Disciplinary procedures
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Disciplinary procedures
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This document sets out the disciplinary procedures which apply in the JNCC. Recognised disciplinary
procedures provide a fair method of dealing with alleged offences at all grades of employee and are also
intended to emphasise and encourage improvements in individual conduct. They should be used in a
positive manner as a means of making improvements where possible, and should not be viewed solely as
a means of imposing sanctions.
This procedure takes into account the procedures and practices recommended by the ACAS ‘Code of
Practice on Disciplinary and Grievance Procedures’, and has been agreed with the Trade Unions.
Disciplinary cases may arise as a result of general or specific instances of deliberate misconduct,
negligence, or as the result of failure to observe laid-down procedures.
Where the behaviour complained of concerns apparent shortcomings in performance rather than a matter
of conduct, different procedures detailed in the ‘Under Performance procedures’ may be appropriate.
Where the matter relates to frequent short term absence due to a series of minor ailments, or to long
term medical absence, please refer to ‘Absence procedures’.
The treatment of disciplinary cases will depend upon the circumstances of each case. It is recommended
that reference is made to any related policy prior to taking disciplinary action, e.g. for a breach in the
smoking policy, ‘Smoking in the Work Place’ should be consulted.
Other policies with disciplinary implications
Grievance policy
Harassment policy
Under-performance policy
Attendance policy
External email and internet policy
Health and safety policy
Probationary procedure
Smoking in the workplace
Data protection
Whistleblowers policy (Word doc)
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Disciplinary procedures - principles
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Disciplinary procedures
The principles
There are basic principles which govern the way in which disciplinary problems are dealt with. These
are:
Employees should be made aware of the standards of conduct and behaviour which are expected of
them, and the rules to which they are expected to conform;
The employee should be given a clear indication of any inappropriate conduct;
An employee has the right to be accompanied by a trade union representative or a work colleague of
their choice during a disciplinary interview or hearing;
All employees have the right to appeal against any disciplinary warning/penalty invoked against them;
Except in cases of serious or gross misconduct, employees should be given the opportunity to improve
before they are issued with a final written warning;
No disciplinary action will be taken until the employee has had the opportunity of stating his/her case
and the matter has been fully investigated;
An employee will not be dismissed for a first breach of discipline, except in the case of gross
misconduct when the outcome may be summary dismissal without notice or payment in lieu of notice;
The content of disciplinary hearings and interviews will be treated as confidential.
In the eventuality of an alleged offence by a Director, the matter will be referred to the Chairman.
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Disciplinary Procedure
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Disciplinary procedures
Procedure
Informal procedure for minor disciplinary offences
Formal disciplinary procedure
Disciplinary Interview
Formal Disciplinary Action
Disciplinary Hearing
When a disciplinary matter arises, the manager should first establish the facts promptly before
recollections fade, and where appropriate obtain statements from any available witnesses. It is
important to keep a record for later reference. Having investigated the facts, the manager should decide
whether to:
take no further action;
deal with the matter informally; or
arrange for the matter to be dealt with under the formal disciplinary procedure.
Informal procedure for minor disciplinary offences
The employee’s line manager will normally handle minor disciplinary offences informally as matters of day
to day management. In such cases a formal record should not be made except in cases where the
offence continues (see below).
Examples of minor disciplinary offences could include:
Minor breach of company policy;
Minor breach of safety regulations;
Minor abuse of the e-mail or telephone system;
Minor failure to carry out reasonable instructions;
Intermittent absences without good reason;
Lateness and / or poor timekeeping.
(This list is to provide an indication of what might be deemed to be a minor disciplinary offence and is by
no means exhaustive.)
If, however, there is no improvement, the employee should be warned that further misconduct could lead
to the introduction of formal disciplinary procedures.
In such cases, a written statement should be provided to the employee, giving details of:
the complaint;
the improvement required;
and the timescale within which it should be achieved.
Both the line manager and the employee should sign this statement and it will be placed on the
employee’s personal file.
It is important that line management monitor the individual’s conduct after issuing such a statement and
provide adequate feedback to the individual on his/her conduct.
If the required improvement is achieved, this should be recorded in writing and placed on the personal
file.
Where there is disagreement between the employee and the manager relating to the circumstances of
the offence, the details of this disagreement must be recorded.
This process should not be confused with any action under the formal disciplinary procedure and any
meeting to discuss the situation
must not turn into a disciplinary interview as this may unintentionally
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Disciplinary Procedure
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deny the employee certain rights, such as the right to be accompanied.
Repetition of minor disciplinary offences or a failure to make the required improvement within the
timescale indicated will generally lead to action under the formal disciplinary process, unless it is clear
that any failure is due to circumstances beyond the individual’s control, in which case the timescale for
improvement should be extended and a note made on the employee’s personal file to that effect.
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Formal disciplinary procedure
Misconduct is the term used for a breach of the company rules which does not in the first instance lead to
dismissal (although if further misconduct takes place, it could do so).
Examples of misconduct that could give rise to disciplinary action include:
Bullying or harassment (see policy on ‘Harassment, Bullying & Victimisation’);
Smoking in prohibited areas (see ‘Smoking the workplace’);
Breaches of Health and Safety rules, regulations or procedures;
Failure to take care of JNCC property, equipment and material;
Inappropriate use of JNCC property, equipment, materials and systems;
Persistent lateness and/or poor timekeeping;
Persistent absence without good reason;
Deliberate misuse of the flexi-time system.
These examples are not exhaustive, or exclusive.
Gross misconduct is serious misconduct which may lead to summary dismissal (dismissal without notice)
for the first offence. Examples of acts, which may constitute gross misconduct are:
Theft, fraud and deliberate falsification of records;
Physical violence;
Serious bullying or harassment;
Unlawful discrimination;
Deliberate damage to property;
Serious insubordination;
Misuse of JNCC property or name;
Bringing the JNCC into serious disrepute;
Inability to perform one’s role due to the influence of alcohol or non-prescribed drugs;
Serious negligence which causes or might cause unacceptable loss, damage or injury;
Serious infringement of health and safety regulations;
Serious breach of confidence.
When it appears that an employee has committed an offence for which formal disciplinary action is
appropriate, the first step will normally be to arrange a disciplinary interview. However, where a formal
allegation of gross misconduct has been made against an employee, the process moves straight to Stage
3, where a disciplinary hearing will be required.
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Disciplinary Interview
The Manager must ensure that authorisation is sought from the Personnel section for the convening of a
disciplinary interview and the following procedures are followed as promptly as possible.
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The Line Manager should invite the employee in writing to attend a disciplinary interview. The employee
should receive prior notice of the interview and be advised that they may seek the assistance of a work
colleague or a representative of a Trades Union. The Line Manager will be accompanied at the interview
by a nominated representative, which may be Personnel. If the suggested date and time are unsuitable,
any alternative suggestion must be reasonable and must be within a period of five working days of the
originally proposed date.
The employee will be informed in advance in writing of the nature of the complaint and such evidence as
may exist. At the interview, the employee will have the opportunity to state their case and answer any
allegations that have been made.
Following a disciplinary interview, if it is decided that formal disciplinary action should be taken, the
employee will be told of the decision and later given a letter in confirmation.
Before making any decision, the Line Manager should seek advice from Personnel and ensure that:
they take account of the employee’s disciplinary and general record;
their length of service;
actions taken in any previous similar case;
the explanations provided by the employee;
and whether the intended disciplinary action is reasonable under the circumstances.
Disciplinary action as detailed below will normally apply, however certain stages may be omitted for a
more serious offence or if a further offence occurs within the currency of a prior warning.
An employee has the right to appeal against any disciplinary warning/penalty and should do so within five
working days of the outcome of any disciplinary interview or hearing (see Appeals process).
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Formal Disciplinary Action
The procedures for formal disciplinary action are summarised in the Disciplinary Flowchart. (Word Doc)
Stage One - First written warning
Where it is decided, following a disciplinary meeting, that disciplinary action should be taken, the usual
first step would be to give the employee a first written warning. For a more serious offence, or if the
offence occurs within the currency of a prior warning, the employee should be given a final written
warning.
The warning will provide details of the complaint, the improvement or change in behaviour that is
required, the timescale allowed for the improvement or change and the right of appeal. The employee
should also be notified that failure to improve, or any repetition of misconduct, within the specified
timescale, could lead to a final written warning and, subsequently, dismissal.
A copy of the warning will be retained on the personnel file but will be disregarded for disciplinary
purposes after a specified period, generally 12 months.
Stage Two - Final written warning
Following a disciplinary meeting, where there is failure to improve or change behaviour in the timescale
set at the first formal stage, or where the offence is sufficiently serious, the employee should be given a
final written warning.
This warning should give details of the complaint, advise the employee that failure to improve or modify
the behaviour may lead to dismissal, or to some other action short of dismissal, and confirm their right of
appeal.
A copy of the warning will be retained on the personnel file but will be disregarded for disciplinary
purposes after a specified period, generally 12 months.
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Stage Three – Final Disciplinary Hearing and Action
If there is no improvement after two written warnings, or where a formal allegation of gross misconduct
has been made against an employee, the employee will be invited to attend a disciplinary hearing.
The final decision to dismiss can be taken only by the Managing Director or, in his absence, by the
Director of Resources and External Affairs, when they are satisfied with the facts of the case, the
appropriateness of mitigating circumstances and after conducting a disciplinary hearing (see below) with
the employee concerned.
Alternatives short of dismissal may be considered, which could include:
Demotion / downgrading;
Loss of seniority within grade;
Loss of increment;
Transfer to another post;
Suspension without pay.
The employee should be informed as soon as possible of the reasons for the dismissal, the date on which
their employment contract will terminate, the appropriate period of notice and their right of appeal.
Disciplinary Hearing
The Director of Resources and External Affairs, acting as the disciplinary officer, will normally deal with
the case. He / she will be responsible for deciding whether the offence has been committed and what the
appropriate action will be.
Investigation will take place prior to the hearing to establish as many of the relevant facts as possible. A
written statement outlining the case to be answered will be presented to the employee at least 10
working days prior to the hearing. The employee can provide a written response to this statement if they
wish. The employee will also be informed:
That the hearing is a disciplinary one;
Of their right to be accompanied by a trade union representative or a work colleague;
Of the nature of the alleged offence;
Of the date, time and place of the hearing.
The disciplinary panel will comprise of a least two but ideally three members, normally chaired by the
Director of Resources and External Affairs. The panel will not normally include the employee’s line
manger. The employee will be informed in advance of those staff nominated for the panel and any
reasonable request from the employee for a change will be considered if alternative suitable staff are
available.
The employee may be represented by a work colleague or a trade union representative.
At the start of the hearing, the employee must be told who is attending and why, the purpose of the
hearing, and how it will be conducted. The hearing will be conducted in such a manner as to allow the
employee the opportunity to set out their case and answer any allegations that have been made. The
employee will be allowed to ask questions, present evidence, call witnesses and be given an opportunity
to raise points about any information provided by witnesses. No new complaint will be introduced at this
stage.
Where a disciplinary panel has reason to believe that further material evidence may exist, which could
have a bearing on the panel’s decision, the hearing should be adjourned to allow time for the evidence to
be presented.
Once a decision has been made, a formal report will be prepared and presented to the employee under
investigation within 10 working days. The report will be accompanied by a note of any interviews and will
identify any disciplinary action to be taken. The employee under investigation will have access to any
documentary evidence that JNCC relies upon as the basis of its decision.
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An employee has the right to appeal against any disciplinary penalty and should do so within five working
days of receipt of the disciplinary report (see Appeals Process).
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Restitution following loss or damage of JNCC Property
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Disciplinary procedures
Restitution following loss or damage of
JNCC property
In cases where disciplinary action is taken against an employee, who has caused loss or damage to JNCC
property through negligence, the JNCC may seek restitution in full or part.
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Suspension
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Disciplinary Procedures
Suspension
JNCC may suspend an employee for a short period during any disciplinary investigation. An employee
will only be suspended in circumstances where:
either the nature of the alleged offence could result in summary dismissal; or
it is deemed necessary for the protection of other persons or public funds; or
the continued presence of the employee, in the work situation, could obstruct the proper investigation
of the alleged offence.
The suspension must be authorised by the Director of Resources and External Affairs, following
consultation with the Head of Personnel.
During any suspension, an employee will continue to receive full pay, pension and annual leave
entitlements.
The employee should receive confirmation in writing within two working days:-
the reason for the suspension (brief details of alleged offence).
the date and time from which the suspension was operative.
the estimated duration of the suspension.
The employee must be notified in writing of any extension to this period. A decision to proceed or to
revoke should be taken by Personnel in consultation with managers, normally within seven working days
of the suspension date. If a decision in relation to next action is not taken within seven working days of
the first suspension date the employee will have a right to make a written appeal against the continuation
of a period of suspension.
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Where a grievance is raised during a disciplinary procedure
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Disciplinary Procedures
Where a grievance is raised during a
disciplinary procedure
If, during the disciplinary process, an employee raises a grievance that is related to the case, the
Manager dealing with the disciplinary matter should consider suspending the process for a short period
while the grievance is dealt with. Depending on the nature of the grievance, another Manager may need
to be appointed to deal with the disciplinary process. Personnel should always be consulted in these
circumstances.
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Special Situations
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Disciplinary Procedures
Special Situations
If the full procedure is not immediately available
Special arrangements may be required for handling disciplinary matters for employees in isolated
locations or employees who are difficult to reach.
Trade Union representative
Normal disciplinary procedures apply to members of staff who are trade union representatives.
However, to guard against any suggestion that a disciplinary penalty is seen as an attack on the functions
of the trade unions, there should be no disciplinary action until the matter has been discussed with a full-
time official of the union. During any disciplinary procedure involving a trade union representative, they
will be entitled to representation by a full-time official of the union.
Criminal offences
Criminal offences outside work should only give rise to disciplinary action if the offence makes the
employee unsuitable in relation to his or her work. Once a decision has been made as to whether or not
to proceed with disciplinary action, the matter should be referred to the Director of Resources and
External Affairs for their consideration.
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Disciplinary Procedures - Keeping Records
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Disciplinary Procedures
Keeping Records
It is important, and in the interests of both the JNCC and the employee, to keep written records during
the disciplinary process. Records should include:-
The nature of the complaint against the employee;
Details of the employee’s defence or any mitigating circumstances;
Findings and action taken;
Reasons behind any actions taken;
Whether an appeal was lodged;
The outcome of the appeal;
Any subsequent developments.
Records will be treated as confidential and be kept in accordance with the Data Protection guidelines.
Copies of records made at disciplinary meetings / hearings will be available to the employee, although the
JNCC may withhold certain information (for example to protect a witness).
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Appeals Process
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Disciplinary Procedures
Appeals Process
Employees may appeal against any decision made at any stage of the formal disciplinary procedure.
Where a dismissal occurs, and the employee has exhausted the internal appeal procedure outlined below,
they will have a further right of appeal to the Civil Service Appeal Board. The Personnel Section can
supply details of how to appeal to the Civil Service Appeal Board.
Principles
Wherever possible, an appeal will be heard by a manager, senior to the disciplining manager, and not
previously involved in the disciplinary procedure, with the Head of Personnel or their nominated
representative in attendance. The employee will be informed in advance of those staff nominated for the
appeal panel and any reasonable request for a change will be considered if alternative suitable staff are
available.
An employee will have the right to be accompanied at the appeal by a work colleague or trade union
representative.
An employee will be given full opportunity to state the ground(s) on which the appeal is made.
The manager hearing the appeal has the authority to change a previous decision if appropriate.
Procedure
An appeal against a formal warning or dismissal should be made within five working days of the warning
or notice of dismissal being issued.
The appeal should be made in writing and should state the grounds on which the decision should be
reviewed.
The appeal should be sent to the Managing Director or their delegated representative from within JNCC.
The appeal hearing will normally be held within 10 working days of receiving the written appeal. If the
hearing is cancelled due to unforeseen circumstances, a further hearing will be arranged for as soon as
reasonably possible. If the employee fails to attend, then the appeal will be dismissed.
The appeal hearing should focus on specific factors, which the employee feels have received insufficient
consideration, such as:
An inconsistent, inappropriate or excessively harsh penalty
Extenuating circumstances
Bias of the disciplining manager
The appropriate process not followed
New evidence subsequently coming to light
The outcome of the appeal hearing will be communicated in writing within five working days of the
hearing. This decision will be final and no further appeal will be considered.
Where an appeal against dismissal fails, the effective date of termination shall be the date on which the
employee was originally dismissed.
The result of a successful appeal will either mean that the record of the original warning or dismissal is
deleted, or a lesser penalty is substituted.
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Disciplinary Procedures
Informal procedure for minor
disciplinary offences
Further offence?
No further
Yes
No
action required
STAGE 1
Formal procedure invoked
Formal procedure for
Disciplinary interview – if decided action should be
Gross Misconduct
taken -
First Written Warning
Further offence?
Warning will normally be
Yes
No
disregarded for disciplinary
purposes after 12 months
STAGE 2
Further disciplinary interview – if decided action
should be taken -
Final written warning
Further offence?
Warning will normally be
Yes
No
disregarded for disciplinary
purposes after 12 months
STAGE 3
Disciplinary Hearing
Further action?
Dismissal
Other disciplinary action
The above stages and disciplinary penalties will normally apply, however certain stages
may be omitted for a more serious offence.
Document Outline
- Disciplinary procedures
- Other policies with disciplinary implications
- The principles
- Procedure
- Informal procedure for minor disciplinary offences
- Formal disciplinary procedure
- Formal Disciplinary Action
- Stage One - First written warning
- Stage Two - Final written warning
- Stage Three … Final Disciplinary Hearing and Action
- Disciplinary Hearing
