FAREHAM BOROUGH COUNCIL

CODE OF CONDUCT AND

DISCIPLINARY RULES AND PROCEDURE

July 1994
Amended June 1995
Revised October 1998
Revised December 2008
 Code of Conduct and Disciplinary Rules and Procedure

FAREHAM BOROUGH COUNCIL

CODE OF CONDUCT AND DISCIPLINARY RULES AND PROCEDURE

INDEX
Section Content Page No(s)
1. FOREWORD 1

2. PERFORMANCE STANDARDS 2-3

3. SCOPE OF THE PROCEDURE 4

4. INTRODUCTION TO CODE OF CONDUCT, 5-6

DISCIPLINARY RULES AND PROCEDURE:
Preamble 5
Introduction 5

5. CODE OF CONDUCT 7 - 19
General conduct 7
Conduct towards others 7
Proper conduct of the Council‟s business 9
Confidentiality and Disclosure of Information 13
Tendering 14
Outside interests 15
Sponsorship 16
Off-duty Hours 17
Gifts and Hospitality 17

6. INTRODUCTION TO DISCIPLINARY RULES AND 20 - 26

PROCEDURE:
Principles 20
Authority to Act 22
General Responsibilities 22
Disciplinary Rules 23 - 26

7. DISCIPLINARY PROCEDURE 27 - 38
Introduction 27
Day to day supervision of employees 27
Preliminary investigation and consideration 28
Suspension pending investigation 29
Dealing with Police Investigation, Criminal Activity or 30
Conviction
The Disciplinary Hearing 30
Disciplinary Action 33
Appeals 35
Disciplinary Records 37
Amendment to time limits 38
Review 38
Appendices
1. Performance Indicators 39 - 40
2. Levels of management authorised to act under the 41
disciplinary procedure
3. Procedure at Disciplinary & Appeal Hearings 42 - 43

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 Code of Conduct and Disciplinary Rules and Procedure

SECTION 1 - FOREWORD

It is Fareham Borough Council‟s philosophy to treat all employees fairly and

equitably. As part of that approach, it is important to provide guidance as to the
standard of conduct which the Council expects of its employees to assist them in
their day-to-day work and to have a set of disciplinary rules and procedures to
promote order in the treatment of employees and in the general conduct of the
Council‟s employment relations.

As a general principle, all employees are expected at all times to act in the best
interests of the Council and to refrain from any actions which might impinge on the
general obligations of the employer/employee relationship. Disciplinary rules set
standards of conduct considered necessary in the work situation, procedures help
ensure these standards are adhered to, provide a fair method of dealing with alleged
failures to observe them and ensure corrective action is taken.

Discipline in employment is concerned not only with a disciplinary procedure, but with
a system of rules that if breached, can lead to that procedure being invoked. The
maintenance of discipline is among the most important responsibilities of managers
and supervisors. Without it, instructions may not be followed, motivation and
efficiency will deteriorate and productivity is likely to decline.

The Council expects all employees to conduct themselves in a way that ensures that
standards of service and the reputation of the Council are maintained. An employee
is required to observe the conditions of service laid down by national and local
agreements which are supplemented by the Council‟s Code of Conduct and
Disciplinary Rules.

A clear Code of Conduct and Disciplinary Rules also protects employees from
misunderstandings and criticism by setting standards and ensuring that employees
know what is required of them.

This Code of Conduct and Disciplinary Rules and Procedure provide a fair and
structured means of addressing issues relating to conduct at work.

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SECTION 2 - PERFORMANCE STANDARDS

Purpose

1. To meet statutory obligations and the requirements of the Council‟s

Disciplinary Rules and Procedure.

2. To enable standards of conduct to be specified and monitored fairly and

effectively.

3. To promote fairness, consistency and order in the conduct of disciplinary

matters.

4. To inform employees of the conduct the Council expects from them and to
assist them to maintain the desired standards.

Standards

5. Managers must ensure that:

they apply the Council‟s Code of Conduct, Disciplinary Rules and

Procedure consistently and in full and that they comply with statutory
requirements;

the Code of Conduct, Disciplinary Rules and Procedure and individual

rights are brought to the attention of all employees under their
responsibility;

authority is clearly devolved to designated individuals to implement the

disciplinary process, including dismissal;

management action taken in accordance with the procedure is fair,

unbiased and consistent.

all Disciplinary Hearings are conducted confidentially, fairly and in

accordance with the procedure;

accurate notes are kept of all formal disciplinary investigations and

hearings and treated as confidential;

cases of misconduct, must be dealt with through the disciplinary procedure,

and distinguished from cases of incapability, either due to ill health or lack
of skill or aptitude, which should be dealt with separately.

6. Employees must:

conduct themselves in a way that is consistent with the high standards of

service and the good reputation of the Council;

comply with conditions of service laid down by national and local

agreements;

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 Code of Conduct and Disciplinary Rules and Procedure

comply with the Council‟s Code of Conduct and Disciplinary Rules and
Procedure.

Legal Requirements

7. The Employment Act 2002 contains provisions relating to the resolution of

disputes in the workplace. These are expanded upon and developed in
Dispute Resolution Regulations 2004.

8. The Employment Rights Act 1996, (formerly the Employment Protection

(Consolidation) Act 1978), sets down the requirement for the employer to act
reasonably when dealing with disciplinary cases. Employees must generally
have one years‟ service to qualify for the right to pursue unfair dismissal
claims. There is, however, no service requirement for claims against dismissal
in certain circumstances for example taking part in trade union activities or
being (or not being) a union member; or for claims of discrimination.

9. Employment Tribunals will take account of the guidance in the ACAS Code of
Practice Disciplinary and Grievance Procedures and extensive case law in the
interpretation of the statutory provision. Copies of the Code are available from
Personnel Services or on line at [Link]

Performance Indicators

10. To further enhance the consistency and fairness of application of this

Procedure performance will be monitored against the indicators set out in
Appendix 1

Reference Documents

ACAS “Code of Practice 1 on Disciplinary and Grievance Procedures”

Employment Act 2002

Employment Act 2002 (Dispute Resolution) Regulations 2004

Employment Rights Act 1996

Local Government and Housing Act 1989

Local Government Act 2000

Model Code of Conduct for Local Government employees

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SECTION 3 - SCOPE OF THE PROCEDURE

1. The Code of Conduct applies to all employees of Fareham Borough Council

and the Disciplinary Rules and Procedure applies to all employees of the
Council with the exception of:

The Chief Executive Officer, Monitoring Officer and Section 151 Finance
Officer. (see Note 1)

Employees serving a probationary period subject to the total duration,

including the notice period, being less than 12 months.

Cases of redundancy for which a separate procedure exists.

Employees working on a casual basis, subject to any one period of

continuous employment not exceeding one year.

Employees on temporary and short term contracts of less than one year.

Termination due to incapability; incapability due to ill-health and incapability

due to lack of skill or aptitude for which separate procedures exist. (See
Note 2)

Resignation by the employee, or other termination by mutual consent.

NOTES:

1. The Local Authorities (Standing Orders) (England) Regulations 2001 require a

local authority to conform with its provisions for disciplinary action in respect of
these officers. Accordingly the Council's Standing Orders set out the
disciplinary process to be followed. This process is consistent with normal
disciplinary standards, providing for investigation, suspension, disciplinary
hearing and appeal.

2. These situations will be dealt with initially within the Capability Procedure.

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SECTION 4 - INTRODUCTION TO CODE OF CONDUCT, DISCIPLINARY RULES

AND PROCEDURE

Preamble

1. The Council‟s Code of Conduct, Disciplinary Rules and Procedure aim to

establish and maintain appropriate standards of conduct at work; promote
fairness, consistency and order in the treatment of its employees, and support
a healthy and harmonious working environment, through the application of fair
and effective management of disciplinary matters.

2. As a formal approach, the main purpose of the Council‟s Code of Conduct,

Disciplinary Rules and Procedure is to encourage an improvement in an
employee whose conduct is unsatisfactory. The Council‟s policy is to ensure
that effective arrangements exist for dealing with disciplinary matters and that,
as far as possible, common standards are observed for all employees. It must
be seen as an attempt to secure improvement in conduct, to treat employees
in a fair and consistent manner and to provide a procedure so all parties know
what to expect.

3. It is important that management, employees and their representatives accept

responsibility for maintaining standards of conduct when carrying out their
duties, not only for their own interests but also in the interests of the Council
and the communities it serves.

Introduction

4. The Council expects all its employees to conduct themselves in a way that
ensures that standards of service and the reputation of the Council are
maintained. An employee is required to observe the conditions of service laid
down by national and local agreements, which are supplemented by the
Council‟s Code of Conduct and Disciplinary Rules & Procedure. A clear Code
of Conduct and Disciplinary Rules & Procedure also protects employees from
misunderstandings and criticism by setting standards and ensuring that
employees know what conduct is required of them.

5. Any breach of the Code of Conduct and Disciplinary Rules can lead to action
being taken against the employee concerned in accordance with the
Disciplinary Procedure. Where appropriate, warnings will normally be given. In
cases of persistent misconduct and after a final written warning, an employee
may be dismissed with notice or be subject to other disciplinary action as an
alternative to dismissal. More serious breaches of the Code of Conduct and
Disciplinary Rules will be treated as gross misconduct. Gross misconduct
means conduct where the Council cannot tolerate the continued presence of
the employee at work. Subject to any mitigation, gross misconduct will lead to
an employee being dismissed without notice.

6. In addition to this Code of Conduct and Disciplinary Rules there are Council
Policies and Procedures, financial regulations and standing orders which
dictate the way that the Council operates. Management may issue further
rules from time to time either in writing or by oral instruction (oral instructions
should be recorded by management). Failure to observe the Code of Conduct

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or any of the Disciplinary Rules, regulations, standards and orders may lead to
disciplinary action. If this is taken, it will be in accordance with the Council‟s
Disciplinary Procedure.

7. A copy of this Code of Conduct, Disciplinary Rules and Procedure will be

supplied to all employees who will confirm in writing that they have received
them. Managers will take steps to ensure that all employees understand the
rules and management requirements in respect of standards of conduct and
the observance of working procedures, operational regulations, safety rules
and regulations, standing orders, etc.

8. Employees will be expected, through agreed procedures and without fear of

recrimination, to bring to the attention of the appropriate level of management
any deficiency in the provision of service. Employees must report to the
appropriate manager any impropriety or breach of procedures.

9. If there is anything in this document that employees do not understand they

should seek the advice of their manager.

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 Code of Conduct and Disciplinary Rules and Procedure

SECTION 5 - CODE OF CONDUCT

Introduction

1. This Code of Conduct sets down a set of “core principles” which underpin the
Council‟s concept of public service.

General Conduct

2. Employees are expected to conduct themselves at all times in a manner that

will maintain public confidence in both their integrity and the services provided
by the Council. This includes the avoidance of personal gain from the use of
public funds. All employees are expected to behave at all times in a
reasonable way towards other employees, the Council, its partners and the
public generally. A clear code of conduct protects employees from
misunderstandings and criticisms by setting standards and ensuring
employees know what conduct is required of them.

3. In general what an employee does while not at work is his/her personal

concern subject to the conditions at paragraphs (34 - 41 & 44) but an
employee shall at all times, while at work, endeavour to ensure value for
money to the local community, operate proper stewardship of public funds and
where it is part of their duties, to provide appropriate advice to Councillors and
other employees impartially. Employees must observe the requirements of the
law; the standing orders of the Council and Committees, comply with the
requirement to register or declare interests, gifts and hospitality and comply
with the Council's Policies, Procedures, Rules and Regulations pertinent to
their job, and the rules contained within this document (copies are available on
the Council‟s Intranet). The Register of Gifts, Hospitality & Interests is
available through an e-work form on the Intranet or from your Manager.

4. Failure to observe the minimum standards and requirements that should apply
as set out in this Section could result in allegations of potential gross
misconduct as exampled in Section 6 paragraphs 16 - 18 or misconduct,
Section 6 paragraph 19.

Conduct Towards Others

5. Whilst carrying out his/her duties or acting as a representative of the Council,

an employee shall not:

(a) Act in an oppressive, abusive or rude manner, use

threatening/offensive language or take action likely to cause offence,
towards another employee, manager, Councillor, other work contacts or
member of the public nor by word, act, or demeanour, abuse the
authority vested in him/her, or be insubordinate to his/her supervisor or
any other level of management.

(b) Disregard the Council‟s code of practices for ensuring Equality of

Opportunity in Employment and Dignity at Work or unlawfully
discriminate against or harass another employee, Councillor or member
of the public, or incite another individual to do so, on any grounds
including those of gender identity or gender reassignment,

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social/economic status, race, national and or ethnic origin, colour or

religion, marital status, disability, age, sexual orientation, physical or
sensory impairments, learning disabilities, HIV status, or other personal
characteristic. All employees are required to observe the law and the
policies of the Council regarding non-discrimination.

(c) „Harassment‟ is regarded as objectionable and/or offensive comments,

actions, conduct, materials, suggestions, jokes or physical contact,
unrelated to the requirements of an individual‟s or group‟s job, and has
the potential to create an intimidating and unpleasant working
environment and would include:

physical assault, threats or intimidation;

bullying;

unwanted sexual advances – touching, standing too close;

spreading malicious rumours or insulting someone (particularly on

the grounds of age, race, sex, disability, sexual orientation and
religion or belief)

copying memos/forwarding electronic mail that are critical about

someone to others who do not need to know;

unfair treatment;

overbearing supervision or other misuse of power or position;

making threat or comments about job security without foundation;

deliberately undermining a employee by overloading and constant

criticism;

derogatory language, remarks, jokes, or statements (oral or written),

also conduct and actions, either formal or informal, which ridicules,
abuses, degrades, or insults individuals or groups of people;

displaying or distributing within Council premises or vehicle any

material such as leaflets, posters or magazines, which are
degrading or offensive. This includes graffiti, the display of “pin up”
pictures and electronic graphics e.g. Screen savers;

exclusion or victimisation of, or discrimination against, any

employee, Councillor or member of the public who has made or is
contemplating making a complaint or who has provided or is
contemplating providing information to management about
discrimination or any other disciplinary offence.

(d) Be involved in any appointment to the Council where he or she is related

to the applicant or has a close personal relationship with him or her.
Employees involved in appointments should ensure that these are made

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on the basis of merit. It would be unlawful for an employee to make an

appointment, which was based on anything other than the ability of the
candidate to undertake the duties of the post.
A manager must inform his/her Senior Manager if they are aware that a
friend or relative is applying for a job with the Council. He/she must not
provide a reference themselves. Similarly, an employee must not be
involved in decisions relating to discipline, grievance, promotion, pay
adjustments or other similar employment related matters for any other
employee who is a relative* or with whom they are having a relationship.

* Relative means:-

 A spouse or partner
 A son, daughter, step-child, child of partner or grandchild
 A parent, parent in law, partner's parent or grandparent
 A brother or sister or step brother or step sister
 An uncle, aunt, nephew or niece
 The spouse or partner of any of the above

(e) Be knowingly an accessory to, condone or fail to report a disciplinary

offence, unless there are justifiable mitigating circumstances.

Proper Conduct of the Council’s Business

Working Arrangements

6. An employee shall comply with the agreed arrangements relating to his/her

hours of work, meal breaks, sickness absence and requests for leave etc.

7. Employees shall not absent themselves from duty, report late or cease work
before the authorised finishing time without permission.

8. An employee included in the flexible working hours or flexible working

scheme shall observe its related rules and conditions.

9. When an employee is absent from work because of sickness he/she must

report the absence in accordance with contractual requirements and
instructions issued by management. The employee must not abuse the
sickness scheme. The advice and instructions of any medical adviser(s),
where appropriate, shall be observed. The employee must not commit any act
that is likely to be inconsistent with the reasons for absences or do anything
which may delay his/her return to work.

Council Policies, Procedures, Rules, Regulations, etc

10. An employee shall observe agreed working procedures, operational

regulations, safety rules, regulations and safe working procedures,
management policies, procedures and codes of practice, standing orders,
Council rules and financial regulations and shall carry out reasonable and
proper instructions given in matters relating to duties.

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Employees should strive to ensure value for money to the local community
and to avoid legal challenge to the Council.

11. An employee shall not:

(a) Disobey or omit to carry out a reasonable instruction or be

insubordinate;

(b) Breach the requirements of the Council's Smoking Policy Statement;

(c) Fail to comply with a health and safety requirement;

(d) Fail to discharge through carelessness, or neglect an obligation placed

upon him/her by contract or statute;

(e) Use public funds entrusted to, or handled by, them in an irresponsible
and unlawful manner;

(f) Fail to report any matter that he/she is required to report;

(g) Fail to allow the search or seizure of offices, desks, mobile telephones,
lockers, electronic documents, work diaries etc provided by the Council
or produced on Council equipment;

(h) Fail to wear in full, or as modified by instruction or authorisation, such

uniform, special clothing or identification as may be issued by the
Council;

(i) Fail to properly wear any safety clothing or footwear, or properly use
any safety equipment which has been issued as being necessary in the
interests of health and safety or otherwise fail to have due regard to
health and safety requirements;

(j) Fail to act at any time in accordance with the trust that the public is
entitled to place in them;

(k) Commit any act that could result in an action against the Council which
arises from negligence or breach of the duty of care;

(l) Knowingly breach a copyright owned by a third party;

(m) Knowingly breach the Council‟s Information Management & Information

& Communication Technology Guidelines & Compliance Statement.

NOTE

All employees have the duty to report any suspicions that they may have of
irregularities, financial or otherwise, to the appropriate manager, internal audit
or Director of Finance & Resources.

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Records/Documentation

12. On any matter for which an employee is accountable, all reasonable steps
shall be taken to ensure that required information is complete, accurate, and
available at the proper time. This requirement applies to all records and
documentation (manual or computerised) including time sheets, flexible
working hours sheets, time recording sheets, car allowance claims, expense
claim forms, drivers' records, returns of ticket sales, payments, etc.

13. An employee shall not:

(a) Knowingly or through neglect make any false, misleading, or inaccurate

oral or written statement or entry in any record or document;

(b) Alter or erase any entry with intent to deceive or misrepresent the true
position. This includes unauthorised access and viewing of
computerised records.

(c) Destroy or mutilate any document, data or record for malicious

purposes or without sufficient cause;

(d) Failure to make appropriate arrangements for the security of records,

data and documents;

(e) Failure to make records, data or documents available in a timely

manner for management and audit purposes;

(f) Fail properly to account for, or make a prompt, accurate and complete
return of, any money or property which is received in the course of the
employee‟s duties, incur cash shortages or fail to pay in cash at the
correct time, or in any way fail to comply with the Council‟s financial
regulations;

(g) Make an obscene, or any other unauthorised comment on any sheet,

document, or any other manual or electronic record;

(h) Make a defamatory remark or statement in reports, correspondence,

internal correspondence, or electronic communications within the
Council or with external persons or organisations.

Care of Tools, Materials, etc

14. Employees are required to take due care of all stores, materials, tools, plant,
equipment and vehicles and any other property of, or under the control of, the
Council. The employee must report to the manager/supervisor any loss,
defect or damage to any such property which has been issued to or used by
him/her, or where care has been entrusted.

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15. An employee shall not:

(a) Remove property from offices, stores, depots or other locations without
prior authorisation. This includes any items or materials collected or
deposited for disposal by the Council;

(b) Use or allow others to use any such items without prior authorisation;

(c) Use any such items for unauthorised purposes;

(d) Wilfully, or by neglect, cause any waste, loss or damage;

(e) Wilfully dispose of a Council asset without prior authorisation or without

realising an appropriate value for the asset

(f) Misuse the Council‟s telephone, radio or electronic systems, including

the use of mobile telephones, hand held computer devices, postal
system, facsimile system, e-mail systems or personal computers;

(g) Use a computer diskette, tape, CD ROM, DVD, USB storage device,
data memory card from any mobile device (MP3 player, camera, hand
held computer devices or mobile phone) or downloaded file from any
source on to a Council personal computer without first having it virus
checked by the Information Services Business Unit;

(h) Use the Council‟s photocopiers, facsimile system, electronic mail

system, fixed or mobile computers, fixed or mobile telephones or other
equipment and materials for private purposes, without the permission of
the manager;

(i) Use any of the Council's facilities or equipment, which may include
premises, materials, transport, stationery and secretarial services, other
than for Council business or other approved purposes, unless properly
authorised to do so;

Alcohol, Drugs and other Substances

16. An employee shall not through the use of intoxicating substances, for
example, alcoholic drink or drugs, either report for duty unfit, or become unfit
during working hours for the duties that he/she is required, or likely, to
perform.

17. Employees must ensure that any alcohol which they consume out of working
hours (including lunchtime) will neither impair their work nor cause them to
conduct themselves so as to damage the good reputation of the Council.

NOTES

i) Employees who, due to a medical condition, are prescribed drugs that may
affect their performance at work should bring this to the notice of their
manager.

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ii) The Council has developed a Policy on the Misuse of Alcohol, Drugs or other
Substances, which is designed to assist employees who experience problems
through the use or misuse of alcohol, drugs or other substances.

Political Neutrality

18. Employees are responsible to the Council through its senior managers. For
some, their role is to give advice to Councillors and senior managers and all
are there to carry out the Council‟s work. Mutual respect between employees
and Councillors is essential to good local government. Councillors should be
treated professionally and, close personal familiarity between employees and
individual Councillors that can damage the relationship and prove
embarrassing to other employees and Councillors should therefore be
avoided.

19. Employees should always remember their responsibilities to the community

they serve and ensure courteous, efficient and impartial service delivery to all
groups and individuals within that community as defined by the policies of the
authority.

20. Employees serve the Council as a whole. It follows they must serve all
Councillors and not just those of the controlling group(s), and must ensure that
the individual rights of all Councillors are respected.

21. Subject to the Council‟s conventions, employees may also be required to

advise political groups. They must do so impartially and in ways which do not
compromise their political neutrality.

22. Employees, whether or not politically restricted, must have proper regard to
every lawful expressed policy of the Council and must not allow their own
personal or political opinions to interfere with their work.

Confidentiality and Disclosure of Information

23. The Council practices open government. Where information is necessarily

confidential, it should only be made available on a “need to know” basis. An
employee must not discuss or divulge confidential information to any
unauthorised persons. Many employees have regular access to confidential
information, (for example on Council tenants, clients, businesses, contractors,
other employees, Councillors and members of the public). All Council
information should be treated as confidential unless the employee is sure that
it is for public consumption. Employees must be aware of which information
within the Council is open and which is not, and act accordingly. Employees
should follow the Council‟s rules on the ownership of intellectual property or
copyright created during their employment. For guidance contact your line
manager.

Under the Data Protection Act an employee must not give personal
information to any one who does not have a right to receive it.

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24. An employee must not communicate information or documents, which are the
property or copyright of the Council, to a third party without proper authority.

25. An employee must not use, or attempt to use, his/her official position for an
improper purpose or any information obtained in the course of his/her
employment for personal gain or benefit, nor pass it on to others who might
use it in such a way.

26. An employee must not use in a private capacity (for example in a public
meeting) any information gained through employment with the Council that is
not available to the public at large.

27. An employee must not make statements to the press or any other
person/media, regarding the business of the Council and purporting to be
acting on behalf of the Council without prior authority.

28. Any particular information received by an employee from a Councillor which is

personal to that Councillor and does not belong to the Council should not be
divulged by an employee without the prior approval of that Councillor, except
where such disclosure is required or sanctioned by the law.

NOTES

i) In certain circumstances the disclosure of information could be regarded as

Gross Misconduct (see Section 6 Paragraph 18 n, o and p).

ii) The Council‟s Information Management & Information & Communication

Technology Guidelines are available on the Council‟s Intranet or copies are
obtainable from your manager. These cover the processes that must be
followed to comply with the Freedom of Information Act.

Tendering

29. Employees involved in a tendering process and dealing with contractors

should be clear on the separation of client and contractor roles within the
Council. Senior employees who have both a client and contractor
responsibility must be aware of the need for accountability and openness.
Employees involved in tendering are required to comply with the Council‟s
Contract Standing Orders, Financial Regulation 15 and Part V of Standing
Orders with respect to meetings.

30. Employees must exercise fairness and impartiality when dealing with all
customers, suppliers, other contractors and sub-contractors.

31. Employees who are privy to confidential information on tenders or costs for
either internal or external contractors should not disclose that information to
any unauthorised party or organisation.

32. Employees contemplating a management buyout should, as soon as they

have formed a definite intent, inform the appropriate manager, register their
intent in the Council‟s Register of Gifts, Hospitality and Interests and withdraw
from the contract awarding processes.

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33. Employees should ensure that no special favour is shown to current or recent
former employees or their partners, close relatives or associates in awarding
contracts to businesses run by them or employing them.

Outside Interests

34. Whilst the Council does not wish to unreasonably prevent its employees from
taking other paid employment or pursuing personal business interests, it is
important that this should not interfere with their work for the Council in any
way. If an employee has paid employment or business interests in addition to
his/her job with the Council or is considering one/them, he/she should discuss
it with his/her manager. Employees will need the specific approval of their
senior manager, Chief Officer or Director and, for senior employees, it may not
be allowed at all. All employees should be clear about their contractual
obligations and should not take outside employment that conflicts with the
Council‟s interests.

35. An employee must declare membership of a secret society** in the Council's

Register of Gifts, Hospitality and Interests.

** A secret society is defined as "Any lodge, chapter, society, trust or

regular gathering or meeting, which:

(a) Is not open to members of the public who are not members of
that lodge, chapter, society or trust

(b) Includes in the grant of membership an obligation on the part of

the member a requirement to make a commitment (whether by
oath or otherwise) of allegiance to the lodge, chapter, society,
gathering or meeting; and

(c) Includes, whether initially or subsequently, a commitment

(whether by oath or otherwise) of secrecy about the rules,
membership or conduct of the lodge, chapter, society, trust,
gathering or meeting.

A lodge, chapter, society, trust, gathering or meeting as defined above,

should not be regarded as a secret society if it forms part of the activity
of a generally recognised religion.

36. Employees, or their partners or relatives (See Section 5 paragraph 5 (d)), who
have any formal or informal relationship with a contractor(s), and/or have
previously had, or currently have, a private or domestic relationship with a
contractor(s), must tell their manager and complete the Council‟s Register of
Gifts, Hospitality and Interests.

37. All relationships of a business or private nature with external contractors, or

potential contractors, must be made known to the appropriate manager and
declared in the Council‟s Register of Gifts, Hospitality and Interests. Orders
and contracts must be awarded on merit, by fair competition against other
tenders, and no special favour should be shown to businesses run by, for

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example friends, partners or relatives, in the tendering process. No part of the

community should be discriminated against. Employees, who engage or
supervise contractors or have any other official relationship with contractors
and have previously had or currently have a relationship in a private or
domestic capacity with contractors, should declare that relationship to the
appropriate manager and complete the Register of Gifts, Hospitality and
Interests.

38. Where there is any potential conflict of interest, financial or non-financial, with
any part of the Council‟s services, or that they consider could bring about
conflict with the Council‟s interests, an employee must ensure that the outside
interests are brought to the attention of their manager, and recorded in the
Council‟s Register of Gifts, Hospitality and Interests. An employee must take
appropriate steps to ensure that actual or perceived bias is removed in relation
to the delivery of the Council's Services (e.g. Determination of applications).

39. If the Council has entered, or is proposing to enter, into a contract in which the
employee has knowledge of a direct or indirect pecuniary or personal interest,
the employee must inform his/her manager and enter this in the Council‟s
Register of Gifts, Hospitality and Interests.

40. The Council welcomes the involvement of employees in voluntary

organisations. However, in order to ensure that public confidence is
maintained an employee should inform their manager in writing if the services
which the employee gives to any such organisations could conflict with the
work which the employee carries out for the Council or if the organisation
receives a grant from or has a contract (or service level agreement) with the
Council.

41. Employees must not use their position as employees of the Council to favour
any voluntary or other bodies to which they give service. If an employee‟s job
involves assessing a funding application for a voluntary body to which they
give service they should inform their manager in writing and seek the guidance
of the manager.

Sponsorship

42. Where an outside organisation wishes to sponsor or is seeking to sponsor a

local government activity, whether by invitation, tender, negotiation or
voluntarily, the basic conventions concerning acceptance of gifts or hospitality
apply. Particular care must be taken when dealing with contractors or
potential contractors.

43. Where the Council wishes to sponsor any event or service no employee or
his/her partner, spouse, relative or close associates should benefit directly
without there being a full disclosure to the appropriate manager of any such
interest. Similarly, where the Council through sponsorship, grant aid, financial
or other means, gives support in the community, employees should ensure
that impartial advice is given and that there is no conflict of interest involved.

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Off-duty Hours

44. Off-duty hours are the personal concern of employees (See General Conduct
Section 5 paragraphs 2, 3 and 4 and Outside Interests paragraphs 34 - 41) but
they shall not:

(a) Subordinate their duties to private interests;

(b) Allow duties and private interests to conflict;

(c) Engage in employment in off-duty hours or conduct themselves in any

way which, in the view of the Council, could conflict with or react
detrimentally to the Council‟s interest, in any way weaken public
confidence in the conduct of the Council‟s business or contravene
statutory provisions relating to their jobs;

(d) Wear issued uniform during off-duty hours except when travelling to and
from work, or when specifically authorised.

(e) Use any Council vehicle, equipment, facilities or supplies without the
express permission of their manager.

NOTE

Where an employee is subject to Police caution or charged with a criminal

offence that took place during off-duty hours, he/she must report the fact to
his/her Chief Officer or Director. The need for disciplinary proceedings will be
considered in the light of its relevance to his/her employment. (See paragraph
17 and 18 Section 7).

Gifts and Hospitality

45. The Council provides a wide range of services. To do this it has to place large
orders with suppliers for materials and equipment, and contractors. In
spending public money it is essential that the Council be seen to be
scrupulously correct and fair in its dealings. If an employee is involved in
contract tendering in any way he/she must speak to his/her manager about the
rules and procedures related to these activities.

46. The general rule is that gifts and hospitality will rarely be accepted and should
never be invited

47. Any offers or gifts should be made to the Council for the purposes of its
functions or for the benefit of the service or the Borough - not to an individual
as an employee. Suppliers or organisations of a similar nature must be
treated in the same way in relation to gifts or hospitality accepted.

48. Invitations or hospitality given formally through the Council as an organisation

are more acceptable than invitations given personally. Offers of hospitality
should only be accepted if there is a genuine need to impart information or
represent the Council or the community.

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49. When hospitality has to be declined, those making the offer should be
courteously but firmly informed of the procedures and standards operating
within the Council. It may still be appropriate in these circumstances to record
the rejection in the Register of Gifts, Hospitality and Interests.

50. Employees cannot

 Accept any monies offered directly to you as a result of your position

at the Council
 Accept any personal gift of more than £25.00 in value
 Accept an offer to attend a purely social or sporting function unless it
is considered appropriate for the Council to be seen to be
represented (check with your Manager)
 Accept a bequest if it relates directly to actions undertaken by you in
the normal course of your Council duties
 Accept a gift or hospitality where its timing could be construed as
sensitive to any decision being taken by the Council
 Accept a gift or hospitality where it may be perceived that this would
influence a purchasing decision or provision of a service

51. Employees can

 Accept insignificant gifts e.g. pens, diaries. (Items useable at work

are generally more acceptable than those for personal use)
 Accept a one-off reward of money for service which the customer
writing in feels is "above the call of duty", the reward is unsolicited,
below £20 and the acceptance has been approved by your Manager
and registered in the Register of Gifts, Hospitality and Interests
 Accept hospitality received during attendance at conferences,
meetings or seminars where it is clear that it is "corporate" rather
than personal and attendance has been authorised by your
Manager

52. On the rare occasions that it is considered acceptable to accept gifts or

hospitality a record must be made in the Register of Gifts, Hospitality and
Interests as soon as possible and at least within 28 days

Employees must register

 All gifts of money, cash, cheques or credit

 Any tangible item of value over £5.00
 Any incidence of hospitality accepted other than a normal
meeting or seminar

The entry in the Register of Gifts, Hospitality and Interests should detail
on what grounds the gift or hospitality has been accepted and what has
happened to any gifts received (e.g. donated to the Mayor's charity)

53. Where an outside organisation wishes to sponsor a Council activity, the same
conventions apply concerning acceptance of gifts or hospitality.

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54. Apart from participating in concessionary schemes arranged by Trade Unions

or other groups for their members, employees should not use contractors
employed by the Council to get materials or work done at cost, trade or
discount prices.

55. Employees are expected to take all proper steps to avoid any suggestions that
they may be involved in any corrupt or dishonest practices, through bribery or
otherwise, in accepting gifts or rewards. Should you have any doubt as to the
right course of action in any particular circumstances you should always seek
the advice of your manager. Ultimately, improper behaviour may not just be a
disciplinary matter; it could be a criminal offence.

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SECTION 6 - INTRODUCTION TO DISCIPLINARY RULES AND PROCEDURE

Introduction

1. Management is responsible for maintaining and setting standards of

performance and for ensuring that disciplinary rules and procedures are in
place and that these are understood by employees. Managers in conjunction
with Personnel Services are responsible for ensuring that all notifications are
made in accordance with this Procedure and that appropriate records/notes
are kept of all proceedings.

2. As a formal approach, the main purpose of the Council‟s Code of Conduct,

Disciplinary Rules and Procedure is to encourage an improvement in an
employee whose standard of conduct is unsatisfactory. The Council‟s policy is
to ensure that effective arrangements exist for dealing with disciplinary matters
and that, as far as possible, common standards are observed for all
employees. It must be seen as an attempt to secure improvement in conduct,
to treat staff in a fair and consistent manner and to provide a procedure so all
parties know what to expect.

3. It is in everyone‟s interest to ensure that any disciplinary matter is dealt with

quickly, effectively and above all fairly. Minor faults will, in the main, be dealt
with through normal management practice and may possibly involve
counselling, coaching and supervision. Where this has failed to correct a
situation, more formal measures may be necessary.

4. The Disciplinary Procedure does not cover the initial stages of dealing with
impaired performance through factors such as ill health or lack of ability to
cope with changing demands; this is dealt with initially by a separate
Capability Procedure. The latter stages of the Capability Procedure do
however follow the same format as the Disciplinary Procedure.

5. The Procedure draws a clear distinction between informal and formal

processes, provides for consistency of approach, is designed to be
transparent, easy to understand in application and to reflect good employment
practice.

PRINCIPLES

6. In accordance with the ACAS Code of Practice on „Disciplinary and Grievance

Procedures; the Council‟s general disciplinary principles are outlined below.
They will be expanded upon further in this document.

(a) Minor shortcomings in an employee's overall conduct shall, where day

to day supervision is appropriate, be drawn to the attention of the
employee and possible remedies should be considered before formal
steps become necessary.

(b) The Procedure is designed to establish the facts quickly and fairly and
no management decisions/disciplinary action will be made until there
has been a proper investigation of the facts/Disciplinary Hearing held.

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(c) At every stage of the Procedure the employee will be treated fairly, and
full account taken of any special needs (e.g. disability, English not first
language etc) be advised of the nature of the allegation and given the
opportunity to state his/her case fully.

(d) No employee will be dismissed for a first breach of discipline except in

the case of Gross Misconduct when they are potentially liable for
summary dismissal without notice or payment in lieu of notice.
Dismissal will only be decided upon by those authorised to act. (See
"Authority to Act" Appendix 2)

(e) All managers involved in the Disciplinary Procedure will keep

management notes of the investigations and Hearings including the
rationale behind the decision making process. These will be made
available to the employee.

(f) At all stages of the Procedure the employee will have the right to be
accompanied by a trade union representative or work colleague of their
choice but by no one else including external legal representation.

(g) When an employee is required to attend a Disciplinary Hearing there

will be advance written notice to them setting out the grounds for the
Hearing and its possible consequences. Witnesses may be called by
either party. Documentary and other evidence (including which
witnesses are to be called) will, as far as practically possible, be
produced with that written notice. The employee will be expected to
also make the necessary witness and documentary disclosures
available prior to the Hearing.

(h) Criminal activities (either inside work or outside if it is likely to affect an

employees work and/or the Council) will be investigated under the
Disciplinary Procedure. Awaiting the outcome of any criminal
investigation may not delay the Council‟s Hearing.

(i) The formal procedure may be implemented at any stage if the

employee's alleged misconduct warrants such action.

(j) Only designated employees/Councillors will implement the Disciplinary

Procedure and take disciplinary action in accordance with the level
authorised. (See "Authority to Act" Appendix 2). Such
employees/Councillors will have a copy of the Disciplinary Procedure
and will have received guidance on how to apply it.

(k) An employee will be given an explanation for any penalty imposed,

informed of the improvement expected and have the right to appeal
against it to the next level of management. (See "Authority to Act"
Appendix 2). Such appeals will normally involve a complete review of
the circumstances of the case and the penalty decided upon. Any
sanction imposed will have an expiry date.

(l) Every effort will be made to proceed expeditiously. The timescales are
constructed to allow sufficient time for the preparation of case. A formal

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request for a deferment of a Hearing where further time is needed to

prepare will not be unreasonably refused provided enough notice is
given and the reasons explained. The deferment will not exceed 5
working days and will not normally exceed one instance.

(m) Where an employee raises a grievance related to the disciplinary case,

proceedings may have to be suspended for a short while until the
grievance is considered. Where a grievance is raised Personnel
Services must be consulted.

(n) If an employee refuses to attend a meeting called under this Procedure

management will write to the employee concerned explaining that a
disciplinary decision may have to be taken in their absence, based on
information to hand. If a reasonable reason for non-attendance is
forthcoming the process at (l) above will apply.

(o) All disciplinary matters will be treated confidentially.

(p) Personnel Services will be available to managers for advice and

support at every stage of the Procedure and will monitor and advise on
its consistent application throughout the Council. A representative of
Personnel Services will be present at all formal interviews held with
employees under this Procedure.

(q) The Procedure has been drawn up in discussion with the trade unions
recognised by the Council.

AUTHORITY TO ACT

7. Only those so authorised may act in the implementation of this Procedure. A

schedule of “Authority to Act” is attached at Appendix 2.

8. Notwithstanding “Authority to Act” (Appendix 2), the Director of Finance &

Resources may independently initiate disciplinary action against any employee
with regard to suspected fraud or financial irregularity

9. A designated employee with “Authority to Act” (Appendix 2) shall present the

management case at an appeal against the decision they have taken.

NOTE The designated employee may nominate a representative where

they are unavailable to act.

GENERAL RESPONSIBILITIES

10. Chief Officers/Directors and Managers are responsible for ensuring that the
Council‟s Code of Conduct, Disciplinary Rules and Procedure are understood
by all employees including those whose first language is not English or have a
disability or other impairment. They shall also ensure that the Code, Rules
and Procedure are correctly implemented within their service areas.

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11. It is the responsibility of managers in consultation with Personnel Services to

ensure that all notifications are made in accordance with this Procedure and
that appropriate records/notes are kept of all proceedings.

12. Where appropriate, arrangements for training in the use and operation of the
Procedure will be initiated by Personnel Services.

13. Personnel Services will make the necessary arrangements for Disciplinary and
Appeal Hearings, which involve Councillors. They will also provide any advice
necessary to Councillors.

14. It is the responsibility of Personnel Services to provide overall guidance and

advice, as required, in the implementation of the procedure and to monitor
consistency of application throughout the Council.

DISCIPLINARY RULES

15. The aim of these rules is to make clear the standards necessary for ensuring a
safe and efficient workplace and for maintaining good employment relations.

Gross Misconduct

16. Acts which constitute Gross Misconduct are those resulting in a serious
breach of contractual terms and can, therefore, after proper investigation of
the alleged offence, justify summary dismissal. (Dismissal without notice or
previous warning).

17. Whilst it is possible to give examples of what might constitute gross

misconduct, each case has to be considered in the light of its own
circumstances, since the seriousness of an action often depends on
considering a number of criteria. These include:

a) The nature of the alleged offence;

b) The duties and position in the Council of the employee (how senior they
are, and what responsibilities they have);

c) Wilfulness/intent (whether there has been deliberate intention to breach

Council policy and/or standards);

d) Mitigating circumstances.

18. The following acts, and offences of a like nature or similar gravity, are normally
regarded as gross misconduct; but as indicated earlier this list is not intended
to be exhaustive.

(a) Serious insubordination to a member of management including

continual refusal to carry out reasonable instructions;

(b) Theft, or attempted theft, misappropriation of property, fraud/dishonesty

or deliberate falsification of, or destruction of, records from the Council,

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or its employees, Councillors or associated organisations, or from

premises being visited during the course of employment;

(c) Unauthorised possession or use of the Council‟s property, or the

property of its employees, Councillors, the public and contractors.
Criminal and/or malicious damage to or any other unlawful act which
involves the property of the Council, its employees, Councillors, the
public, suppliers or contractors or associated organisations;

(d) Offences of a dishonest or fraudulent character, including failure to

disclose material information, convictions, or knowingly making a false
statement or omission when applying for an appointment, or falsification
of records, time sheets, flexi sheets, time recording sheets, expense
claim forms, car allowance claims, returns of ticket sales, drivers'
records, etc.;

(e) Deliberate disregard and/or intentional breach of the Council‟s Policies,

Procedures, Rules and Regulations, statutory provisions and general
instructions concerning the collection, transfer, security and paying in of
monies, the issue and receipt of tickets or receipts and the completion
and submission of associated documents and the deliberate or wilful
failure to maximise income to the Council in the disposal of any of its
assets;

(f) Deliberate action or omission which endangers or might endanger life or

limb including deliberate damage to, or neglect of, or misappropriation
of, safety equipment and any violations of health and safety rules,
instructions and codes of practice which could give rise to serious
consequences; i.e. breach of the Council‟s duty of care;

(g) Disorderly or indecent conduct, physical violence or bullying, actual or

threatened;

(h) Unlawful discrimination or harassment including discrimination as

defined within the Council's Codes of Practice for Dignity at Work and
Equality of Opportunity in Employment;

(i) Possession of illegal drugs or substances whilst on duty or the

consumption of alcohol or the taking of drugs or other substances in
direct contravention of a specific management instruction or regulation,
or being under the influence of alcohol or illegal drugs or intoxicating
substances in circumstances where it could constitute serious
incapability at work, a health and safety hazard or where it would be in
breach of a position of responsibility and trust;
.
(j) Serious breach of the Council‟s Information Management & Information
& Communication Technology Guidelines & Compliance Statement;

(k) Deliberate or wilful sabotage of one of the Council's computerised

systems;

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(l) Without prior management agreement engage in other paid

employment whilst receiving sick pay or other benefits from the Council
during a period of sickness or unauthorised absence;

(m) The use, or attempted use, of an employee‟s official position for an

improper purpose, for his/her own private advantage or for the
advantage of a third party, including without authorisation, accepting
any fees, gifts, hospitality, favours or other reward (see Section 5
paragraphs 45 - 55) or favouring family and friends in the delivery of a
service;

(n) Omission, misrepresentation or conduct likely to damage seriously the

image and/or reputation of the Council and/or which leads to a loss of
confidence in the public service;

(o) Serious misuse of the Council‟s property or name;

(p) Wilful damage to Council property, those other agencies or other

employees;

(q) Serious neglect of duty and responsibility or carelessness, which

causes or might cause unacceptable loss, damage or injury;

(r) Criminal offences and other conduct outside employment, whether on

or off duty which affects the employee‟s suitability to perform his/her
work, makes him/her liable to be unacceptable to other employees or
management, or is liable to damage the Council‟s business and/or
reputation and are such that the employees presence at work cannot be
allowed;

(s) Failure to comply with the requirements of the Local Government Act
1972, which requires an employee or office holder to declare an interest
where it comes to their knowledge that a contract in which he/she has
any, either direct or indirect, pecuniary interest has been or is proposed
to be entered into by the Council. Employees to whom this may apply
must seek advice;

(t) Canvassing Councillors for appointment, promotion or other personal

advantage.

(u) Failure to disclose when asked any keys, equipment, documents,

passwords, de-encryption codes or any other item or information
needed to assist with any investigatory process.

(v) Failure to allow investigatory processes relating to the searching or

seizure of offices, desks, mobile telephones, lockers, electronic
documents, work diaries etc provided by the Council or produced on
Council equipment.

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Misconduct

19. Any employee may, after careful investigation of the alleged offence, have
disciplinary action taken against them. Examples of misconduct that may
result in the Procedure being invoked are:

(a) Breach of the Council‟s Code of Conduct;

(b) Insubordination, refusal or deliberate failure to follow a reasonable

management instruction;

(c) Irregular timekeeping or continual lateness;

(d) Unauthorised absence from work or the work place;

(e) Truculent/foolish behaviour or abusive language likely to cause offence

to other employees or members of the public;

(f) Contravention of safety/hygiene rules and instructions;

(g) Breach of the Council's Smoking Policy Statement;

(h) Sleeping on duty, without management approval;

(i) Being under the influence of alcohol or other substances;

(j) Repeated and significant misuse of Council paid working time or

facilities (e.g. computer facilities, telephones, parking in unauthorised
areas, fax machines);

(k) Minor neglect of responsibilities or breach of the Council‟s policies and

procedures;

(l) Wilful failure to adapt to changing technologies, methods and patterns

of work (as distinct from inability to adapt which is dealt with under
capability procedures); Repeated failure may lead to dismissal.

(m) Minor contravention of the Council‟s Information Management &

Information & Communication Technology Guidelines & Compliance
Statement.

(n) Any wilful act that impedes an investigation into an alleged act of
misconduct.

(o) Any other act or omission that might otherwise (if the context were
judged to be more serious) be dealt with as a matter of gross
misconduct.

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SECTION 7 - DISCIPLINARY PROCEDURE

INTRODUCTION

1. This Procedure should not be seen primarily as a means of imposing

sanctions but rather as a way of encouraging improved conduct amongst
employees.

DAY-TO-DAY SUPERVISION OF EMPLOYEES

2. Minor issues of conduct or omission will, in the main, be dealt with informally
by the Supervisor/Manager.

(a) The day-to-day supervision of employees and monitoring of their conduct is

part of the normal management process within the Council.

(b) When a minor incident occurs and it is suspected that an employee may have
committed an act of misconduct, the employee shall normally be interviewed
by the supervisor or manager (See "Authority to Act" Appendix 2), told of the
incident and given the right to reply.

(c) It is expected in the majority of cases, the matter will be resolved at this stage
without reference to the formal procedure by clear instruction and the
employee informed of the conduct or standard expected within a specified
timescale. It may be appropriate to consider offering either/or a combination
of training, coaching or counselling.

(d) If the required improvement is insufficient or a further instance of misconduct

occurs; the formal stage of the Disciplinary Procedure will apply.

(e) A brief note of the discussion(s) will be kept for reference purposes. This can
be a diary record. Where it is considered appropriate for the employee to
receive written confirmation of the outcome a copy of this Supervision Note
must be appended to the employee‟s personal file.

(f) Where the employee‟s conduct or omission is considered to constitute a more

serious breach of discipline, or where the employee has failed to respond to
previous instructions, the matter shall be the subject of further consideration
and investigation.

(g) Where there is a suspected irregularity affecting the resources of the Council,
the supervisor or manager should comply with the Council‟s Irregularity
Response Plan on the subject (available on the Council's Intranet).

(h) Where the supervisor or manager has reasonable grounds for believing that
the incident is one of gross misconduct or believes there are grounds to doubt
the suitability of the employee continuing at work, the employee must be
suspended pending investigation, in accordance with this Procedure.
Suspension pending investigation does not constitute disciplinary action.

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PRELIMINARY INVESTIGATION AND CONSIDERATION

3. Any alleged breach of discipline which has not been, or is not appropriate to be,
resolved by the day to day supervision of employees as described in paragraph
2 above shall, before any disciplinary action is taken, be fully investigated by, or
under the direction of, a person designated for this purpose (See "Authority to
Act" Appendix 2) and a representative from Personnel Services.

4. An investigatory meeting(s) shall be held to establish the facts promptly with the
employee, at which the employee has the right to be accompanied by a trade
union representative or some other work person of his/her choice, but by no one
else. The letter requesting the employee to attend a meeting will set out the
nature of the allegation(s). At least 3 working days notice of the meeting will be
given. The employee should be kept informed of progress and of the likely
timescale.

5. The investigation process will be carried out speedily but without comprising
fairness or thoroughness or sensitivity to issues of dignity at work or equality of
employment. It should be undertaken as discreetly and privately as possible to
avoid unjustified damage to reputations. As a guideline, every endeavour will
be made in cases of misconduct to complete the investigation and
recommendations within one calendar month and for cases of serious or gross
misconduct within two calendar months subject to the availability of resources.
Personnel Services must be involved throughout the process.

6. There should be as much investigation as is reasonable in the circumstances.

It should be sufficient to:

Establish a genuine belief that the alleged misconduct, act or omission has
taken place; and

Provide reasonable grounds to sustain that belief on the balance of

probabilities; or

Establish whether there is a case to answer

7. Normally, as part of the fact finding, it will be appropriate for the person
undertaking the investigation to interview the employee giving him or her the
opportunity to offer an explanation and the facts from his or her point of view.

8. Care must be taken to ensure that investigatory meeting(s) do not turn into a
Disciplinary Hearing. Where it becomes evident that a Disciplinary Hearing is
appropriate then it must be convened in accordance with this Procedure.

9. The person undertaking the investigation may interview other employees and, if
appropriate the public if they made an allegation or were eyewitnesses to an
event or incident. They will be asked for the facts and circumstances of the
alleged incident and signed, dated written statements taken. Witnesses may be
asked to attend a Disciplinary Hearing.

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10. If, after careful consideration of all the information available it is concluded that
the alleged breach of discipline should be the subject of a Disciplinary Hearing
the employee must be notified accordingly, and arrangements made for the
disciplinary hearing to take place as soon as is practicable. The notes of the
investigatory meeting(s) will be shared with the employee, the employee asked
to agree and sign as a correct record. If there is no case to answer, all
documentation will be destroyed.

SUSPENSION PENDING INVESTIGATION

11. Suspension should normally occur only when, after proper consideration, there
is a genuine belief that the continuing presence at work of the employee may
impede the investigation, or that they and/or the reputation of the Council may
be put at risk. Suspension from work, with pay, is not a disciplinary penalty but
is intended to allow for a proper investigation. Suspension can occur before or
during the course of an investigation. The period of suspension should be as
brief as practicable and kept under review to ensure it is not unnecessarily
protracted.

12. If a designated manager (See "Authority to Act" Appendix 2) in consultation with

Personnel Services:

(a) Has reasonable grounds for believing that an alleged breach of discipline
constitutes an act of gross misconduct where relationships have broken
down; or

(b) Believes that the continued presence at work of the employee could be
prejudicial to the investigation or that evidence may be tampered with or
destroyed prior to an investigatory meeting with notice or that there are
risks to Council‟s reputation, property, records, or to other employees or
the public at large; or

(c) Believes there are grounds, at any stage of the investigation to doubt the
suitability of the employee continuing at work; or

(d) Where the nature of the alleged misconduct is such that its future
occurrence or re-occurrence could have serious consequences for other
employees of the Council or the public at large, e.g. dangerous practices,
drunkenness, irregularities in cash handling, or

(e) Contact by the individual with other employees may constrain them from
co-operating fully with enquiries, or

(f) Where there is a real concern that the employee‟s continued presence at
their place of work could result in serious disruption whether deliberate or
otherwise, e.g. where the pressure of the proceedings prevents the
employee from working effectively or where the employee is in a position
to commit deliberate acts of sabotage.

He/she must suspend the employee on full pay. In this context, full pay
shall be calculated in accordance with national conditions of service as
modified by local agreement.

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13. His/her decision shall be confirmed in writing giving the reasons for the
suspension and it made clear that this suspension is not considered a
disciplinary action.

14. The period of suspension should be reviewed to ensure that it is not

unnecessarily protracted.

15. The period of suspension may need to be extended beyond the period of the
investigation until the Disciplinary Hearing has been held and a decision to do
so must be communicated to the employee.

16. If the employee is found not to have been at fault, the suspension will be lifted
and an appropriate statement made in writing to the employee and all
documentation removed from the employee‟s personal file.

DEALING WITH POLICE INVESTIGATION, CRIMINAL ACTIVITY OR

CONVICTION

17. These shall not be treated as automatic reasons for dismissal. The main
consideration shall be whether the police investigation or offence is one that
makes the employee unsuitable for their type of work. Accordingly criminal
offences, whether on or off duty, which are likely to affect an employee‟s
suitability to do their job and/or their relationship with the Council, work
colleagues or customers will be investigated.
18. The first stage shall be to determine after considering the facts whether the
conduct is sufficiently serious to warrant a Disciplinary Hearing. This will be
based on the outcome of the investigation. Awaiting the outcome of any
criminal investigation may not delay a Disciplinary Hearing.

THE DISCIPLINARY HEARING

19. All Disciplinary Hearings are held in private and are based on the finding of
disciplinary investigations. All evidence presented by management must be
pertinent to the case in question, and have been shared with the employee
prior to the Hearing.

20. The parties shall be advised of the procedure to be adopted at the Hearing
(See "Authority to Act" Appendix 2) and shall receive at least five working days
notice of the date of the Hearing unless an earlier date is mutually agreed.

21. When an employee is required to attend a Disciplinary Hearing there will be

prior written notice of:

the date, time and place of the Hearing;

the nature of the allegation(s) against him/her;

the nature of the disciplinary action that could be taken, including, if

applicable, that they may lead to dismissal;

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the right to be accompanied by a trade union representative or work

colleague of their choice but by no one else, and the right to call witnesses
and/or present documentary evidence at the Hearing. Any documentary
evidence must be copied to management prior to the Hearing (See
paragraph 26);

any witnesses to be called by management;

provided with any documentary evidence;

provided with a copy of the Disciplinary Procedure; and,

the name of the employee/composition of the Panel taking the Hearing and
that a representative of Personnel Services will be present.

Any reasonable adjustments, if required, will be made to cater for employees

who have a disability or other impairment.

22. In a case of an alleged breach of discipline the Hearing will be conducted by a

manager or senior manager or Chief Officer/Director or other appropriate
employee designated for this purpose (See "Authority to Act" Appendix 2) in
conjunction with a representative from Personnel Services. The person
presenting the case against the employee will normally be the Investigating
Officer and may also be accompanied by a representative from Personnel
Services.

23. In a case of alleged gross misconduct or where an employee has persisted in

acts of indiscipline or misconduct after a final written warning, the Hearing
shall be conducted by a senior manager, Chief Officer, Director or other
person designated for this purpose (See "Authority to Act" Appendix 2) and the
Head of Personnel and Development or their designated representative.

24. The employee must take all reasonable steps to attend the Hearing. A formal
request for a deferment of a Hearing will not be unreasonably refused provided
adequate notice is given and the reasons explained. The deferment will not
normally exceed seven working days after the date originally proposed unless
this is extended by mutual agreement. The revised date will be confirmed in
writing to all parties.
.
25. In the event of the authorised absence or failure to attend of the employee on
the date of the Disciplinary Hearing as originally scheduled, the Hearing shall
be postponed and re-arranged within a reasonable timescale normally within
seven working days, and where possible on a date agreed by all parties and
all parties informed in writing. The letter sent should also explain that a
decision may be taken on whether to proceed on this later date if the
employee fails to attend without good reason, with the employee‟s
representative being provided with the opportunity to present the employee‟s
case on his/her behalf and respond to the management case.

26. Both parties may call witnesses employed by the Council, and present
documents in support of their case. Any witnesses to be called and/or
documents to be presented by the employee must be submitted to Personnel

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Services where possible 5 working days in advance of the Hearing to enable

them to be circulated to all parties.

27. Witnesses not employed by the Council may also be called subject to their
availability and willingness to attend the Disciplinary Hearing.

The Hearing

28. A Hearing will be held in private and the procedure to be followed is set out at
Appendix 3. This consists of four key steps as follows:

(a) Step One - Management presents case and calls witnesses.

Management and witnesses can be questioned by employee and/or
his/her representative. The authorised person/Panel conducting the
Hearing may ask questions.

(b) Step Two - Employee or representative will present their case and may
call witnesses. Management can question the employee/representative
and witnesses. The authorised person/Panel conducting the Hearing
may ask questions

(c) Step Three- Both parties to be given opportunity to sum up. The
Hearing is adjourned for deliberation. If further clarity is required, both
parties and, if appropriate, witnesses may be recalled.

(d) Step Four - The authorised person/Panel presents the decision,

normally, orally to both parties. On occasion the decision may not be
communicated on the day of the Hearing.

NOTE:
(i) The Personnel Services representative
accompanying the authorised person/Panel will
have the right to ask questions of both parties.

(ii) It may be necessary for adjournments to take place

during Disciplinary Hearings. Either party may
request an adjournment.

29. If, after full and careful consideration of all the evidence, it is decided that the
alleged breach of discipline is substantiated and that disciplinary action shall
be taken, such action shall be determined in accordance with the principles
and considerations set out in this Procedure. Where it is decided that no
formal action is justified the employee must be informed.

30. Notes must be taken and these should contain essential details of the
discussion and the decision made including the rationale behind it. All notes of
proceedings, witness statements and records shall be kept confidential.

31. The employee shall be advised of the decision and right of appeal in
accordance with this Procedure, at the conclusion of the Hearing or as soon
as practicable thereafter. In any event, the decision shall be conveyed in

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writing within seven working days. This will be by the issue of a disciplinary
notice for decisions relating to misconduct setting out.

The nature of the misconduct.

The disciplinary sanction.
If appropriate, the change in conduct required
The consequences of further misconduct within the period of the
disciplinary sanction
That a record of the warning will be kept and subject to satisfactory
conduct will be disregarded for disciplinary purposes after a specified
period as set out in this Procedure and
Advised of the right of appeal.

The employee‟s representative will be given a copy of the Disciplinary Notice.

The employee will be required to sign and return a copy of the Notice as
evidence of receipt.

DISCIPLINARY ACTION

32. In reaching a decision, following a Hearing, the need to satisfy the test of
reasonableness in all the circumstances of the particular case will be
paramount. The test will be on the balance of probabilities that the employee
did or did not commit the alleged misconduct or gross misconduct. Accordingly
the disciplinary action should be based on:

a) The evidence given at the Hearing

b) Be appropriate to the seriousness of the offence(s), or, in certain cases,

the frequency with which offences are committed.

c) Full consideration given to the employee‟s circumstances, past conduct,

health or any domestic, personal or social factors, which may be
relevant.

d) Any representation made by the employee or his or her representative

in mitigation

e) The primary aim is to effect an improvement in the conduct of the

employee concerned.

f) A consistent, fair and effective approach be maintained (including

taking account of any precedent)

g) And any other relevant factors

Forms of Disciplinary Action

33. After a Disciplinary Hearing and based upon the decision reached the
following forms of disciplinary action or a combination of them, may be taken:

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a) Written warning, which in some circumstances may be a

Final Written Warning

b) Withholding of increments

c) Suspension without pay – as an alternative to dismissal

d) Suspension of sick pay

e) Disciplinary transfer

f) Demotion

g) Dismissal with notice

h) Summary dismissal in cases of gross misconduct

NOTE: In this context, Disciplinary Transfer or Demotion is without pay

protection and is considered as an alternative to dismissal.
Transfer may be to a similar level job or a lower level job but
would not exclude:

the possibility of dismissal should further disciplinary

action be necessary
a Warning or Final Written Warning also being given

It may also be appropriate in exceptional and extenuating

circumstances, to take other measures. The employee shall be
given a written explanation for any measures(s) imposed.

34. In cases of dismissal the employee will be informed of the date the
employment contract will terminate, the appropriate period of notice, or of the
last day of employment in the case of summary dismissal and a right of
appeal. There will be no liability to pay the employee for the period between
the dismissal and the disposal of an Appeal. This period would be fully
reimbursed in the event of a successful Appeal.

35. A copy of the Disciplinary Notice will be placed on the employee‟s personal
file, normally for 12 months for a Written Warning and 18 months for a Final
Warning. The warning will be disregarded after the stated period subject to
satisfactory conduct.

Disciplinary Action against Trade Union Representative

36. Although normal disciplinary standards apply to their conduct as employees,

no disciplinary action should be considered against an employee who is a
recognised Trade Union Representative until the circumstances of the case
have been discussed, after obtaining the employee‟s agreement, with a Full
Time Official of the Trade Union concerned.

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37. This does not prejudice management‟s right to suspend the employee on full
pay pending investigation if it is considered appropriate, in accordance with
Section 7 (Suspension Pending Investigation) of this Procedure.

APPEALS

Right of Appeal

38. An employee has the right of appeal against any disciplinary action under this
Procedure. This right together with the procedure to be followed to initiate the
appeal shall be set out in the Disciplinary Notice.

Originating the Appeal

39. An appeal must be lodged in writing within five working days of the receipt of
the notice detailing the sanction, using the appeal form available for this
purpose. The appeal form should state the specific reasons for the appeal
and whether the appeal is against:

a) The finding that the employee committed or was involved in the

offence; and/or

b) The form of disciplinary action taken against him/her.

c) Perceived procedural irregularities

d) To present new evidence which has subsequently come to light.

The new evidence should be submitted with the appeal form.

Appeal Against Disciplinary Transfer or Dismissal

40. Appeals shall be heard by an appropriate Appeals Panel. The Appeal Hearing
will normally be arranged to take place with the employee, and, where
applicable, his/her representative, within 6 weeks of the receipt of the appeal
and the employee shall be given notice at least five working days in advance
of the date, time and place. The letter will also state their right to be
accompanied, the names of the employees/Councillors who will hear the
Appeal, the action that could be taken, that witnesses may be called by either
party and where possible all relevant evidence should be exchanged prior to
the Hearing.

41. An exchange of all documents of each party‟s case and a list of witnesses to
attend the Hearing together with notes of the Disciplinary Hearing should take
place at least five working days before the Hearing.

Appeals against other forms of Disciplinary Action

42. Appeals shall be heard by a manager authorised to act. (See "Authority to

Act" Appendix 2).

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43. Within one month of the receipt of an appeal, the Chief Officer/Director, or
other senior manager specifically designated for the purpose, shall arrange
for, and hold, an Appeal Hearing, with the employee and where applicable
his/her representative, and the employee shall be given notice at least five
working days in advance of the date, time and place. The letter will also state
their right to be accompanied, the names of the Officer/Councillors who will
hear the Appeal, the action that could be taken, that witnesses may be called
by either party and all relevant evidence should be exchanged prior to the
Hearing.

44. An exchange of all documents of each party‟s case and a list of witnesses to
attend the Hearing together with notes of the Disciplinary Hearing should take
place five working days before the Hearing.

Deferment of Appeal Hearing

45. The employee must take all reasonable steps to attend the Hearing. A formal
request for a deferment of a Hearing will not be unreasonably refused provided
adequate notice is given and the reasons explained. The deferment will not
normally exceed seven working days.

46. In the event of the authorised/unauthorised absence of the employee on the

date of an Appeal Hearing, the Hearing will be reconvened within a reasonable
timescale and where possible on a date agreed by all parties and all parties
informed in writing. The letter sent should also explain that a decision may be
taken on whether to proceed on this later date if the employee fails to attend
without good reason, with the employee‟s representative being provided with
the opportunity to present the employee‟s case on his/her behalf and respond
to the management case. Any written submission by the employee and/or
his/her representative will be considered.

The Appeal Hearing

47. The Hearing will be held in private and based on and confined to the reasons
for the appeal. New evidence used and/or new witnesses may be called to an
Appeal Hearing only if the evidence is relevant to the grounds of appeal.

(a) Step One – Management presents case and calls witnesses. All parties
are open to questions by all others present.

(b Step Two - The employee presents case and calls witnesses. All
parties are open to questions by all others present.

(c) Step Three – Both parties are given the opportunity to sum up. The
Hearing is adjourned for deliberation. If further clarity is required, both
parties and, if appropriate, witnesses may be re-called.

(d) Step Four - The decision of the appeal is normally communicated to

both parties in person at the conclusion of the Hearing, but may be
deferred. In any event, written confirmation giving the reasons for the
decision and making clear that this is the final stage of the appeal
process, will normally be issued within 5 working days.

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48. The parties shall be advised of the procedure which is detailed at Appendix 3
This procedure will be followed unless varied by mutual agreement.

49. The senior manager/panel hearing the appeal must be accompanied by the
Head of Personnel and Development or his/her representative as an adviser
who shall have the right to ask questions.

50. The manager or Panel hearing the appeal has the power to remove, decrease
or confirm the penalty imposed at the Disciplinary Hearing.

Where an appeal decision confirms a dismissal, the date of the dismissal will
be the date originally notified to the employee, providing that notification
complies with employment legislation. There will be no liability to pay the
employee for the period between the dismissal and the disposal of the Appeal.

There is no further right of Appeal.

Notes must be taken and these should contain essential details of the
discussion and the decision made including the rationale behind it. All notes of
proceedings, witness statements and records shall be kept confidential.

DISCIPLINARY RECORDS

51. Any record of disciplinary action against an employee and Appeal Hearing
decisions shall be carefully safeguarded and treated as confidential. They shall
be retained in accordance with the Procedure and the Data Protection
legislation, which requires the release of certain data to employees on their
request. Information pertaining to witnesses may be withheld to protect them.

52. Records shall be kept detailing the investigations and the outcomes from
Disciplinary and Appeal Hearings. If a grievance is raised during the
Disciplinary Procedure details of this must be recorded and retained.

Except in special circumstances disciplinary sanctions below a Final Written

Warning will be disregarded after 12 months and, for a Final Written Warning,
will be disregarded after 18 months. In exceptional circumstances the
Disciplinary Notice conveying the disciplinary sanction may direct that a
warning is effective for a longer period but sanctions will not be “open ended”.

53. At the expiry of the warning period, unless the Disciplinary Procedure has been
re-invoked within the period of the Warning or there are special circumstances,
all documentation relating to the disciplinary action will be removed from the
employee‟s personal file. A minimal record will be retained, confidentially by
Personnel Services for matters covered in paragraph 54 below.

54. Previous warnings that have lapsed will be disregarded in the future application
of this Procedure. However, they may be relied upon in a future case of a
similar nature, to rebut an employee‟s suggestion that they were not aware of
the seriousness of their conduct, or to counter an employee‟s claim that may be
inconsistent with his/her previous service and disciplinary record.

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55. Employees can access their personal file and see information relating to this
Procedure by writing to Personnel Services who will make it available within 5
working days of receipt of the request. Arrangements will be made for the
employee to see the File information in the presence of a third party. Unless
the employee has provided signed authority the trade union side representative
can only see the File information in the presence of the employee.

AMENDMENT TO TIME LIMITS

56. The parties involved in a particular disciplinary matter may, on occasion and
by mutual agreement, modify the time limits referred to in this Procedure.

REVIEW

57. The Code of Conduct, Disciplinary Rules and Procedure will be reviewed from
time to time. Any amendments needed in the light of developments in
employment legislation or employee relations practice to ensure their
continuing relevance and effectiveness will be made in consultation with the
recognised trade unions.

58. Any amendments and additional rules imposing new obligations will only be
introduced after reasonable notice has been given to all employees.

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APPENDIX 1

PERFORMANCE INDICATORS

1. The management of breaches of discipline is being conducted effectively when:

(a) The Disciplinary Procedure is correctly applied and the nature and needs
of the business and management processes of the Council are met;

(b) The Code of Conduct, Rules and Procedure have been brought to the
attention of every employee;

(c) The person(s) authorised to act are competent in the exercise of their
authority under the Procedure;

(d) All Chief Officers/Directors/Senior Managers/Managers/Supervisors

handle the informal aspects of discipline with a view to improving
unsatisfactory conduct and, wherever practicable, adopt a counselling
approach in the first instance;

(e) Employees are suspended on full pay only when it is judged necessary.
(See Section 7 Suspension Pending Investigation)

(f) Accurate notes and records are kept of all formal Disciplinary
Investigations and Hearings, and Appeal Hearings and confidentiality
maintained at all times;

(g) Dismissal without a previous warning and without notice is only affected in
cases of gross misconduct where a proper investigation has been carried
out and a Hearing held;

(h) Disciplinary decisions are notified to employees in writing within the

specified timescale, giving reasons, the required improvement and
drawing attention to appeal rights;

(i) Only person(s) authorised to act are involved in the conduct of Disciplinary
and Appeal Hearings;

(j) Cases of unsatisfactory performance due to incapability (including ill-

health), or basic unsuitability for the work involved and cases involving
frequent or lengthy periods of genuine incapacity due to ill-health are dealt
with initially under separate procedures. The latter stages of such
procedures do however follow the same format as the Disciplinary
Procedure.

Methods of Monitoring

1. Existence of a published Disciplinary Procedure.

2. Compliance of the procedures with statutory and case law principles.

3. Attendance as an observer at Disciplinary and Appeals Hearings.

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4. Records of Disciplinary Investigations and Hearings.

5. Incidents, i.e. number and frequency of disciplinary actions analysed by

reasons and other equality indicators.

6. Copies of Disciplinary Notices.

7. Outcome of Appeals Hearings.

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APPENDIX 2

LOWEST LEVEL OF MANAGEMENT AUTHORISED TO ACT UNDER THE DISCIPLINARY PROCEDURE

EMPLOYEE/ WRITTEN FINAL WRITTEN DISMISSAL OFFICER DISMISSAL

GROUP WARNING (INC ACTION APPEAL APPEAL
SHORT OF)

Director/Chief Councillor Disciplinary Panel Councillor Appeal Councillor Appeal

Officer Panel Panel
Senior Manager Director/ Director/ Director/ Independent Councillor Appeal
reporting direct to Chief Officer Chief Officer Chief Officer Director/ Panel
a Director or Chief Chief Officer
Officer

Employees Senior Manager Senior Manager Director/ Independent Management

reporting direct to Chief Officer Director/ Appeals Panel
a Senior Manager Chief Officer

Other employees Supervisor/ Senior Manager Senior Manager Director/ Management

Line Manager Chief Officer Appeals Panel

NOTES: A Personnel Services representative will be in attendance at all Disciplinary and Appeal Hearings and have the right to ask
questions of both parties. The representative will have had no prior involvement in the case.

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APPENDIX 3

PROCEDURE AT DISCIPLINARY AND APPEAL HEARINGS

Note:
At the commencement of the Hearing the Chairperson may clarify the reason
for the appeal and the remedy sought.

(a) The management representative(s) shall put the case in the presence
of the employee and his/her representative and may call witnesses.

(b) The employee (or his/her representative) shall have the opportunity to
ask questions of the management representative(s) on the evidence
given by him/her, and any witnesses whom he/she may call.

(c) The person(s) hearing the appeal may ask questions of the
management representative(s) and witnesses.

(d) The employee (or his/her representative) shall put his/her case in the
presence of the management representative(s) and shall call such
witnesses as he/she wishes.

(e) The management representative(s) shall have the opportunity to ask

questions on the evidence given by the employee and his/her
witnesses.

(f) The person(s) hearing the appeal may ask questions on the evidence
given by the employee (or their representative) and his/her witnesses.

(g) The management representative(s) and the employee (or his/her

representative) shall have the opportunity to sum up their case if they
so wish.

(h) The management representative(s) and the employee and his/her

representative shall withdraw.

(i) The person(s) hearing the appeal shall, together with the Personnel
adviser, deliberate in private.

In the event of uncertainty concerning evidence already given, both

parties will be recalled, regardless of the fact that the point in question
relates only to the evidence of one of the parties.

(j) The decision of the Panel should, whenever possible, be announced to

both parties at the conclusion of the Hearing.

(k) The decision will be confirmed in writing by the Head of Personnel and
Development or his/her representative within five working days giving
reasons for the decision.

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In all cases, the decision of the person(s) hearing an appeal is final.

NOTE

(1) Only one witness to be present at a time and to remain

only for the period relating to their evidence but to
remain available for recall.

(2) Where an appeal decision confirms a dismissal, the

date of the dismissal will be the date originally notified
to the employee, providing that notification complies
with employment legislation. There will be no liability to
pay the employee for the period between the dismissal
and the disposal of the Appeal.

(3) At least one person present shall record the

proceedings.

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