392a Disciplinary procedure

Question 1

Which are the minimum levels set for the formal
stages in the Disciplinary Procedure Guidance
Stage 1

Answer 1

Formal Stage 1: Investigation – FRS C/watch manager/operations manager; conduct
hearing/take action;
For conduct issues – FRS D/station manager/operations manager;
For attendance/performance issues – FRS C/watch manager/operations manager.

Question 2

Which are the minimum levels set for the formal
stages in the Disciplinary Procedure Guidance
Stage 2

Answer 2

Formal Stage 2: Investigation – FRS D/station manager/operations manager;

Conduct hearing/take action – FRS E/group manager/senior operations manager.

Question 3

Which are the minimum levels set for the formal
stages in the Disciplinary Procedure Guidance
Stage 3

Answer 3

Formal Stage 3: Investigation – FRS E/group manager/senior operations manager;
Conduct hearing/take action – FRS G/deputy assistant commissioner/principal operations
manager.

Hence head of service/Brigade manager will hear appeals against action taken at Formal Stage 3
(which will include dismissals).

Question 4

What happens at the Informal stage if discipline

Answer 4

This is an informal discussion with the line manager. The separate formal stages of initiating
action, investigation, hearing and decision are not relevant at this stage. The informal approach
means that minor problems should be dealt with quickly and confidentially. The line manager will
speak to the employee about their conduct, attendance or performance and may put this in
writing although it would not form part of the disciplinary record.

At the informal stage the manager should ensure that employees are clear of the expected
outcomes and the process by which they will be achieved.

Question 5

What happens at the First formal stage

Answer 5

1) An employee’s line manager, at watch manager/FRS C/operations manager level or above, may
initiate the disciplinary process and investigate. Where, following a disciplinary meeting, the
employee is found guilty of misconduct; the usual first step would be to give them a warning.

2) A warning must give details and an explanation of the decision. It should warn the employee that
failure to improve or modify behaviour may lead to further disciplinary action, and advise them of
their right of appeal. A warning should be disregarded for disciplinary purposes after six months.

8) Where the issue is one of unsatisfactory performance or unsatisfactory attendance, please refer
to the guidance.

9) A warning may only be given to an employee by a manager at station manager/FRS D/operations
manager level or above

Question 6

What happens at the Second formal stage

Answer 6

1) Where there is a failure to improve or change behaviour in the timescale set at the first formal
stage, or where the offence is sufficiently serious, the sanction may be no greater than a final
written warning. This sanction may only be issued after a further investigation and hearing.

2) A final written warning must give details and an explanation of the decision. It should warn the
employee that failure to improve or modify behaviour may lead to dismissal or to some other
sanction, and advise them of their right of appeal. A final written warning should be disregarded
for disciplinary purposes after eighteen months. Where a lesser sanction is issued, the same right
of appeal applies.

3) A final written warning may only be given to an employee by a manager at group manager/FRS
E/senior operations manager level (or equivalent) or above.

Question 7

Whats the minimum rank of a manager who can issue a final written warning?

Answer 7

Manager at group manager level or above

Question 8

What happens at the Third formal stage

Answer 8

1) Where employees continually fail to improve or where the offence is sufficiently serious, there
should be an investigation and hearing. The sanctions available may include dismissal.
Alternatively, the outcome may be a sanction less than dismissal (see Guidance for details).
Employees must be told they have the right to appeal and details of the appeals process.

2) Any sanction up to dismissal may only be given to an employee at deputy assistant commissioner/FRS G/principle operations manager level or higher.

Question 9

Whats the minimum rank of a manager who can sanction a dismissal?

Answer 9

Manager at deputy assistant commissioner (DAC)

Question 10

What is Gross misconduct

Answer 10

Acts which constitute gross misconduct are those resulting in a serious breach of contractual
terms and thus potentially liable for summary dismissal. It is still important to establish the facts
before taking any action.

Question 11

Acts which may constitute Gross misconduct

Answer 11

• theft or fraud;
• bribery or accepting a bribe;
• physical violence or bullying;
• deliberate and serious damage to property;
• serious misuse of the Authority’s property or name;
• deliberately accessing pornographic, offensive or obscene material;
• unlawful discrimination or harassment;
• bringing the Authority into serious disrepute;
• serious incapacity at work brought on by misuse of alcohol or illegal drugs;
• causing loss, damage or injury through serious negligence;
• a serious breach of health and safety rules;
• a serious breach of confidence.

Question 12

The disciplinary procedure is designed to cover behaviour which is contrary to that necessary for
ensuring a safe and efficient workplace, and for maintaining good employment relations. Such
behaviour could include, but is not limited to:

Answer 12

• bad behaviour, such as fighting or drunkenness;
• unsatisfactory work performance;
• harassment, victimisation or bullying;
• misuse of company facilities (for example e-mail and internet);
• poor timekeeping;
• unauthorised absences;
• repeated or serious failure to follow instructions.

Question 13

Time limits applicable to the different stages of the procedure are set out in the guidance below.
These may be varied by mutual agreement.

Time Scale for Hearings

Answer 13

The timing and location of the hearing should where practicable be agreed with the employee
and/or their representative. The length of time between the written notification and the hearing
should be long enough to allow the employee and/or their representative to prepare and shall in
any event be not less than:

• seven days for first formal stage;
• ten days for the second stage;
• twenty-one days for the third stage.

Question 14

Where should hearings be held?

Answer 14

The manager should hold the hearing in a private location and ensure both that there will be no
interruptions and that the employee feels the issue is being treated confidentially.

Question 15

If an empoyee representative cannot attend on a proposed date, the employee has a statutory right to suggest another date.
What is a reasonable time frame to be given?

Answer 15

Not more than seven days after the date originally

proposed by the employer. This seven-day time limit may be extended by mutual agreement.

Question 16

Before making any decision the employer should take account of the employees

Answer 16

Disciplinary and general record
Length of service
Actions taken in any previous similar case
The explanations given by the employee 
Other relevant factors

Question 17

Following the meeting/hearing how should the decision should be confirmed?

Answer 17

In writing as soon as possible.

Within seven days.

Question 18

What should the decision include

Answer 18

A description of the nature of the issue
Any required remedial action
The timescale for improvement.

Except in cases of dismissal, where the issues
relate to performance and in other cases where appropriate the decision shall include the
following:

• the improvement that is required;
• the timescale for achieving this improvement;
• a review date;
• all support the employer will provide to assist the employee.

Employees should also be informed that if there is no improvement, further stages, leading
ultimately to dismissal, may be invoked

Question 19

What rank is the lowest levels of line management who can take action within the procedure.

Answer 19

Crew Manager

Question 20

The levels of line management who can take action within the procedure

Answer 20

Formal stage 1
For Investigation, Watch Manager
For Conduct, Station Manager

Formal stage 2
For Investigation, Station Manager
For Conduct, Group Manager

Formal stage 3
For Investigation, Group Manager
For Conduct, Divisional Assistant Manager (DAC)

Question 21

What Representation can an employee use

Answer 21

Employees have a statutory right to be accompanied by a fellow employee or trade union official of their choice at all formal stages of the procedure.

In addition, it is good practice for employees to be provided with the opportunity to be accompanied at the investigation stage although this should not frustrate the process.

Fellow employees or trade union officials do not have to accept a request to accompany an employee, and they should not be pressurised to do so.

Question 22

Is an employee or lay trade union official who has agreed to accompany a colleague employed by
the same employer entitled to take a reasonable amount of paid time off to fulfill that
responsibility?

Answer 22

Yes
This should cover the hearing and allow time for the representative to familiarise themselves with the case and confer with the employee before and after the hearing. A request for reasonable paid time off by a trade union official to accompany an employee employed by another fire authority in the same region shall be given due consideration by the respective
employers.

Question 23

The representative should be allowed to address the meeting/hearing in order to:

Answer 23

• put the employee’s case;
• sum up the employee’s case;
• respond on the employee’s behalf to any view expressed at the hearing.

Question 24

A final written warning may only be given to an employee by a?

Answer 24

Manager at group manager

Question 25

Alternatively where there has been a failure to improve as required or, in exceptional cases, at the
first offence, following the investigation and hearing, a decision may be made by a deputy assistant commissioner level or above to award a sanction less than dismissal, or in serious cases, as an alternative to dismissal. These sanctions are:

Answer 25

• A warning.
• Demotion (no more than one grade; a demotion of more than one grade can only be done
with the agreement of the employee).
• Disciplinary transfer (which should involve no loss of remuneration and unless the employee
agrees otherwise should be within the same working pattern).
• Loss of pay up to a maximum of thirteen days.

Question 26

How long does an employee have to make an appeal against a decision made?

Answer 26

Employees will be allowed to appeal no later than seven days after they have been informed of the decision.

Question 27

At what level management should an appeal be heard

Answer 27

The appeal shall be heard by a higher level of manager

than the previous stage of award.

Question 28

Where an employee appeals against disciplinary action taken against them they must put their
grounds of appeal in writing. The grounds of appeal will normally be one or more of the
following:

Answer 28

• There was a defect in the procedure.
• The issue is not proven on the balance of probabilities.
• The disciplinary sanction was too severe.
• New evidence has come to light since the hearing which will have an impact on the decision.

Question 29

The outcome of the appeal will be either:

Answer 29

• The case against the employee is upheld (in whole or part); the sanction will then be the same
or a lesser penalty.
• The case against the employee is not upheld.

Question 30

At the final stage of dismissal the employers representative may be legally qualified.
Can the employees representative me also legally qualified

Answer 30

The employee’s representative may, if the employee wishes, also be a legal representative

Question 31

What happens in cases of gross misconduct dismissal will be summary following the hearing. If the employee is reinstated on appeal.

Answer 31

Pay will be reinstated and backdated.

Question 32

Sanctions should not be implemented until? Any

appeal process has been concluded.

Answer 32

Any appeal process has been concluded.

Question 33

What are the considerations of the management if In the course of a disciplinary process, an employee might raise a grievance that is related to the
case.

Answer 33

The manager should consider suspending the disciplinary procedure for a short period while the grievance is dealt with. Depending on the nature of the grievance, the manager may need to consider bringing in another manager to deal with the disciplinary process

Question 34

Disciplinary action against trade union representatives

Answer 34

Disciplinary action against a trade union representative can lead to a serious dispute if it is seen as
an attack on the union’s functions. Normal standards apply but, if disciplinary action is considered, the case should be discussed, after obtaining the employee’s agreement, with a senior trade union representative or permanent union official.

Question 35

What happens with a criminal offense

Answer 35

If an employee is charged with, or convicted of, a criminal offence not related to work, this is not
in itself reason for disciplinary action. The manager should establish the facts of the case and
consider whether the matter is serious enough to warrant starting the disciplinary procedure. The
main consideration should be whether the offence, or alleged offence, is one that makes the
employee unsuitable for their type of work. Similarly, an employee should not be dismissed solely because they are absent from work as a result of being remanded in custody.

Question 36

Suspension

Answer 36

It is impossible to predict the full range of circumstances which will arise in disciplinary cases.

Emphasis will always be on a speedy and fair resolution. In some cases it may be appropriate to suspend an employee from the workplace while an investigation or preparation for a disciplinary hearing takes place.

If an employee is to be suspended they should be informed of the reasons for the suspension, that suspension is not disciplinary action, and that they will be asked to return to work for an investigative meeting or disciplinary hearing as soon as possible. It is also appropriate at this stage to discuss any conditions which will apply during the period of suspension, for example, communications channels, availability to attend meetings, facilities to meet with their
representative, etc.

Where an employee is suspended they will receive full pay unless they commence sick leave in which case their pay will be in accordance with the rules of the sick pay scheme.

Question 37

When may the employment tribunal

reduce any award of compensation?

Answer 37

If the employee did not exercise the right of appeal.