HR Employment Information and Guidance

Disciplinary Policy and Procedure

Last updated July 2024

Contents

Introduction

The purpose of the Disciplinary Policy and Procedure is to ensure that fair and effective arrangements exist for dealing with employees conduct and disciplinary issues.  It is to help and encourage employees to achieve and maintain acceptable standards of conduct, efficient and safe performance of work and to maintain satisfactory relationships between employees and the Council.

The Council expects lawful, appropriate and acceptable standards of work and behaviour whilst on Council business (either on or off Council premises) which support the efficient operation of the Council’s business and the safety and security of its staff, property and its service users. In addition, employees should be mindful of their conduct outside of employment if it is potentially damaging to the reputation of the Council and are expected to uphold the Council’s code of conduct.

The policy and procedure is designed to operate in a manner which is non-discriminatory and which is fair, consistent and effective.  It must also be applied in a timely manner and without undue delay.

Scope of this procedure

This procedure applies to all employees regardless of length of service excluding those in their probationary period where separate arrangements apply. 

The procedure applies in full to Trade Union (TU) Representatives.  Where allegations concern a TU Representative, no formal action should be taken until the case has been notified to a representative of the Trade Union Branch Officer, after obtaining the TU Representative agreement, if this is required.

Those responsible for making arrangements under the Disciplinary Policy and Procedure must ensure that any necessary reasonable adjustments required by the employee or others attending have been addressed.  This may relate to disability or to the requirements of religious beliefs.

This policy takes account of current employment legislation, good practice and the appropriate provisions of the ACAS code of practice. However, the Council reserves the right to adapt and amend the process according to exceptional circumstances of the disciplinary issue.

Delegation

The Corporate Leadership Team (CLT) are responsible for discipline within their respective sections.  They may delegate authority to a manager salary band 8 or above, who had not been previously involved in the case, in respect of the  commissioning of an investigation, suspension and the imposition of penalties short of dismissal, e.g. written warnings, and in such circumstances the relevant CLT member will ensure they are not directly involved in the disciplinary process up to and including the imposition of penalty short of dismissal.

Statutory officers

No disciplinary action in respect of the Council’s Head of Paid Service, Monitoring Officer or Chief Financial Officer, except action described below, may be taken by the Council, or by a Committee or any other person acting on behalf of the Council, other than in accordance with a recommendation in a report made by the Statutory Committee in compliance with the Local Authorities (Standard Orders) (England) (Amendment) Regulations) 2015. 

Key principles

At each stage of the formal Disciplinary Procedure, the employee has a right to be accompanied by a Trade Union representative or work colleague.

The employee will also be informed in writing of:

  • The nature of the complaint or allegation against them; and
  • The stage at which the matter is being considered.

The employee will also be reminded that they will be given a full opportunity to state their case and if action is taken, what improvement is required. They will also be reminded of their right of appeal.

An employee may bring a representative to any formal meeting held under the policy. The representative may be either an official trade union representative or a work colleague. The employee must inform the manager conducting the meeting who their chosen representative is, in good time, before the meeting.

Should the employee choose to bring a representative to a formal meeting, they will be responsible for making these arrangements and for providing their representative with any paperwork that they require for the meeting.  

If an employee or their representative are unable to attend, they will need to give notice and the reasons why they are unable to attend.  The meeting will then be re-scheduled to a mutually convenient time.  Unless the reasons are exceptional, the re-arranged meeting must take place as soon as practically possible.  However, where an employee fails to attend such meetings more than once without compelling reasons, then meetings may be held in the employee’s absence.  Where this measure is invoked, the employee will be informed of this in writing.

As part of the Informal Stage - Day to Day management of the policy will not provide the right to bring a representative to any discussions or meetings held under this stage of the policy between the employee and their line manager.  

Should an employee have an objection to the person or persons appointed to investigate or hold meetings in connection with the disciplinary matter they must raise this objection in writing, clearly stating the reasons to HR.  Such objection must be made within two working days of the notification about the matter under investigation being brought to their attention. (Definition of working days = Monday to Friday, excluding Bank Holidays)

The nature of the disciplinary action taken will be determined according to the nature and seriousness of the alleged misconduct and a dispassionate assessment of the facts based on the balance of probabilities that the employee committed the misconduct in question, i.e. if it is considered that the occurrence of the event was more likely than not.  Where misconduct is established and the sanction is a warning then subsequent misconduct within the period of the warning may result in further and potentially more serious action which may ultimately result in dismissal.  However, no employee will be dismissed for a first instance of misconduct, but summary dismissal may occur where gross misconduct is established. 

Roles & Responsibilities

  • CLT are responsible for –
    • Strategic and operational compliance of this policy ensuring all managers apply the principles and procedures fairly, consistently and in a timely manner.
  • Managers are responsible for -
    • ensuring that employees understand the expected standards of conduct, the Council’s Code of Conduct, practices and procedure specific to the job or service area and this should form part of all new starter inductions.
    • develop a culture where employees are supported and assisted in achieving/maintaining the required standards of conduct and behaviour.
    • Throughout normal day to day management meetings eg: one to one meeting and/or supervision, to address and resolve work conduct issues informally and promptly as appropriate.
    • fair and consistent application of the policy
  • Employees are responsible for –
    • Adhering to the Council’s code of conduct, the disciplinary policy and procedure and any local rules, relevant professional standard and regulations including any reasonable management
    • Cooperating with disciplinary investigations, interviews and hearing convened in accordance with this policy so a full, thorough and transparent disciplinary process can be carried out in a timely manner.
    • Where an employee is a member of a union, they are advised to contact their representative at their earliest opportunity. The union representative will advise and support their member during the process.
  • Investigating Officers are responsible for -
    • Ensuring all investigations are carried out impartially, fairly and in a prompt, timely and thorough manner.
  • HR are responsible for –
    • Providing training, support, advice and guidance to CLT members, managers, investigating officers and employees in respect of the policy, process and legal framework
    • Ensure the policy is regularly reviewed and updated in line with the Council’s agreed policy review procedure and in respect of any legislative or legal requirements and that this is then communicated to all employees.
    • Regularly review and monitor the effectiveness of the policy.
    • Ensure that any sanctions applied as a result of the formal stages of this policy are applied in a consistent and transparent manner, referencing any custom and practice is applied and/or considered
    • Ensure that any investigation meetings or hearings are conducted in an impartial, fair and timely manner.

Confidentiality and Data Protection

It is the aim of the Council to deal with disciplinary matters sensitively and with due respect for the privacy of any individuals involved.  All employees must treat any information communicated to them in connection with an investigation or disciplinary matter as confidential during or after an investigation into an allegation.  A breach of confidentiality will be taken seriously and may warrant its own investigation.

During all stages of the procedure, the Council will collect, process and store personal data in accordance with our data protection policy.  The data will be held securely and accessed by, and disclosed to, individuals only for the purposes of completing the disciplinary procedure.  Records will be kept in accordance with our Retention Policy and in line with the requirements of the Data Protection Legislation (being the UK General Data Protection Regulation and the Data Protection Action 2018) and any implementing laws, regulations and secondary legislation, as amended or updated from time to time.  Any breach of data protection may constitute a disciplinary offence and be dealt with under this procedure.

Criminal Charges

Where conduct is the subject of a criminal investigation, arrest, charge or conviction the facts will be investigated before deciding whether to take formal disciplinary action.  Disciplinary action will not be automatic and will depend on the circumstances.  Employees should inform their Manager immediately if they are involved in a criminal investigation, arrest or are subject to a charge or conviction.  Failure to notify their line manager may result in disciplinary action.

The Council will not usually wait for the outcome of any prosecution before deciding what action, if any, to take.  Where employees are unable or have been advised not to attend an investigation meeting or disciplinary hearing or say anything about a pending criminal matter, a decision may have to be made based on the available evidence.

A criminal investigation, charge or conviction relating to conduct outside work may be treated as a disciplinary matter if it is considered that it is relevant to the employee’s employment.

Where a criminal investigation relates to allegations of safeguarding (abuse of children, young people or vulnerable adults) the Council will co-operate and share information about the employee with other relevant agencies as appropriate following advice from HR and their legal representatives.

Raising grievances in the course of disciplinary action and proceedings  

Employees cannot raise a grievance to complain about or object to the fact that the Council may take disciplinary action, including the fact the Council is commencing or contemplating the investigation stage of the procedure.

Where a grievance is raised during the disciplinary procedure, the relevant CLT member, in consultation with HR, will take a view of the grievance and determine how it should be dealt with.

In exceptional circumstances the disciplinary procedure may be suspended for a short time to investigate a grievance concerning issues that are directly related to the disciplinary procedure.  This will only occur where there is sufficient information to support a complaint of serious concern about a fundamental part of the disciplinary process. 

A suspension of the process to allow a preliminary consideration of the grievance by an independent manager before deciding whether the disciplinary process or a full investigation of the complaint should take precedence.  If the grievance and disciplinary are inter-related a single manager may hear them concurrently.

Employees who go on sick leave in the course of disciplinary proceedings  

The Council recognises that it can be stressful to be notified of a disciplinary investigation or to be called to a disciplinary hearing and that an employee may go off sick with stress and obtain a fit note from their GP. However, the Council has an obligation to conduct a thorough investigation into alleged misconduct and to proceed with investigations and disciplinary hearings promptly and without undue delay. 

During the disciplinary process, the Council will look at the timing of any absence and stated reason.  Support is available for employees who are subject to disciplinary proceedings and it will therefore not be considered acceptable for an employee to go off with ‘stress’ or any other related medical condition as soon as they are aware that they have been made subject to disciplinary proceedings.

An employee who is off sick will still be required to co-operate fully in respect of the Council’s disciplinary procedure, which includes attendance at investigation meetings and disciplinary hearings whilst they are off sick.  Medical opinion may be sought through the Council’s Occupational Health provider as to the employees fitness to attend meetings during disciplinary proceedings.

Everything will be done to accommodate any reasonable requests to facilitate employees attending meetings.  Employees who are off sick may also be given one or more of the following options, as appropriate:

  • sending a representative in their place
  • sending written submissions
  • attending at a neutral location (not Council premises)

If an employee is unable or unwilling to attend an investigation meeting or disciplinary hearing after one postponement, the Council will proceed in the employee’s absence and make a decision on the evidence available at that time.

If an employee is advised of a disciplinary investigation or hearing and subsequently goes off sick with stress or any psychological condition (which is not pre-existing), the employee’s line manager should notify their relevant CLT Member and HR.  If an employee subsequently fails to attend the disciplinary investigation or meting and/or disciplinary hearings, (after one postponement) or fails to give reasonable co-operation with the disciplinary process, the CLT member will have the discretion to withdraw occupational sick pay.   

Resignation during the course of disciplinary action or proceedings

The person against whom the allegation is made may submit a resignation at any point during the process.  The line manager should manage the resignation in the normal way including offering an exit interview.

If the person against whom the allegation is made resigns the management documentation and letter inviting the employee to the hearing should still be sent out.  The hearing should still decide whether the former employee would have been subject to formal disciplinary sanctions and at what level should they choose to attend or decline the invitation.

The outcome of the hearing should be notified to the formal employee along with the appeal process. 

Referrals to external bodies  

In cases where employees in regulated activity are dismissed or removed from the role due to safeguarding concerns or would have done so had they not resigned during a disciplinary process, a referral should be made as soon as possible to the Disclosure and Barring Service (all staff), where the thresholds for referral are met.  This could also include when an individual is suspended or redeployed into work that is not regulated activity.  A failure to do so when the criteria is met is a criminal offence.

DISCIPLINARY PROCEDURE

The purpose of the Disciplinary Procedure is the achievement of positive improvements by employees where shortcomings or failures are identified.  Any failure to attain required standards will be brought to the attention of the employee concerned at the earliest opportunity wherever possible via day to day management interventions as detailed below. 

Informal Stage – Day to Day Management Interventions

An initial discussion is often more effective in dealing with minor conduct issues rather than a formal disciplinary investigation.  If the manager has concerns about an employee’s conduct these should be addressed promptly and they should meet to discuss their concerns.

The employee will be reminded of the expectations of conduct required and given an opportunity to explain their conduct and any mitigating circumstances.  The manager will advise when the matter will be reviewed, which should generally be within three to six months, depending on the nature of the concerns.  Should further issues arise before the review date, the manager may take further action before the agreed review timescales has elapsed.

Notes of the discussions are to be recorded as part of a Management Instruction (Appendix 1), to be signed by both the employee and line manager and retained by the manager with a copy made available to the employee. A copy should also be sent to HR.

The notes should confirm:

  • The nature of the concerns discussed
  • The required standard of conduct
  • The employee’s comments made at the meeting
  • Any training, support or additional supervision that is to be provided
  • The likely consequences of further breaches of conduct, which could lead to moving to the formal stage of the procedure.

Informal discussions may not always be the most appropriate action.  Where a manager is uncertain as to whether or not informal action is appropriate, they should seek advice from their manager and/or HR.

Formal Procedure

The Formal Procedure will be applied where an employee does not respond appropriately or adequately to day to day management interventions or the manager considers that the breach of conduct that is believed to have occurred is too serious to be dealt with through normal day to day management intervention.  Examples of behaviour that may constitute misconduct and/or gross misconduct resulting in disciplinary action are set out at Annex A.  

In using the Formal Procedure and determining whether the employee has committed ‘misconduct’ or ‘gross misconduct’, no disciplinary penalty will be imposed until the case has been carefully investigated and it is concluded on the balance of probability that the employee committed the misconduct in question, i.e. if it is considered that the occurrence of the event was more likely than not.

Initial Fact-Finding  

You may need to consider whether you need to verify the initial details of the misconduct or allegation before initiating an investigation. 

The purpose of the initial fact finding verification is:-

  • To check that the matter is legitimate and has some substance in fact
  • To check and confirm the details of the allegation/complaint, gathering additional details as appropriate. For example, this may involve looking at records and speaking to witnesses. A limited amount of investigation and/or verification may be necessary before it is apparent that there is a case of misconduct that will require formal investigation.
  • To establish how the matter is going to be dealt with and whether suspension should be considered.

Conducting a Fact-Finding meeting with the employee

Arrange to meet with the employee as soon as possible.  As this meeting is informal fact-finding the employee will not be offered the opportunity for a representative to be present at the meeting.  Ensure that details of the allegations/complaint are outlined to the employee and that further verification is required.  If allegations relate to possible criminal investigations, it may not be possible to give full details at this point. 

Explain that the fact-finding meeting is not a form of disciplinary action but has been instigated to allow for further verification/confirmation to be made.  Provide the employee with a copy of the Disciplinary Policy and Procedure.  

Take notes during the meeting in order to complete Fact Finding Assessment Form (Appendix 2)

Suspension  

In most circumstances suspension will be where alleged conduct is so serious and is of such a nature that an individual could face the possibility of summary dismissal, such as where:

  • It would be dangerous/impractical to continue to allow the individual to remain at work, and/or
  • There is a danger that the individual’s continued presence at work would jeopardise investigations into alleged misconduct(s)
  • If the issue is one of alleged gross misconduct then suspension must be considered. However if there are circumstances where the employee could work in another area or perform reduced duties this should be explored.  Such options could include:
  • Removing/restricting some duties from the employees current role
  • Temporarily moving the employee to an alternative work site/job role
  • The employee may be asked to work under the direct supervision of another manager/person as appropriate.

If suspension is going to be considered, then the manager should contact HR in the first instance and prior to any action being taken.

Suspension is not in itself regarded as a disciplinary action and does not involve any prejudgement or imply that any misconduct has taken place.  It is a neutral act to enable an investigation of the allegations made.  The period of suspension shall be for the duration of the investigation or such other period as the manager may reasonably decide.  The manager will seek to ensure that suspension with pay is for the shortest period reasonably possible and will be reviewed during and subsequent conclusion of any investigation and the outcome of any resulting disciplinary action. 

At all times, managers must be mindful of the dignity of the employee and the stress that can be caused by a suspension. The manager will ensure that employees are informed prior to the commencement of the suspension meeting, that if they are entitled to have a trade union representative or work colleague present, should they wish, at the suspension meeting.  However, the meeting should not be delayed if a representative is unable to attend for whatever reason.

During the suspension meeting the manager should outline the reason for the meeting and the allegations, where appropriate, that have been made.  They should not enter into discussions of the evidence but establish in principle the employee’s initial response to the allegation. If the decision is taken to suspend the employee, the manager should inform the employee that they will receive full pay whilst on suspension.

The period of suspension will be reviewed by the manager in conjunction with HR at regular intervals, at least on a monthly basis, unless new information comes to light during the course of the investigation, prior to the next scheduled review date. 

When an employee has been suspended, the manager should ensure that employee's access to IT systems and networks is also suspended.  The suspended employee should surrender their ID along with all Council owned electronic equipment. 

Employees on suspension will not be allowed into any areas of work unless to attend meetings related to the investigation or any subsequent hearing. Employees may not discuss the investigation or suspension with employees or colleagues throughout the investigation as this may incur disciplinary action. A suspended employee will be signed a Support Officer who will be their first point of contact for support and the purpose of obtaining information in order to prepare their case.

If the manager decides that suspension is not required in any case, this has no bearing upon the view of which the Council may ultimately take of the seriousness of the offence or sanction which it decides to impose.

If the suspension is ultimately lifted and the employee returns to work then the manager will need to consider carefully how the employee can best be reintegrated into the team/section.

Investigation  

A full and impartial investigation must be undertaken if the manager considers:-

  • Informal discussion is inappropriate in view of the potential severity of the allegation;
  • Informal discussion has already taken place, but the misconduct has been repeated or has persisted.

It is critical that any investigation is carried out in a prompt and through manner.  It is particularly important to interview witnesses promptly before memories fade to avoid unnecessary delay for the individual under investigation.

In some cases, an investigation will require the holding of a meeting with the employee and their representative (if desired) before proceeding to any disciplinary hearing. In other cases, the investigatory stage will be the collation of evidence by the employer for the use at any disciplinary hearing.  

An Investigating Officer (IO) will be appointed by the Commissioning Manager (CM) in discussion with the HR & OD Manager outlining the terms of reference for the investigation. The Investigation Commissioning Form (Appendix 3) should be completed and sent to the IO, together with the completed Fact Finding Assessment form and any supporting documentation.  HR should also be sent a copy.

The IO must meet the following criteria:

  • Be independent and have no connection to the matter under investigation;
  • Have experience in conducting investigations or have received training in conducting investigations and is provided with any necessary support from HR;
  • Ensure that an investigation is carried out in a prompt and thorough manner. It is particularly important to interview witnesses promptly, before memories fade to avoid unnecessary delay for the individual under investigation.

The IO must be able to undertake the investigation and provide a report as soon as possible, setting out the facts arising from the investigation, including signed statements from the interviewees and drawing reasonable conclusions but they should not speculate or make recommendations as to appropriate disciplinary penalties, to be considered.  (See Appendix 4 – Investigation Officer’s Guidance Pack).

The IO should provide regular updates to the CM regarding progress with the investigation. In exceptional circumstances where unreasonable time delays occur and/or unjustifiable processes arise during the investigation, HR will notify appropriate CLT member who may reallocate the case to a different investigating officer.

The employee(s) concerned will normally be informed verbally by their line manager that an investigation is being carried out, the nature of the complaint or allegation under investigation and the name of the person leading the investigation.  Written notification will then be provided by the IO within 5 working days of their appointment.  This written notification will outline details of the investigation meeting, the alleged misconduct providing 3 clear working days’ notice and advising of the right to representation.

In reviewing the nature of the investigation, where appropriate, if an individual has requested anonymity during an investigation, the Council will endeavour to protect their identity.  It must be appreciated that the investigation process may reveal the source of the information and a statement by the employee may be required as part of the evidence.

Upon receipt of the IO’s report (See Appendix 5 – Template Investigation Report), the CO must decide what action, if any, should be taken.  Three courses of action are available:

  • There is no case to answer. In such circumstances, the employee concerned must be told immediately should that be the case;
  • That the matter can be resolved through guidance, counselling, further training or performance management;
  • That there is a case to answer and that a disciplinary hearing requires to be convened.

It is important to note that any managers/officers involved with disciplinary procedures should allocate the time to the process, ensuring the procedure is completed in a timely manner within the timescales outlined.

The Disciplinary Hearing

The disciplinary hearing should be chaired by a CLT member (independent of the employee’s service area) supported by a member of the HR Team.  (A copy of a Sample Script for a Disciplinary Hearing can be found in Appendix 6)

Before the disciplinary hearing, the employee will be advised in writing of the purpose of the meeting and details of the complaint or allegation being considered, covering all issues to be discussed.  The individual will be given a minimum of 3 working days’ notice of the disciplinary meeting.  

Should either party wish to call any witnesses to the disciplinary meeting, they must give at least one working days’ notice to the Disciplinary Panel and have full responsibility for arranging the attendance of these witnesses.

Either party may present evidence including details of previous relevant warnings, witness statements, call witnesses and have the opportunity to ask questions.  An adjournment must be held during which the Disciplinary Panel will review the evidence presented and consider what action, if any, is to be taken.  Where possible, parties involved will be verbally informed of the outcome immediately after the adjournment.

The employee must make all reasonable efforts to attend any disciplinary hearing.  If the employee fails to attend without proper excuse and is unable to substitute a proposed alternative data within five working days of the original hearing date, then the decision may be taken to proceed with the hearing in the employee's absence and draw such references that are appropriate from the material in its possession and from the employee’s absence.

The employee will be advised in writing of the outcome of the disciplinary hearing within 3 working days unless a longer period is specified at the conclusion of the disciplinary hearing and the manager will have to provide justification of this. If disciplinary action is taken, the employee will be informed of the required improvements which are necessary and if applicable, details of timescales for achievement, the duration of the warning and the consequence of a failure to achieve the required improvement.  The letter must include the date of the disciplinary hearing, the reason for issuing the warning as well as details of any sanctions which may be imposed.  It should also include the names of all those present.  The right of appeal will also be included.

Warnings and Penalties  

The outcome of the disciplinary meeting will fall into one of the following categories:

  • No further action
  • Written Warning
  • Final Written Warning
  • Dismissal with notice
  • Summary dismissal (ie: without notice)
  • No further action: If no further action is to be taken, this must be clearly indicated in the letter confirming the decision. The Hearing Officer may feel it is appropriate to set out for the employee expected standards of behaviour in order to avoid further allegations or incidents which may lead to disciplinary action.  This does not, however, constitute a written warning.  If the Hearing Officer recommends development or performance activities such as additional training, counselling or the implementation of an improvement plan, these should include a monitoring period for reviewing progress.
  • Written Warning: A written warning will be issued for serious matters or repetition or continuation of an offence which previous informal discussions have failed to curtail or resolve.  A written warning will generally be given for a first offence of misconduct (other than gross misconduct).   This will be live for 12 months from the date of the disciplinary hearing. 
  • Final Written Warning: A final written warning will be issued if:
  • there is a current live written warning on the employees personal file and another offence has occurred
  • where conduct is of such a serious nature that a first written warning is not deemed appropriate
  • where the offence could have warranted dismissal but the Hearing Officer decides that this is not appropriate in all the circumstances (including having regard to any mitigating circumstances)

A final written warning will normally be live for 18 months from the date of the disciplinary hearing. 

  • Dismissal with Notice: If within 18 months of the issue of a Final Written Warning, further misconduct occurs or insufficient improvement has been made, the employee will normally be dismissed with notice.  The employee will be provided with written reasons for dismissal, the date on which the employment will terminate, their entitlement to pay, and the right of appeal.  WFDC reserves the right to make a payment in lieu of notice.  In these circumstances the employee will be advised of the final date of employment with the Council and that any notice that is required to be given by the Council will be paid in lieu of the notice.    
  • Summary Dismissal: Where behaviour or misconduct is sufficiently serious and constitutes gross misconduct, the employee will normally be summarily dismissed i.e. without notice.  In exceptional cases, an alternative sanction may be applied.   The employee will be provided with written reasons for dismissal, the date on which the employment will terminate and the right of appeal.

Expiry of Warnings

A record of any disciplinary sanction will be placed on the employee’s personal file.  A sanction will be considered to be spent at the end of the 12- or 18-month period and removed from the employees personal file. However a disciplinary summary sheet will be retained on the employee’s personal file which will retain a brief description of any management instructions, investigations or disciplinary action and the resulting outcome, as per Appendix 7.  Managers should take HR advice about whether the spent sanction can be used in any future disciplinary proceedings.  Where the case involves safeguarding issues the letter will remain on the employees personal file and may be referred to.

Authority to Dismiss

No dismissal may take place without the involvement of a member of CLT.

In cases where the system of written warnings has been followed and exhausted, but it is alleged that the employee’s conduct has failed to improve, a further disciplinary meeting must be convened if it is the intention to consider dismissal.

The appointment and dismissal of Head of Paid Service and Chief Officers will only be dealt with in accordance with Council’s employment procedural rules as set out in its constitution.

 

Appeals

Any employee who receives a disciplinary warning, other sanction or notice of dismissal has the right of appeal.  Appeals must be lodged in writing with Human Resources (contact point will be specified in the letter of notification) within 5 working days of the date of the written notice of the sanction.  This period may be extended only in exceptional circumstances.  The notice of appeal must state the grounds of the appeal.

Appeals will be heard within reasonable time of the receipt of the notice of appeal by a more senior manager than the manager taking the action in the first instance.  All appeal panels will include a Senior Manager salary band 8 or above / representative of HR. 

Appeals against dismissal (other than for employees under probation) will be heard by the Appointment and Appeals Panel. The employee or his/her representative must appeal, in writing, setting out the reason for the appeal to their CLT member, within 10 working days of first receiving the dismissal decision (verbal or written).

The decision of the Appeal Hearing is final.

Withdrawal of a Disciplinary Sanction

Where a disciplinary sanction is withdrawn the employee will receive any pay or other benefits they would have received had the action not been taken. If he/she is reinstated after dismissal, continuity of employment will not be broken and all other employment rights accrued will remain unaffected. Where a disciplinary sanction is withdrawn any written references to the original outcome, including written warnings, are to be removed from the personal file and must not be referred to or taken into account in any subsequent proceedings.

Related Policies and Procedures  

The disciplinary policy and procedure is used to deal with misconduct, it does not apply to cases involving genuine sickness absence, proposed redundancies or poor performance.  In those cases references should be made to the appropriate policies and procedures, examples, not exhaustive list, as below:-

  • Managing Attendance Policy and Procedure
  • Managing Performance
  • Code of Conduct
  • Grievance Policy and Procedure
  • Dignity at Work
  • Social Media Guidance

Annex A – Misconduct likely to result in Disciplinary Action  

When conduct is unsatisfactory, this is usually referred to as ‘misconduct’ and can vary in its degree of seriousness.  Where an incident is very serious it is known as ‘gross misconduct’ and one incident can be sufficient to warrant dismissal.  The following list illustrates behaviour likely to constitute misconduct and gross misconduct, but it is neither exclusive nor exhaustive and there may be other matters, which are sufficiently serious to warrant inclusion.

1.  Misconduct

Misconduct is defined as behaviour which, in the view of WFDC, would not normally destroy the relationship of trust between employer and employee; however, the behaviour is serious enough to warrant action short of dismissal.  The following list illustrates conduct likely to amount to misconduct, but again this list is neither exclusive nor exhaustive:

  • first breach of Council rules, Code of Conduct or HR policies and procedures;
  • absenteeism and lateness e.g. frequent late arrival at work; failure to comply with requirements to notify sickness absence; unauthorised absence from the workplace;
  • maliciously raising a grievance or making an allegation against another employee
  • dishonesty e.g. making unauthorised private phone calls, sending personal mail at WFDC's expense;
  • failure to carry out the normal duties of the post;
  • unauthorised copying of copyright or licensed material e.g. software;
  • unreasonable or unacceptable conduct e.g. abusive language or behaviour;
  • misuse of facilities, loss, damage or misuse of WFDC property or equipment through willfulness, negligence or carelessness;
  • accepting significant gifts (eg. a series of presents) or hospitality from contractors, service users, service providers or members of the public without authorisation;
  • breaches of health and safety rules;
  • private activities during working hours;
  • inappropriate use of social media
  • incurring any motoring offences whilst on WFDC business; and
  • abuse of the e-mail and / or Internet systems.

The distinction between misconduct and gross misconduct is often a matter of degree and some of the examples under misconduct may be of such an extreme nature that they amount to gross misconduct. Alternatively, there may be instances when examples demonstrated under Gross Misconduct, depending upon all of the circumstances, may amount to misconduct.

2.  Gross Misconduct

Gross misconduct is defined as behaviour, which in the view of WFDC fundamentally destroys the trust between employer and employee and thereby warrants immediate dismissal.  The following list illustrates conduct likely to amount to gross misconduct, but this list is neither exclusive nor exhaustive:

  • words or acts that breach the Council’s Code of Conduct and equality and diversity including any form of unlawful discrimination, discriminatory behaviour relating to sexual orientation, race, gender, age disability, religion or belief, victimisation, harassment, racial or sexual abuse against other employees, service users and providers or members of the public.  WFDC operates a zero tolerance approach;
  • indecency;
  • offences of dishonest, whether or not for personal gain, including but not limited to:
    • Theft
    • Fraud
    • Deliberate falsification of records, registers, reports, documents, accounts, expense and overtime claim forms, sickness claims and self-certification forms, timesheets and flexitime.
    • Misappropriation, wilful, malicious or deliberate damage to Council premises or property of WFDC, that of fellow employees, service users or providers:
  • falsification of a qualification that is a stated requirement of the employee’s employment or results in financial gain to the employee;
  • the threat of or actual physical violence towards colleagues, service users, service providers or other members of the public;
  • gross insubordination or refusal to obey a lawful and reasonable instruction of a manager or supervisor or refusal to disclose any of the information required by your employment or any other information that may have a bearing on the performance of your duties;
  • fraudulent, maliciously or false claims of harassment or victimisation;
  • bribing or attempting to bribe another individual, or personally taking or knowingly allowing another person to take a bribe;
  • abandoning duty without notification;
  • serious negligence which causes substantial loss, damage or injury;
  • unauthorised use of WFDC vehicles, materials, equipment, facilities or labour for private purposes and / or personal gain;
  • driving whilst using a mobile phone;
  • bringing the Council into disrepute;
  • conviction of a criminal offense which adversely affects the reputation of the Council and its interests that is relevant to the employees employment (subject to the nature of the offence);
  • failure to disclose a pecuniary interest which prejudices a decision or action taken by or on behalf of the Council or other bodies;
  • serious incapability at work or being under the influence of alcohol and/or illegal drugs or the possession, custody or control of illegal drugs on Council’s premises;
  • unauthorised access to computer records and/or misuse of the computer, email or internet facilities or manual systems;
  • breach of WFDC regulations e.g. financial regulations, data protection, confidentiality of personal records, disclosure of Council documents, maliciously transmitting or unauthorised disclosure of information to unauthorised third party;
  • gross negligence or breach of health and safety regulations that pose a risk to employees, members of the public or property and which may cause unacceptable loss, damage or injury;
  • unauthorised disclosure of information classified as confidential by WFDC;
  • deliberately accessing or downloading of pornographic, offensive or obscene material;
  • misuse or abuse of social media in and outside of work or using social network sites to make derogatory comments about other organisations or individual’s in relation to their employment/work activity;
  • the posting of photographs or other materials in Council premises or other public forums or the distribution of photographs, downloading inappropriate information from the internet e.g. pornography, that could bring the council and/or its Officers into disrepute and/or harm;
  • making covert recordings of colleagues or managers;
  • improper use of position as a WFDC employee for personal gain

Appendices 1-7 available on intranet.

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