Disciplinary Code Overview

DISCIPLINE AND CONDUCT:
DISCIPLINARY CODE
Effective 3 January 2011
CLICK HERE FOR A SIMPLE OVERVIEW OF THE DISCIPLINARY

PROCESS
CLICK HERE FOR FAQs ABOUT THE DISCIPLINARY PROCESS
Ctrl + left click on the Hyperlink in order to go straight to where you

need
Ctrl + Home to come back to this page
1
OVERVIEW OF THE DISCIPLINARY PROCEDURE
Allegations Made
ROLE OF
MANAGEMENT
Preliminary gathering of facts
by line-manager
Substantiated Unsubstantiated
Disciplinary Policy activated
Matter can be dealt Consideration of Suspension by No further action

with via day-to-day authorised manager
management (as per
the General principles)
Suspend/Not suspend
Chief Officer chooses appropriate

Investigating Officer in conjunction
with HR. Adjudicating Officer
identified at this stage.
ROLE OF
INVESTIGATING Investigation conducted
OFFICER
Report complete with recommendations
Report goes to Adjudicating Officer to decide

whether there will be a Hearing
ROLE OF
ADJUDICATING Case to answer- No case to answer-
Hearing No Hearing
OFFICER
Formal Action
No Formal Action taken (Confirmed by D/S&L if
required) Appeal Upheld
Appeal Not Upheld

Right to Appeal Appeal Hearing
Sanction Lessened
2
DISCIPLINE AND CONDUCT: DISCIPLINARY CODE
QUICK REFERENCE TO THE POLICY
Summary ........................................................................................................................ 4
Scope .............................................................................................................................. 4
Managers’/Head Teacher’s Responsibilities ............................................................... 4
Employee’s Responsibilities ........................................................................................ 5
1. GENERAL PRINCIPLES .......................................................................................... 7
2. DISCIPLINARY PROCEDURE ................................................................................. 9
3. SUSPENSION FROM WORK ................................................................................. 10
4. INVESTIGATION .................................................................................................... 12
5. DISCIPLINARY HEARING ..................................................................................... 14
6. APPEALS PROCEDURE ....................................................................................... 17
7. ADDENDUM: SUSPENSION .................................................................................. 19
APPENDIX 1 - COUNCIL’S DISCIPLINARY RULES ........................................................... 20
APPENDIX 2 - PROCEDURE FOR SUSPENDING AN EMPLOYEE ................................... 24
APPENDIX 3 – AUTHORITY NEEDED FOR TAKING DISCIPLINARY ACTION ................. 26
APPENDIX 4 - STAGES OF THE DISCIPLINARY HEARING .............................................. 27
APPENDIX 5 -TYPES OF DISCIPLINARY ACTION /TIME LIMITS ON PERSONAL FILE .. 29
APPENDIX 6 - STAGES OF THE APPEAL HEARING / STAFF APPEALS SUB
COMMITTEE (DISMISSALS) / GOVERNORS’ DISMISSAL APPEAL COMMITTEE ........... 31
APPENDIX 7 - GLOSSARY OF TERMS .............................................................................. 33
FREQUENTLY ASKED QUESTIONS ABOUT DISCIPLINARY CODE ........................ 36
3|Page
Summary
This Code sets out the procedure to help managers set and maintain high standards of
conduct at work. It makes clear to employees what is expected of them and what the
standard rules of conduct that they must comply with are. It promotes fairness, order
and equity in the conduct of relations between the employer and employee.
The Code also sets out the employee’s rights under the formal procedure including an
explanation of any disciplinary action and the employee’s right of appeal.
Scope
The Code applies to all employees except Chief Officers and employees working in
education establishments with delegated budgets. However all schools are encouraged
to adopt this Code. The Council’s disciplinary rules apply to those employees subject to
the Code regardless of length of service 1.
Standard
• High standards of behaviour at work must be maintained at all times
• All employees must comply with the general principles and standards of
behaviour listed in the Disciplinary Rules
• All issues about conduct at work will be dealt with consistently and with fairness
and equality, in line with the agreed procedures
• Every employee, regardless of length of service, has the right to be represented
by a trade union representative or a work colleague (representatives may not act
in a legal capacity), during the disciplinary investigation, hearing and appeals
processes.
• The Code is part of the contract of employment between the Council and
employees and this is stated in the written particulars of employment 1
Managers’/Head Teacher’s Responsibilities

Managers 2 must
 try and resolve problems and difficulties regarding employee’s conduct through the
normal day to day management processes. However, where an issue cannot be
resolved informally then it may be pursued formally.
 make sure that in cases of repeat minor misconduct or unacceptable performance or
behaviour all options are explored to improve matters before formal disciplinary
action is taken
 make sure that where appropriate counselling or mediation is considered as a
means of resolving behaviour problems
1 See additional guidance on the Probation Procedure in the HR Section of the WIRE.
2 Where the term “manager” is used throughout this Code, the term is interchangeable with “head teacher”.
4|Page
 make sure that they treat all employees equally and with fairness and consistency in
matters relating to conduct
 resort to the formal procedures contained in the Disciplinary Code only as a last
resort and only after considering whether it is appropriate to investigate the matter
under the Disciplinary Code.
 instigate the disciplinary procedure where management action has failed to remedy
the alleged misconduct or formal action is required
 make sure that where disciplinary action is taken it is for corrective rather than
punitive reasons
 seek advice from HR when investigating any alleged disciplinary offence. If the
allegation(s) being investigated could constitute gross misconduct and could result in
a dismissal, the Director of HR (or authorised representative) must be consulted and
will offer advice on the process.
 it is essential that managers deal with disciplinary matters as quickly as possible and
in line with the timescales set out in the Disciplinary Code and the Council’s Code of
Conduct.
 ensure that suspensions are avoided or are kept as brief as possible, and that they
are not longer than one month, unless the relevant Chief Officer 3 has agreed an
extension following consultation with the Director of HR.
 Consider any reasonable adjustments in cases where the employee is or is likely to
be considered disabled under the Equality Act 2010.
 make sure that their employees are aware of the standards of conduct required in
their workplace, and of the general and specific rules and procedures which apply to
them.
 inform employees of their right to representation throughout the process as
appropriate.
Employee’s Responsibilities
Employees must
 read and familiarise themselves with the general and specific rules which apply in
the workplace and are set out in the Disciplinary Code and the Employees’ Code of
Conduct
 co-operate with management in making sure these rules and procedures are
followed
 ensure they seek appropriate representation and keep their representative informed
throughout.
Collective Agreement
The Code is a collective agreement between the Council and the recognised trade
unions and any proposed changes will be subject to joint negotiation and agreement
(but the Disciplinary rules in Appendix 1 of the Code are subject only to consultation and
agreement where possible).
3 Where the term “Chief Officer” is used, this is interchangeable with “Chair of Governors”.
5|Page
Procedures
Disciplinary Code, including the following Appendices:
Appendix 1 Disciplinary rules
Appendix 2 Suspension Procedure
Appendix 3 Authority to take Disciplinary Action
Appendix 4 Conduct of Disciplinary Hearing
Appendix 5 Time Limit of Disciplinary Actions
Appendix 6 Conduct of Appeal Hearing
Appendix 7 Glossary of Terms
6|Page
INTRODUCTION
1. GENERAL PRINCIPLES
1.1 The Council sets high standards of conduct for staff at work.
1.2 In general, problems and difficulties will be resolved through the normal day to
day management process and will not involve the formal procedures contained
within the Disciplinary Code.
1.3 Managers have a responsibility to make sure that their employees are aware of
the general and specific rules as well as standards and procedures applying in
the workplace.
1.4 Employees must be aware of these rules, standards and procedures and co-
operate with management in making sure that they are adhered to.
1.5 It is expected that, except in cases of serious misconduct, normal management

processes will be used to correct employee actions. In cases of repeat minor
misconduct or unacceptable performance or behaviour, managers should use all
other means of achieving high standards of conduct, including the Unsatisfactory
Performance procedures where appropriate, using formal disciplinary action as a
last resort. Where appropriate, counselling or mediation should be considered as
a means of resolving problems. However, where an issue cannot be resolved
informally then it may be pursued formally.
1.6 The Code’s formal procedures and rules make clear to employees what is
expected of them and promote fairness and equity in the conduct of relations
between the employer and employee.
1.7 It is important that employees are treated consistently.
1.8 All Authorised Officers must have received instruction or training in the operation
of disciplinary procedures and have a knowledge of the Disciplinary Code.
1.9 Disciplinary matters should be dealt with quickly and in line with the timescales in
the Code.
1.10 The equality impact of any decisions taken on disciplinary matters will be
monitored by the City Council to make sure issues of gender, sexual orientation,
age, marital status, disability, race, colour, ethnic or national origin and religion or
belief have not affected decisions resulting in unfair and unequal treatment.
7|Page
1.11 The Code also sets out the employee’s rights under the formal procedure
including an explanation of any disciplinary action, the employee’s right to
representation and right of appeal.
1.12 Where disciplinary action is taken, it is designed to chiefly encourage employees

to improve and correct their conduct, rather than for punitive reasons.
About the Disciplinary Code

1.13 This Code replaces all previous versions of the Disciplinary Code, and Schools’
previous Disciplinary Procedure. The Council’s Disciplinary Rules are contained
in Appendix 1, and a glossary of terms is set out in Appendix 7
1.14 ACAS Code of Practice - The principles contained in the Code fully comply with
the ACAS Code of Practice on ‘Disciplinary and Grievance procedures’.
Employment Tribunals take the ACAS Code into account when considering any
proceedings.
1.15 Collective Agreement - The Code is a collective agreement between the

Council and the recognised trade unions and any proposed changes will be
subject to joint negotiation and agreement (but the Disciplinary Rules in Appendix
1 are subject only to consultation and agreement where possible).
1.16 Contract of Employment - The Code is part of the contract of employment

between the Council and employees and this is stated in the written particulars of
employment. The Code is given to every employee when they join the Council
and should be read carefully and kept for future reference. Employees can also
access all disciplinary policy documents on the Wire, and will be provided with
any updated version.
1.17 Confidentiality - It is essential that confidentiality and privacy are maintained at

all times during the disciplinary process. This applies to all correspondence,
reports and other documents, as well as interviews and hearings. This should be
read in conjunction with the Council’s Information Sharing guide.
1.18 Scope – As described above, the Code applies to all employees except Chief
Officers, Head Teachers and employees working in education establishments
with delegated budgets who have opted not to adopt this policy. If the delegated
budget and staffing responsibilities are removed from a maintained schools this
code would apply in place of the school’s adopted procedure.
1.19 Probationary Employees (non- Schools) - Where the employee fails to prove
their suitability for the post, the employee may be dismissed following the
probationary procedure (see Probation Procedure in the HR section on the Wire).
Where the employee breaches a disciplinary rule during their probationary
8|Page
period, however, the manager can consider formal disciplinary proceedings

under this Code.
1.20 Conduct Outside Work - The Code applies to conduct at work. However, there
are exceptional circumstances where conduct outside work may make an
employee’s continued employment with the Council untenable. These are
outlined in the Westminster Code of Conduct and the Schools Code of Conduct.
1.21 Possible Disciplinary Proceedings Against a Trade Union Representative –

Managers considering disciplinary proceedings against an accredited trade union
representative or former accredited trade union representatives (up to 6 months
after leaving their union duties) must discuss this first with the Director of HR (or
authorised representative) and must notify the Branch Secretary (or senior
representative in the absence of the Branch Secretary) or full-time official in
writing.
2. DISCIPLINARY PROCEDURE
2.1 Instigating the Disciplinary Procedure - Where management action has failed
to remedy the alleged misconduct or formal action is required under the
Disciplinary Code, the disciplinary procedure must be instigated in line with
managers’ responsibilities. The following outlines the stages in the procedure.
2.2 Representation - Every employee, regardless of the length of service, has the
right to be represented by a trade union representative or work colleague (*see
Appendix 7 Glossary of Terms) during the disciplinary investigation, hearing and
appeal processes (representatives may not act in a legal capacity). The
employee will be clearly informed of this right in writing before any disciplinary
investigation interview, disciplinary hearing or appeal hearing is held. It is the
responsibility of the employee to arrange their own representation, keep them
informed of the case and give them copies of any relevant documentation.
2.3 Allegations – Allegations will be referred to the employee’s manager for initial
consideration as part of the preliminary gathering of facts. (Where anonymous
allegations are made against an employee, careful consideration must be given
to these before any action is taken.) Where the manager concludes that the
matter is inappropriate to be considered under the Disciplinary Code, no formal
action will be taken under the Code. Where the manager considers the
allegations to be a breach of the disciplinary rules, an investigation will be
undertaken. The manager will consult their HR advisor and will consider whether
the case warrants suspension, in consultation with the Director of HR (or
authorised representative). Suspension will be for a period of up to one month
only (see paragraph 3 below).
9|Page
2.3.1 Allegations regarding Child Protection concerns – Should allegations relating

to Child Protection arise, managers/Head Teachers will establish contact with the
HR advisor and Local Authority Designated Officer (LADO) within one working
day of the allegation being received. If in doubt whether an allegation relates to
Child Protection, managers must contact their HR advisor. Please note that
referral at this stage is not an indication of culpability.
2.4 Audit Investigations - Where allegations against an employee have been made
as a result of Audit enquiries or investigations, the Investigating Officer must
carry out the investigation in conjunction with the Auditor under the Disciplinary
Code procedures. This may include tape recording interviews and hearings,
using a PACE recorder. Ideally the IO waits until the Audit investigation is
completed prior to completing the IO report.
2.5 Allegations of a Criminal Nature – disciplinary proceedings should still proceed

in the event that an employee is also being prosecuted, except in exceptional
circumstances (for example in some instances where internal investigation is not
possible without information from the prosecution). Managers should seek advice
from their HR advisor.
2.6 Timeframe - Once formal action is undertaken within this code, this formal action
must be concluded within one month, unless an extension is sought and this is
agreed by the Director of HR or the Governing Body (as appropriate). (Formal
action includes all steps taken from appointment of the Investigating Officer.) If
an extension is not sought nor received non-schools employees may return to
work (if on suspension), and the Director of HR may advise that the disciplinary
action ceases.
3. SUSPENSION FROM WORK

3.1 In exceptional circumstances a short period of suspension on full pay may be
helpful or necessary, during the investigation. This period will be as brief as
possible, and will not be considered a disciplinary action.
3.2 Other than not attending for work and not undertaking the duties of the job, all the
employee’s other contractual obligations remain in force during the period of
suspension. Therefore the employee is to make themselves available to attend
interviews and hearings at the request of management.
3.3 Only a manager with authority to dismiss may suspend an employee after
obtaining agreement from the relevant SEB Chief Officer and in consultation with
the Director of HR (or authorised representative), Chair of Governors or Head
Teacher if in schools. Whilst a manager with the authority to dismiss can decide
to lift a suspension after approval from the relevant SEB Chief Officer has been
obtained in consultation with the Director of HR (or authorised representative) for
non-schools employees, only the school’s Governing Body has the power to lift
10 | P a g e
suspensions for schools based employees whilst in receipt of a delegated

budget.
3.4 Suspension should only be imposed following a risk assessment 4 and after
careful consideration of whether it may be appropriate to remove an employee
from the workplace in order to facilitate an investigation or for some other reason.
In most cases the employee may be able to remain in the workplace, either in
their existing role or in another role temporarily in the first instance. Consideration
should be given to the following short-term alternatives to suspension:
• Working from home
• Working in a different location
• Working in a more closely supervised environment
3.5 Examples where suspension might be appropriate include where:

• the allegation being investigated (if proven) would constitute gross
misconduct,
• the employee’s presence at work might hinder or influence the disciplinary
investigation,
• there are clear doubts as to the suitability of the employee remaining at work
during the investigation (e.g. the alleged misconduct could be repeated)
• the presence of the employee constitutes a serious risk to customers, staff,
pupils, service users, Council property or themselves
• the conduct of an employee is subject to criminal charges and alleged
offences that are connected with or may affect the employee’s duties or
suitability for duties
• some other substantial reason affecting the employee, the workplace, or the
employee’s suitability to continue in their role.
3.6 Suspension will normally be on full pay for non-schools employees. Where
suspension without pay is considered justified in very exceptional circumstances,
and the allegation is then not substantiated, full reimbursement of any pay
withheld will be made. For schools’ employees suspension will always be on full
pay.
The suspension should be kept under continued review and the employee
informed of the progress of the case. Suspension should be for up to a period of
one month, unless an extension is sought from the relevant Chief Officer who will
review this in consultation with the Director of HR, or Governing Body (as
appropriate). If an extension is not sought or received non-schools employees
may return to work (if on suspension), and the Director of HR may advise that the
disciplinary action ceases.
3.7 Where the outcome of any investigation results in the lifting of suspension, this
must be confirmed in writing to the employee and implemented as soon as
possible.
4 Risk assessment forms can be found on the Wire.

11 | P a g e
3.8 The employee’s return to work must be managed in such a way as to ensure
proper and prompt re-induction into the workplace and to the duties of their post.
3.9 The procedure to be followed when suspending an employee is attached at

Appendix 2.
4. INVESTIGATION
4.1 The employee’s line manager will undertake a preliminary fact gathering exercise
into the allegations to determine whether the allegations are substantiated. The
line manager will then seek the advice of their HR advisor to decide whether the
matter can be dealt with through normal management practices, or whether the
disciplinary policy must be activated as per the general principles in 1) above.
Where it is inappropriate for a line manager to undertake this task, their line
manager will complete the preliminary investigation.
4.2 Investigating Officer – If the disciplinary policy is activated, the employee’s

direct line manager will normally act as the Investigating Officer and conduct an
investigation into any allegations received against an employee. The following
steps will be taken if the disciplinary policy is activated. In circumstances where
this will not be appropriate e.g. where the investigation could be prejudiced,
another manager* (see Appendix 7 Glossary of Terms) will be appointed as
Investigating Officer to conduct the investigation.
4.3 The Adjudicating Officer 5 who will assess the case will be identified at this stage,
and will be a different person to the person carrying out the investigation.
4.4 Appendix 3 sets out who has the authority to determine disciplinary action (the
possible actions are listed in decreasing order of severity from dismissal with
notice / summary dismissal to a formal written warning).
4.5 The Investigation - The manager must make sure the investigation is carried out
and concluded as speedily as possible to make sure the facts are established
promptly before memories fade. In some cases this will require holding an
investigatory meeting with the employee. In other cases, the investigatory stage
will be the collation of evidence for use at the disciplinary hearing. Advice must
be sought from the relevant HR advisor as to the appropriateness of investigatory
techniques.
4.6 Where practicable, the employee should be notified in writing at least one
working day in advance of the interview with the Investigating Officer and will
include the right to be accompanied by a trade union representative or work
5 Where the term “Adjudicating Officer” is used, this is interchangeable with “Governors Disciplinary Committee” and “Head
teacher”.
12 | P a g e
colleague *(see Appendix 7, Glossary of Terms). The interview will normally be

held during normal working hours. Employees will be given every opportunity to
arrange for their representative to attend any disciplinary interview, provided that
that this does not delay the disciplinary process.
4.7 Record of the Interview - A formal note of the interview should be taken (this
will be a summary note rather than verbatim notes), and it is the responsibility of
the Investigating Officer to arrange a note taker. The note of the interview should
ideally be signed and dated by the employee and included as an appendix to the
investigation report. Any disagreement concerning the note of the interview be
sent to the Investigating Officer and must be reflected in the Investigating
Officer’s report.
4.8 Tape Recording the Proceedings - It is not the normal practice of the Council to
tape record an interview with an employee. Where an Investigating Officer
considers it is necessary, (usually only where Audit are involved in the
investigation interview) the employee must be notified beforehand and given the
opportunity to refuse. Where agreed and when possible, a PACE machine will be
used for recording purposes and a copy of the transcript should be provided to
the employee with the investigation report.
4.9 Where the employee requests to tape record the proceedings this request is to
be passed to the Director of Human Resource and should not be refused unless
there is a justifiable reason.
4.10 Interviewing Witnesses - The Investigating Officer may want to interview

relevant witnesses as part of the investigation. A formal note of each interview
will be taken. Any witness interviewed as part of the investigation will be asked
to sign and date the interview notes as an accurate record.
4.11 Assessing the Allegations - Following the interviews with the employee and
any relevant witnesses the Investigating Officer will need to recommend whether
there is a disciplinary case to answer, and thus whether the case is worthy of
pursuit or not. Should additional alleged disciplinary offences be discovered
during the investigation, the line manager should consider whether these can be
dealt with informally prior to including the additional allegations in the current
disciplinary process.
4.12 Investigation Report - The Investigating Officer is responsible for producing an

investigation report and sending this to the Adjudicating Officer as soon as
possible, bearing in mind overall disciplinary timescale requirements. The report
will give the details of the allegations, whether they constitute alleged gross or
other misconduct and the findings and recommendations, including no case to
answer. The report should attach the notes of any disciplinary investigation
interview(s), written statements from the employee and any witnesses as well as
any other relevant documents (e.g. employee structure, job description, letter of
13 | P a g e
complaint etc.). The recommendations should state whether the case should or
should not proceed to a disciplinary hearing but must not include any
recommendation of specific disciplinary action, as this is the responsibility of the
Adjudicating Officer.
4.13 No case to answer- If the Investigating Officer considers that there is no case to
answer, they will recommend that no action should be taken in the investigation
report. If the Adjudicating Officer accepts the recommendation they should write
a letter confirming this to the employee within 5 working days and confirming that
all references to the investigation will be removed from the employee’s personal
file, including that letter.
4.14 The case is worthy of pursuit - Where the Investigating Officer considers that
there is a case to answer, they will have to decide whether the allegations
constitute gross or other misconduct (the Disciplinary Rules in Appendix 1 give
details of which actions are deemed to constitute gross or other misconduct). The
Investigating Officer should also consider at this time whether the alleged level of
misconduct is still appropriate. If the Adjudicating Officer (AO) accepts the
recommendation of the Investigating Officer, the AO should write a letter
confirming this to the employee. Timescales for notification of disciplinary hearing
and paperwork to be provided to the employee are outlined in 5.1 below.
4.15 Alleged Gross Misconduct and / or Possible Dismissal - In cases where the
alleged misconduct could constitute gross misconduct or where the employee
could face possible dismissal at the disciplinary hearing, the Director of HR (or
authorised representative) must be consulted by the Investigating Officer as soon
as possible on the disciplinary process.
4.16 Employee is due to leave prior to conclusion of Disciplinary Process – If the

employee leaves before a disciplinary process is complete, the manager must
inform the employee that the disciplinary process may continue up until the
employee’s last day of service with the aim of concluding the case. Managers
must seek advice from the Director of HR (or his authorised representative).
Allegations concerning the safety and welfare of children or vulnerable adults
must be followed through to conclusion, even if the employee is dismissed or
resigns, and if not concluded by last day of service the ex-employee given the
same opportunity to participate in the disciplinary process as he/she would have
been given had they remained an employee.
5. DISCIPLINARY HEARING
5.1 Convening a Disciplinary Hearing - The employee must be given at least 10

working days’ notice in writing (unless a shorter period is mutually agreed) of the
date and time of the disciplinary hearing. The letter will notify the employee of
the allegations made against them, and give details of any witnesses to be called
14 | P a g e
to give evidence at the disciplinary hearing. The employee will be advised in the
letter that they may be accompanied by a trade union or other representative *
(see Appendix 7 Glossary of Terms) and that they may also call witnesses. The
employee must be provided with a copy of the Investigating Officer’s report at
least 7 working days before the disciplinary hearing.
5.1.1 Disciplinary Hearing in Schools - All schools in the Local Authority have
afforded the Director of Schools and Learning advisory rights. Thus at any
Community, Voluntary Aided, controlled or Foundation school the local authority
must be invited to send a HR advisor to the disciplinary hearing. The school must
send all the papers to the HR advisor no later than the date on which the papers
are sent to the employee. This provision applies whether or not the school
subscribes to the local authority’s HR provider.
5.2 Attending the Disciplinary Hearing - Employees and their representatives

should make every effort to attend the hearing. If there is a request to defer the
disciplinary hearing, this should not be unreasonably refused provided there are
exceptional circumstances outside the control of the employee (for example
unforeseeable transport difficulties, an illness in the family) and the employee or
representative gives the reasons for the requests. Failure to attend the
disciplinary hearing without good cause may mean the Adjudicating Officer will
proceed with the hearing and make a decision based on the available
information. Should an employee be sick and unable to make a disciplinary
interview or hearing, they are able to make written submissions, or authorise their
representative to act on their behalf.
5.3 Deferring the Disciplinary Hearing - If the Adjudicating Officer agrees to defer
the disciplinary hearing, an alternative reasonable date within five working days
of the original date will be proposed by the employee or their trade union
representative, considered by the Adjudicating Officer who will confirm in writing
the new date for the disciplinary hearing. Failure to propose an alternative date
that falls within the five working days or to attend the rearranged disciplinary
hearing without good cause may mean the Adjudicating Officer will proceed with
the hearing and make a decision based on the available information. The
Adjudicating Officer must consult their HR advisor prior to making this decision.
5.4 Calling Witnesses to a Disciplinary Hearing – The employee must inform the
Adjudicating Officer of any witnesses they intend to call at least 2 working days
before the disciplinary hearing. The employee is responsible for making any
necessary arrangements for their witnesses to attend. Full paid time off to attend
a disciplinary hearing within their normal working day will be granted to all
members of staff who are called as witnesses.
5.5 The Adjudicating Officer must receive any documents to be considered at the
hearing no later than 2 working days before the disciplinary hearing, and these
should be copied to all parties.
15 | P a g e
5.6 Disciplinary Hearing - The stages of the disciplinary hearing which must be
followed by the Adjudicating Officer and the employee / representative are set out
in Appendix 4. In all cases of potential gross misconduct or where the case may
result in dismissal, a HR Adviser must be present at the disciplinary hearing -
their role being to give advice on the conduct of the proceedings, any procedural
issues and the appropriate level of disciplinary action to be taken. However, the
HR Adviser will not be the decision maker regarding the employee’s
blameworthiness since this is the responsibility of the Adjudicating Officer.
5.7 Record of the Disciplinary Hearing - A confidential and detailed record of the
hearing must be made, it is the Adjudicating Officer’s responsibility to make
arrangements for a note taker/clerk to be available. Notes taken are not a
verbatim record but a summary of the proceedings. The HR Adviser should
ensure that the notes of the hearing are accurate and are as clear and precise as
possible, as they will be used in any subsequent appeal hearing or any possible
employment tribunal. Any dispute about the accuracy of the notes will be
resolved by the Adjudicating Officer.
5.8 Tape Recording the Proceedings - It is not the normal practice of the Council to
tape record disciplinary hearings. Where an Adjudicating Officer considers it is
necessary, the employee must be notified beforehand and given the opportunity
to refuse. Where agreed and when possible, a PACE machine will be used for
recording purposes and a copy of the transcript will be provided to the employee
with the investigation report. Where the employee requests to tape record the
proceedings this request is to be passed to the Director of Human Resources
and should not be refused unless there is a justifiable reason.
5.9 Determining the Disciplinary Action - Where the employee accepts that they
are blameworthy of the allegations or if the employee is found to be blameworthy
after hearing all the evidence, the Adjudicating Officer is responsible for deciding
what disciplinary action will be taken. This decision must take full account of the
employee’s disciplinary record on their personal file, together with any mitigating
circumstances the employee raises.
5.10 The types of disciplinary action which may be taken where the employee either
accepts blameworthiness or is found to be blameworthy at the disciplinary
hearing are set out in Appendix 5.
5.11 Confirming Disciplinary Action - The Adjudicating Officer must confirm the
decision of the disciplinary hearing to the employee. The letter must state that
the employee will have a right of appeal and that a record of the hearing will be
provided. For community schools any recommendation for dismissal will be
referred to the Director of Schools and Learning (D/S&L) who will confirm the
decision to the employee within 14 days.
16 | P a g e
5.12 Records on the Personal File - The seriousness of the misconduct and the
level of the disciplinary action will determine how long the formal record remains
on the personal file. The time limits on disciplinary action are detailed in Appendix
5. The HR Adviser should make sure that once the appropriate time limit has
expired, all records of the disciplinary action are removed from the personal file.
On expiry of the time limit, the employee will be notified in writing that the record
has been removed from the personal file.
5.13 Retaining Disciplinary Action on the Personal File - Under exceptional

circumstances, the Adjudicating Officer will decide that the misconduct is of a
nature (notwithstanding the fact that the employee has not been dismissed) that
the record of the disciplinary action cannot be removed from the employee’s
personal file. In these circumstances, HR will ensure that the Adjudicating Officer
or appropriate manager will review their decision and notify the employee, after
24 months and every 12 months thereafter. Please note that if a disciplinary
issue is regarding safeguarding children or vulnerable adults, the record will
remain on the personal file indefinitely.
5.14 Employee Not Blameworthy - Where the employee is found not to be

blameworthy as a result of the hearing, they will be advised in the letter with the
outcome of the disciplinary hearing that all details of the alleged misconduct will
be removed from their personal file, (including that letter).
5.15 Concluding the Procedure - The Adjudicating Officer may find it helpful to
consider at the conclusion of the disciplinary process whether there are any
general matters arising from it, which may warrant a review of local policies
and/or procedures. Any training needs for employees or managers might also be
considered as part of such a review, as might the need to debrief witness or other
members of staff. They should also consider any need to report the outcome of
the disciplinary hearing further (e.g. to the General Social Care Council or the
General Teaching Council of England) in line with local procedures.
6. APPEALS PROCEDURE
6.1 Right of Appeal - If an employee disagrees with the disciplinary action taken
against them they have the right of appeal and representation at that appeal (see
Appendix 7) and this right should be confirmed to the employee with the
notification of any disciplinary action. An employee who wishes to appeal against
any disciplinary action must do so in writing no later than 15 working days of the
written confirmation of the decision of the disciplinary hearing 6. The employee
must also confirm at the time of their appeal their grounds of appeal which will
include details for one or more of the following criteria:-
6 Should an appeal be received outside of the 15 working days, advice must be sought from the Director of HR (or authorised
representative)
17 | P a g e
• the severity of the disciplinary action; and/or

• the finding of the disciplinary hearing on a point of fact; and/or
• a failure to adhere to agreed procedure
6.2 Appeals against Disciplinary Action Other Than Dismissal - This action may
include financial deduction and / or special arrangements to record starting and
finishing times (time keeping offences only), reprimand, formal written warning,
severe reprimand and final written warning, removal or withholding of increments
and demotion for specified or unspecified period, redeployment, or demotion.
The appeal must be addressed to the Chief Officer/Chair of Governors who will
confirm receipt of the appeal in writing no later than 15 working days.
6.3 Convening the Appeals Hearing - The Appeals Hearing will take place within
one month of receiving the appeal unless agreement can otherwise be reached
between the employee and Chief Officer (or specified officer under Appendix 3).
The Appeals Hearing will be chaired by the Chief Officer/Chair of Governors (or
Authorised Officer) who will have the responsibility for determining whether or not
to uphold the appeal. The appeal cannot be heard by anyone who has been
previously directly involved in the disciplinary action which has resulted in the
appeal.
6.4 Appeals against Dismissal to the Staff Appeals Sub Committee

(Dismissals)7 - Where the employee is appealing against dismissal with notice
or summary dismissal the appeal will be submitted to the Chief Executive/Chair
of Governors and heard by the Staff Appeals Sub Committee (Dismissals) within
one month or as soon as practicable (i.e. subject to the availability of all involved,
including Members and Governors). The relevant Committee Officer (on behalf of
the Chief Executive) will write to the employee to confirm the date of the appeal
10 working days before the Staff Appeals Sub Committee (Dismissals). The letter
will also specify that if the appellant wishes to call any witnesses the relevant
Committee Officer (on behalf of the Chief Executive)/Chair of Governors must be
notified in writing at least 3 working days prior to the Staff Appeals Committee
(Dismissals). In addition, the letter will state that if the employee wishes to
submit their own documentation this must be provided to the relevant Committee
Officer/Chair of Governors at least 3 working days prior to the Staff Appeals
Committee (Dismissals).
6.5 Conduct of the Appeal - The order of proceedings at the Appeals Hearing and
Staff Appeals Committee (Dismissals) is in Appendix 6. The appeal is the final
internal stage of the Council’s/School’s Disciplinary process, and the
Members/Governors hearing the appeal can confirm, reject, or lessen the level
of the disciplinary action which is the subject of the appeal. They are not
authorised to impose a more severe disciplinary action than that already
7 For appeals in schools this will be the Governors’ Dismissal Appeal Committee.
18 | P a g e
imposed, nor are they able to make recommendations as to the implementation

of the disciplinary action.
6.6 Quorum, Non-Schools - The Staff Appeals Sub Committee (Dismissals)

comprises three elected Members of the Council but will be quorate with two
elected Members of the Council.
6.6.1 Quorum, Schools - The Governors’ Dismissal Appeal Committee must comprise
of three Governors.
6.7 Determination of the Appeal - At both the Appeals Hearing and Staff Appeals Sub
Committee (Dismissals), there will only be consideration of the grounds of the
appeal (set out as required in Appendix 4, point 20 of this code) and the evidence
in support or rebuttal of those grounds. The Hearing or Committee shall not
normally reconsider the case in its entirety although this is not precluded where
there is a direct request from the appellant and the Chief Officer / Staff Appeals
Sub Committee (Dismissals) consider it appropriate. Where formal disciplinary
action is confirmed at the conclusion of the Appeals Hearing or Staff Appeals Sub
Committee (Dismissals) this decision will be entered in the employee’s personal
file. Where the appeal is upheld and the disciplinary action is rejected all
reference to the action will be removed from the employee’s personal file and
confirmed to the employee in writing. That letter will not be retained on the
employee’s personal file. The appellant will receive a letter confirming the
decision of the Appeals Hearing or Staff Appeals Sub Committee (Dismissals).
Please note that if a disciplinary issue is regarding safeguarding children or
vulnerable adults, the record will remain on the personal file indefinitely.
6.8 There is no further right of appeal against the decision of the Appeals Hearing or
Staff Appeals Sub Committee (Dismissals).
7. ADDENDUM: SUSPENSION
In addition to Appendix 7, in the event it is necessary to suspend an employee
whilst they are not at work and the suspension must be done before the
employee returns to work, the suspending officer must seek HR advice to ensure
the suspension is conducted appropriately.
(Agreed 07 October 2010)
19 | P a g e
APPENDIX 1 - COUNCIL’S DISCIPLINARY RULES
Application - The Council’s disciplinary rules apply to all employees subject

to the Code regardless of length of service. Their purpose is to make
employees aware of the standard of conduct required by the Council or
school and to indicate the likely consequences resulting from any particular
misconduct. These rules are applicable to all employees, although because
of the nature of certain jobs there may be additional specific rules and
standards in that area. These rules apply to conduct at work but it is
recognised that in exceptional circumstances conduct outside work could
make an employee’s continued employment untenable, and rules could then
apply to conduct outside work.
1. Amendment of the Rules - The Council will only amend or extend these
lists after joint consultation and where possible agreement.
2. Gross Misconduct and Gross Negligence – Dismissal for a first offence

of misconduct or negligence will only take place where the Adjudicating
Officer has considered all relevant factors and mitigating circumstances.
The following examples of gross misconduct may vary considerably in their
seriousness but, by breaching any of these rules, employees put
themselves at risk of immediate dismissal from the Council’s service. There
may be situations which would normally lead to summary dismissal that may
warrant less severe action. Conversely there may in addition be other acts
of a similar gravity which are not specified in the examples below but which
may be considered as acts of gross misconduct.
3. Examples of Gross Misconduct and Gross Negligence - The Council

recognises that, whilst this list is not exhaustive, the following are examples
of gross misconduct and gross negligence,:-
3.1 Stealing from the Council, its Members, its employees, schools or the
public.
3.2 Assault on a Member of the Council, its employees or a member of the

public.
3.3 Deliberate damage to, failure to account for or neglect of the property,
assets, cash, investments etc. of the Council or of any client, agent or
contractor to the Council.
3.4 Falsification for financial gain of any document record, e.g. timesheets,
bonus sheets, overtime and subsistence claims, season ticket loan form,
invoices, accounts etc.
3.5 Falsification of qualifications which are a stated requirement of employment

or which result in financial gain.
3.6 Sexual misconduct at work.
20 | P a g e
3.7 Discrimination, bullying, victimisation or harassment of an employee on the

grounds of the employee’s gender, race or disability (or any other grounds
stated in the Council’s Equal Opportunities in Employment Policy).
3.8 Corrupt practices including the soliciting or acceptance of any bribe,

gratuity, gift or fee in money or kind or the use or attempted use of the
employee’s official position for private advantage.
3.9 Unauthorised disclosure of confidential information and/or documents

relating to the business of the Council or of people in the care or charge of the
Council.
3.10 Serious breaches of safety regulations endangering self or others

including deliberate damage to, neglect of, or misappropriation of, safety
equipment.
3.11 Engaging in unauthorised employment during hours when contracted to

work for the Council or during periods of sick leave.
3.12 Conviction for a criminal offence which disqualifies the employee from
undertaking contracted duties or makes continued employment unacceptable to
the Council or to other employees.
3.13 Knowingly being an accessory to an act of gross misconduct or failing to

report breaches of discipline involving dishonest practices.
3.14 The use of Council information that is confidential by virtue of its relevance
to personal or commercial interests for any purpose other than the properly
authorised business of the Council.
3.15 Serious misuse of or breaches of the Council’s Email & Internet

Acceptable Use Policy and Guidelines and other information technology
systems, including deliberate unauthorised entry to computer records,
accessing, storing or circulating offensive material via e-mail, the intranet or the
internet.
3.16 Act(s) of fraud against any local authority (including Westminster) or other
statutory body taking account the principle of spent convictions under the
Rehabilitation of Offenders Act 1974.
3.17 A false declaration on the application form which results in appointment to

the Council.
3.18 Action which is likely to result in the loss of trust and confidence of the
employee or which may bring the Council into serious disrepute.
3.19 Gross negligence in the performance of duties or responsibilities.
3.20 Any other misconduct of a similar gravity.
21 | P a g e
OTHER MISCONDUCT OR NEGLIGENCE –

The great majority of instances of other misconduct will not normally be
sufficiently serious to warrant dismissal without previous warning (including a
final written warning) but will nevertheless warrant disciplinary action of a lesser
nature. However, on occasion, there may be acts which are so serious as to
lead to dismissal at the first offence.
4. EXAMPLES OF RULES WHICH CONSTITUTE OTHER MISCONDUCT

OR NEGLIGENCE:-
4.1 Failure to observe the Council’s Standing Orders and Code of Governance
or operational regulations and standing instructions of departments.
4.2 Negligence in the performance of duties and responsibilities.
4.3 Failure to account for properly, or to make a prompt and true return of, any
money or property which comes into the employee’s possession in the course
of their duties.
4.4 Negligence in maintaining the security of Council property, including

information.
4.5 Failure to comply with the Council’s Flexible Working Hours or other
working hours' procedures and unauthorised absence from duty or lateness for
duty without sufficient cause.
4.6 Insubordination e.g. when an employee refuses to recognise or follow the

authority of a senior officer.
4.7 Abuse of authority e.g. when an employee’s conduct, including oral, written
or electronic communication, towards a colleague or a member of the public is
oppressive or abusive and may constitute bullying, victimisation or harassment.
4.8 Absenteeism and unauthorised absence from the workplace.
4.9 Swearing at or abuse or extreme discourtesy to a Member of the Council,

its employees the Governing Body, or the public.
4.10 Failure to comply with the provisions of the Council’s Equal Opportunities
in Employment Policy and Equal Opportunities in Service Delivery - Framework
Policy.
4.11 Failure to comply with the provisions of the Council’s or local Health &
Safety Policies.
4.12 Being under the influence of drink or drugs (other than medically
prescribed), or being in possession of a controlled substance in the workplace.
22 | P a g e
4.13 Refusal or failure to comply with the Council’s or local Substance Misuse
Policy.
4.14 Conduct at work likely to offend decency e.g. when an employee fails to
comply with the Council’s Dress Code.
4.15 Sleeping on duty.
4.16 Falsehood e.g. when an employee knowingly or through neglect makes

any false, misleading or inaccurate oral or written statement or entry in any
record or document made, kept or required for the purposes of the Council.
4.17 Misconduct in relation to official documents e.g. when an employee

destroys or mutilates any record made, kept or required for the purposes of the
Council, or alters or erases or adds to any entry in such a record or document
without legitimate reason.
4.18 Being an accessory to a disciplinary offence e.g. when an employee

connives at or is knowingly an accessory to any offence against discipline.
4.19 Neglect of health e.g. when an employee without sufficient cause neglects
to carry out any instructions of the Council’s Occupational Health Adviser or
while absent from duty because of sickness commits any act or adopts any
conduct calculated to retard their return to duty.
4.20 Engaging in paid employment outside those hours when contracted to

work for the Council if graded above Band 2 Step 3 (or Range 6) and without
the express permission of the Council.
4.21 Refusal or failure to comply with the provisions of the Council’s No

Smoking Policy.
4.22 Failure to comply with the provisions of the Council’s Dress Code or any
local Dress Code that may apply to particular employee groups.
4.23 Breaches of the Council’s or local Email & Internet Acceptable Use Policy
and Guidelines and other information technology systems.
4.24 Failure to comply with the terms and conditions of the Council’s Season
Ticket Loan Policy.
4.25 Failure to comply with the Council’s or local Whistleblowing policy.
4.26 Refusal or failure to obey legitimate management instructions.
4.27 Any act of misconduct of a similar gravity.
23 | P a g e
APPENDIX 2 - PROCEDURE FOR SUSPENDING AN

EMPLOYEE
1. When allegations concerning a possible gross misconduct come to light,
and following a preliminary gathering of facts and a determination that the
disciplinary policy is activated, the manager responsible for the suspension
will consult with the Director of HR (Head Teachers are to consult the Chair
of Governors and HR Advisor) and get the Chief Officer’s approval.
2. The employee should be called into a private office by the suspending

manager and should be told that it is a confidential matter.
3. The manager should explain that serious allegations have been drawn to
their attention that will need to be formally investigated under the
Disciplinary Code. The employee should be informed that these allegations
may amount to gross misconduct and that if found blameworthy the
employee could be dismissed.
4. The manager should state that given these circumstances the employee will
be suspended with immediate effect and that there will be a disciplinary
investigation. (Note - suspension without pay will only be in exceptional
circumstances, except for schools employees where suspension will always
be on full pay).
5. The manager should state that a period of suspension is not a disciplinary

penalty but a holding action pending the outcome of the disciplinary
investigation and any possible hearing, and that the suspension will be kept
under review on a monthly basis, and the outcome of any review
communicated to the employee.
6 The manager should state that the employee must:-

• not enter Council premises;
• not contact Council/school employees;
• attend any disciplinary interviews during the period of suspension and co-
operate with the investigation;
• return their ID pass, keys for Council premises or any other Council property
items.
Any reasonable exceptions must be granted by the Adjudicating Officer e.g.

if the suspended employee needs to meet with their trade union
representative on premises.
7 The manager should also let the employee know that during the suspension
period, the employee:-
• must not take a holiday unless they obtain prior authorisation for annual
leave in the usual way (note - any annual leave authorised, including
leave already agreed, will be counted as annual leave); and
• must notify any sickness absence on the first day of absence, and
comply with the normal sickness absence procedures (note: any periods
of notified sickness will be counted as sickness absence).
24 | P a g e
• can raise concerns about the suspension in writing to the Adjudicating

Officer/Chair of Governors.
8 The manager should state that the employee will be given the opportunity to
ask questions and that they will be able to respond to questions during the
investigation. They will also have the right to be represented by a trade
union or other representative* (see Appendix 7 Glossary of Terms) during
any subsequent disciplinary hearing.
9 The manager will hand the employee a letter confirming the details of the
suspension and a copy of the Disciplinary Code.
10 The manager will accompany the employee to collect their personal

belongings before they arrange for the individual to be escorted from the
building.
25 | P a g e
APPENDIX 3 – AUTHORITY NEEDED FOR TAKING

DISCIPLINARY ACTION
Type of Action Authorised Officer

Dismissal with notice / Chief Officer/Heads of
Delivery Unit/ Chief
Commissioners reporting
to SEB Member8
Summary Dismissal As above
Demotion for specified As above

or unspecified period
Removal or withholding As above

of increments for 12 months
(or for a longer period where
the allegations are more serious)
Severe Reprimand and As above

final written warning
Redeployment As above
Reprimand and formal written warning As above,
Financial deduction and / or special As above

arrangements to record starting and finishing times –
for time keeping offences only - for a
specified or unspecified time
8The authority to dismiss in voluntary aided, controlled, or foundation schools rests with the Governor Disciplinary
Panel. For community schools any recommendation to dismiss will be referred to the Director of Schools and
Learning who will confirm the decision to the employee within 14 days.
26 | P a g e
APPENDIX 4 - STAGES OF THE DISCIPLINARY

HEARING
1. The Adjudicating Officer/Chair of the Governors Dismissal Committee reads
aloud the allegation(s).
2. The Adjudicating Officer/Chair asks the employee if they wish to accept

partial or whole blameworthiness or deny the allegation(s). If the employee
does accept that they are wholly blameworthy the Adjudicating Officer will
proceed to stage 19.
3. The Adjudicating Officer/Chair asks the Investigating Officer to outline the

evidence against the employee.
4. The employee or the representative questions the Investigating Officer.
5. The Adjudicating Officer/Governors Dismissal Committee questions the

Investigating Officer.
6. The Investigating Officer calls and questions witnesses.
7. The employee or representative questions the Investigating Officer’s

witnesses.
8. The Adjudicating Officer questions/Governors Dismissal Committee the

Investigating Officer’s witnesses. (each witness shall withdraw on
completion of their evidence)
9. The employee and/or representative presents their case.
10. The Investigating Officer questions the employee.
11. The Adjudicating Officer/ Governors Dismissal Committee questions the

employee.
12. The employee calls witnesses and asks questions.
13. The Investigating Officer questions the employee’s witnesses.
14. The Adjudicating Officer/ Governors Dismissal Committee questions the

employee’s witnesses (each witness shall withdraw on completion of their
evidence)
15. The Investigating Officer sums up their case.
16. The employee or representative sums up their case
27 | P a g e
17. All parties 9 withdraw whilst the Adjudicating Officer/ Governors Dismissal
Committee considers blameworthiness.
18. The hearing is reconvened to hear the decision of the Adjudicating Officer/
Governors Dismissal Committee.
19. If the employee is found blameworthy or accepts the allegations made, the
Adjudicating Officer/ Governors Dismissal Committee invites the employee
or representative to state any mitigating circumstances.
20. All parties withdraw whilst the Adjudicating Officer/ Governors Dismissal
Committee refers to the employee’s personal file and any previous
disciplinary action.
21. The Adjudicating Officer/ Governors Dismissal Committee considers

appropriate action (refer to Appendix 3).
22. The Adjudicating Officer will reconvene. The decision of the disciplinary
hearing will be confirmed in writing and the letter will also advise the
employee that they have the right to appeal within 15 working days of the
formal notification, and that a written record of the hearing will be provided.
The grounds of appeal must be detailed and based on any or all of the
following:-
• the severity of the disciplinary action; and / or
• the finding of the disciplinary hearing on a point of fact; and / or
• a failure to adhere to agreed procedure.
9 All parties withdraw except Adjudicating Officer and their HR advisor.
28 | P a g e
APPENDIX 5 -TYPES OF DISCIPLINARY ACTION /TIME

LIMITS ON PERSONAL FILE
The following types of disciplinary action may be taken at a disciplinary hearing
by the Adjudicating Officer where the employee is found blameworthy of the
allegations or accepts blameworthiness:
1. Dismissal with notice / summary dismissal - refer to note 1 below. The

record will be permanently on the personal file.
2. Demotion for specified or unspecified period. The record will be

removed from the personal file after 18 months. Also refer to note 5 below.
3. Redeployment to another position within the Council (bearing in mind

recruitment requirements in schools).
4. Removal or withholding of Spinal Column Point increments/ Reward

Step Progression for 12 months (or for a longer period where more
serious) only where the nature of the disciplinary offence has a direct link to
the reason for awarding the increment or step progression. The record will
be removed from the personal file after 18 months. Also refer to note 5
below.
5. Severe reprimand and final written warning - to be removed from the

personal file after 18 months. In exceptional circumstances, where the
Adjudicating Officer determines that the misconduct is so serious, although
the employee has not been dismissed, the record of the disciplinary action
cannot be removed from the personal file. In these circumstances the
decision will be reviewed by the Adjudicating Officer after 24 months and
every 12 months thereafter. Also refer to notes 2 and 5 below.
6. Reprimand and formal written warning - to be removed from the personal

file after 12 months. Also refer to note 5 below.
7. Financial deduction and / or special arrangements to record starting

and finishing times - for time keeping offences only. The record will be
removed from the personal file after 12 months. Also refer to note 5 below.
Notes
1. Summary Dismissal - Summary dismissal (e.g. dismissal with immediate

effect and without notice or payment in lieu of notice) will only take place in
exceptional circumstances. Where an employee is summarily dismissed for
gross misconduct there will be no entitlement to a notice period or to
payment in lieu of notice. Payments will be made for statutory annual leave
accrued and not taken up to the date of dismissal.
2. Repeated Misconduct following a Written Warning - An employee will be

informed that any further misconduct after the issue of a written warning may
29 | P a g e
lead to further disciplinary action which could include dismissal with or

without full notice (or pay in lieu of notice in certain circumstances). Even
though the further or repeated misconduct itself does not constitute a breach
of the gross misconduct rules the employee may be dismissed. The Director
of HR (or appropriate representative) must be consulted and given the
opportunity to provide advice on the disciplinary process in such cases.
3. Repeated Misconduct - To avoid cases of repeated misconduct the

manager should make clear to the employee the standards of conduct that
are expected. The manager should set the employee clearly defined
objectives and standards and monitor progress over a reasonable time
period. The manager should be sensitive to any difficulties the employee
may be experiencing and take appropriate action. This may, for example,
include additional training or some other support such as counselling.
4. Expired disciplinary sanction - the expired sanction cannot be used when

determining the level of disciplinary action, even though the sanction might
still need to be declared in an employment reference. However, please note:
• The period during which a sanction is “live” may be extended if the

employee is absent from work for a lengthy period. The duration of a
sanction is to allow the employee to improve his/her conduct, a task that
can only be achieved if the employee is at work. This decision is taken
by the Adjudicating Officer/ Governing Disciplinary Panel or their
delegate. This option is not appropriate for an employee absent due to
maternity leave or a disability related absence.
5. Child Protection/Vulnerable Adults allegations - Please note that if a

disciplinary issue is regarding safeguarding children or vulnerable adults,
the record will remain on the personal file indefinitely.
30 | P a g e
APPENDIX 6 - STAGES OF THE APPEAL HEARING /

STAFF APPEALS SUB COMMITTEE (DISMISSALS) /
GOVERNORS’ DISMISSAL APPEAL COMMITTEE
1. The Chairman shall read aloud the grounds of appeal and ask the
appellant or their representative whether they are correct. Where the grounds
of appeal are unclear or not sufficiently specific, the Chairman may ask the
appellant or their representative for clarification or amplification.
2. The appellant or their representative may submit evidence in support of

the grounds of appeal and may call witnesses
3. The Representative Manager (normally the Adjudicating Officer) of the

employing department may question the appellant, the representative and any
witnesses.
4. The officer hearing the Appeal or Members of the Staff Appeals Sub
Committee (Dismissals) may question the appellant, the representative and any
witnesses. Each witness shall withdraw on completion of their evidence.
5. The Representative Manager of the employing department shall submit

the relevant details in support of the disciplinary action and call witnesses. This
may not be necessary where the appellant does not deny committing the
misconduct which has resulted in the appeal.
6. The appellant and representative may question the Representative

Manager of the employing department and witnesses.
7. The officer hearing the Appeal or Members of the Staff Appeals Sub
Committee (Dismissals) may question the Representative Manager of the
employing department and any witnesses. Each witness shall withdraw on
completion of their evidence.
8. The appellant and representative may address the officers hearing the
Appeal or Members of the Staff Appeals Sub Committee (Dismissals).
9. The Representative Manager of the employing department may address

the officers hearing the Appeal or Members of the Staff Appeals Sub
Committee (Dismissals).
10. Both parties shall withdraw while the officers hearing the Appeal or
Members of the Staff Appeals Sub Committee (Dismissals) considers its
decision but they may be recalled to supply further information or clarify points
already made. Where this recall proves necessary, both parties shall be
represented during further enquiries.
11. Officers hearing the Appeal or Members of the Staff Appeals Sub
Committee (Dismissals) can confirm, reject or lessen the disciplinary action
which is the subject of the appeal. The Staff Appeals Sub Committee
(Dismissals) is not however authorised to impose a more severe disciplinary
31 | P a g e
action than that already imposed. The decision will be announced to both
parties and confirmed in writing to the appellant and in the case of the Staff
Appeals Sub Committee (Dismissals) to the relevant Authorised Officer.
Note
1. Where formal disciplinary action is confirmed by the officer hearing the

Appeal or Members of the Staff Appeals Sub Committee (Dismissals), it will
be entered in the appellant’s personal record. Where formal disciplinary
action is not upheld all reference to it shall be removed from all personal
records. The decision must be confirmed in writing to the employee, but not
placed upon their personal file.
32 | P a g e
APPENDIX 7 - GLOSSARY OF TERMS

Manager The manager within the employee’s department who
is notified about allegations of misconduct – normally
the employee’s line manager. The manager will
consider whether an investigation should be
undertaken and will appoint another manager as
Investigating Officer in circumstances where the
investigation should not be carried out by the line
manager e.g. where the investigation could be
prejudiced.
The manager will also consider whether the case
warrants suspension in consultation with the Director
of HR
Investigating Officer The manager (normally the employee’s direct line

manager or Senior Teacher in schools) who carries
out an investigation into any alleged misconduct,
including questioning the employee produces the
investigation report and presents their findings at the
disciplinary hearing, but does not have an input into
the decision regarding blameworthiness. The
Investigating Officer must have received training in
the operation of disciplinary procedures and have
detailed knowledge of the Disciplinary Code.
Adjudicating Officer The Senior Manager who hears evidence at the

disciplinary hearing and is authorised to take
appropriate disciplinary action. The Adjudicating
Officer will normally be more senior than the
Investigating Officer. The Adjudicating Officer will
not have had any input into the disciplinary
investigation of the employee except in exceptional
circumstances (e.g. where there are relatively few
managers in the structure). They must have received
training in the operation of disciplinary procedures
and have knowledge of the Disciplinary Code. The
responsibility of the Adjudicating Officer is to
carefully consider all the circumstances of the case
using only the relevant facts.
Governors Disciplinary Three Governors who will adjudicate any

Panel disciplinary hearing within schools. The Governors
Disciplinary Committee will not have had any input
into the disciplinary investigation of the employee
except in exceptional circumstances
Governors’ Dismissal Three Governors who will adjudicate any disciplinary

appeal
33 | P a g e
Appeal Committee hearings within schools. The Governors Disciplinary

Appeals Committee will not have had any input into
the disciplinary investigation of the employee except
in exceptional circumstances, and they will be
different from the three Governors who made up the
Disciplinary panel.
Chief Officer All posts designated Chief Executive, Deputy Chief

Executive, and Chief Officer.
Representative The representative may be a trade union

representative, a work colleague, or an official
employed by a trade union. The representative will
be allowed to address the hearing to put and sum up
the employee’s case, respond on behalf of the
employee to any views expressed at the meeting,
and confer with the employee during the hearing.
The representative is not to answer questions on the
employee’s behalf, nor to address the hearing if the
employee does not wish it. The Council will need to
take into account any requirements for
representation of a legal nature if the disciplinary
offence relates to allegations investigated under the
Protection of Children Act (POCA) and the
Protection of Vulnerable Adults lists (POVA).
Human Resources The role of HR throughout the disciplinary process is

to provide advice and guidance to managers on
disciplinary matters.
A HR Adviser from the Council’s HR Provider will
attend disciplinary and appeal hearings to advise on
procedural issues, the conduct of the proceedings,
clarify points of fact and the appropriate level of
disciplinary action to be taken. They will not have
any input into decisions taken as to an employee's
blame-worthiness. They will ensure that proper notes
are taken at meetings by the appointed note taker,
and that records of disciplinary matters are
maintained or removed in line with the policy. They
must have received training in the operation of
disciplinary procedures and have knowledge of the
Disciplinary Code.
The Director of HR (or his representative) must be
consulted in all cases of suspension and gross
misconduct hearings, and will provide advice in
appeals against dismissal.
Preliminary Gathering Basic checking of facts, check and balance, for

of Facts example you should not carry out interviews at this
stage.
34 | P a g e
Investigation Interview A meeting between the Investigating Officer and the

employee or witnesses where the Investigating
Officer questions the employee/witnesses regarding
allegation(s). The employee is entitled to be
accompanied by a representative.
Disciplinary Hearing The formal meeting to consider the blameworthiness

of the employee who is alleged to have committed
an act of misconduct. The employee must be
advised of their right of representation. No hearing
will be held without a formal investigation having
been completed.
Formal Written Warning A formal written warning is issued following the

disciplinary hearing to an employee and a record is
held on the employee's personal file to be reviewed
after 12 months' satisfactory conduct.
Final Written Warning A final written warning is issued following the

disciplinary hearing to an employee and a record is
held on the employee's personal file to be reviewed
after 18 months' satisfactory conduct.
Gross Misconduct An act of very serious misconduct for which the

penalty of dismissal may be justified at the first
offence.
Redeployment To another post within the Council within the same

Reward Broad Band or Spinal Column Point Range.
Summary Dismissal Following an act of gross misconduct the

Adjudicating Officer may decide to dismiss the
employee with immediate effect, without notice or
pay in lieu of notice.
Authorised Officer An officer authorised to undertake a formal role

under the Disciplinary Code.
Separation of Roles and Responsibilities

It is important that managers/schools staff appointed as Investigating Officers
or Adjudicating Officers under the Code keep this role separate from their other
management responsibilities during the disciplinary procedure. This is to
ensure that those involved in the proceedings are not prejudiced and the
investigation is carried out fairly.
35 | P a g e
FREQUENTLY ASKED QUESTIONS ABOUT

DISCIPLINARY CODE
Q1 Why is it important for employers to have clear disciplinary rules and
procedures?
A1 Disciplinary rules are necessary to set standards and make it clear to
employees what conduct is and is not acceptable in the workplace. Rules
help employees to know where they stand in their employment on a range
of issues. Disciplinary procedures are also an essential management tool
to permit managers to deal fairly and consistently with any employee who
breaches the rules.
Q2 Is there a set number of warnings that an employer must give an

employee prior to dismissal?
A2 There is no statutory requirement for an employer's disciplinary procedure
to contain a set number of warnings. Usually, a procedure will be
structured so that either two or three warnings precede the dismissal
stage.
Q3 What should an employer do on becoming aware that an employee

has committed an act of misconduct?
A3 The employer should always conduct a full and thorough investigation into
the facts and the surrounding circumstances, no matter how certain it is
that the employee has committed the misconduct in question. The
employer should remain open-minded and not jump to conclusions.
Q4 When is it appropriate to suspend an employee from work pending

an investigation?
A4 Suspension might be appropriate where, for example, the employee has
been accused of bullying or harassment, or the employer has grounds to
believe that the employee might cause some damage or mischief if
permitted to remain in the workplace. It is not normally appropriate in
cases of minor misconduct. 10
Q5 What happens if an employee is not at work when the decision has

been taken to suspend?
A5 If it is not possible to wait until the employee has returned to work an
Authorised Officer4 may notify an employee of their suspension by
telephone and/or in a letter. Any suspension will be confirmed in writing,
and that letter will include the points that would have otherwise been
covered at the meeting as outlined in Appendix 2.
Q6 Who should be present at a disciplinary interview?

A6 Typically, the employee's line manager will conduct the interview in the
presence of someone from the HR function, whose role it is to offer advice
or guidance on the process and to take notes. The employee being
interviewed has the right to request to be accompanied by a fellow worker,
10 Only certain managers are authorised to suspend employees, please refer to point 3.2 for details.
36 | P a g e
trade union official, or other chosen companion (See Appendix 7). It is not
generally advisable for a formal disciplinary interview to be conducted on a
one-to-one basis, in case of a later dispute about what was, or was not,
said.
Q7 What is gross misconduct?

A7 Gross misconduct is a single act of misconduct that is serious enough on
its own to justify the employee's immediate dismissal. As there is no
statutory definition of what constitutes gross misconduct, it is up to each
employer to define what types of conduct will be regarded as gross
misconduct. It will be important for employers to do this clearly so that
employees and their managers properly understand the types of conduct
that will lead to dismissal.
Q8 What can an employer do where it suspects that an employee has

committed an act of gross misconduct, but has no concrete proof?
A8 The employer may take disciplinary action (up to and including dismissal)
where misconduct is suspected but not proven, provided that it has carried
out a thorough investigation and has reasonable grounds to support a
genuine belief that the employee is guilty of the misconduct in question.
Q9 Can an employee who is a witness to an incident be obliged to

provide a witness statement?
A9 It is not possible to force an employee to provide a witness statement.
However, the employer should seek to persuade the employee in question
that his or her assistance is important in ensuring that it gathers all the
relevant facts.
Q10 What is the difference between an investigatory interview and a

disciplinary hearing?
A10 Essentially, the purpose of an investigatory interview is to establish what
happened, while the purpose of a disciplinary hearing is to decide what to
do about it. It is important that a manager conducting an investigatory
interview with an employee suspected of misconduct does not allow the
interview to become a disciplinary hearing.
Disciplinary hearing
Q11 What is the purpose of a disciplinary hearing?
A11 A disciplinary hearing provides the opportunity for the employee and
manager to engage in a full and frank two-way discussion about the matter
under review. The hearing allows the employee to put forward his or her
side of the story and/or provide an explanation. There should be
agreement about the means of achieving an improvement in the
individual's performance or conduct, or of ensuring that there is no repeat
of the misconduct. A decision about whether or not to impose a penalty
will also need to be taken.
Q12 At the start of a disciplinary hearing, what information should the

interviewer give?
A12 The interviewer should confirm the purpose of the hearing and how he or
she intends to conduct it. He or she should list the issues that will be
37 | P a g e
discussed and reassure the employee that the key aim is to establish the
facts and seek a resolution to the problem.
Q13 How should a manager respond if an employee becomes

argumentative or negative during a disciplinary hearing?
A13 The manager should take care not to be drawn into an argument, as
arguing is unlikely to result in a positive outcome. The manager should
stick to the facts and avoid raising his or her voice or becoming emotional.
Q14 How should a manager conclude a disciplinary hearing?

A14 Once all the relevant points have been fully discussed, the manager
should summarise these and any action points agreed. The manager
should also advise the employee when and how he or she will be informed
of the outcome, i.e. whether or not any disciplinary penalty will be
imposed, and the type and level of the penalty.
Q15 What is the difference between an open and a closed disciplinary

hearing question?
A15 Open questions are those beginning with the words "what", "which",
"why", "where", "when", "who" and "how". Closed questions are those that
invite only a "yes" or "no" answer. Closed questions are not particularly
useful in disciplinary hearing, other than to establish specific facts.
Q16 What should an Adjudicating Officer take into account in deciding

if, and what, disciplinary action is merited?
A16 When considering what, if any, disciplinary sanction to apply, an

Adjudicating Officer should consider the circumstances as a whole,
including:
• the severity of the "offence";

• any mitigating circumstances that explain the conduct;
• the capacity for improvement or the likelihood of the conduct being
repeated;
• the employee’s level of seniority and experience;
• whether the employee has a disciplinary record or this is his or her
first "offence"; and
• any WCC policy in relation to the particular circumstances and how
similar situations have been dealt with in the past.
38 | P a g e

Disciplinary Code Overview

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Disciplinary Code Overview

Uploaded by

Copyright:

Available Formats

DISCIPLINE AND CONDUCT:

CLICK HERE FOR A SIMPLE OVERVIEW OF THE DISCIPLINARY

CLICK HERE FOR FAQs ABOUT THE DISCIPLINARY PROCESS

Ctrl + left click on the Hyperlink in order to go straight to where you

Matter can be dealt Consideration of Suspension by No further action

Chief Officer chooses appropriate

Report complete with recommendations

Report goes to Adjudicating Officer to decide

Appeal Not Upheld

QUICK REFERENCE TO THE POLICY

Managers’/Head Teacher’s Responsibilities

1.5 It is expected that, except in cases of serious misconduct, normal management

1.7 It is important that employees are treated consistently.

1.12 Where disciplinary action is taken, it is designed to chiefly encourage employees

About the Disciplinary Code

1.15 Collective Agreement - The Code is a collective agreement between the

1.16 Contract of Employment - The Code is part of the contract of employment

1.17 Confidentiality - It is essential that confidentiality and privacy are maintained at

period, however, the manager can consider formal disciplinary proceedings

1.21 Possible Disciplinary Proceedings Against a Trade Union Representative –

2.3.1 Allegations regarding Child Protection concerns – Should allegations relating

2.5 Allegations of a Criminal Nature – disciplinary proceedings should still proceed

3. SUSPENSION FROM WORK

suspensions for schools based employees whilst in receipt of a delegated

3.5 Examples where suspension might be appropriate include where:

4 Risk assessment forms can be found on the Wire.

3.9 The procedure to be followed when suspending an employee is attached at

4.2 Investigating Officer – If the disciplinary policy is activated, the employee’s

colleague *(see Appendix 7, Glossary of Terms). The interview will normally be

4.10 Interviewing Witnesses - The Investigating Officer may want to interview

4.12 Investigation Report - The Investigating Officer is responsible for producing an

4.16 Employee is due to leave prior to conclusion of Disciplinary Process – If the

5.1 Convening a Disciplinary Hearing - The employee must be given at least 10

5.2 Attending the Disciplinary Hearing - Employees and their representatives

5.13 Retaining Disciplinary Action on the Personal File - Under exceptional

5.14 Employee Not Blameworthy - Where the employee is found not to be

• the severity of the disciplinary action; and/or

6.4 Appeals against Dismissal to the Staff Appeals Sub Committee

imposed, nor are they able to make recommendations as to the implementation

6.6 Quorum, Non-Schools - The Staff Appeals Sub Committee (Dismissals)

APPENDIX 1 - COUNCIL’S DISCIPLINARY RULES

Application - The Council’s disciplinary rules apply to all employees subject

2. Gross Misconduct and Gross Negligence – Dismissal for a first offence

3. Examples of Gross Misconduct and Gross Negligence - The Council

3.2 Assault on a Member of the Council, its employees or a member of the

3.5 Falsification of qualifications which are a stated requirement of employment

3.6 Sexual misconduct at work.

3.7 Discrimination, bullying, victimisation or harassment of an employee on the

3.8 Corrupt practices including the soliciting or acceptance of any bribe,

3.9 Unauthorised disclosure of confidential information and/or documents

3.10 Serious breaches of safety regulations endangering self or others

3.11 Engaging in unauthorised employment during hours when contracted to

3.13 Knowingly being an accessory to an act of gross misconduct or failing to

3.15 Serious misuse of or breaches of the Council’s Email & Internet

3.17 A false declaration on the application form which results in appointment to

3.19 Gross negligence in the performance of duties or responsibilities.

3.20 Any other misconduct of a similar gravity.

OTHER MISCONDUCT OR NEGLIGENCE –

4. EXAMPLES OF RULES WHICH CONSTITUTE OTHER MISCONDUCT

4.2 Negligence in the performance of duties and responsibilities.

4.4 Negligence in maintaining the security of Council property, including

4.6 Insubordination e.g. when an employee refuses to recognise or follow the