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Discipline procedure - police staff
Introduction and aim

Introduction
In the workplace, expected standards of conduct are usually
maintained through the normal day to day relationships between
supervisors and staff. Good management practice should ensure that
all staff:
 are aware of the code of conduct and acceptable standards of
behaviour; and
 receive appropriate support to ensure that these are maintained.

This disciplinary procedure is an aid to the effective management of
people.

Most minor breaches of conduct can be dealt with successfully in an
informal way and will remind staff about the standards of conduct and
behaviour that are expected. In these cases early intervention and
action are essential to avoid matters escalating.

If a member of staff does not respond to informal action, or there is a
more serious allegation of misconduct, then this procedure should be
used to ensure managers deal with discipline matters in a fair and
consistent way. It should not be used as a means of imposing
sanctions or as a lead up to dismissal.

There may well be cases where dismissal is the most appropriate
action, however, it is vital that emphasis is placed on the improvement
of behaviour or performance and not on punishment.

The procedure must be strictly adhered to by all parties as failure to do
so may invalidate the proceedings, though cases would be considered
individually.

Scope
The procedure applies to police staff, including those in their
probationary period, irrespective of role, service and seniority.

Compliance
This procedure complies with statutory requirements as laid down in
the following:
Race Relations (Amendment) Act 2000
Employment Relations Act 1999
Human Rights Act 1998
Employment Rights Act 1996
Disability Discrimination Act 1995
Employment Protection (Consolidation) Act 1978 (as amended by the
Employment Act 1989)
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Race Relations Act 1976
Sex Discrimination Act 1975
Religion or Belief Regulations 2003
Sexual Orientation Regulations 2003
Employment Act (2002) (Dispute Resolution) Regulations 2004
Employment Equality (Age) Regulations 2006
Advisory, Conciliation and Arbitration Service (ACAS) code of practice
on disciplinary practice and procedure in employment.

Providing
A copy of this procedure must be given to a member of staff who is
information
subject to a discipline.

Informal action – day to day supervision

Responsibility  Part of the normal supervisory process is that staff have failings and
of line
unacceptable standards of work or behaviour brought to their attention
manager or
as soon as these are identified.
supervisor

It is the responsibility of the line manager or supervisor to:

Step Action
1
have a meeting and speak to staff and tell them about the

issue and give them the opportunity to respond.

NB Informal meetings must not escalate into disciplinary
hearings;
2
provide staff with clear instructions on the standards

required;
3
in the light of all the circumstances, decide whether it is
appropriate to issue an informal warning to staff about their
failure to meet the standards of work or conduct required
and the possible consequences; and
4
if a warning is given, make and retain a note of it. This may
be referred to in the future if staff fail to meet the required
standards. It may be that the PDR reflects this, and/or an
action plan is used to address concerns. No record will be
kept on any personal file but staff should be issued with a
PDR example of performance sheet.


Unsuccessful
In cases where informal action proves ineffective or the allegation is
serious, making the informal approach inappropriate, then a formal
investigation should be started.

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General principles

Confidentiality
Wherever possible privacy and confidentiality will be observed in all
actions taken using this procedure.

Personnel
The Personnel Advisory Team is there to:
Advisory
 advise the person hearing the case and the investigating officer on
Team
procedure; and
 ensure that every case is managed fairly.

Business managers or other senior divisional or departmental officers
must liaise with the Personnel Advisory Team in all cases that may
result in disciplinary action being taken.

The Personnel Advisory Team will recommend to the division or
department whether a formal disciplinary investigation should be
undertaken.

Meetings
Wherever possible the dates of discipline investigation interviews and
hearings should be arranged with mutual consent.

Right to
In accordance with the Employment Relations Act 1999, s.10, at each
representation
stage of this process a member of staff has the right to be
accompanied by a recognised Trade Union representative or work
colleague.

It is the member of staff’s responsibility to seek advice wherever they
wish and arrange their own representation. If staff give written
permission then copies of the correspondence will be sent to their
representative or work colleague.

A member of staff does not have the right to legal representation at the
hearing.

Grievance
If during the discipline process a member of staff raises a grievance
that is related to the case then consideration will be given as to the
appropriateness of suspending the discipline procedure for a short
period while the grievance is dealt with.

The Director of Personnel will determine whether to suspend the
discipline temporarily, depending on the content of the grievance and
how it relates to the discipline and after receiving advice from:
 the Personnel Advisory Team;
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 the Diversity Unit; and
 the division or department;
taking account of any representations from the member of staff’s
Trade Union representative, if applicable.

Elected Trade
No discipline action will be taken against a recognised Trade Union
Union
representative until the circumstances of the case have been
representatives
discussed with a senior or full time Trade Union official of the union
concerned.

Representatives must, however, confirm their status as a recognised
representative or steward when they are informed, in writing, that they
are being investigated for alleged misconduct.

Formal investigation

IMPORTANT
When an act of misconduct has been alleged, and the line manager
feels that it is serious enough to consider or warrant a formal
investigation, then the employee’s divisional commander or
departmental director or equivalent or business manager will liaise
with the Personnel Advisory Team in order to decide if a formal
investigation needs to be carried out.

The Personnel Advisory Team will recommend to the division or
department whether a formal disciplinary investigation should be held.

Referral
If the division or department decide not to follow the Personnel
Advisory Team’s recommendation then the matter must be referred to
the Director of Personnel or the Head of Personnel who will reconsider
the case.

The Director of Personnel or the Head of Personnel will be responsible
for making the final decision.

There will be no further opportunity for appeal.

Written submissions from the division or department and the
Personnel Advisory Team will be required in order for the Director of
Personnel or the Head of Personnel to reach their decision.

Investigation
If it is decided that there is a need for an investigation then:
 a suitable person will be appointed to be the investigating officer; and
 the employee must be given an opportunity to explain their actions
and state their case.
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No discipline sanction will be taken against the employee until the
case has been thoroughly investigated.

Responsibiliti
The investigating officer must:
es of
investigating
officer

No Responsibility
1
ensure that a formal notice of investigation is served on
the employee;
2
undertake a thorough and balanced investigation and quickly
establish the facts;
3
maintain a checklist of the documents sent to the employee,
all of which will be sent recorded delivery, or handed to the
employee in person; and
4
throughout the course of the discipline investigation process
(before the discipline panel), maintain a written record of:
 all decisions or actions made; and
 the rationale for those decisions.

Action
The investigating officer should:

No Responsibility
1
gather all the relevant facts promptly before memories fade;
2
take statements, including speaking with witnesses and
obtain relevant documents;
3
ensure that the exact wording of any witness interview is
reflected in their statement and signed off as accurate by
them wherever possible;
4
conduct an investigative interview as soon as possible;
5
be accompanied on any investigative interview that they
conduct with the employee;
6
on conclusion of the investigation prepare a case file.

Investigative
It is good practice to arrange an interview with the employee during
interview
the course of the investigation. The following are general principles
which relate to these interviews:

No Principle
1
The employee should be given reasonable notice of the
investigative interview and be advised of their right to be
accompanied by their Trade Union representative or a work
colleague if the employee so wishes; (see Notice to attend
an investigative interview)
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2
The letter inviting the employee to the interview will explain
that the interview is being held by way of an investigation
into a matter;
3
The investigative interview should begin with the wording:

‘In accordance with the police staff discipline
procedure, we are here today to conduct an
investigative interview about your alleged
misconduct concerning (the allegation).

This is not a disciplinary hearing.

As a result of this interview and other enquiries, a
decision will be made as to whether a formal
discipline hearing is held or no further disciplinary
action will be taken.’
4
The facts as known or allegation will be put to the employee
and they will be invited to offer an explanation. If the
explanation is unsatisfactory, incomplete or inconsistent with
the known facts then they will ask the employee further
questions.
Note: If the employee refuses to attend an investigative interview, a
decision to hold a hearing will be made subject to the strength of the
evidence available.

Preparing a
The case file should include:
case file

No Item
1
an index for ease of reference;
2
an executive summary which is cross referenced to the
documents listed;
3
all investigative interview notes;
4
statements (when applicable);
5
any other documentary evidence that will be relied on at the
hearing;
6
copies of all correspondence sent to the employee, e.g.
notice of investigation;
7
details of the investigation and the evidence for and against
the allegation of misconduct; and
8
an accurate timeline of events that have taken place in
order to explain any delays in the process.
Note: The case file should NOT include:
 any conclusions the investigating officer has drawn about whether
the allegation has been proved; or
 any recommendation as to the suitable sanction that may be
imposed as a result of the investigation.


Informing and  Personnel Advisory Teams should inform Professional Standards
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recording
Department (PSD) of all formal discipline investigations and the
outcome of each investigation. PSD will require details of the
investigation including any discipline sanction applied.

Further action   If further action is to be taken against the employee, then they should
refer to the Formal action section of this document which can be
accessed via this link.

No further
If no further disciplinary action is to be taken against the employee,
disciplinary
then:
action

Step Action
1
the employee must be informed of this decision by the
appropriate person, at the earliest opportunity;
2
the employee will be issued with confirmation of the decision
in writing;
3
the employee will be asked to resume the duties of their role,
if appropriate;
4
a copy of the written confirmation should be retained with the
investigation file and forwarded with all other information to
PSD Intelligence Unit. They will decide what information
should be retained on their intelligence systems.
Any minor issues will be dealt with through the normal management
intervention process.

No further
If the employee were suspended then the Personnel Advisory Team
discipline
will:
action and
suspended

Step Action
1
prepare a report describing the outcome of the investigation;
2
present it to ACC Workforce and Professional Standards or
the Director of Personnel, or another Chief Officer; and
3
ask them to consider removing the suspension with
immediate effect.

Returning
If the employee has been suspended and is returning to their role they
from
should read this section.
suspension

Investigations by Professional Standards Department (PSD)

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Introduction
If it is alleged that the employee has committed a criminal offence
which could amount to gross misconduct or a breach of the police
staff code of conduct, there must be a thorough investigation and a
discipline hearing held.

Case
If it is alleged that the employee has committed a criminal offence
discussion
while at work or otherwise, this must be referred to PSD. They will
investigate in accordance with their service level agreement.

A case discussion will be called to agree:

Step Action
1
whether the matter is investigated criminally or a decision is
taken not to pursue a criminal case, then disciplinary action
may follow;
2
who is going to own the investigation;
3
who is going to conduct the investigation; and
4
what action needs to be taken.

Equity of
Where a crime or discipline allegation is made jointly against police
approach
officers and police staff, an early case conference will agree the best
method of investigating the matter to ensure parity in enquiry and
sanction wherever possible.

Membership
The case discussion will take place between a Personnel Advisory
Team manager (nominated representative) and a member of PSD
management team (normally the head of department or deputy).

The division or department will be notified of the case discussion by
the Personnel Advisory Team manager.

Timescales
The case discussion will take place by the end of the working day on
which the allegation is reported or the end of the next working day if it
comes to light out of hours.

Formal public
If a formal public complaint is made against the employee, this will be
complaint
investigated by PSD.

This is the case even if the matters complained of would not amount to
a criminal offence. Any matters which come to light as a result of the
investigation, which may or may not be criminal, will be the subject of
a case discussion to agree the investigation process.

Criminal
A criminal conviction or caution or fixed penalty notice (does not
offence and
include traffic offences) should not automatically be treated as a
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conviction
reason to take discipline action against the employee.

A discipline investigation will not usually be concluded until the
criminal investigation has been finalised.

A dual purpose interview may be held to avoid unnecessary
duplication, and time delays.

Out of hours
If the matter is urgent, e.g. it has come to light out of normal working
and urgent
hours that the employee has been or are about to be arrested, the
referrals
matter should be referred, without delay, by the arresting officer to the
on call PSD liaison officer (via the Force duty officer).

The PSD liaison officer will

Step Action
1
review the facts and decide who should progress the
investigation:
 PSD; or
 the division or department where the alleged offence has
taken place;
2
consider the wishes of any victim, public interest needs and
public perceptions before:
 deciding if it would be appropriate to deal with the matter
as a discipline investigation only; or
 suspending any criminal investigation; and

NB The decision will be quality assured at a case
conference on the next working day.
3
notify, as soon as possible, a member of PSD's
management team to allow a case conference to be
arranged.

Independent
Some offences will be referred to the Independent Police Complaints
Police
Commission (IPCC) by PSD. The IPCC will:
Complaints
Commission

Step Action
1
fully review the facts made available to them;
2
decide on how the matter will be investigated; and
3
decide the level of management or supervision.

Change or restriction of duties or suspension

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Change or
In certain circumstances, it may be appropriate to remove the
restrict
employee from their current role:

No Example
1
changing or restricting the employee’s duties in their current
role; or
2
removing the employee, with their consent, from their
current duties or posting them into a role where the
investigation would not be prejudiced in any way.

If the employee does not give their consent then
consideration must be given to suspending them.

Suspension
Suspension will be a last resort. Suspension from work is a
precautionary measure and is not a discipline sanction in itself. The
employee will only be suspended if:

No Reason
1
the allegation made against them involves gross
misconduct; or
2
 the employee’s continued presence in the workplace may
prejudice the investigation, or harm their interests or those
of others; and
 changes or restriction to the employee’s duties or removal
to another post has been fully considered and are not
appropriate or the employee has refused them.

Decision to
The decision to suspend the employee will be made by ACC
suspend
Workforce and Professional Standards or, in their absence, the
Director of Personnel or, in the absence of both, another Chief Officer.

They will consider the information available, produced by the relevant
Personnel Advisory Team, and this will form the rationale for their
decision to suspend.

A written record of reasons for the suspension will be retained by the
Personnel Advisory Team.

Written
If a decision is made to suspend, an appropriate Force representative
notification
will personally hand the employee formal written notification. This will:

No Detail
1
outline the reasons for their suspension including initial
details of the allegation, as known at this stage;
2
explain the conditions of their suspension;
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3
state that consideration was given to restricting the
employee’s duties or removing them to another role but that
neither option was appropriate and state why these options
were not possible or appropriate; and
4
contain information on the employee’s entitlements.
The employee and the Force representative should sign and date a
copy of the written notification.

Review of
At least monthly during the investigation, ACC Workforce and
suspension
Professional Standards or the Director of Personnel, after updates
from the Personnel Advisory Team, will review the decision to
suspend.

A written record of the details will be kept by the Personnel Advisory
Team who will be responsible for ensuring the employee is informed of
the outcome.

Appeal review  At any time the employee or their Trade Union representative can
decision
appeal the decision of the review by writing direct to ACC Workforce
and Professional Standards or the Director of Personnel.

Staff involved in gathering or processing evidence

Introduction
If the employee is involved in gathering or processing evidence and it
is alleged that they may have committed a discipline offence, relating
to a matter of honesty or integrity, then they may:
 have their current duties changed or restricted;
 be removed to another post with their consent; or
 be suspended during the investigation.

This will ensure that the employee is not part of the evidential chain
and cannot compromise prosecution cases.

The decision to do this, in these circumstances, is not a discipline
sanction.

Decision
The decision to change or restrict duties or removal from role will be
made by the Director of Personnel and the Head of Professional
Standards Department with advice from the relevant Personnel
Advisory Team.

Further guidance can be accessed via these links:
 disclosure flowchart; and
 disclosure notes.
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The views of the employee’s divisional or departmental management
team will be taken into consideration.

Ongoing
If the employee is suspended, restricted or removed from their post or
court cases
duties, then the investigating officer will notify the relevant divisional
commander or departmental director or equivalent to allow them to
assess the impact on ongoing court cases. They may liaise with the
head of Criminal Justice Support.

Returning to
At the completion of the discipline proceedings, the head of PSD and
the
the Director of Personnel, supported by the Personnel Advisory Team,
employee’s
will decide whether the employee can return to their former role. They
role
will refer to the disclosure flowchart and notes when making their
decision.

Conditions of suspension

Identity card,
At the time of suspension, the employee must surrender their identity
uniform and
card and any equipment that is considered by the investigating officer
equipment
to be relevant to the investigation.

Equipment and uniform will not be removed routinely unless there are
justifiable grounds for believing the employee may misuse it while they
are suspended.

Attendance at
The employee must not attend police premises while suspended,
police
unless:
premises and
 asked to do so by the investigating officer or their line manager; or
clubs
 for the purposes of representation.

The employee will not have access to police premises or sports
facilities as a member or guest unless this restriction has been waived
by the divisional commander or departmental director or equivalent.

Access to
The employee will have access to OHSW and Trade Union services,
OHSW and TU  where applicable.
premises

Pay,
The employee will continue to receive their normal pay, including:
allowances
 all the contractual earnings, allowances and benefits that would be
and benefits
paid during a period of normal working; and
 any incremental progression up to the top of the employee’s current
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grade.

The employee will not be entitled to any incremental progression from
their current grade to a higher grade (this means that if the employee
is a scale 4-SO2 and is at the top of scale 5 when they were
suspended, they will remain on that pay scale and not progress to the
bottom of scale 6 while they remain suspended).

The person hearing the case may authorise payment to be made
retrospectively, depending on the outcome of the discipline
investigation. Each case will be assessed individually.

Subscriptions Subscriptions will continue to be deducted at source, unless the
employee requests, in writing, that payments should cease.

Representing
The employee will not:
the Force

No Example
1
represent the Force in any capacity, e.g. Force band; or
2
be allowed to participate in any capacity in Force sporting
activities or be eligible for selection by the Police Athletic
Association, unless this restriction is lifted by the ACC
Workforce and Professional Standards or, in their absence
the Director of Personnel.

Attendance at
The employee should have been informed at the time of their
court
suspension that they are still required to attend court should they be
required to give evidence. Failure to do so could result in a witness
summons or warrant of arrest.

As there is a possibility that the employee’s credibility as a witness
may be undermined if they have submitted any statements of evidence
on any court files and are then subject to investigation under this
procedure, the disclosure officer in each case:
 must reconsider the employee’s position as a witness; and
 will, if necessary, reveal that fact to the prosecutor in accordance
with the Criminal Procedure and Investigations Act 1996.

In these circumstances, the employee’s divisional or departmental
personnel officer should notify the CJS Witness Care Bureau. They
will search all outstanding cases to find those in which the employee
has submitted statements and forward details to the officers in charge
of each so that the case can be reviewed to determine if progress can
be made without the employee’s witness evidence.

If the discipline proceedings are considered to be of such a serious
nature that the employee has been suspended, in order to prevent any
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logistical or legal problems, the Crown Prosecution Service should be
informed at the earliest opportunity.

Annual leave
The employee may take holidays while suspended but they must
inform their line manager and provide full contact details. No
deduction will be made from the employee’s annual leave entitlement.

Annual leave entitlement will continue to accrue during the employee’s
suspension.

The employee should be aware that they must be available to attend
relevant discipline investigation interviews and hearings.

If the suspension is lifted, then normal annual leave carry over
arrangements at the end of the leave year will apply.

Colleagues
Work colleagues should not be discouraged from maintaining contact
with you.

The divisional or departmental personnel officer should arrange for
them to be updated regularly with appropriate information. This can
be achieved by an agreed process with the nominated welfare contact.

Nominated
The divisional or departmental management team will nominate a
welfare
suitable welfare contact. They will be responsible for:
contact

No Responsibility
1
updating the employee regarding work related issues;
2
if the employee requests, forwarding copies of the Weekly
Bulletin, The Beat newspaper, etc. for their information; and
3
answering any welfare concerns the employee may have
during the suspension.

Sickness
If the employee becomes ill, they should follow the normal sickness
reporting
reporting procedures. It does not, however, override the conditions of
their suspension.

The employee will continue to receive normal pay as outlined above
under pay, allowances and benefits.

If the suspension is lifted and the employee is still off work due to
sickness, then normal sickness rules will apply from the date of their
reinstatement.

If the employee submits a medical certificate then this must be
recorded on NSPIS HR as ‘sickness while suspended.’ The medical
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certificate should be retained on the employee’s personal file.

Holding
Sickness absence does not necessarily excuse the employee from
hearings in
attending a discipline hearing and advice may be sought from the
their absence
Force Medical Officer to determine if they are fit to attend. If this view
differs from the employee’s own GP’s or consultant’s, then
independent advice may be sought.

The hearing may be heard in the employee’s absence if:

No Example
1
the person hearing the case reasonably believes that the
employee is fit enough to attend; or
2
the employee is unlikely to be able to attend for an indefinite
or protracted period.

Formal action

Introduction
The employee’s business manager or personnel officer is responsible
for seeking a decision from the Personnel Advisory Team, based on
information provided by the investigating officer, before starting this
part of the process.

The divisional commander or departmental director or equivalent or
business manager will determine whether a disciplinary hearing should
be held:
 based on information provided by the investigating officer; and
 following consideration of the Personnel Advisory Team’s
recommended way forward.

NB This decision must always be made in liaison with the Personnel
Advisory Team.

Referral
If the division or department decide not to follow the Personnel
Advisory Team’s recommendation then the matter must be referred to
the Director of Personnel or the Head of Personnel who will reconsider
the case.

The Director of Personnel or the Head of Personnel will be responsible
for making the final decision.

There will be no further opportunity for appeal.

Written submissions from the division or department and the
Personnel Advisory Team will be required in order for the Director of
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Personnel or the Head of Personnel to reach their decision.

Hearing
Where the investigation has established that there is a case to answer
and formal action is to be taken against the employee, then a
discipline hearing will be arranged as soon as practicable.

This will normally be within one month of the completion of the
investigation, unless there are exceptional circumstances.

The employee will be notified by letter of the date and time of the
hearing.

Police officer
Whenever possible, in cases when police officers and police staff is
and police
jointly involved, efforts should be made to hold the two separate
staff involved
hearings on the same day.

However, this arrangement should not cause unreasonable delay for
either party.

Discipline
The panel should comprise of the person hearing the case and a
panel
member of the relevant Personnel Advisory Team, both of whom are
independent of the investigation.

Person
The person hearing the case will be a manager senior to:
hearing the
 the investigating officer; and
case
 the employee, the member of staff subject to the discipline.

Command
The person hearing the case will be a Command Team member if the
Team
employee is subject to:
involvement
 a live final written warning;
 suspension; or
 an allegation of gross misconduct.

Duties of
The person hearing the case must:
person
 ensure that copies of all correspondence with the employee is held
hearing the
on file; and
case
 within 14 calendar days of the decision to hold a discipline hearing:

Step Action
1
provide the employee with written notification of the date and
time of the hearing;
2
provide the employee with details of the nature of the
allegation; and
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3
inform the employee of their right to be accompanied by a
Trade Union representative or a work colleague.

Serving of
All documents from the Force’s side, relating to the hearing must be
papers
served on the employee as soon as possible, but in any case, no less
than 21 calendar days before the employee’s hearing.

By mutual agreement this period can be decreased to allow the
hearing to be held sooner.

The documents served will include details of all witnesses who is
being relied on, including those who are called and their statements.

Duties of
The investigating officer must:
investigating
officer

Step Action
1
notify the employee of the attendance of any witnesses that
they intend to call within a minimum of 21 calendar days
before the hearing;
2
notify the Personnel Advisory Team member no later than 7
calendar days before the hearing of the names of any
witnesses that are to be called; and
3
inform the witnesses accordingly.

Duties of
At least 7 calendar days before the hearing, the employee must:
member of
staff

Step Action
1
circulate copies of all documents;
2
provide details of their Trade Union representative or work
colleague, if they are to be accompanied at the meeting;
3
request the attendance of any witnesses;
4
notify the Personnel Advisory Team member of the names of
any witnesses that are to be called; and
5
disclose any documentation to be presented at the hearing
to the Personnel Advisory Team member.

Witnesses
Before the disciplinary, the person hearing the case will, after
discussion with both parties, if necessary, determine the number of
witnesses that each side can bring to the hearing, taking into account
their relevance to the case.

The evidence of other witnesses will be presented in writing.
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Rearranging
Hearings may be rearranged to accommodate the employee,
hearings
however, there may be circumstances when the hearing will continue
in the employee’s absence, e.g. where:
 long term sickness prevents the employee’s attendance;
 the employee is repeatedly unavailable or fail to attend; and
 all reasonable attempts have been taken to ensure the employee’s
attendance.

Normally a hearing will not be rearranged more than twice, unless
there are exceptional circumstances. If the employee cannot attend
on the second occasion, the person hearing the case may decide to
proceed in their absence and they will be notified in writing and
offered the opportunity to be represented instead.

At the discipline hearing

Introduction
The person hearing the case will explain the purpose of the hearing
and the process that will be followed. This will include:

Step Action
1
introducing all parties and their role in the hearing;
2
confirming the purpose of the hearing, clarifying the nature of
the allegation of misconduct;
3
explaining the procedure the hearing will follow; and
4
clarifying that if the allegation is proven, discipline action will
be taken.

Presentation
At the hearing, the investigating officer will present facts, witnesses
of the case
and materials to support the allegation.

Questions
Questions may then be asked by:

No Person
1
the person hearing the case; or
2
the employee; or
3
the employee’s Trade Union representative; or
4
the Personnel Advisory Team member.

Questioning
Witnesses who are called on to give evidence may also be asked
of witnesses
questions by the above people.

Employee’s
The employee and their Trade Union representative will be given the
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response
opportunity to respond. The employee may be asked questions by the
following:

No Person
1
the person hearing the case;
2
the investigating officer; or
3
the Personnel Advisory Team member.

Questioning
Witnesses the employee calls on to give evidence may also be asked
of witnesses
questions by the above people.

Adjournment
The person hearing the case will adjourn to consider all the facts and
come to a decision with advice from the Personnel Advisory Team
member.

If more information is required the hearing may be adjourned and
reconvened at a later date.

Balance of
The person hearing the case:
probabilities

No Action
1
must decide whether on the balance of probabilities the
employee has committed the act of misconduct that has
been alleged; and
2
does not need to be satisfied beyond reasonable doubt of
the employee’s guilt.

Consideration
In reaching a decision on the case the person hearing the case should
s
ask themselves the following questions:

No Question
1
Has there been as much investigation as is reasonable in the
circumstances?
2
Have the requirements of the discipline procedure been met?
3
Have I paid sufficient regard to any explanation put forward
by the employee or on their behalf?
4
Do I believe that the employee has committed the
misconduct as alleged?

Decision
The person hearing the case must:

Step Action
1
give a verbal summary of what factors and considerations
influenced their final decision and, wherever possible provide
the employee with the verbal decision of the hearing; and
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2
send the employee written confirmation of their decision
within 14 calendar days of the hearing by recorded delivery
and this should provide details of any discipline sanction and
inform the employee that they have a right to appeal within 7
calendar days of receipt of this notice.
NB Only warnings which are live at the time of a subsequent
discipline offence will be taken into account in determining the
appropriate level of discipline sanction.

No sanctions
If the person hearing the case concludes that no sanction is
appropriate then they should follow the process for no further
disciplinary action.

The employee must return to work on the next normal working day
after a suspension has been lifted unless the person hearing the case
tells the employee otherwise.

Warnings

Introduction
All warnings should state the:

Step Action
1
nature of the misconduct;
2
rationale for the decision taken by the person hearing the
case;
3
discipline action taken;
4
improvement expected and the timescales (if appropriate);
5
consequences of failing to attain the required change or
improvement;
6
the employee’s right of appeal; and
7
confirmation of the period for which the discipline will remain
live.

Verbal
For minor breaches a verbal warning will be given. A letter will be
warning
issued to the employee confirming that a verbal warning has been
issued but indicating that the letter does not in itself constitute a written
warning.

A copy of the letter will be placed on the employee’s personal file.

Verbal warnings remain live for a period of 6 months from the date of
issue.

After the live period, the letter confirming that a verbal warning has
been given must be removed from the employee’s personal file unless
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the breach was a matter of honesty and integrity.

Details of the verbal warning will be retained by the Personnel
Advisory Team.

Written
Where a matter is considered to be of a sufficiently serious nature, the
warning
employee will be given a written warning.

A letter will be issued to the employee confirming that a written
warning has been issued.

A copy of the letter will be placed on the employee’s personal file.

Written warnings remain live for a period of 12 months from the date of
issue.

After the live period, the letter confirming that a written warning has
been given must be removed from the employee’s personal file unless
the breach was a matter of honesty and integrity.

Details of the written warning will be retained by the Personnel
Advisory Team.

Final written
If a written warning has not been effective or where a matter is
warning
considered to be of a sufficiently serious nature, the employee will be
given a final written warning.

A final written warning will remain live for a period of 18 months.
However, if the misconduct is deemed to be exceptionally serious, this
period may be extended by the person hearing the case.

A copy of the letter will be placed on the employee’s personal file.

After the live period, the letter confirming that a final written warning
has been given must be removed from the employee’s personal file
unless the breach was a matter of honesty and integrity.

Details of the written warning will be retained by the Personnel
Advisory Team.

The employee must be clearly informed that a further infringement
could result in their dismissal.

Dismissal

Introduction
This section applies if the employee has already had a final written
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warning which is still live, or in cases of gross misconduct, where the
person hearing the case has the power to dismiss.

Decision
The decision to dismiss rests with ACC Workforce and Professional
Standards or, in their absence, the Chief Officer hearing the case.

Repeated acts  The employee may be dismissed if they have committed repeated acts
of misconduct  of misconduct.

In these circumstances the employee would be dismissed but would
be given contractual paid notice.

Gross
If a decision has been made to dismiss the employee following an act
misconduct
of gross misconduct then there will be an immediate dismissal and
no payment will be made in lieu of notice.

In gross misconduct cases the employment contract will cease from
the date of the discipline decision.

Letter of
Where the employee is to be dismissed, a letter of dismissal, including
dismissal
the rationale, will be issued to them within 14 calendar days of the
decision being made.

This will be sent by recorded delivery.

Other sanctions

Alternatives
Where the circumstances warrant it and the opportunity exists, the
person hearing the case may consider the following alternatives, in
conjunction with a final written warning:

No Option
1
suspension without pay for a specified period;
2
salary may be reduced or increments withheld permanently or
for a specified period;
3
demotion or transfer to a post at a lower grade (the person
hearing the case will determine the specified demoted grade);
or
4
transfer to another location or post at the same grade.
 Options 3 and 4 will be dealt with under the Capability procedure.
 Protection of earnings, enhancements and allowances and
secondary redeployment will not apply.
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Proportionate
Any discipline sanction imposed must be reasonable, fair and
sanction
proportionate.

If a decision is made to transfer the employee to another location or
post then consideration should be given to their domestic
circumstances.

Restrictions
For the duration of the sanction the employee may:
for duration of   apply for other roles within the Force, at their new ‘demoted grade’
sanction
role; but
 not apply for any role that is a promotion from their ‘demoted grade’
role.

Recording a
Personnel officers will record a demotion on NSPIS HR as follows:
demotion on

NSPIS HR

Step Action
1
click on Assignment;
2
click in the box on the bottom right hand side of this page;
3
in the Additional details box choose the line Assignment
change reason;
4
click on the pick list and choose (the timescale of the
sanction that is appropriate, i.e. 12, 18 or 24 months):
Demotion (12);
Demotion (18); or
Demotion (24); and
5
save.

Appeal process

Introduction
The employee has a right of appeal against all sanctions imposed
under this procedure.
The appeal hearing will determine whether the decision taken by the
person hearing the original case was fair and reasonable.
The sanction can remain the same or be decreased or increased.
Discipline sanctions will remain in force pending the outcome of the
employee’s appeal.

Written
The employee should personally submit, or send by recorded delivery,
notification
written notification of their intention to appeal against any sanction,
including dismissal, to the Director of Personnel. This should be within
7 calendar days of receiving written confirmation of the sanction.
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Grounds for
Within 28 calendar days from the date of the hearing, the employee
appeal
must submit a written statement, providing a detailed explanation of
their grounds and underlying reasons for the appeal. This should state
whether they are appealing on one or more of the following:

No Reason
1
against the finding of misconduct;
2
against the severity of the sanctions; or
3
in relation to a procedural irregularity.

Appeal
Following the receipt of the written notification of appeal, an appeal
hearing
hearing will be arranged to sit within 2 months.

Priority over appeal hearing dates will be given to appeals against
dismissal.

Appeals panel  The members of the panel hearing the appeal will:
 not have been involved in the original discipline investigation or
sanction; and
 will be selected depending on the sanction imposed at the original
hearing as follows:

Sanction
the appeal panel will consist of
Verbal
 an independent person of at least the same level as
warning
the person hearing the original case; and
 a Personnel Advisory Team member.
Written
 the ACC Workforce and Professional Standards or
warnings
another Command Team member; and
 a Personnel Advisory Team manager.
Dismissal   the DCC, or in exceptional circumstances the CC;
 another Command Team member; and
 the Director of Personnel or Head of Personnel as an
advisor.
The appeals panel has the discretion to reconsider the case in its
entirety and determine the appropriate penalty for the behaviour
demonstrated. They may, if they feel it is appropriate:
 consider any evidence not considered at the original hearing; and
 decide to exclude evidence that was considered at the original
hearing.

Witnesses
Witnesses may be called to give evidence.

All parties must be notified in advance if the employee or the
investigating officer requires witnesses to attend.

New witnesses, i.e. witnesses who were not asked to attend the
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discipline hearing, may be required to attend the appeal hearing.

This may include written witness statements.

At the hearing  The employee and/or their representative and the investigating officer
will present submissions. The person who heard the original case may
be called to outline the reasons for determining that on the balance of
probabilities the employee was guilty of the misconduct alleged and
why the discipline sanction was imposed.

Decision
The panel will consider the evidence presented and will be tasked with
reaching a fair outcome, taking into account all circumstances. For
example, an irregularity in procedure during the initial investigation will
be taken into account, but will not automatically overturn a decision
where the panel is satisfied that the:
 misconduct took place; and
 the sanction is proportionate.

Notification of  The employee will be informed verbally of the outcome of the appeal
outcome
and the reasons for the decision. This will be confirmed in writing
within 14 calendar days of the hearing by the person advising the
panel.

Sanction
If the sanction changes, then the live period, e.g. 6, 12 or 18 months,
changes
for the warning should be checked and adjusted to account for any
time already elapsed.

Discipline
If discipline action is reconsidered and withdrawn, any written
withdrawn
reference to it will be removed from the employee’s personal file.

Further
Any decision of the panel will be final.
appeal

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Policy database administration

Document
The table below lists the details relating to this document.
information

Item Details
Document Title
Discipline procedure - police staff
Owner
Personnel
Author / Reviewer
Martin Terrell
Date of last review
28/02/2008
Date of next review
27/02/2010
Equality Impact Assessment
Enter: Yes / No
relevance test
Completed:  Yes
Full Equality Impact
Enter: Yes / No / Not relevant
Assessment
Completed:  No
Compliant with Human
Enter: Yes / No
Rights Act 1998
Yes

Revision
The table below details revision information relating to this document.
information

Topic Title
Date of last update
Director of Personnel and Training changed  02/06/2009
to Director of Personnel

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Document Outline

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