A letter dated [...date...] was sent to you reminding you that failure to notify

the reason for your non-attendance is a disciplinary offence which may result in your dismissal.

2. Further enquiries within your branch and with the Welfare Officer have produced no evidence that you have tried to contact us to give an explanation for your continued absence. 3. I would like to take this opportunity to reiterate that you may telephone the Welfare Officer, [...name...], on [...telephone number...]; your Grade Manager, [...name...], on [...telephone number...]; or myself on [...telephone number...], if you wish to discuss any matter concerning your employment. I strongly advise you to do this. 4. Should you fail to return to work or provide a satisfactory explanation for your absence by [...date 7 calendar days from date of letter...], you will be dismissed with effect from this date. [The letter should be signed by, or clearly on behalf of, the officer with the power to dismiss] Copy to: Personnel Office Welfare Officer



Annex A-1c Absence without leave for more than one day –

third letter

MOD CRESTED PAPER TO BE USED By Recorded Delivery 1. You have been absent from work without authority since [...date...], and I

wrote to you on [...date of first letter...] and [...date of second letter...], asking you to return to work or to provide a satisfactory explanation for your absence. You have been offered the assistance of both the UKHO and the Welfare Officer in helping you to return to work. 2. Despite these efforts and warnings, you have still failed to report for duty or

to provide an explanation for your continued absence. You are therefore dismissed with effect from [...date of today’s letter...]. either For employees with less than one year’s service, or who have reached minimum pensionable age*: 3. As you have been employed for less than one year*/reached the minimum

pensionable age*, you do not have the right of appeal to the Civil Service Appeal Board. You do, however, have the right of appeal to [...details of the appointment of the person above the one who made the decision to dismiss...], who will make a decision on it. If you wish to make such an appeal, you should do so within 5 working days of the date of this letter. You should submit your appeal to [...person who made the decision to dismiss...]. I enclose Section 9 from Volume 5 of the MOD Personnel Manual which sets out the procedure which you should follow in lodging an appeal.

Or For employees with at least one year’s service and under minimum pensionable age*: 3. You have the right to appeal to the Civil Service Appeal Board against the decision to dismiss you. If you wish to make an appeal, you should do so within three months of the date of this letter. I enclose Annex I-2 from Volume 5 of the MOD Personnel Manual, which sets out in detail the procedure which you should follow in lodging an appeal. I recommend that you read this. [The letter should be signed by, or clearly on behalf of, the officer with the power to dismiss] Enclosure: MOD Personnel Manual, Volume 5, Section 9 Annex I-2 Copy to: Personnel Office [* Select which is appropriate] [**Include if appropriate]



Annex B Investigations (To be read in conjunction with Chapter 2, Section 4, paragraphs 4.2 and 4.4) 1. It is essential that the facts are established before proceeding with disciplinary

action. 10 This means that an investigation must be conducted. The line manager must explain the reason for the enquiry to those he or she intend to interview and inform them that they may be accompanied by a Trades Union representative or colleague at the interview. Written statements should be obtained where appropriate. If a serious offence comes to light while the suspected offender is on leave, he or she may be recalled at the discretion of a senior line manager or an explanation requested by post. If the person is on sick leave, an explanation may be requested by post. Care should be taken to ensure that the individual’s health is not adversely affected by such action; consideration should be given to consulting either his or her GP through the Occupational Health Service, or the Welfare Officer.

2. When there is reason to suspect that a criminal offence has been committed,

line managers have discretion to decide whether to conduct investigations into these cases and proceed with disciplinary action on the evidence obtained or whether to place the matter in the hands of the MDP. MDP investigations may result in prosecution and they must be conducted very thoroughly. They inevitably take time to complete and disciplinary action, if justified, may not be taken until court action is complete or the MDP hand the case back to line management. Until that happens, the employee may be suspended, possibly on a reduced level of pay, and the unit is required to provide cover for the vacant post.

3. There is a significant management advantage to the UKHO in dealing with

cases through internal disciplinary procedures rather than through the criminal courts. This is because internal proceedings can be very much shorter than criminal ones and the burden of proof (“reasonable grounds for supposing on the balance of probabilities” instead of “proof beyond reasonable doubt”) is different. If an internal case is based on admissions or witness statements obtained by the MDP, the agreement of the witness must be obtained before using such documents as evidence. Similarly, MDP agreement is needed for the release of any part of a police report.

4. There is no legal requirement to call in the MDP to conduct investigations.

Many of the cases referred to them are within the competence of line managers to investigate. Examples of the most common offences falling within this category are:

• deliberate abuse of the Flexible Working Hours Scheme; • false application for a season ticket advance, or failing to notify

changes to an application; • false claims, including travel and subsistence; overtime; lodging

allowance; application for excess fares; • submission of false sick certificates; • dishonestly clocking on and off (including false information on a time

card/attendance record); • falsification of annual leave record;

10 Investigations into formal complaints of harassment are dealt with under the procedures described in Volume 13, Annex G.



• misuse of official facilities (e.g. running a business on a MOD computer);

• unauthorised use of MOD property (e.g. ‘borrowing’ of tools); • unauthorised use of an official hire vehicle; • false accounting (e.g. falsification of entries to keep a book straight;

forging a senior officer’s signature to destroy documents); • minor and low value theft of MOD property; • minor cases of assault (the MDP must be consulted in all other cases).

It is not intended that the MDP should be completely excluded from conducting investigations into these categories of offence. Line managers may call in the police if they feel unable to conduct an investigation, and should do so if initial enquiries suggest that the case may be less straightforward than had at first appeared. They must call in the MDP in cases of serious fraud or theft, or where there appears to be a real potential for criminal charges. Some disciplinary offences may be evidence of systematic or more persistent criminal misconduct, which may not be readily apparent. It is, therefore, essential that line managers inform the MDP whenever they conduct an investigation into any one of the offences listed above.

5. Once a police investigation has been initiated, whether by line management or

by or on behalf of an individual complainant, no further investigation should be carried out by an officer other than a police officer. The line manager should, however, check with the MDP at monthly intervals on the progress of police enquiries/investigations. Until the police investigation is completed and any resulting court case concluded, disciplinary action should not be considered without the agreement of the police.

6. With the agreement of the police, if their investigation is incomplete,

disciplinary action may be taken on charges related to, but not dependent upon, those which may be the subject of court proceedings. For example, an individual who is accused of stealing funds and absenting himself from duty without leave (AWOL) may be the subject of an internal disciplinary charge on the AWOL offence while he or she awaits the outcome of the investigations into the theft, as long as it is absolutely clear that disciplinary action taken by the UKHO can in no way be interpreted as prejudging the issue before the court. In the case quoted, for example, the defence against the theft charge might be that she or he was at work at the time in question.

7. Some incidents which have led to criminal proceedings may have exposed

obvious weaknesses in UKHO internal procedures which, in the interests of safety, security, or accountability for public funds or materials, need to be remedied as quickly as possible. In these circumstances line management may initiate an investigation with a view to revising the rules and/or procedures before any court verdict is known provided that the police are consulted beforehand to ensure that such an investigation will not prejudice their case in any way. Any investigation conducted before the outcome of criminal or disciplinary proceedings is known must confine itself to rules and procedures and avoid any consideration of the involvement of individual employees.

8. After investigating the suspected offence, the MDP will report to line

management that:

• there is a prima facie case for prosecution and they will consult the CPS; or



• �although there is a prima facie case for prosecution, it is considered that the matter is one which should be handled internally. Line management should then arrange for internal disciplinary action to be taken without delay;

or • there is insufficient evidence for prosecution. The police evidence and any

internal evidence should then be carefully considered and a decision taken on whether to proceed with internal action; or

• they have issued a formal ‘Police Caution’. This is not a conviction and, for internal purposes, it can be treated as prima facie evidence leading to internal disciplinary action. Internal action should always follow an MDP Police Caution, and must follow the normal disciplinary procedures (see Annex G).

9. In cases where the MDP proceed with prosecution, line management must

ensure that MOD has an observer in court.



Volume 5 Discipline Annex C: Suspension Annex C Suspension from duty as a precaution (To be read in conjunction with Chapter 2, Section 5) 1. The UKHO’s case at CSAB or Industrial Tribunal in support of dismissal may be

undermined if it is based on the breakdown of the position of trust between the employer and employee and yet, while charges are pending, the employee were to continue his or her normal work. Continuing to employ any individual on his or her normal duties, might be taken, at a subsequent appeal against dismissal, to demonstrate that the position of trust had not broken down to the point where dismissal was the only reasonable disciplinary response. In all cases where dismissal may be the appropriate penalty, therefore, and as soon as prima facie evidence emerges, employees should be suspended.

2. The main circumstances in which suspension as a precaution should be used

are:

a. where it is essential to the investigation of the offences (see paragraph 3 below);

or

b. where there is strong prima facie evidence that the position of trust between employer and employee has broken down to such an extent that it would plainly be against the UKHO’s interest to keep him or her at work in any capacity.

3. If MDP are investigating the case their advice should be sought. Should they

consider that an employee’s presence is detrimental to the pursuance of their enquiries he or she should be suspended. They should however be asked whether this restriction would apply to employment in another area of the Office and to advise should a stage in their investigations be reached when the employee’s presence at work would not impede the case. If they do so advise, the personnel officer should consider whether paragraph 2b above applies.

4. In exceptional circumstances it might be more appropriate to restrict the

employee’s duties (eg remove countersigning duties), or move the employee to another post, if necessary in a lower grade at mark-time pay and with close supervision. In this way the UKHO can show that the employee had not been allowed the same degree of trust as hitherto but had been employed temporarily on tasks which did not allow the freedom to commit like offences. Where it is decided not to suspend in these circumstances, a letter along the lines of Annex C-1 should be send to the employee.

5. When a decision is made to suspend an employee, the line manager must

inform the individual at once. A suggested letter is at Annex C-2. Where the individual involved is on sick leave, suspension action should always be postponed until the employee returns to duty. A period of suspension, once started, cannot subsequently be altered to sick leave. The Welfare Officer should be notified of each case of suspension by receiving a copy of the



suspension letter. If the period of suspension is likely to be lengthy (this should only be necessary due to a continuing police investigation) the line manager, if not directly involved in the investigation, may wish to keep in touch with the employee. The Welfare Officer should be asked to maintain regular contact with the employee and report any changes in personal circumstances, domestic or financial. The employee should not feel cut off from the UKHO whilst suspended as a precaution and he or she should be allowed reasonable access to his or her place of work,

under suitable supervision, in order to prepare for his or her defence in a disciplinary hearing. 6. Withholding pay on suspension

The letter of suspension should require the employee to provide a statement of expenditure and income from all sources. The assistance of the Welfare Officer in preparing the statement (Annex C-3) should be offered. The financial statement should be submitted to the officer who has the power to dismiss, together with any comments the line manager may wish to make, and an outline of the case. The level of pay on suspension should be decided by the officer with the power to dismiss.

7. The UKHO should normally maintain an employee’s pay during suspension at

a level which will avoid undue hardship. Suspension should initially be on full pay and, thereafter, the maximum by which pay is generally reduced is 50%. However, as soon as it becomes clear that the offence involves a major, irrecoverable loss to public funds (in excess of £10,000), pay should be reduced to NIL.

8. When a reduction to NIL pay is not applicable the factors to be considered

when assessing a reduction in pay are:

• �the total family income, including savings; • 11 essential outgoings (food, accommodation, heating, lighting, etc) for the

employee and his or her dependants; • mortgage payments and essential insurance payments. Other loan

repayments are normally restricted to the minimum repayment figure; • the reduction in pay should not give rise to any knock-on effects (e.g.

telephone rental is allowable to avoid disconnection and later reconnection fee);

• normally all allowances which are not dependent on actual attendance at place of work (e.g. Additional Housing Cost Allowance) would be paid, but taken into account when assessing the reduction to be applied to salary or wages. HR Policy Team should be consulted about overseas allowances. Overtime payments would only be applicable if part of, and written into, conditions of service.

9. The decision on pay will be conveyed to the employee giving 2 clear months

notice of the reduction to be imposed (but see paragraph 7 above, last sentence). The letter should point out that the level of pay on suspension is subject to review and that any change in circumstances should be reported. Reviews of the decision to suspend and of the level of pay should be initiated by the line manager at 2 monthly intervals and any recommendation for change or representation from the employee passed to the officer with the power to dismiss for decision. The employee should also be informed that he

11 1 Allow £150 per adult and £100 per child under 12 for food, clothing and toiletries.



or she may be eligible to claim state benefits and that if he or she wishes he or she may obtain other employment pending consideration of his or her case, but that if he or she does, any pay in issue from the UKHO may be withdrawn. A draft is at Annex C-4.

10. When, after a reasonable period, an employee refuses to provide a financial

statement, he or she should be informed in writing that his or her pay will be reduced by half on a certain date – (ie at least 2 months notice of reduction is to be given) and will remain at that level until he or she provides sufficient financial evidence to indicate that this decision is causing undue hardship, whereupon consideration will be given to adjusting the level of pay in issue.

11. As soon as it appears that suspension is no longer warranted, the employee

should be returned to work on full pay, although if pay has been withheld on suspension, no decision on refunding it can be taken until the case is concluded. If the employee is cleared of all offences, all pay withheld in respect of a period of suspension from duty as a precaution may be paid on return to normal duties. If an employee is found guilty of the offence and the penalty of dismissal is imposed any pay withheld during suspension will be forfeited. However, where an individual is found guilty of the offence, and dismissal does not result, the deciding officer has discretion to restore all or part of the pay withheld during the period of suspension. The appropriate PPA branch should be notified so that they may take the necessary action.

12. Withdrawal of pay during imprisonment, detention or remand in custody: The procedures described above do not apply where the employee is sentenced to a term of imprisonment or detention, or has been charged and remanded in custody awaiting trial, or is prevented for any legal reason from attending work (eg specific conditions of bail). In these cases pay should be withdrawn entirely by the personnel officer as soon as the circumstances are known, and he or she should be informed in writing that this action is being taken.



Annex C-1: When suspension has been considered MOD CRESTED PAPER TO BE USED

1. In the light of .................................................................................................................. consideration has been given to suspending you from duty in accordance with Section 5 of Chapter 2 of MOD Personnel Manual, volume 5.7 It has however been decided that you may remain at work subject to the following restrictions:

..................................................................................................................

.................................

..................................................................................................................

................................. 2. These restrictions are considered necessary in the light of the serious

allegations that have been made against you and the known facts of the case.

Copy to: Personnel Office Security Welfare Officer



Volume 5 Discipline Annex C-2: Suspension letter MOD CRESTED PAPER TO BE USED

1. In the light of ............................................................................................... I have decided to suspend you from duty in accordance with section 5 of Chapter 2 of MOD Personnel Manual, volume 5. A copy of this section is attached.

2. Suspension will take effect from the date of this letter and will continue

until this matter is resolved. [...Ministry of Defence Police*/Departmental*...] enquiries are currently under way. I will tell you when they are complete and what action will be taken as a result. You are required to relinquish your MOD pass but if you need access to the site (e.g. to prepare your defence) you may contact me to make arrangements.

3. Suspension will initially be on full pay but the UKHO will thereafter

consider whether pay should be withheld in full or in part. In order that the decision

on this may be made in full knowledge of your personal circumstances you are required to submit to me by [...allow 10 working days...] a full statement of [...your*/your family*...] expenditure and income from all sources, and I enclose a proforma which you should complete and return to me.

4. You may wish to ask the Welfare Officer, who is familiar with what is

required, to help you in preparing this statement. Your Welfare Officer is: [...Name, address, telephone number...]

5. You must inform me of any change in your circumstances while you are

suspended; particularly if you take temporary employment. Throughout the period of

suspension the services of the Welfare Officer are available to you and you are encouraged to contact the Welfare Officer if you feel that suspension is causing you personal or domestic problems.

Copy to: Personnel Office Welfare Officer Parents/Guardian of Apprentice Security Pay Section * Select which is appropriate



Annex C-3: Financial statement Name ......................................................................................................................................... Grade ......................................................................................................................................... Net monthly pay [indicate overtime] – self £ Net monthly pay] - spouse £

[before any deductions for travel loans or housing Family Allowance [per month] [state number and age of children] £ Other Income [e.g. interest and dividends from savings are regarded as income] £ Total monthly expenditure: Mortgage £

Rent £ Council Tax £ Water £ Gas £ Electricity £ Solid Fuel/Oil £ Telephone (Rental charge only) £ Food, clothing and toiletries £

Insurances: Car Insurance £

Building Insurance £ Mortgage Protection £ House Contents £ Other – please specify £

Debts: [List all creditors as in example]

Creditor Total Debt Minimum monthly repayment eg Barclaycard £500 £25

Comments: If there are any other expenses or special factors which you feel should be taken into consideration in determining the level of pay in issue during suspension, please state here. The Welfare Officer is available to assist you as necessary. ................................................................................................................................................... .................................................................................................................................................... Signature ............................................................................ Date ....................................................................................



Volume 5 Discipline Annex C-4: Pay on suspension MOD CRESTED PAPER TO BE USED

1. Thank you for providing a financial statement in your letter of [...date...].

2. Your statement has been carefully considered and I have decided that [...%...] of your gross pay should be withheld with effect from [...date 2 months from the date of letter unless pay is withheld in full...]. You are reminded that your pay on suspension will be reviewed periodically and, as a result of those reviews, may be subject to further variation. You should keep the UKHO informed of any change in your circumstances that may have a bearing on these reviews.

3. If you find that this reduced rate of pay is insufficient for your essential

needs you may be eligible for state benefits. Also, if you wish to claim that this decision will cause you severe hardship, I would strongly advise you to seek the assistance of the Welfare Officer in preparing a more detailed financial statement. Your Welfare Officer is [...Name, address, telephone number...]

4. Should you obtain temporary employment during your suspension you

must inform this Office so that your pay can be reassessed. Copy to: Personnel Office Welfare Officer Pay Section



Volume 5 Discipline

Annex D: Drafting disciplinary charges

(To be read in conjunction with Chapter 2, Section 6)

1. No attempt should be made to use legal language or form. A suggested draft is at Annex D-1. The charge should:

• state clearly and concisely the facts relied upon to support the charge but avoid direct quotation from privileged documents. Vague terms such as “fraud” and “false accounting” should be avoided: specific instances giving details should be included where possible;

• state the evidence which illustrates that an offence has been committed and attach copies of that evidence. Statements made by witnesses and statements or signed confessions by the accused must be attached. The overview to MDP reports should not be made available to the employee, although written statements and other exhibits supplied by the police may be used as evidence. In cases which have been investigated by a Harassment Investigating Officer, the Officer’s report should not be made available to the employee although signed records of interviews and other documentary material may be used as evidence. Management should ensure that witnesses who are not MOD employees have given their permission for the UKHO to use their statements for internal disciplinary purposes;

• refer, where possible, to any regulation alleged to have been

broken, quoting a reference or providing a copy of the text;

• avoid any presumption of guilt, however strong the evidence; let the evidence speak for itself.

2. If the employee has not been warned on a previous occasion that further

disciplinary action may result in dismissal, and if he or she is not being charged with a gross misconduct offence, the individual may be offered the option of accepting the charge and concluding the matter without the formality of a disciplinary hearing. An optional paragraph is included in the draft letter at Annex D-1.

3. In cases where, following an MDP enquiry, the police decide not to

prosecute but it is decided nevertheless to bring departmental charges, the position should be made clear to the alleged offender by adding the optional paragraph at Annex D-1.

4. When the charge letter is given to the employee the line manager should

be satisfied that the gravity of the position is fully understood by the employee. The employee should be interviewed and informed of the seriousness of the charges and the possible consequences explained to him or her in full.



Annex D-1:Departmental charge letter MOD CRESTED PAPER TO BE USED 1. On [...date...] you [...offence...]. I am required therefore to charge you with the disciplinary offence(s) of ......................................................................................... [*This offence falls into the category of gross misconduct]. Evidence supporting the charge is attached. 2. You are required to attend a disciplinary hearing and details of the date, time and place will be sent to you shortly together with the names of the hearing officer and the personnel representative. 3. You are entitled to be accompanied and assisted at the hearing by a Trades Union representative or colleague and to call witnesses. Would you please let me have the details of any person who will accompany you at the hearing and of any witnesses you intend to call. To be included when the nature of the offence or the offender’s disciplinary record makes it unlikely that dismissal will result from the charge. [4. *If you accept the charge and do not wish to make representations it may be possible, under the terms of para 6.2 of Chapter 2 of MOD Personnel Manual, volume 5, to conclude this matter without the formality of a disciplinary hearing. Please let me know by [...date: allow 5 working days...] if you wish to adopt this course.] To be included in cases of Gross Misconduct or where escalation of previous penalties would normally result in dismissal. [4/5* If the Deciding Officer is considering dismissal you will be offered an interview after he/she has received the Hearing Officer’s recommendation and before he/she makes their final decision. The interview will give you the opportunity to make any further representations directly to the Deciding Officer. You may be accompanied at the interview by your Trades Union representative or colleague. You do not have to accept the offer of an interview. (See Personnel Manual Volume 5, Section 8.4/ Chapter 3, Annex H-4).] To be included where, following an MDP enquiry, it has been decided not to prosecute. [4/5*. You are informed that in deciding that this matter will be dealt with through the departmental disciplinary procedures the question of bringing criminal charges in the Courts has been considered in conjunction with the police authorities. It has, however, been agreed



that there will be no criminal prosecution in the Courts in respect of the offence which is the subject of this letter.] 4/5/6. The services of the welfare organisation are available to you and you may wish to contact the Welfare Officer, [...name, address, telephone number...]. Enclosures [list all evidence attached] Copy to: Personnel Office Security Welfare Officer * Include if appropriate



Annex E The disciplinary hearing

(To be read in conjunction with Chapter 2, Section 7)

1. If the employee responds to the charge letter stating that he or she accepts the charge and does not wish to attend a hearing, and if the penalty would not be dismissal, the line manager and the personnel officer should consider what penalty should be awarded. Otherwise, the employee should be provided with details of the date, time and place of the hearing together with the names of the hearing officer and the personnel representative. If the employee refuses to attend a hearing the personnel officer should emphasise, in writing, that a hearing is in the employee’s interests and encourage him or her to attend. If the employee is determined not to attend, a decision will, in the last resort, have to be made by the line manager and the personnel officer without the person’s attendance; this should be made plain to the individual.

2. The purpose of the hearing is not to carry out a second investigation but

to:

• assess the evidence to ensure that it supports the disciplinary charges;

• resolve any doubts or conflicts about the facts; and • ensure that a full and clear picture is presented of both line

management’s and the employee’s case so that the full facts are available to the deciding officer.

3. Before the Hearing When a hearing is required it should be held as soon as possible after the issue of the charge letter. The officer conducting the hearing should be at least 2 pay bands/grades/ranks senior to the accused and should have had no previous involvement in the case. A civilian personnel representative should be appointed to assist the officer conducting the hearing and to take a record of the hearing. A third officer may also be present to take notes of the proceedings if the personnel representative is expected to take a more active role in the hearing. It may, on occasions, be necessary for a technical officer to be present.

4. The personnel officer will brief MOD witnesses and the hearing officer on

the procedures to be followed and will make the necessary administrative arrangements for the hearing. The hearing officer should be provided with a copy of all the documentation relevant to the consideration of the case and a copy of this Annex. The hearing officer should ensure that the employee has been provided with copies of all documentary evidence (e.g. statements made by the accused and witnesses, copies of claim forms etc) with the charge letter.

5. The employee is required by the charge letter to advise whether he or she

will be accompanied at the hearing by a Trades Union representative or a colleague. In some cases the employee may insist on being accompanied by a solicitor. While this practice is not encouraged (a solicitor is not usually familiar with the UKHO’s disciplinary regulations or procedures) such a request will rarely be denied. If a solicitor does attend, it must be made clear to him or her that the hearing is an informal process and the legal representative is there only as the employee’s friend. The solicitor



must not be allowed to turn the hearing into a legal proceeding and any questions to witnesses should be addressed through the officer conducting the hearing.

6. Witnesses

The hearing officer must tell the employee the names of the witnesses who will be called. Both management and the employee should ensure that their witnesses will be available to attend. The hearing officer should not refuse to hear any witnesses without good reason but he or she has the discretion to decide whether the witnesses it is proposed to call can provide information relevant to either management’s or the employee’s case within the following guidelines: Non-MOD witnesses cannot be compelled to attend but their written evidence may be considered. If the employee insists that the attendance of a non-MOD witness is vital to his or her case then the employee will be responsible for obtaining the agreement of the witness to attend, making any travelling arrangements and meeting any expenses incurred.

Any MOD witnesses should be made available to attend the hearing as a duty if required by line management, the employee or the hearing officer.

Where the MOD witness cannot attend (eg the person has since been posted overseas or is absent on long term sick leave) a written statement would be acceptable. Evidence of good character may be submitted by the employee, normally in the form of a written statement. However, if the hearing officer considers it appropriate to allow character witnesses to attend, there should be no more than 2. Any additional references can be submitted in writing. Character references from a current or previous line manager are not appropriate.

7. Conduct of the Hearing

The hearing should not be adversarial in approach and it should be conducted in an informal atmosphere. A disciplinary hearing can undoubtedly be a stressful situation for the employee, and the hearing officer should make every effort to put him or her at ease. It is recommended that the hearing is conducted as follows: • Introduce those present and briefly explain the purpose of the hearing,

setting out the proposed format.

• Confirm that the employee has received a copy of all documentary evidence.

• Read out the charges and establish whether the employee understands

them.

• Ask the employee whether he or she admits to each charge.



Note 12

• Invite the employee’s comments on each separate charge and the evidence which supports it.

• Hear any witnesses called to give new or supporting evidence. Any questions which the employee or his or her representative wish to put to the witnesses should be addressed through the hearing officer. Exceptionally – for example in sexual harassment cases – the hearing officer may agree that a witness may give evidence in a different room. The latter’s representative, or the hearing officer should put any questions to the witness on behalf of the accused and relay the answers, ensuring that all questions are answered before the witness is stood down.

• Summarise the evidence given by each witness before they leave.

• Make every effort to resolve conflicts of evidence by asking questions at the time. Points of contention which remain unresolved should be clearly recorded.

• Summarise the proceedings before asking the employee if he or she has any final comments.

• Close the hearing by thanking the employee for attending. Advise that a record summarising the relevant points discussed at the hearing will be sent for agreement to him or her and to his or her representative before a recommendation is submitted to the deciding officer. No indication of the recommendation should be given to the employee or the representative.

• Avoid the use of tape recorders. They give the hearing undue formality

and do not always record everything clearly. A written record is more reliable and even in complicated cases a summary record of the hearing will suffice.

8. If the employee produces fresh documentary evidence in support of his or

her case, the hearing officer should ask for the original papers to be handed over to be attached to the record. Statements made by witnesses which contain new material not recorded in previous written statements are to be recorded in writing and signed by the persons concerned.

9. The hearing may be adjourned for refreshment breaks (and should be if it

is likely to be lengthy) or if there is a need for either the employee or the hearing officer to confer. Facilities should be made available if an employee and his or her representative wish to confer in private. An adjournment may be appropriate if new evidence suggests additional witnesses need to be called or further investigation of the facts is required. The hearing should then be reconvened as soon as possible.

10. If the employee becomes rude or aggressive during the hearing the

proceedings should be suspended for a ‘cooling off’ period. Should an employee report for a hearing apparently unwell or under the influence of drugs or alcohol, the hearing should be postponed and reconvened as soon as possible. The record of the hearing should state the reasons for the postponement.

12 The employee should remain at the hearing throughout to hear all the evidence put to the hearing officer. This will demonstrate that the employee had full opportunity to question all the witnesses and the evidence put to the hearing officer.



11. After the hearing

The personnel representative or note-taker will be responsible for preparing a summary record of the hearing. The hearing officer should be sure it includes all the relevant points made during the hearing by all parties. A copy of this record will be sent to the employee and to his or her representative for agreement that it is a fair and accurate record of the hearing and that it is signed to that effect. A reply within 10 working days should be requested.

12. If the employee is unable to agree the record, effort should be made to

include any reasonable suggested amendments and to resolve any remaining points of difference. If areas of conflict remain, the employee should be informed that the deciding officer will be told that there has been a failure to agree. The proposed amendments will in this case be attached to, and submitted with, the record of the hearing so that they can be taken into account by the deciding officer before a decision is made.

13. Recommendation

When the record of the hearing has been agreed or otherwise, the hearing officer and the personnel representative should produce a written summary of their findings for consideration by the deciding officer. This should comprise:

• an assessment of all the evidence considered at the hearing, including any

points that have been raised in mitigation;

• (if the employee has refuted the charge) a conclusion as to whether on the balance of probabilities the charge is considered proven (i.e. on the basis of the presented evidence it is more likely than not that the charge is proven) with reasons for this conclusion;

• a recommendation as to the appropriate disciplinary penalty where the

charge is considered proven or the employee has accepted the charge. This should take account of any previous disciplinary record (details of which should be obtained from the personnel officer at this stage); any mitigating factors put forward by the employee, and the personnel officer’s advice on the penalty which would be consistent with MOD’s practice in similar cases.

14. The hearing officer’s conclusion and recommendation should be objective

and factual and consideration given only to the subject matter of the charge. Any allegations which are not directly concerned with the charge itself, or unproven suspicions of other offences, must not be taken into account. Similarly, when considering the effects of a criminal conviction on an employee’s career, no other allegations or suspicions of other offences should be considered. If new evidence comes to light which the employee has not seen, even after the hearing, copies should be sent to the employee and his or her representative for comment and the hearing reconvened if necessary. Where dismissal is the outcome, the hearing officer’s conclusion and recommendation will form part of the MOD’s case should there be an appeal to the Civil Service Appeal Board or an Employment Tribunal.



15. At no time should the hearing officer’s recommendations be disclosed to

the employee or his or her representative. If the recommendation of the hearing is that dismissal may be appropriate, a copy of the hearing officer’s findings will be given to the employee with the letter notifying the employee of the interview with the Deciding Officer. (Annex H-3 and H-4 refer).



Annex F Criminal convictions (To be read in conjunction with Chapter 2, Section 11) 1. Convictions for a criminal offence whether committed on or off duty can have security implications. It is important therefore that any arrest, charge or outcome of court proceedings is reported immediately to the appropriate Security Directorate, in addition to the personnel officer. Cases where return to work is being considered following suspension must be referred to the appropriate Security Directorate whether the individual has been found guilty or not guilty of the offence for which he or she has been charged. Action must be taken promptly so that the individual may return to duty with the minimum of delay. 2. Employees are required to inform line management if they are cautioned or charged by the police (involvement in minor traffic offences is the only exception to this rule). Failure to do so can result in disciplinary action. When a line manager learns that a case against an employee is being heard in a criminal court he or she should arrange for an officer, usually a personnel officer, not below pay band D or equivalent level, to be present in court as an observer, so that he or she can produce a report for use in any subsequent disciplinary proceedings (see Annex F-1). Where a minor is being tried in a juvenile court, however, it may not be possible for observers to attend. If the observer is asked by anyone at the court or connected with the case what the effect of conviction would be on the accused person’s employment in the MOD, he or she should say that it is not a matter for him or her and that the outcome of any departmental action cannot be foreseen. CONDUCT Section 2 3. Where an employee is found guilty by a criminal court of an offence, a distinction will be drawn between private-life convictions and convictions which impinge upon the employer/employee relationship. The former may be defined as any conviction which has no direct hearing on any aspect of the offender’s continued suitability for employment with MOD. The latter embrace convictions arising from offences against the Department, offences committed against colleagues or contractors’ staff; offences (either by their nature or by the fact that the individual has offended on previous occasions) making the offender unsuited for continued employment with the Department or for continued employment in his or her present pay band/grade or post, offences committed while on duty or on official premises, and offences which result in a custodial sentence. 4. Private-life convictions may be dealt with by line management after consulting the personnel officer. If the line manager is satisfied that it is a private-life conviction, he or she should reply to the individual, along the lines of the draft at Annex F-2 informing him or her that the conviction has been noted on his or her file and warning that, should he or she come to notice again, the consequences are likely to be more serious. The line manager should copy this letter, together with a copy of the individual’s report of the conviction to the personnel officer and the appropriate Security Directorate. The conviction and departmental response is to be reported to DGCPHROps (Conduct ) by the personnel officer in the format shown at Annex M. 5. Convictions which impinge upon the employer/employee relationship must result in disciplinary action. The object of disciplinary action in these circumstances is not to reconsider guilt or innocence or to impose additional penalties; these are judgements already made by the court, and it is important that the UKHO should not seem to be going over the ground again and punishing the employee twice for the same offence. The UKHO is concerned only with the



effect of the conviction on the offender’s service, i.e. primarily whether the offence is such as to call into question his or her fitness for his or her job and if so, whether he or she ought o be dismissed, or removed to other work, or downgraded if no suitable alternative post is available and dismissal would otherwise result, or simply be informed that a serious view is taken of the conviction, coupled with a warning about future conduct. 6. The line manager is to inform the employee in writing that it is necessary to consider the effect of the conviction upon his or her service with the UKHO – draft letter is at Annex F-3. Normally, the facts of the case will not be in dispute, having been decided by the court. However, the employee is to be offered the opportunity to make representations and told that he or she may have the assistance of a Trades Union representative or colleague in support at the hearing. The employee should also be invited to seek an interview with the Welfare officer. 7. After considering the employee’s representations, the line manager, having consulted the personnel officer, may dispose of the case if he or she can do so under delegated powers or otherwise forward it to the appropriate authority, with further recommendations for decision. 8. When considering the effect of a conviction the only available penalties are reprimand, when the UKHO needs to register its displeasure, dismissal, when the employee can no longer be employed or trusted, or, exceptionally, downgrading, where it is only in his or her present pay band/grade (or post – see paragraph 5) that the employee can no longer be trusted and there are alternative posts available in a lower pay band/grade. For example, unless there is alternative and suitable work available, the UKHO has no option but to dismiss a driver who loses his or her licence as the result of a conviction. 9. In some cases involving criminal conviction consideration may need to be given to bringing internal charges in addition but only where they refer to disciplinary matters not dealt with by the court. 10. Imprisonment As soon as it is known that an employee has received a custodial sentence, the Personnel Manager must contact DGCPHROps (Conduct Unit) immediately to discuss whether the contract of employment may have been frustrated or repudiated. The Conduct Unit will seek the views of the Legal Adviser as appropriate. 11. If frustration of contract is ruled out, the normal procedures for considering the effect of a conviction should be followed. Before any letters are sent to the employee the personnel officer should contact the prison governor to explain the UKHO’s position and to establish whether the prisoner could attend an internal hearing outside the prison or, if suitable facilities could be provided, inside the prison. The personnel officer should also ask whether it would be possible for a Trades Union representative or colleague to visit the prisoner to help with the preparation of the prisoner’s defence, and explain that the Welfare Officer (who should be contacted before the approach to the governor and named in the contact with the governor) will be in touch separately to arrange a mutually convenient time to visit the employee.



12. If the prison governor will not allow the employee to attend an internal hearing, the employee should be invited to forward any representations which he or she wishes to make in writing. He or she may also nominate a Trades Union representative or colleague to present any points he or she wishes to make at the hearing. 13. A draft letter from the line manager to the employee is at Annex F-4. The prison governor should be asked to ensure that this letter is given priority. 14. A draft letter to be used in cases of dismissal for repudiatory conduct is at Annex F-5.



Annex F-1 Court observer’s role

(To be read in conjunction with Chapter 2, Section 11) 1 An employee charged to appear before a criminal court must inform the line manager. The line manager must arrange for a suitable officer (not below JVB B3 level and normally from the personnel staff) to attend the court hearing as an observer. This annex explains the role of the observer. CONDUCT 2 What to say in court The observer is neither a witness nor a representative of the Ministry of Defence. Although not called upon to give evidence, the observer may, exceptionally, be called upon in court. If that happens, these are the responses that should be made:

• If the court enquires whether anyone is present from the MOD, the observer should say ‘Yes’. If asked why, the response is ‘I am here to make a report to my Department’.

• If the court asks about the Department’s attitude to the case or to the accused, the reply is: ‘I have no authority to make any statement on behalf of the Ministry of Defence’. If the court presses, the observer should truthfully answer any questions, emphasising that he or she is answering in a personal capacity with no authority to comment on behalf of the Department.

• If asked to give evidence in the witness box the observer should respond only as above. Since it would be irregular to anyone who was not a witness or a party to the case to be called without notice, it is unlikely that an observer would be under an obligation to say anything further.

3. Taking notes Taking notes before the verdict may be prohibited by the court. The observer should consult the clerk of the court if he or she decides that such notes need to be taken. The observer may not be allowed to take notes out of the court room until the case is complete. 4 The press Under no circumstances should the court observer speak to the media either inside or outside the court.



Annex F-2 Private life conviction 13 MOD CRESTED PAPER TO BE USED * Either 1. On [...date...] you reported your conviction at [...name of Court...] on [...date of conviction...] for [...offence...]. * Or 1. I have been informed that on [...date...] you were convicted of [...offence...]. 2. Your conviction falls into the category of private-life convictions for which the UKHO may exercise its discretion not to award a formal disciplinary penalty. In this case the facts of your conviction will only be noted on your personal file but you are warned that should you come to notice again the consequences are likely to be more serious. Copy to: Personnel Office Security * select which is appropriate

13 To be used following a first time conviction which does not impinge on the employer/employee relationship



Annex F-3 Conviction – notification of hearing 14 MOD CRESTED PAPER TO BE USED * Either 1. Thank you for your letter [...dated...] reporting your conviction for [...offence...]. * Or 1. I have been informed that on [...date...] you were convicted of [...offence...]. 2. In accordance with paragraph 11.4 of Chapter 2 of UKHO Personnel Manual, volume 5, I am required to inform you that it is necessary for the UKHO to consider the effect of this conviction upon your career. I should emphasise that the object of this action is not to reconsider guilt or innocence, about which a judgement has already been made by the Court. 3. You may wish to make representations before the UKHO considers your conviction. A hearing has been arranged for [...details of date, time, location, hearing officer and personnel representatives...]. It is in your interest to attend. At the hearing you are entitled to the assistance of a recognised Trades Union representative or a colleague. You may consult the Welfare Officer who is [...name, address, telephone number...]. Copy to: Personnel Office Security Welfare Officer * select which is appropriate

14 To be used following a first time conviction which impinges on the employer/employee relationship.



Annex F-4 Criminal conviction – custodial sentence MOD CRESTED PAPER TO BE USED 1. I have been informed that on [...date...] at [...name of Court...] you were convicted of [...offence...] and sentenced to [...sentence...]. 2. In accordance with paragraph 11.4 of Chapter 2 of UKHO Personnel Manual, volume 5 (copy attached) I am required to inform you that it is necessary for the UKHO to consider the effect of this conviction upon your career. I should emphasise that the object of this action is not to reconsider guilt or innocence, about which a judgement has already been made by the Court. * Either, if the prison governor will allow attendance at a hearing. 3. You may make such representations as you wish and you have 15 working days in which to submit them to me in writing. [You may have the help of a colleague 15 or representative of a recognised Trades Union when preparing your reply and you will be afforded the facilities for doing so]. Alternatively, as the prison governor has agreed that you may attend a hearing you may, if you wish, present your case orally. Should you require a hearing you should make your request within 10 days, in reply 16Note 1 to this letter. [In such a hearing you will be entitled to the assistance of a colleague or representative of a recognised Trades Union]. * Or, if the Prison Governor will NOT allow attendance at a hearing. 3. You are now given the opportunity of putting forward any representations which you wish to make and you are required to submit them to me in writing by [...date, allow 15 working days...]. [You may have the help of a colleague or representative Note 1 of a recognised Trades Union when preparing your reply and will be afforded facilities for this]. Alternatively, or in addition to submitting written representations, you may appoint a colleague or representative of a recognised Trades Union to present any points you wish to make at a hearing. Would you please let me have the details of any person who will act as your representative. 4. I am arranging for the Welfare Officer [...name, address, telephone number...] to visit you. Copy to: Personnel Office Security Welfare Officer * select which is appropriate

15 Include the sentences in square brackets if the prison governor will allow this activity.



Annex F-5 Dismissal letter – repudiatory conduct 17 MOD CRESTED PAPER TO BE USED 1. On [...date...] I wrote to you informing you that it would be necessary for the UKHO to consider the effect on your career of your conviction and imprisonment for [..........]. 2. *All aspects of the case including your reply dated [...date...]/ *The evidence put forward at the oral hearing on [...date...] have/has been given very careful consideration but it is clear that your conduct has fallen well short of the standards expected of a Civil Servant and that you can no longer be trusted as an employee. Therefore you are dismissed with effect from the date of this letter due to your repudiatory conduct. (For employees with at least one year’s service, and under pensionable age) 3. You have a right of appeal to the Civil Service Appeal Board. You must lodge your appeal within 3 months of the date of your dismissal. I enclose a copy of Annex 1-2 of UKHO Personnel Manual, volume 5 setting out in detail the procedures which should be followed. I recommend that you should read this Annex. Or (For employees with less than one year’s service) 3. As you have been employed for less than one year you do not have the right of appeal to the Civil Service Appeal Board. You do, however, have the right of appeal under the procedures set out in the attached copy of Section 9 of the MOD Personnel Manual, volume 5. If you wish to make such an appeal you should forward 18 it to me within 10 working days. Copy to: Personnel Office Security Welfare Officer * select which is appropriate

17 Personnel Officers are to consult CM(IR&C) CU where there is a custodial sentence. 18 This period may be extended if the prison/detention centre only allows limited correspondence.



Annex G Police cautions

(To be read in conjunction with Chapter 2, Section 4) 1 The way cautions are handled depends on whether the caution was issued for an incident related to the UKHO. The majority of cautions issued by the MOD Police are for incidents related to employment in the MOD. 2 Cautions for work-related offences In these cases, the caution follows a police interview and admission of guilt by the employee, and provides strong evidence for internal disciplinary action. Normal disciplinary action should follow, including further investigation if necessary. A copy of the caution, with the formal record of the interview and any other police evidence should be attached to the charge letter. 3 Cautions for incidents unrelated to the UKHO These should be treated like a private-life conviction and the line manager should issue a letter along the lines of Annex G-1. 4 Witness statements You should obtain the agreement of any non-MOD witnesses before using their statements. 5 ‘Informal cautions’ These are occasionally issued but have no legal significance. You should treat the case like any other that has been handed back by MOD Police for internal action. The difference between a caution and an informal caution, for disciplinary purposes, is that the caution can be issued only where the individual has admitted guilt.



Annex G1 Report of a Police Caution1920

*Either

1. On […date….] you reported your police caution for […offence…] . * Or

1. I have been informed that on […date…] you received a police caution for [………].

2. Your caution falls into the category of private-life offences for which the

UKHO may exercise its discretion not to award a formal disciplinary penalty. In this case the facts of your police caution will only be noted on your personal file but you are warned that should you come to notice again the consequences are likely to be more serious.

Copy to: Personnel Office Security * Select which is appropriate

19 This draft is appropriate only for a police caution which does not impinge on the employer/employee relationship. 20 Where a police caution was for an offence against the MOD the disciplinary procedures are to be used.



Volume 5 Discipline Annex H Decisions and penalties (To be read in conjunction with Chapter 2, Section 8) 1 Section 8 describes the procedure to be followed when the hearing officer has submitted a report and recommendations to the manager who issued the charge letter. The person who takes the decision whether the case is proven and who awards the penalty is the deciding officer. This annex sets out the level of decision making which is appropriate for certain penalties and offers more guidance on the award of suitable penalties. 2 Level of decision making The deciding officer:

• must be at least 2 pay bands /ranks above that of the offender;

• must not be the immediate line manager in cases of dismissal. Members of the Senior Civil Service, Service officers no lower than Captain (Snr) RN, Brigadier and Air Commodore may award the full range of penalties. They must also decide in cases where the normal penalty is dismissal or downgrading even where there are mitigating circumstances and a recommendation for a lesser penalty. Deciding Officers must take advice from a personnel officer at pay band B2 or equivalent level or above before awarding the penalties of dismissal or downgrading. Penalties less than dismissal and downgrading may be awarded by a civilian or Service line manager at pay band C2 or equivalent level and above having taken advice from a personnel officer at pay band B2 or equivalent level or above. 3 Penalties The circumstances in which each penalty may be appropriate are set out below. A letter along the lines of those at Chapter 3, Annex H-1 or Chapter 3, Annex H-2, should be used to inform the offender of the penalty and the right of appeal. In reaching their decision, deciding officers should consider each case on its merits, taking due account of precedents. The treatment of disciplinary offences may be affected by a number of factors, including mitigating circumstances and the previous disciplinary record of the individual. Except for very serious offences where a final warning would normally be given, no account will be taken of an earlier offence after a lapse of 3 years from the award of the last penalty. 4 The penalties described below should be escalated when an individual continues to commit disciplinary offences, even where these are of a different type. The essential point is to give clear warnings of the consequences of coming to disciplinary notice in future. A total of 3 warnings, accompanied by increasingly severe penalties, would normally be the maximum necessary to lead to the ultimate penalty of dismissal. 5 The penalties are:

• Reprimand. A reprimand, as well as being the first penalty on the disciplinary ladder, is a sharp rebuke. In order to convey the UKHO’s displeasure, the written reprimand should be handed to the individual at the interview during which the severity of the penalty must be emphasised.



• Restitution. A monetary payment by way of restitution in whole or in part, for culpable loss of, or damage caused by the offender to, public funds or property (including where this has resulted from acts of fraud or making false claims). Such restitution may be arranged by the UKHO by means of deductions from the employee’s pay. The employee must be consulted with regard to the method of payment. Restitution should not be awarded as a stand-alone penalty. It should be awarded, where appropriate, in addition to any other penalty.

• Loss of pay for one, five or ten days. It would be appropriate to award this

penalty when an individual continues to commit disciplinary offences. One day’s loss of pay would be appropriate on the first occasion, escalating to 5 days on a second occasion, even for a different offence, and 10 days on the third. On each occasion it is essential to give a clear warning of the consequences of coming to disciplinary notice in future.

• Downgrading, with a ban on promotion for ‘X’ years. The period of the ban

on promotion should not exceed 3 years. There will be no automatic right to promotion at the end of the period of the ban. This penalty would be appropriate for offences which have shown the offender to be unsuitable for continued employment in his or her present grade while the offence is not sufficiently serious to warrant dismissal. For example, he or she may have been found to be unreliable or untrustworthy for the higher grade or have shown that he or she is unfitted to exercise satisfactory supervisory control over subordinates. Downgrading shall be by one pay band only. Those within a broader banded group shall downgrade to the lower pay band within that group, e.g. in group B, B1 would downgrade to B2. A B3 would downgrade to A1. In general disciplinary downgrading may always be carried out even where the individual has not previously served in the lower pay band/grade – e.g. a direct entry pay band B3 or equivalent level may be downgraded to pay band A1 or equivalent level. Downgrading to an industrial grade is not an available penalty for a non-industrial grade, unless the individual previously served as an industrial. Before the penalty of downgrading is awarded the personnel officer must confirm that a suitable post is available.

Dismissal

• Dismissal is an appropriate penalty where the employee has, by his or her actions, broken the trust necessary in an employer/employee relationship. Some offences are so serious that, although each case must be considered on its merits, dismissal will nearly always be the appropriate penalty, even without previous warning for a first offence. Examples of the most common disciplinary and criminal offences which come within the gross misconduct category are listed in para 4.6 of Chapter 2 of this volume.

• It is important that the policy on gross misconduct should be applied

consistently throughout the UKHO. Only very exceptional factors, such as duress or coercion or diminished mental competence, should be entertained as possibly justifying a lesser penalty than dismissal. Ignorance of the regulations, custom and practice, low value of fraud and a record of long and good service should not be accepted as mitigating factors to justify a penalty less than dismissal.



• Where an employee is convicted and imprisoned, this may lead to dismissal depending on the nature of the offence. See Annex F, paras 10 to 13.

Where an offence does not fall into the category meriting dismissal for a first offence, dismissal may be justified by the previously disciplinary record. This will only be regarded as fair if the UKHO can demonstrate that the employee was given fair warning. The penalty immediately preceding the offence for which dismissal is being considered should have been accompanied by a final warning that any further offence is likely to result in dismissal. 6 Loss of superannuation benefits The Treasury exercises the power under rule 8.2 of the Principal Civil Service Pension Scheme, to withhold the superannuation benefits in whole or part if a civil servant or former civil servant is convicted of:

• one or more offences under the Official Secrets Act 1989 for which the person concerned has been sentenced to a term of imprisonment of at least 10 years or has been sentenced on the same occasion to 2 or more consecutive terms amounting in aggregate to at least 10 years;

or

• an offence in connection with any employment to which the PCSPS applies, being an offence which is certified by a Minister of the Crown either to have been gravely injurious to the State or to be liable to lead to serious loss of confidence in the public service. Further details are contained in Annex 4.5A of the Civil Service Management Code.



Volume 5 Discipline Annex H-1 Penalties less than dismissal 21 MOD CRESTED PAPER TO BE USED 1. On [...date...] I/Mr or Mrs [...name...] wrote to you *charging you with the disciplinary offence of [..........] *informing you that it would be necessary for the Department to consider the effect of your conviction for [..........] on your career. (Departmental disciplinary offence paragraph) 2*. All aspects of the case including the evidence you put forward at the22 oral hearing on [...date...] have been given very careful consideration but you have been found guilty as charged. I have therefore decided that you should be awarded a penalty of [..........]. (Criminal court conviction paragraph) 2*. All aspects of the case including the evidence you put forward at the oral hearing on [...date...] have been given very careful consideration but it is clear that your conduct has fallen short of the standards expected of a Civil Servant. It has 23 therefore been decided that a penalty of [..........] be imposed. 3. A copy of this letter will be placed on your personal file. You are warned that should you come to disciplinary notice again, regardless of the type of offence, the24 consequences may be more serious [and could include dismissal]. 4. You have a right of appeal against this decision and/or the penalty awarded in accordance with Section 9 of Chapter 2 of MOD Personnel Manual, volume 5. If you wish to appeal you should forward it to me within 5 working days of receiving this letter. 5. Please sign the attached copy of this letter as acknowledgement of receipt and return it to me. Copy to: Personnel Office Security Welfare Officer * select which is appropriate

21 To be used for disciplinary offences and criminal court convictions which impinge on employer/employee relationship. 22 Inappropriate if the offender pleaded guilty and requested that the case should be disposed of without a hearing. 23 See Annex F, para 8 for guidance on an appropriate penalty. 24 This warning contained in the brackets, should be included only where any subsequent offence is likely to result in dismissal.



Volume 5 Discipline

Annex H-2 Dismissal letter

MOD CRESTED PAPER TO BE USED Note 1 1. *On [...date...] Mr or Mrs [...name...] wrote to you *charging you with the disciplinary offence of [..........] *informing you that it would be necessary for the Department to consider the effect of your conviction for [..........] on your career. (Departmental disciplinary offence paragraph) 2. All aspects of the case including the representations you made at the oral hearing on [...date...] and at your interview with me on [...date...] have been given very careful consideration but you have been found guilty as charged. I have decided that your conduct has fallen well short of the standards expected of a Civil Servant and that you can no longer be trusted as an employee. You are therefore dismissed from [...date...]. Note 2 and 3. or (Criminal court conviction paragraph) 2. All aspects of the case including the representations you made at the oral hearing on [...date...] have been given very careful consideration. I have decided that your conduct has fallen well short of the standards expected of a Civil Servant and that you can no longer be trusted as an employee. You are therefore dismissed with effect from [...date...]. Notes 1 and 2. (For employees with at least one year’s service, and under pensionable age) 3. You have a right of appeal to the Civil Service Appeal Board. If you wish to appeal you must register your appeal within 3 months of the date of your dismissal. I enclose a copy of Chapter 3, Annex I-2 of MOD Personnel Manual, Volume 5 setting out the procedures which should be followed. I recommend that you read this carefully. or (For employees ineligible to appeal to the CSAB) *Select which is appropriate. 3. As you have been employed for less than one year you do not have the right of appeal to the Civil Service Appeal Board. You do, however, have the right of appeal under the departmental appeals procedure set out in the attached copy of Section 9 of MOD Personnel Manual, Volume 5. I recommend that you read this carefully. If you wish to make such an appeal you should forward it to me within 5 working days. Copy to: Personnel Office Security Welfare Officer



Note1. To be used for departmental disciplinary offences and criminal court convictions

which impinge on employer/employee relationships.

Note 2. Enter today’s date if the letter is handed to the offender or 3 days from the date of the

letter if sent by recorded delivery in cases where the penalty of dismissal is awarded

arising from an offence amounting to gross misconduct. Note 3. The notice to be given in cases where dismissal follows from an escalation of penalties is: Continuous service for: weekly paid staff monthly paid staff up to 4 weeks up to 2 weeks) 4 weeks to 2 years 2 weeks) 5 weeks 2 to 3 years 3 weeks) 3 to 4 years 4 weeks) over 4 years 1 week plus 1 week for every year of

continuous service. Max 13 weeks.



Annex H-3 Letter notifying employee of interview with

Deciding Officer MOD CRESTED PAPER TO BE USED 1. On […date…] you attended a disciplinary hearing to consider the charge of […insert details of offence…]. 2. I have studied the record of the hearing together with the Hearing Officer’s findings and in the light of these I have to advise you that I am now required to consider whether you should be dismissed. Before I make my final decision, however, I wish to give you the opportunity to put forward any further representations that you consider I need to know. 3. If you wish to take up this opportunity, I propose that I should interview you on […date…] at […time/place etc…] . Your Trades Union representative or a colleague may accompany you. […Name of Personnel Officer dealing with the case…] shall assist me and […name of note-taker…] shall take notes. I enclose a copy of the Hearing Officer’s findings [and your line manager’s comments on these] to assist you in preparing for the interview. 4. I must make clear to you that the interview will not be a re-run of the hearing and you will not be able to call any witnesses. It will be conducted in accordance with the enclosed guidance. A record will be made and a copy of this provided to you. 5. I would be grateful if you could let me know by […..] whether you wish me to interview you. [Signed] Enclosure: Annex H-4 of HR Manual Volume 5



Annex H-4:Interview by the Deciding Officer – Guidance Notes

Reason for interview 1 Before deciding whether to dismiss an employee, the Deciding Officer must be satisfied that the UKHO’s disciplinary procedures have been followed correctly and that all aspects of the employee’s case have been thoroughly considered. To this end, and in the interest of natural justice, it is important that an employee should have the opportunity to make final representations in person to the Deciding Officer before any decision is reached. When should an interview be offered? 2 The Deciding Officer must offer an interview to an employee who is the subject of disciplinary action in the following circumstances:

• Disciplinary cases in which dismissal has been recommended by the Hearing Officer.

• Disciplinary cases in which the Deciding Officer is minded to dismiss, contrary to the recommendation of the Hearing Officer.

3 An employee is not obliged to accept the offer of an interview, but if he or she chooses to they may be accompanied by their Trades Union representative or a colleague. 4 The interview should be offered as soon as the Deciding Officer has received and initially considered the Hearing Officer’s recommendation, but before he or she has taken the final decision on whether or not to dismiss. If the offer is accepted, the interview should take place within 10 days. 5 At the same time as the offer of an interview is made, the Deciding Officer should also provide the employee with a copy of the Hearing Officer’s findings and any comments on these by the line manager. In this way the employee will be able to make properly informed representations to the Deciding Officer. Those present at the interview 6 - Deciding Officer

- Employee - Personnel Manager (at least Band B2 level) - Employee’s Trades Union representative or colleague (if requested) - Note-taker.

Conduct of the interview 7 It is important that the interview should not become a re-run of the hearing nor be used by the employee to continue any dispute about the record of the hearing. No witnesses may be called. These conditions should be clearly explained to the employee at the outset and the conduct of the interview should be carefully and firmly managed by the Deciding Officer and the Personnel Manager to ensure they are maintained. 8 A record of the interview will be taken (by a note-taker if preferred) and provided to the employee within 3 working days of the interview. It is not necessary for the record of the interview to be agreed.



9 The Deciding Officer should confirm that the employee has seen a copy of the Hearing Officer’s findings. 10 The Deciding Officer should make clear that he or she has considered all the details of the disciplinary case, including the record of the hearing, the Hearing Officer’s findings, and any comments on these by the line manager but has yet to make a final decision. The interview is therefore the last opportunity for the employee to make any final representations. 11 If new evidence is put forward by the employee, it should be taken into account as appropriate by the Deciding Officer. If the Deciding Officer considers it necessary for new evidence to be examined, a further investigation should take place. The employee will need to be informed of the outcome of any such investigation and given the opportunity to make further representations in writing. If the Deciding Officer considers it necessary, the disciplinary hearing should be reconvened, particularly if it becomes clear that further witnesses need to be called. Decision 12 The Deciding Officer should make his or her final decision on the case only after careful examination of all the facts and having considered any representations made by the employee. The decision should, however, be made and communicated to the employee within 10 days of the interview. No decision will be given at the interview. 13 In reaching a decision the Deciding Officer must also take advice from the Personnel Manager. The Deciding Officer should record, in writing, the reasons for his or her decision. These will need to be disclosed by the UKHO in the event that a decision to dismiss is the subject of an appeal. The Deciding Officer will be expected to defend their decision in person at any resulting CSAB or ET. 14 The Deciding Officer should, wherever possible, convey his or her decision to the employee in person and at the same time confirm it in writing and if dismissal is appropriate, should use the model letter at Annex H-2.



Annex H-5 Disciplinary Procedures – Key steps and target

times

Key Steps Target 1. Issue of charge letter. 2. Complete disciplinary hearing. Within 20 working days of date

of charge letter. 3. Record of Hearing completed. Within 15 working days of Hearing. 4 Hearing Officer’s findings submitted to

Deciding Officer. Within 5 working days of agreement to record of Hearing.

5. Deciding Officer’s interview (cases

where dismissal is being considered). Within 10 working days of receipt of Hearing Officer’s findings.

6. Decision made and notified. Within 10 working days of

Deciding Officer’s interview or receipt of Hearing Officer’s findings.



Volume 5 Discipline Annex I: Appeals to the Civil Service Appeal Board (CSAB)

and Employment Tribunal (To be read in conjunction with Chapter 2, Section 9) 1 Appeals to the Civil Service Appeal Board (CSAB) An employee is eligible to appeal to the CSAB if they have been employed continuously in the Civil Service for at least one year and meet the qualifying criteria set out in Chapter 3, Annex I-2. They must be told of this right in the letter giving formal notification of their dismissal. A copy of Chapter 3, Annex I-2 must be given to the employee with the letter of dismissal. An appeal to the CSAB must be submitted within 3 months of the effective date of dismissal. 2 The officer who made the decision to dismiss and the personnel officer responsible for advising this officer will be responsible for defending the UKHO’s position at CSAB (see paragraph 7 below). 3 On receiving notice of an appeal, the Secretary of the CSAB will acknowledge receipt to the appellant and will inform the UKHO of the appeal. The CSAB will forward a copy of the appellant’s initial statement, a proforma for completion with the appellant’s personal details and a Guidance Note for Departments. Much of the following is in amplification of the Guidance Note. 4 The CSAB will subsequently forward a copy of the appellant’s statement (or advise that he or she does not wish to add to the initial statement) and ask for the UKHO’s statement to be submitted within 21 days. Failure to meet this timescale without reasonable cause is unacceptable; it is not only unfair to the appellant but also reflects badly on the competence of the UKHO. In preparing the UKHO’s statement the following points must be taken into account, as the result of the appeal could turn on any one of them:

• The UKHO submission should cover all the relevant points – if the UKHO, for example, fails to say that it took an illness, or a bereavement, into account, the CSAB may well assume that it did not, and that this failure rendered the decision to dismiss unfair.

• The UKHO must be careful not to cover up technical or procedural flaws or omissions in a case or to withhold any relevant documentation.

• The UKHO submission must be factually correct – supported by documentary evidence wherever possible – succinct and unambiguous.

• A well-presented statement speaks for itself; it not only creates a favourable first impression with the Board but eliminates the need to rehearse orally before the Board the disciplinary and administrative measures taken.

All papers, including, normally, internal submissions, the disciplinary hearing report and the hearing officer’s recommendations, have to be submitted by the UKHO in support of its statement, (but see paragraphs 5 and 6 below regarding the disclosure of medical and welfare reports) and will be made available to the appellant. The CSAB is entitled, subject to constraints of security, to demand to see any management documents which it considers relevant and the appellant or his or her representative can ask to see any such document, including a medical



or welfare report, which has been made available to management. Police-in-Confidence reports may not be disclosed without prior authority of the MDP. 5 A copy of any communication between a medical adviser or welfare officer and the UKHO which has been taken into account in reaching a decision which is the subject of an appeal should accompany the UKHO’s statement and will thus be given to the appellant. Confidential medical and welfare documents which have been communicated to the UKHO but have not had a direct bearing on the decision should not be referred to in the UKHO’s statement but if, as background information, they may be useful to the Board, copies should be sent to the Board in a separate folder indicating that they are for the Board’s information only. 6 Medical and welfare notes and personal records which have been kept exclusively for medical or welfare purposes and have not been communicated to management should not be sent to the Board. If there are special circumstances rendering it undesirable to disclose documents to the appellant which would usually be disclosed, the Board should be consulted. If an appellant has asked for a document which the UKHO refuses to disclose, the reason for the rejection should be given to the Board by letter. 7 After receiving the UKHO’s statement, the CSAB will fix a convenient date for the hearing. The appellant may decide not to appear in person, in which case the CSAB will consider the appeal on the basis of the written evidence and no representative of the UKHO will attend. Otherwise the UKHO must be represented by 2 officers. One must be the deciding officer or, exceptionally, a senior line manager with an intimate knowledge of the working environment of the appellant and the events leading to the dismissal. The other must be the personnel officer at not less than Band B1. The personnel officer will be responsible for preparing the UKHO’s statement. The secretary of the CSAB will need to know in advance the names of the UKHO representatives. 8 In making their oral submission to the Board, the UKHO’s representatives are advised to keep the following points in mind:

• Overall summary. The Board already has the substance of the UKHO’s case before it in the written submission; what is needed is a brief overall summary of the UKHO’s position.

• Straightforward approach. Experience suggests that it is best to adopt a

straightforward approach before the hearing and to stick to it; in general all the UKHO needs to show is that it acted as a reasonable employer towards the individual whom it could no longer employ because he or she had destroyed the position of trust necessary between employer and employee or had made him or herself otherwise unemployable.

• Focus on main issue. Avoid undue discussion or over-lengthy rebuttal of

side-issues raised by the appellant (e.g. allegations of past victimisation, or detailed discussions of medical factors, or long and meritorious service, or other disciplinary cases) which may serve only to obscure the main issue; the UKHO’s position should be that it can demonstrate as far as possible that these factors were taken into account at the time of the decision or, if they have been raised since that time, that they have been carefully examined and considered and, had they been raised at the time, they would not have led the UKHO to alter its position.

• Honesty. If there have been technical omissions or procedural flaws (for

example, the documentation of warnings has been poor, or the case has been the subject of undue administrative delay) no attempt should be



made to hide these; they will more than likely be spotted and could put the UKHO unnecessarily on the defensive. They should briefly be discussed or mentioned (for example “I am afraid there are some minor technical omissions/procedural flaws on the part of the UKHO in this case and these are very much regretted”) and it should be made clear that they were taken into account at the time of the dismissal

• decision and were considered not to be sufficient, in themselves, to make the dismissal unfair.

• Awareness of Service involvement. The UKHO’s representatives should be aware of the action taken against Service offenders involved in the same disciplinary offence as the appellant in the event of this issue being raised during the proceedings.

9 The Chairman and the other Board members will then question the UKHO’s representatives. Before drawing the hearing to a close, the Chairman will give the appellant or his or her representative another opportunity to speak. Soon after the hearing, the CSAB will send the appellant a letter notifying the outcome of the case. It will be copied to CM(IR&C)CU and to the Department’s representative. Copies of the CSAB’s report will follow as soon as it has been completed – usually within 2 or 3 weeks. 10 If the CSAB decide that dismissal was unfair they may recommend to the Head of Department/Chief Executive that the appellant should be reinstated, reemployed from a current date or that compensation should be paid. In some cases the CSAB may conclude by a majority that the decision to dismiss was fair. In these cases the appellant will be advised that he or she has 2 weeks from the date of receipt of the Board’s report to make a final appeal to the Chief Executive/PUS before a final decision is made. In all of these cases, DGCPHROps-Conduct will consult the Office before preparing advice for PUS on the merits of the case and recommending the Department’s response. The UKHO must not take any action to reinstate or re-employ the individual unless and until approval is given by PUS. 11 If PUS does not accept the CSAB’s recommendation of reinstatement or reemployment, the question of compensation and the amount awarded, if any, will be decided by CSAB having taken account of the Department’s views on the degree of the appellant’s culpability. Once notified, the UKHO will be required to make payment. No compensation will be paid where a dismissal is fair by majority and PUS declines to uphold a final appeal to him. 12 Costs The following costs will be paid by the UKHO for attendance at a Board hearing:

• Travelling and subsistence expenses of the appellant, of any civil servant assisting the appellant, and any non-civil servant (other than a full-time Trades Union representative or solicitor or barrister) who, with the Board’s agreement, attends with the appellant.

• Loss of earnings incurred by the appellant and by any non-civil servant (other than a full time Trades Union representative or solicitor or barrister) who, with the Board’s agreement, attends with the appellant.

13 Complaint to an Employment Tribunal The Employment Rights Act 1996 and the Employment Rights (NI) Order 1996 prescribe the right not to be unfairly dismissed, the meaning of unfair dismissal and those excluded from its provisions because of age or length of service, the remedies for unfair dismissal, the amount of compensation and interim relief available to a complainant. Booklets dealing with unfair dismissal (and other



aspects of this employment legislation) are available free from the Department of Trade and Industry; they provide a useful insight to the Act. 14 Provided that an employee satisfies any statutory prescribed qualifications about age and length of service and meets the time limit similarly imposed (3 months from the date of dismissal), he or she may, in the event of his or her employment being terminated, complain to an Employment Tribunal that he or she has been unfairly dismissed. In determining this, it is for the employer to show the reason for the dismissal and that the reason was one of the five ‘potentially fair’ reasons set out in the Employment Rights Act 1996. These potentially fair reasons are capability/qualifications for the job, conduct, redundancy, that to continue in the employment would be in contravention of a duty/restriction imposed by statute, or ‘some other substantial reason’. Only conduct is relevant to the context of this Annex. The employer must also show that it acted fairly in all the circumstances of the case. 15 The complainant will have contacted the Employment Tribunal direct and the Tribunal will subsequently contact the employer sending Forms IT 1 (the ‘Originating Application’ made to the Tribunal by the complainant), 2 and 3 (the ‘Notice of Appearance’) and a booklet on Employment Tribunal procedures. The papers must be passed immediately to the personnel officer responsible for dealing with the case. The booklet may be retained for use locally. However the Form IT 3 should not be completed but should be forwarded as a matter or urgency together with Forms IT 1 and 2 to the Department’s solicitor. In these circumstances, the relevant point of contact will be the Treasury Solicitor, Queen Anne’s Chambers, 28 Broadway, London, SW1H 9JL, for cases in England and Wales; the Crown Solicitor, Royal Courts of Justice, Belfast, BT1 3JY, in Northern Ireland; the firm of Robson McLean, 28 Abercromby Place, Edinburgh, EH3 6QF, in Scotland. The solicitor will prepare and file the Form IT3 (the ‘Notice of Appearance’ – which contains the Department’s defence) with the Tribunal. Personnel Officers should note that once an Originating Application has been lodged with an Employment Tribunal, papers should only be sent to the MOD Legal Adviser if the case raises a matter of policy, or Departmental-wide concern. If this is the case, a copy of the papers sent to the Treasury Solicitor (or the Crown Solicitor or Robson McLean) should also be sent to MOD Legal Adviser. 16 The Department has 21 days from receipt of an Originating Application in which to file its Notice of Appearance. Although it may be possible to apply for an extension of time to file the Notice of Appearance, this may not be granted. Even if an extension is granted the Respondent may be liable to costs if the Tribunal considers that the Notice of Appearance could have been filed on time. The solicitor will advise whether such an application will be appropriate, and if so, will write to the Tribunal requesting an extension of time. Mere inactivity on the part of the UKHO will not be a sufficient reason to apply for an extension. There must be a real reason why the Notice of Appearance cannot be properly prepared within the 21 day period allowed. On receipt of Forms IT 1, 2 and 3, it is essential therefore that the personnel officer should immediately:

• Record the date of the IT1 and the date it was received.

• Collect together all of the papers relevant to the claim including the personal files (or extracts from the files containing all of the relevant papers), any internal investigation, disciplinary or grievance papers, any contractual documents, any CSAB papers, and any advice given in the



case by the MOD Legal Adviser prior to the submission of the Originating Application to the Employment Tribunal.

• Provide a summary of the facts. • Send all of this information to the appropriate solicitor, together with

details of the person who will be the contact (including name, address, BT telephone and fax numbers).

17 The personnel officer of the complainant is the authority responsible for instructing the solicitor to act on behalf of the UKHO and will have to provide details of the complainant and his or her record of service together with an accurate and cogent account of the circumstances which led to the complainant’s employment being terminated; each case will have to be dealt with on its particular merits and circumstances. The relationship with the solicitor requires a full disclosure of the facts regardless of whether they support or otherwise the UKHO’s case. The submission may or may not contain management’s lay view of the merits or otherwise of the case and should normally conclude by asking the solicitor to consider the papers and take steps to protect the UKHO’s interests. The Department’s solicitor will then:

• Draft an IT3 (in respect to the IT1) and forward this to the Personnel Officer for approval.

• If necessary, write to the Employment Tribunal asking for an extension of time to file the IT3.

• On receipt of the (amended) IT3 from the Personnel Officer, send it to the Tribunal. The solicitor is dependent on the Personnel Officer returning the draft IT3 with comments and any amendments of factual inaccuracies in time to submit it to the Tribunal within the 21 day (or extended) time limit.

• In more complex cases the solicitor may ask Counsel to draft the IT3. The solicitor should be asked to provide for UKHO records a copy of the appearance which he or she enters.

18 If the solicitor considers that the UKHO’s case is unlikely to persuade the Tribunal that the action taken against the complainant was fair he or she will nevertheless usually enter the Notice of Appearance to protect the UKHO’s position should the case eventually go to a full hearing of the Tribunal. He or she will, at the same time, discuss the matter with the personnel officer explaining the options available, including the possibility of settling the case, and seeking instructions on how the UKHO wishes him or her to proceed. As a general guideline, the UKHO usually accepts the legal advice given, but should not usually agree to settle out of court where there is a reasonable chance of success in an individual case or where the case has been considered by the CSAB and the Board decided that dismissal was not unfair. There may also be particular cases where policy decisions/wider MOD concerns may mean that it would be inappropriate to settle a particular case, or even to fight a case where, on the facts of the individual case, there is a reasonable chance of success. In cases where such policy concerns are at issue, MOD Legal Adviser and the relevant central policy branch should be involved in the decision to settle or fight the claim. 19 If instructed to negotiate a settlement the solicitor will usually do this through the ACAS Conciliation Officer (see paragraph 20 below). In the event of an ‘out of court’ settlement being pursued, the legal advisers will liaise with the UKHO as to the amount considered reasonable by way of settlement. The solicitor will then attempt to negotiate a settlement (usually through the ACAS Conciliation Officer) within the sum advised. When informed by the solicitor that such negotiations have been successful, the personnel officer should arrange for UKHO to make payment.



20 Shortly after the employing unit receives Forms IT 1, 2 and 3 they may receive a telephone call from the ACAS Conciliation Officer enquiring whether the UKHO wishes to use their services in reaching a settlement. ACAS is required by the Employment Rights Act 1996 and the Employment Rights (NI) Order 1996 to approach both parties in this way and invariably should be referred to the personnel officer, who should advise that the case is being/has been referred to the Treasury solicitor and that if it should subsequently transpire that we have need of their services, the solicitor will contact them. If they ask for the name of our solicitor the information should be given. The solicitor should also be provided with the details of the ACAS Conciliation Officer. The Conciliation Officer has a useful role to play in ‘out of court’ settlements in that he or she will draw up a form of agreement to settle and, perhaps more importantly, get the agreement entered on the register at the Tribunal. Without such registration the applicant’s complaint is not necessarily legally settled. 21 If the solicitor considers the UKHO has a reasonably good case he or she will, in due course, liaise with the HR, advise as to the date, time and place of the Tribunal hearing and whom he or she wishes to call as witnesses. This may be as soon as 6 weeks after the Notice of Appearance has been lodged with the Tribunal. He or she will have to prepare witness statements for use at the hearing and may visit the unit and take statements from the witnesses prior to the hearing, or will need to be able to contact witnesses prior to the hearing, or will need to be able to contact witnesses by telephone. The solicitor will also advise whether the UKHO should apply for costs. The solicitor will usually instruct a barrister (Counsel) to put the UKHO's case to the hearing. In some instances, it will be necessary for the personnel officer and witnesses to attend a ‘conference’ with Counsel prior to the hearing so that he or she can discuss the finer points of the case. 22 After the Tribunal has announced its decision and the reasons therefore (the Treasury solicitor will provide a copy of the Tribunal’s written decision), administrative considerations of any consequence will arise only if the Tribunal has found that the dismissal was unfair. Either party can appeal to the Employment Appeal Tribunal against the Employment Tribunal’s decision but only on a point of law. The Treasury solicitor will advise about this. 23 If the Employment Tribunal finds that the complainant was unfairly dismissed t is required to ask the complainant whether he or she wishes the Tribunal to make an order for his or her reinstatement (i.e. in his or her former job) or re-engagement (i.e. in a broadly comparable job). If no such order is made, the Tribunal may award compensation as follows: Basic Award - this is calculated on the same basis as that used for statutory redundancy payments and provides for a maximum of 30 weeks pay (subject to prescribed maxima) depending on length of service and age. Compensatory Award - briefly this is of such amount as the Tribunal considers just and equitable in all the circumstances having regard to the loss sustained by the complainant in consequence of the dismissal insofar as the loss is attributable to action taken by the employer. The loss is taken to include any expenses incurred by the complainant and the loss of any benefit which he or she might reasonably be expected to have had but for the dismissal. The compensatory award is currently capped at £50,000.



24 If the Tribunal makes an order for reinstatement or re-engagement and the employer refuses to comply there will be a further hearing at which the employer will have to explain the reason for refusal. If that reason is not accepted, the Tribunal may award, in addition to the Basic and Compensatory awards, an additional amount of compensation of between 26 and 52 weeks’ pay, plus any loss of wages arising during the period of non-employment prior to the making of the reinstatement order. 25 The UKHO may, on the advice of the solicitor, approve settlement of the case within the financial limits currently specified in the Employment Rights Act 1996 and the Employment Rights (NI) Order 1996. It is usual in these circumstances for the UKHO’s cheque drawn in favour of the complainant to be forwarded to the solicitor for onward transmission to the complainant or his or her legal adviser as appropriate. 26 If a complaint to the Employment Tribunal which involves the MOD seems likely to attract the attention of the national press, details of the case and the date and place of the Tribunal hearing should be forwarded to Director General of Corporate Communications.



Volume 5 Discipline Annex I-1:Appeals stages and target times for their completion Penalty letter issued: Employee must appeal within 5 days Appeal hearing arranged 10 days Record of hearing drawn up 5 days Employee given time to agree record 10 days Hearing officer draws up recommendations for deciding officer 10 days Deciding officer considers appeal and replies to employee 10 days Employee submits appeal to Chief Executive 10 days Chief Executive holder brief by staff and replies 10 days Employee submits final appeal to PUS 5 days PUS brief by DGCPHROps-Conduct and replies 15 days

Deleted: TLB holder

Deleted: TLB

Deleted: CM(IR&C)CU



Annex I-2: Appeals to the Civil Service Appeal Board (CSAB) 1 The Civil Service Appeal Board (CSAB) is an independent appeals body. It hears appeals against:

• dismissal for misconduct, inefficiency or on grounds of redundancy;

• early retirement;

• non-payment of discretionary compensation to civil servants dismissed on inefficiency grounds;

• refusal to allow participation in political activities;

• forfeiture of superannuation.

2 An appeal to the CSAB will not preclude an employee from exercising the right to appeal against unfair dismissal to an industrial tribunal. 3 The Appeal Board consists of a permanent Chairman, or alternatively a Deputy Chairman, and 2 members, one drawn from the official side panel and one from the Trades Union panel. All communications are to be addressed to: The Secretary Civil Service Appeal Board 11 Belgrave Road LONDON SW1V 1RB (Telephone: 0171-273-6500). 4 Who may appeal? You may appeal to the CSAB if, at the date of termination of your employment:

• you are UK-based;

• �the dismissal is not on medical grounds;

• you have been continuously employed in the Civil Service for at least one year;

• you have not reached the minimum pensionable age;

• your employment is not being terminated at the expiry of a fixed-term

appointment in respect of which you have already agreed in writing that you have no right of appeal;

• you were not taking part in industrial action in respect of which: the Department has dismissed all employees who were taking part in the action at the same establishment at the date of dismissal; and none of those dismissed has been offered re-engagement within 3 months of the date of dismissal;

• you were not taking part in unofficial industrial action at the time of the

dismissal.



5 For the purpose of calculating length of service, to establish eligibility to appeal to the CSAB, the period of continuous employment will end with the effective date of termination of service, i.e. the day on which notice of termination expires except where the employment is terminated with less than the agreed minimum period of notice (i.e. with pay in lieu of notice), in which case the effective date of termination will be calculated as if the minimum period of notice has been given. 6 Appeal procedure If you intend to appeal you should write to the Secretary of the Board about the intention to appeal either before the effective date of termination of service, or within 3 months of that date. You should send a full written case to the Board within 21 days of giving notice of the intention to appeal. 7 You are entitled, if you wish, to appear before the Board in person and to be accompanied by a friend, colleague, or representative of your Trades Union who may submit evidence on your behalf. If you exercise your right to appear before the CSAB, the Department will also be invited to be represented. 8 Proceedings are informal. The Chairman will explain the purpose of the Board and at some point invariably make it clear that the Board is a recommending body only and that it is a matter for the Permanent Head of Department (PUS) to decide whether or not to accept the Board’s findings and recommendation. If this is not accepted, the Board will decide whether or not to award compensation. The Chairman will explain that the Board has already studied the written submissions and will invite you or your representative to state your case. The Board will then question you or your representative. The Chairman will then invite the Department’s representatives to speak. You or your representative will then have another opportunity to speak. 9 The Board will send you and the Department the result of the Board, and later a Board report giving reasons for the decision. If they decide that the decision to dismiss you was unfair, PUS will decide whether to take you back into MOD employment. If they decide by a majority that dismissal was fair you will have a further right to appeal to PUS. If the Board’s recommendation to re-instate or re-employ is rejected, the Board will award compensation. If the Board find the dismissal unfair but do not recommend re-instatement or re-engagement, they will award compensation. In all cases where compensation is paid, the Board will invite you and the Department o make representations if they consider that you contributed to your dismissal. 10 Non-award of discretionary compensation If you are dismissed for inefficiency, but are not paid compensation under the Principal Civil Service Pension Scheme (PCSPS), you may appeal separately and subsequently to the Board against the decision on compensation. You must tell the Board of your intention to appeal:

• either within 21 days of the Board’s report that dismissal was fair; or • if not contesting dismissal, within 21 days of the effective date of

termination of service. If the Board decides that the decision not to pay compensation was unjustified, the Department will arrange for payment to be made under the provisions of the PCSPS.



11 Costs The following costs will be paid by the Department for attendance at a Board hearing:

• Your travel and subsistence expenses and those of any civil servant or non-civil servant (other than a full-time Trades Union representative or solicitor or barrister) who attends the hearing with the Board’s agreement.

• Your loss of earnings and those of any non-civil servant (other than a

fulltime Trades Union representative or solicitor or barrister) who attends the hearing with the Board’s agreement.



Annex J: Not Allocated

Formerly “Apprentices” in MoD Personnel Manual



Annex K: Welfare Services 1 Experience in dealing with discipline cases suggests that there may often be some connection between offences committed and the private life circumstances of the offender (e.g. ill health, domestic strain or worry) and the UKHO would be failing in its duty as a good employer if it did not seek to establish as much as possible about the circumstances before taking disciplinary decisions. 2 If the alleged offender claims that there are personal or health factors which should be taken into account in mitigation he or she should be invited to seek an interview with a welfare officer. If he or she has not approached the welfare services the personnel officer is to call for a welfare officer’s report in all serious disciplinary cases, particularly those which seem likely to lead to dismissal or downgrading, and in all disciplinary cases where the member of staff pleads ill health or difficult domestic circumstances in mitigation. Welfare reports should also be requested where there is any suspicion that the individual may have an alcohol or substance problem. In cases of doubt it is recommended that a welfare report should be called for. It should be emphasised that the role of the welfare services is in all cases a purely advisory one. The intention is to ensure that as much relevant information as possible is known to management, so that the decision-making process may be conducted from as well-informed a standpoint as possible. It is also important that welfare assistance is given as soon as possible, where an employee’s circumstances could be helped. 3 Where it is clear that a welfare report or a medical report will be necessary before a disciplinary case can be considered, early action should be taken to obtain the report, to avoid delaying consideration of the case later.



Volume 5 Discipline Annex L Not allocated



Annex M:UKHO Report to DGCPHROps Conduct Team of disciplinary action taken (including action following a criminal civil conviction) A report containing the following information must be forwarded to the Conduct Team when the penalty letter or civil conviction notation letter has been issued and should not be delayed pending the result of any appeal. The report must also be completed where a charge has been dismissed and no penalty awarded. The outcome of each appeal should be notified in a short memo to the Conduct Team as soon as it is known.

1. Title, Initials & Surname

Honours, awards, medals

Grade/Pay Band Staff/Pay Number

2. Date disciplinary case commenced

3. Was the offence regarded as gross misconduct. Yes/No

4. Description of disciplinary offence (as defined in charge letter), or criminal offence

5. What was the value of any loss to the MOD/UKHO

6. Was restitution imposed? Yes/No

7. Were two people involved? Yes/No

Names:

(Do not delay submission of this report pending the outcome of related cases.)

8. Date passed to MDP/DFAU (if appropriate) Date back from

MDP/DFAU (Note: All casa of suspected irregularity, including fraud and theft, not already passed to the DFAU for action, should be reported to the DFAU in accordance with an annual DCI on the early reporting of suspected irregularity, including fraud and theft.)

9. Offences against the MOD/UKHO: If a criminal case has been pursued

what was the outcome? 10. Date of suspension from duty



11. Was a reduction of salary imposed? Yes/No

% amount

12. Date of charge letter

13. Date of Hearing

14. Reasons if more than 3 months between date of charge letter and date of penalty

15. Penalty awarded (tick)

Dismissal Downgrading with ban on promotion for

Loss of pay for: 1 5 10 days (please circle)

Restitution Reprimand

16. Please list the previous disciplinary record (last 3 years only)

a. Offence

b. Penalty

c. Date of Penalty

For consideration of criminal convictions:

17. Was the conviction considered to be private life? Yes/No

Please list any previous criminal convictions:

a. Offence b. Sentence c. Date of Conviction

Name……………………………………………………………. Branch………………………………………………………….. Tel No…………………………………………………………….. Date………………………………………………………………. Continue on separate sheet if necessary.



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