Disciplinary procedure 392a

Question 1

Informal Stage:

Answer 1

FRS B/crew manager/assistant operations manager.

Question 2

Formal Stage 1

Answer 2

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 3

Formal Stage 2

Answer 3

Investigation – FRS D/station manager/operations manager;

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

Question 4

Formal Stage 3

Answer 4

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

Question 5

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:

Answer 5

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

Question 6

At the informal stage the manager should ensure

Answer 6

that employees are clear of the expected outcomes and the process by which they will be achieved

Question 7

At a first formal warning it must give details and an explanation of the decision

Answer 7

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

Question 8

Second formal stage 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,

Answer 8

the sanction may be no greater than a final written warning. This sanction may only be issued after a further investigation and hearing.

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.

Question 9

Third formal stage

Where employees continually fail to improve or where the offence is sufficiently serious, there should be an investigation and hearing.

Answer 9

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

Question 10

Gross misconduct

Acts which constitute gross misconduct action.

Answer 10

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

Other general issues to be aware of include the following:

Answer 11

• Grievance during a disciplinary procedure.
• Disciplinary action against trade union representatives.
• Criminal offences.
• Suspension.

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

Acts which constitute gross misconduct are those resulting in a serious breach of contractual terms. Examples of gross misconduct might include:

Answer 13

• 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 14

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:

Answer 14

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

Question 15

Following the meeting/hearing the decision should be confirmed in writing as soon as possible, within seven days. The decision shall include a description of the nature of the issue, any required remedial action and 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

Answer 15

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

Question 16

First Formal Stage:

An employee who is found to be performing unsatisfactorily should be given a written note detailing the following:

Answer 16

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

Question 17

If the absence is due to genuine (including medically certified) illness, the issue becomes one of performance, and the employer should take a sympathetic and considerate approach. When thinking about how to handle these cases, it is helpful to consider:

Answer 17

• how soon the employee’s health and attendance will improve;
• whether alternative work is available;
• the effect of the absence on the organisation;
• how similar situations have been handled in the past; and
• whether the illness is a result of disability in which case the provisions of the Equality Act 2010 will apply.

Question 18

Second formal stage:

If issued a final written warning in the second stage, the final written warning must state?

Answer 18

The final written warning will 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 against the final written warning which should be disregarded for disciplinary purposes after eighteen months. Where a lesser sanction is issued, the same right of appeal applies.

Question 19

Third formal stage:

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/FRS G/principal operations manager level or above to award a sanction less than dismissal, or in serious cases, as an alternative to dismissal. These sanctions are:

Answer 19

• 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 20

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 20

• 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 21

A rehearing would normally be required in the following instances (this is not necessarily an exhaustive list):

Answer 21

• There was a procedural defect at the original hearing such that the hearing was Unfair.
• New evidence has come to light which needs to be heard in full.
• There is a dispute about evidence given by one or more witnesses at the original hearing. In these cases it may be necessary to rehear the witness evidence at the appeal

Question 22

The outcome of the appeal will be either:

Answer 22

• 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 23

Criminal offences

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

Answer 23

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