MANCHESTER CITY COUNCIL - DISCIPLINARY PROCEDURE

Manchester City Council

DISCIPLINARY POLICY AND PROCEDURE

Issued by:

Employee Relations Team

Corporate Personnel

April 2005

CONTENTS

Paragraph	Title	Page
SECTION 1	DISCIPLINE - POLICY STATEMENT
1	Purpose	3
2	Scope	4
3	Staff Covered	4
4	Principles of Natural Justice	4
5	Record Management	5

SECTION 2	DISCIPLINE - PROCEDURE
1	Disciplinary Rules	6
2	Investigation	6
3	Dealing with Special Situations	7
4	Suspension	7
5	Disciplinary Hearing	9
6	Offences other than Gross Misconduct	10
7	Gross Misconduct	12
8	Demotion/Transfer to another Location	12
9	Confirmation Letter	13
10	Rights of Appeal	13
11	Appeal to Elected Members	14

SECTION 3	DISCIPLINE - GUIDANCE FOR MANAGERS
1	Introduction	15
2	Scope	15
3	Disciplinary Rules	16
4	Investigation	16
5	Anonymous Complaints	21
6	Criminal Offences or other External Proceedings	22
7	Suspension	24
8	Preparing for a Disciplinary Hearing	26
9	Presenting a Case at a Disciplinary Hearing	28
10	Conducting a Disciplinary Hearing	29
11	Expunged Warnings	39
12	The Appeals Process	39
13	Disputes	43
14	Right of Representation	43

Appendices
1	Disciplinary Rules	43
2	Procedure for Processing Employee Appeals (PC 1409)	46
3	Advice Note 17	59
4	Sample Letters 1-16	62
5	List of Senior Trade Union Representatives	77

DISCIPLINE

Policy Statement

1. PURPOSE OF THE POLICY

Manchester City Council aims to continuously improve the standards of service it provides to the residents of Manchester and as a single employer undertakes to deal with employees in a fair and consistent way, taking account of service and individual needs.
Whilst it is acknowledged that the majority of employees consistently conform to required standards, it is necessary that a disciplinary procedure is available and understood so that all employees know their rights and obligations and those of management in order that discipline may be maintained by means which are fair and reasonable to all concerned.
Disciplinary rules and procedures are necessary for promoting orderly employment relations as well as fairness and consistency in the treatment of individuals. They enable organisations to influence the conduct of employees as well as deal with breaches of rules and procedures to enable the organisation to function effectively.
The City Council's policy is to ensure that fair and effective arrangements exist for dealing with disciplinary matters and that common standards are observed for all employees. This policy covers unsatisfactory conduct at work and unsatisfactory work performance if this is wilful or caused by carelessness.
This Disciplinary Policy aims to:

promote high standards of behaviour on the part of all staff;
ensure consistent and fair treatment to all;
promote efficient and safe performance of work through by regulating employee conduct;
maintain good employee relations within the City Council by making explicit the City Council's expectations;
help and encourage staff to achieve and maintain the appropriate standards of conduct that the City Council expects of all its staff;
provide a framework for dealing with incidents of misconduct.

Management is responsible for maintaining discipline and setting standards of performance within the organisation. Disciplinary procedures are not to be viewed as a substitute for best practice in management approaches to resolving workplace problems.

2. SCOPE OF THE DISCIPLINARY POLICY

The Disciplinary Policy deals with all issues involving alleged misconduct by employees. It will also be applied in cases of unsatisfactory attendance such as persistent, short-term, repetitive absence.
It does not, however, apply in the following situations:

Dismissal on the termination of a temporary/fixed-term contract (i.e. a contract undertaken for a specified time or task) where the agreed period of employment comes to an end and no further employment is available;
Unsatisfactory performance during a probationary period (these issues are addressed under Procedure for Managing Employees During Probation);
Where an employee's work or omission is such as to call into question his or her competence or capability (these issues are addressed under the Capability Procedure).
Non-attendance due to long-term sickness which will be dealt with under the `Managing Attendance Policy and Procedure'.
Dismissal in the event of redundancy which will be dealt with under the appropriate arrangements.
STAFF COVERED

This Disciplinary Policy and Procedure applies to all staff employed by the City Council including teachers within a centrally managed service.
This Policy and Procedure will not apply to those in their probationary period of service (covered by the Procedure for Managing Employees During Probation) and Teachers employed by schools, who will be covered by separate terms and conditions relating to their employment.
PRINCIPLES OF NATURAL JUSTICE

When applying the Disciplinary Procedure, managers need to have regard for the requirements of natural justice. This means that employees should be:

informed, in writing in advance of any disciplinary hearing of the allegations that are made against them together, with any supporting evidence and
given the opportunity of challenging the allegations and evidence before decisions are reached.
given the right to appeal against any disciplinary sanction imposed;
advised of the right to be accompanied at all stages of the procedure.

4.2 The disciplinary procedure should also be applied in a timely fashion.

4.3 The City Council is committed to broadening these principles in all aspects of Equal Opportunities including harassment on the grounds of race, gender, disability, sexual orientation, age, religion, trade union membership and family care responsibilities (this is not an exhaustive list).

RECORD MANAGEMENT

Records should be kept on all breaches of disciplinary rules, along with employee's defence or mitigation, the actions taken and the reasons for it, whether an appeal was lodged, its outcome and any subsequent developments. These constitute confidential information and should be retained in accordance with the disciplinary procedure and any other related statutory acts such as the Data Protection Act .
Each disciplinary warning remains `live' for a period of 6 months, following which, provided there has been no further act of misconduct within the period of the warning, the warning will be considered to be expunged and will not be taken into account for future considerations of normal disciplinary action, suitability for promotion or any other employment decision. Any additional disciplinary warnings accrued during the `live' period will run concurrently and the expunction date for each warning will be applied separately.
Information relating to any disciplinary action along with relevant documentation will be retained on an employee's file for as long as they are employed by the City Council. Whilst such documentation generally will not form part of any subsequent disciplinary action if it is time-expired, it can be used to demonstrate patterns of behaviour.

DISCIPLINE

Procedure

Disciplinary Rules

The list of Corporate rules, acts - of commission or omission - which are considered to be misconduct are detailed in Appendix 1. This list of rules is not exhaustive and may be amended from time to time. Breaches of the disciplinary rules contained in Section 1 of the Appendix will normally be classed as gross misconduct and may result in summary dismissal if found to be proven. Breaches of the disciplinary rules contained in Section 2 of the Appendix will normally be classed as misconduct and, if proven, may in the first instance result in disciplinary warnings at Stages 1, 2 or 3 of the Disciplinary Procedure. Repeated breaches of the disciplinary rules contained in Section 2 may result in an employee's dismissal. Individual Departments may supplement these Corporate rules with service-specific rules and guidelines.
The list of Corporate Rules will be issued as part of the appointment/induction documentation to all new employees.

INVESTIGATION

When an employee's conduct (which could include wilful neglect of duty or failure to carry out reasonable management instructions and/or wilful non-cooperation with the capability procedure), is called into question an investigation will be carried out to establish the facts of the matter and the circumstances around the misconduct.

Before any decision is made to hold a disciplinary hearing a full investigation will be carried out by an appropriate manager (who will be a more senior grade than the individual being investigated, unless otherwise agreed by all parties concerned), taking statement of facts, interviewing witnesses, taking witness statements and reviewing all other information/documentation considered relevant to the issue.

The Investigating Officer is responsible for undertaking a thorough investigation of the circumstances and will meet with as many witnesses as is appropriate and practicable, which will include holding an investigatory meeting with the employee against whom allegations are being made. Witnesses have a right to be accompanied at interview (however, this should not slow down the investigation unduly).

The employee should be advised in writing of the nature, and where possible the detail, of the allegation/complaint.

During the investigatory meeting the employee will have the right to be accompanied by his/her trade union representative or `friend'.

If following investigation, the Investigating Officer believes that a disciplinary rule has been breached then he/she will initiate disciplinary hearing which will be heard by a different officer (normally a more senior grade, unless otherwise agreed by all parties concerned), to the investigating officer. Arrangements for Disciplinary Hearings are set out in paragraph 5.

DEALING WITH SPECIAL SITUATIONS

Criminal Offences or other external proceedings

In cases where the police are investigating a matter or court case is pending, the application of the disciplinary procedure may not have to wait the outcome of such external investigations or proceedings. The burden of proof in internal disciplinary proceedings has to be established on “a balance of probabilities” (i.e. it is more likely than less likely that an event has occurred) - whereas in criminal cases the evidence has to be proven “beyond reasonable doubt” i.e. with certainty). However criminal offences or convictions outside employment should not be considered as automatic reasons for dismissal. The main consideration should be whether the offence is one that makes employees unsuitable for their type of work or brings the City Council into disrepute.
Trade Union Officials/Representatives

Although normal disciplinary standards should apply to trade union officials or representatives in relation to their conduct as employees, if disciplinary action is contemplated then the case should be discussed with a senior trade union representative or a full-time trade union official (list attached at Appendix 5) before any action is taken.

SUSPENSION

4.1 Suspension from duty with contractual pay is a precautionary measure and a neutral act which the Investigating Officer may apply in the following circumstances:

4.2 Where it is believed to be in the interests of a Department's clients.

4.3 Where it is believed that the continued presence of the employee might prejudice enquiries or influence witnesses.

4.4 Where there has been physical violence, or where voices have been raised or tempers have been frayed, it is often wise to remove the parties from the premises as quickly as possible while the matter is investigated.

In the circumstances described in (4.1) - (4.3) above, the Investigating Officer should consider whether it would be possible and appropriate for the employee to be temporarily redeployed to another area of field of work during the investigation.

4.5 Where there is a possibility that the allegations, if proven, may constitute gross misconduct. Gross misconduct is generally defined as misconduct serious enough to destroy the employment contract between the employer and employee and to make any further working relationship and trust impossible.

4.6 In the circumstances described above, the employee's right to be accompanied by his/her trade union representative or `friend', should not delay the suspension where opportune representation cannot be arranged.

4.7 Immediately following suspension, the Investigating Officer will prepare a letter to the individual concerned outlining the reason for the suspension; the terms of the suspension and the consequences of breaching those conditions; as well as details of any appropriate administrative arrangements that have been made at that time. In all cases this letter will advise the employee that they must be available to attend meetings and hearings associated with the investigation and/or disciplinary process, and may not visit their workplace without the express prior consent of the Investigating Officer.

4.8 Employees, on being suspended, will be advised that any attempt to pressurise, coerce or intimidate colleagues, witnesses service users and/or other work contacts may potentially be viewed as a further disciplinary matter.

4.9 Subsequent changes to the circumstances around the suspension, including alterations to the allegations, will be notified to the employee in writing. It is recognised that suspension from work, whilst not an assumption of guilt, can over time place a strain on both the employee concerned and their workplace. The period of suspension therefore will be managed so as to cause the minimum of disruption to both parties, and should be concluded as quickly as possible.

4.10 Departments will be required to consult the Head of Personnel for approval to extend suspensions beyond two months. Notwithstanding the requirement to undertake a full and fair investigation suspension should not carry on longer than necessary. In order that the process may be managed effectively Departments are required to report to the Head of Personnel with extended reasons for continuing the suspension over two months.

4.11 Where any employee has been suspended and following an investigation, the Investigating Officer believes that the issue is not a disciplinary matter and/or no longer falls within the circumstances described in 4.2 - 4.4 above, then he/she will lift the suspension at the earliest opportunity, and the individual will return to work. Where it is deemed not to be a disciplinary matter, the lifting of the suspension will be confirmed in writing and any reference to the suspension will be removed from the individual's personal file.

DISCIPLINARY HEARING

General Principles

The Investigating Officer is responsible for arranging disciplinary hearings and will act as Presenting Officer at the Hearing.

All documents to be referred to by the Presenting Officer will be sent under cover of a letter to the employee, and copied to their nominated representative, confirming the date, time and place of the hearing; the name and title of the Hearing Officer and a statement of the final form of the allegations being made against the employee. Officers convening hearings should liaise with the trade union concerned to arrange earliest date.

The Presenting Officer will, no later than 10 working days before the hearing, provide to the employee and any nominated representative names of management witnesses and copies of any documentation to be used during the proceedings. The employee/their nominated representative will reciprocate no later than three working days before the date of the hearing. These deadlines are to be adhered to unless otherwise agreed by all parties concerned.

All the documents from both sides will be made available to the Hearing Officer on the day of the hearing by the Departmental Personnel Officer or her/his appointed representative, who may be present at the hearing, to advise the Hearing Officer.

The hearing will be conducted by an officer of a more senior grade to the Investigating/Presenting Officer, unless otherwise agreed by all parties.

Procedure at the Disciplinary Hearing

The Hearing Officer will be responsible for the conduct of the Disciplinary Hearing. The Hearing Officer will outline the process and set out any ground rules. For clarification purposes the Hearing Officer may ask questions of any party at any time during the hearing.

The Hearing Officer will ensure that the following order of procedure is applied.

Investigating Officer presents the case and calls witnesses;
Employee (or his/her representative) questions Investigating Officer and witnesses.
Hearing Officer questions Investigating Officer and witnesses.
Employee (or his/her representative) presents his/her case.
Investigating Officer questions employee (and his/her representative) and witnesses.
Hearing Officer questions employee (and his/her representative) and witnesses.
Investigating Officer sums up.
Employee (or his/her representative) sums up.

Other aspects of protocol at the Disciplinary Hearing

Where witnesses are required they will only attend that part of proceedings where they are giving their evidence and answering questions - they will not be present at any other part of the Hearing.
The Hearing Officer may adjourn the proceedings at any stage if this appears necessary or desirable. If adjourning for the purpose of enabling further information to be obtained the Hearing Officer will specify the nature of that information to be obtained and by what method. Any adjournment will normally be for a stated period.

5.3.3 Following the summing up, both parties together with their representatives and any witnesses called, will withdraw. If it is necessary to recall one of the parties for further information or consider any further documents before a decision is taken, both parties shall be recalled.

5.3.4 A decision will be given by the Hearing Officer as soon as possible. Although this will normally be on the same day as the hearing, it may be necessary for the Hearing Officer to give considerable thought to the final decision and so delay delivering the outcome, but this will not be longer than 3 working days except in a limited number of cases, where the hearing officer specifies that an additional piece of information is required; in these circumstances, revised time scales will be agreed by all parties.

5.3.5 All decisions will be confirmed in writing detailing the main points made by each side, together with the reasons for arriving at the decision. This will be arranged by the Hearing Officer and a copy will be forwarded to the employee and their representative.

5.3.6 A copy of the letter containing the sanction will remain live in the employees file for the specified period of time (see section 6).

OFFENCES OTHER THAN GROSS MISCONDUCT - POSSIBLE DISCIPLINARY SANCTIONS

6.1 The following formal sanctions may be applied under the Disciplinary Procedure:

Stage 1 - (Verbal) Warning ] All Formal Warnings
Stage 2 - Written Warning ] to remain `live' for
Stage 3 - Final Written Warning; ] 6 months
Dismissal (with notice)

6.2 Breaches of the disciplinary rules short of gross misconduct will normally be classed as misconduct, the penalties for which will normally follow incrementally, i.e. Stage 1; Stage 2; Stage 3. There will be instances, however, where specific circumstances dictate a higher stage of disciplinary action, without proceeding through this sequence.

6.3 In cases where an individual is in receipt of a live final warning for misconduct and then receives a further sanction as a result of non-attendance through sickness absence, this alone will not result in dismissal on notice under the principle of aggregated warnings; similarly where an employee has a live final warning for non-attendance and then receives a further disciplinary sanction as a result of misconduct, a dismissal would not be effected on the `totting-up' approach.

GROSS MISCONDUCT

7.1 Gross misconduct is regarded as an incident or incidents of misconduct so serious, that the action fundamentally breaches the contractual relationship between the employee and the City Council and justifies the City Council in no longer accepting the employee's continued employment.

7.2 In the case of any act committed which is considered by the Hearing Officer to constitute gross misconduct, and where due regard has been given to any mitigating circumstances put forward, the employee may be summarily dismissed (without notice and irrespective of whether the employee has any previous warnings) i.e. with effect from the time the decision of the Hearing Officer is given.

DEMOTION/TRANSFER TO ANOTHER LOCATION

8.1 As part of the process of ensuring that a dismissal is fair in terms of employment law, there is a need to consider whether there is an alternative response which is short of dismissal from the City Council, in cases of gross misconduct. When it is concluded that the circumstances of the case may allow consideration of the potential to assign the employee to a different post it must be as an alternative to dismissal from the City Council (rather than a free-standing disciplinary sanction).

8.2 If transfer/demotion emerges as a possibility, it must be made clear to the employee that any reassignment or a variation to the employee's contract must be based on the availability of a post which falls within the competence of the employee and is mindful of any circumstances peculiar to the disciplinary case; where such a post exists the reassignment/variation must be agreed by the employee. If no appropriate post can be identified or the alternative is not accepted then the original sanction of dismissal will apply.

CONFIRMATION LETTERS

A letter confirming disciplinary action will contain the following information:

9.1 The date on which the hearing took place and the name and title of the Hearing Officer;

The offence(s) to which it relates and the conclusion of the Hearing Officer in relation to that (those) offence(s);
The disciplinary action being taken (first stage warning / second stage warning / final warning / dismissal with notice / summary dismissal/transfer / demotion);

9.4 In the case of warnings, the duration of the warning and the consequences of any further act of misconduct within the currency of the warning;

9.5 Right of appeal open to the employee.

9.6 In addition to confirming the outcome of a disciplinary hearing, the letter from the Hearing Officer to the employee and their nominated representative will include written reasons for their arriving at this conclusion, and applying that particular sanction. This should give employees a basis to consider whether they wish to lodge an appeal against the decision, and enable them to state their grounds for contesting the disciplinary action.

RIGHTS OF APPEAL

10.1 An employee has the following rights of appeal in the case of all disciplinary actions.

Nominated 2nd tier Officers (or their representatives) will hear appeals against disciplinary sanctions short of dismissal. This will constitute a full rehearing of the case.
In cases of dismissal, summary or with notice, the Departmental appeal will be heard by the Chief Officer/Strategic Director of the Department. This will also constitute a full rehearing of the case. There will be a further right of appeal to Elected Members.

All appeals must be made, in writing, to the Chief Officer, within ten working days of the extended reasons for the disciplinary action being received/confirmed.

10.3 The opportunity to appeal against a disciplinary decision is essential to natural justice. Employees may choose to raise appeals on a number of grounds which could include severity of the penalty, new evidence coming to light or procedural irregularities.

10.4 The range of decisions open to the Appeal Body will be as follows:

allow the appeal and quash the disciplinary sanction;
allow the appeal in part and substitute a lesser disciplinary sanction;
disallow the appeal and uphold the original disciplinary sanction;

10.5 The employee and his/her representative will be notified of the outcome of appeal hearings as quickly as practicable and within a week.

11. APPEALS TO ELECTED MEMBERS

In the case of dismissal there is a further right of appeal to the Employee Appeals Committee. Where dismissal is as a result of cumulative warnings, Elected Members will consider the case in its entirety, i.e. including all contributory (live) sanctions.

Appeals to Elected Members must be made, in writing, via the Chief Officer of the employing Department, within ten working days of notification of the outcome of the Departmental appeal.

11.3 Appeals against dismissal should be heard by Elected Members at the earliest opportunity, and the aim must be to hear it within three months of the dismissal. Such appeals will be based on specific grounds put forward by the employee.

11.4 At appeals against dismissal an officer of the Corporate Employee Relations Team will attend throughout the proceedings to advise the Employee Appeals Committee. In appeals against dismissal held within Departments a departmental Personnel Officer will advise the Chief Officer (or his/her departmental representative).

DISCIPLINARY POLICY AND PROCEDURE

GUIDANCE FOR MANAGERS

1. INTRODUCTION

1.1 This guide has been prepared for managers' use in the application of the City Council's Disciplinary Policy & Procedure. The new policy and procedure was agreed with the recognised trade unions and becomes effective from 1 April 2005. This guide should be read in conjunction with that agreed policy and procedure .

This guidance, together with the Disciplinary Policy and Procedure, supersedes the Disciplinary Procedure issued in 1 Feb 2000, which should be discarded immediately.
This guidance aims to provide line managers and supervisors with practical information and advice on the procedure and its application. A consistent approach to a fair, transparent and effective disciplinary procedure will help to minimise disagreements regarding disciplinary matters and thus reduce the need for dismissals. It is important, therefore, that the procedure is followed at all times.

2. SCOPE

The Disciplinary Procedure deals with all issues involving alleged misconduct by employees and matters arising from their non-attendance at work.

It does not, however, apply in the following situations:

On the termination of a temporary contract (i.e. a contract undertaken for a specified time or task) where the agreed period of employment comes to an end and no further employment is available;
In the event of redundancy, which will be dealt with under appropriate arrangements;
Dismissals arising from unsatisfactory performance/attendance/conduct during a probationary period (these issues are addressed under Procedure for Managing Employees During Probation);
Where an employee's work or omission is such as to call into question his or her competence or capability (these issues are addressed under the Capability Procedure).
DISCIPLINARY RULES

Setting clear rules, and communicating them to all parties, including warning them of the consequences which may result from failure to adhere to those rules, will avoiding misunderstanding and aid consistency of application. A set of Corporate rules is fundamental to the process of informing employees of the overall standards of behaviour required. The list of Corporate rules, acts - of commission or omission - which are considered to be gross, serious or ordinary misconduct are detailed in Appendix 1. You should note that this list of rules is not exhaustive and may be amended from time to time.
Within certain Departments/Services, there will be particular circumstances which will necessitate supplementary rules specific to certain work groups and/or working circumstances; again the purpose of these is to ensure that everyone is aware of the norms, rules and standards required in that environment - e.g. driving, responsibility for vehicles/plant/equipment, operating plant, contact with service users, attitude to alcohol/licensed premises. These should be clear, specific and reasonable. Chief Officers should ensure that Departmental rules are reviewed regularly to ensure that they are relevant, reasonable and enforceable, and that any changes that are made are publicised. Where changes to rules are deemed necessary Departments should seek to agree these locally with the relevant trade unions.
Departments should make arrangements to issue the list of Corporate Rules, supplemented where necessary by service-specific rules and guidelines, to all existing employees and ensure that these form part of the appointment/ induction documentation to all new employees.
INVESTIGATION

Initial Preparation

Where an instance of alleged misconduct and/or matters arising from non-attendance occur, an appropriate supervisor/manager should be appointed to investigate the matter(s) in hand. Generally that supervisor/manager would be the employee'(s') line supervisor/manager, but circumstances may require other arrangements to be employed.
On being nominated to investigate, the supervisor/manager (henceforth referred to as the Investigating Officer) should remind themselves about the details of the City Council's Disciplinary Rules and Procedures and the responsibilities of the role being carried out. They should not hesitate to ask for advice if there are any doubts - the Department's own Personnel Section should be able to provide assistance, and should be the first port of call for clarification.
The Investigating Officer should ensure that they understand fully the allegations of misconduct which have been made against the employee, and what it is they are being asked to investigate; ascertaining the scope of matters under investigation influences how best to approach the matter, including an indication of the resources necessary.
If the matter under investigation concerns a recognised Trade Union representative then before taking any further action the Investigating Officer should discuss the circumstances with the nominated representative of the trade union concerned (a list of Senior Trade Union representatives is appended to the Disciplinary Procedure as Appendix 5).

Initial Interview with the Employee
In most cases (although it may not be necessary in every case) the Investigating Officer should hold a preliminary interview with the employee under investigation to ascertain whether or not there is a case to answer.
In such circumstances, the Investigating Officer should advise the employee (either verbally or in writing) that they are required to attend a preliminary meeting (this should be arranged at the earliest possible opportunity) and confirm that the individual is aware of their rights to be represented, at all stages of the formal procedure, by their Trade Union or other person of their choice. Where an employee declines representation, this should be recorded.
At this initial meeting the Investigating Officer should explain the procedure (and their role in it), the nature of the matters which have been referred for investigation and invite the employee to respond. The Investigating Officer should reach an initial view on the degree of seriousness which should be attributed to the alleged misconduct i.e.:

Can improvements in behaviour be achieved without resorting to the formal disciplinary procedure through counselling and/or professional advice?
Does it constitute potential misconduct, serious misconduct or gross misconduct? (see Section 8 on Suspension)
Having taken an initial view, the Investigating Officer should inform the employee of what will happen next - i.e.;

no case to answer, therefore no further action;
no further action under the Disciplinary Procedure, but some form of action required (details of which should be included);
further enquiries to be undertaken.

If further enquiries are to be conducted, the employee should be advised as to their position whilst the investigation is carried out - i.e.;

remain on duty (with any associated conditions relevant to the investigation);
undertake temporary alternative duties (with any associated conditions such as seeking permission prior to visiting normal place of work);
suspension and associated conditions (see Section 8).

Investigation Proper

The Investigating Officer is responsible for undertaking a thorough investigation of all of the circumstances of the case and should be prepared to meet with as many witnesses as is deemed necessary (practicalities notwithstanding) to complete that investigation. Whilst there is a need to progress matters in a timely fashion, this should not be at the expense of the adequacy of the investigation and/or the principles of natural justice. Clearly doing justice to the investigatory process will often prove to be time-consuming, therefore once the Investigating Officer has identified the scope of matters under investigation, they should begin to negotiate (with their line manager) for sufficient time to conduct enquiries, hold interviews, undertake research, arrange witness statements, produce reports etc.
It is important for the Investigating Officer to note that it is not their role to “prove” the charges against the employee, rather it is their role to undertake a thorough and balanced investigation which allows them to make a reasonable judgement at the conclusion of the investigation.

Investigatory Interview with the Employee
Where an investigation involves the employee concerned being questioned the employee should be advised in writing of the status of the interview, the nature, and the detail, in as far as it is known at that stage, of the allegation/complaint under consideration. Again it is important to advise the individual of their right to be represented, at all stages of the formal procedure, by their Trade Union or other person of their choice.
The Investigating Officer may request and/or the employee may venture names of people whom they feel it pertinent for the Investigating Officer to interview - it is the Investigating Officer's decision as to who is interviewed, and in such circumstances they should seek to identify (through the employee) what purpose such an interview would serve, before reaching a decision.

Investigatory Interviews - General
As the investigation progresses the Investigating Officer should continuously assess and review the information available, seeking to reconcile any apparent contradictions in the information under consideration and clarifying any areas of uncertainty by further enquiry. It is important to remember that when conducting the investigation (including interviewing witnesses) the aim is to ascertain facts, not hearsay or assumptions.
The Investigating Officer should inform witnesses that they have the right to be accompanied at interview (although this right should not slow down the investigation unduly, e.g. through the unavailability of the employee's chosen representative).
If there are any alterations made to the allegations as the investigation progresses, then the employee should be informed accordingly in writing.

Note-taking

During the investigatory interview, either party is at liberty to make notes. Any notes (as distinct from witness statements) taken by the Investigating Officer or their appointed note-taker are for their personal use and should only be provided to the employee if they are to be used as a document during the Disciplinary Hearing.

Witness Statements
To smooth proceedings it is recommended that statements are taken arising out of investigatory interviews with witnesses, even if the person concerned is willing to attend any future hearings in person.
Written witness statements should be written in the first person and contain all relevant facts, including;

the name and position of the witness
names of people involved in the incident
times, dates (where possible, or `landmarks' to allow a `guesstimate')
places
first hand (eye witness) evidence
contextual information - e.g. if they have any relevant expert knowledge, or familiarity with a system/arrangement
details/references to any corroborative information
The statement should be signed and dated by the witness and countersigned by a third party, and a copy of the statement provided to the witness.

Concluding the Investigation

At some point the Investigating Officer must decide when it is reasonable to conclude that there is nothing further to usefully be gained by continuing the investigation. At this point, the Investigating Officer must consider all the information and facts and weigh up the evidence to decide whether there is a case to answer under the Disciplinary Procedures or whether no further action should be taken. The Investigating Officer should take advice from Departmental Personnel staff if necessary.
The Investigating Officer should decide what the allegations of misconduct are, formulate them in unequivocal terms, and initiate a disciplinary hearing to be heard by a different officer (normally a more senior grade to the investigating officer, unless otherwise agreed by all parties concerned).
At this stage the employee should be advised in writing that the matters that were under investigation are being forwarded for consideration at a Disciplinary Hearing. By now it is essential to specify the detail of the allegation(s) under consideration, including wherever possible reference to rules that have been breached and the possible consequences of that breach. Again it is important to advise the individual of their right to be represented, at all stages of the formal procedure, by their Trade Union or friend.
The Investigating Officer should also review the need to impose, continue or lift the employee's suspension, if applicable (see Section 8 on Suspension).

Non-attendance at Investigatory Interviews

When arranging an Investigatory Interview, the Investigating Officer should try to ensure that there are no predictable or substantial reasons why the employee would be unable to attend (e.g. the employee is away on a previously approved holiday; the trade union representative is unavailable; the employee is in hospital/incapacitated by a medical condition, etc).
If the employee is unable to attend owing to continuing certified sickness, this should not unduly delay the investigation process and the Investigating Officer should decide how to proceed. This may include, e.g.:

Seeking advice from the Occupational Health Unit to ascertain the expected duration of the employee's sickness;
Meeting with the employee at an alternative venue;
Providing aids/adaptations;
Submitting written questions for the employee to respond to within a given time;
Agreeing to meet with the employee's representative, who will act on their behalf.

Where the employee unreasonably fails to attend the Investigatory Interview and/or fails to provide answers to questions issued by the Investigating Officer, the Investigating Officer may take a decision to proceed with the investigation, based upon the information available. The employee should be cautioned of this in advance.
ANONYMOUS COMPLAINTS

If there are no identifiable witnesses - e.g. anonymous letter is received - the Investigating Officer should check the facts. If it is an allegation that a practice is being carried out regularly or repeatedly, the Investigating Officer should consider arranging observations (see 6.2); if it is actually in the process of being carried out, the Investigating Officer should check this out promptly; if there is no other way of establishing facts, approach the accused, make them aware of the allegation and ask for a response (bearing in mind that the employee has the right to be accompanied at this interview - see 5.5 - 5.9).
Where the Investigating Officer considers arranging observations, s/he should in the first instance discuss this with the Departmental Personnel Officer, mindful of the requirements of the Regulatory Investigatory Powers Act 2000. The Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2004 came into force with effect from 5 January 2004. The effect of this Order is that directed surveillance and covert human intelligence sources (CHIS's) can only be authorised if it is necessary for the purpose “preventing or detecting crime or of preventing disorder”. With regard to employment-related matters there will only be a limited set of circumstances when the alleged conduct of City Council employees would warrant surveillance. For example mounting covert surveillance on an employee claiming to be in work when she/he was elsewhere, or on an employee claiming sickness benefit whilst doing other work would not fall within the definition “preventing or detecting crime or of preventing disorder” as set out in the “Order”.

The arrangements contained in Advice Note 16 supersede the authorisation arrangements set out in Personnel Circular 1198. In circumstances where Chief Officers believe it is necessary to undertake independent surveillance of any employee in relation to matters that are explicitly linked to their employment they need to be aware that no new surveillance or use of CHIS's should be undertaken without the authorisation of myself, or Pat Fetherstone, Personnel Manager, Employee Relations Team, Corporate Personnel
In those cases where the case against an employee involves evidence provided by an informant who wishes to preserve his/her anonymity, a careful balance needs to be maintained between this and the need to provide the accused with a fair hearing;

the information gleaned should be reduced into written statements, depersonalised where necessary to prevent identification;
the statement should contain all the relevant facts, including;

dates
times, places etc. of each observation or incident
the opportunity of the informant to observe clearly and with accuracy
the circumstantial evidence such as knowledge of a system/arrangement or the reason for the presence of the informer and why (any) small details are memorable.

The statement should be taken by the Investigating Officer, signed and dated by the witness and countersigned by a third party. To protect the complainant's identity the version of the statement to be circulated should be depersonalised.
Further investigation can take place either to confirm, corroborate or even challenge the information acquired.
Where possible, tactful enquiries should be made about the background of the informant, to identify any information which may add to or detract from the information provided. In doing this, the Investigating Officer should consider whether the informant has any reason to fabricate evidence (e.g. personal grudge or any other reason).
If the informant is unwilling to attend a disciplinary hearing, a decision will have to be taken on whether or not to continue with the disciplinary proceedings. If it is decided to continue the Hearing Officer should consider the need to interview the informant, to assess the weight to be given to their evidence.
The written statement of the informant - if necessary with omissions to avoid identifying the informant - should be made available to the employee and their representative.
If the employee/their representative raises any particular and relevant issues in relation to the statement, it may be necessary for the Hearing Officer to adjourn the hearing in order to make further enquiries of the informant.
Whilst it is normal practice to take notes at disciplinary hearings, it is particularly important that full and careful notes are taken in these circumstances.

CRIMINAL OFFENCES OR OTHER EXTERNAL PROCEEDINGS

Criminal Offences

Being charged with, or even being found guilty of a criminal offence does not automatically provide grounds for disciplinary action or dismissal from employment, unless the offence is one which affects the employment itself. It is essential that there is an investigation, followed by a review, taking the nature of the offence into account, to determine whether there is a connection between the offence and the post held by the employee.
The following points are important to consider:

do not dismiss or discipline an employee merely because he/she has been charged with or convicted of a criminal offence;
decide whether the employee's conduct affects their ability or suitability for continued employment. If it does - use the normal disciplinary process. If it does not - decide whether in the light of the needs of the business, the employee's job can be kept open throughout the period of absence (if the employee is remanded or imprisoned);
base any decision on a reasonable belief following a full and detailed investigation into all circumstances of the case;
where a criminal charge has been made, do not defer taking fair and reasonable disciplinary action related to the employment aspects of the matter, merely because the outcome of the prosecution is not known;
where the Police are called in they should not be asked to conduct any investigation on behalf of the Investigating Officer, neither should they be present at any disciplinary interview.

Essentially the Investigating Officer should ask themselves the question 'has the conduct in question employment implications which warrant disciplinary action?' If the offence is one where there is no impact on the employment then any sanction (particularly dismissal) applied by the employer may result in a finding of unfair dismissal.
Whilst it is essential that a full investigation is carried out to ensure that the employer has a reasonable belief in the employee's culpability and also has reasonable grounds for that belief. What is not required by employment law is the criminal test of 'guilt beyond reasonable doubt'. Thus it would be possible for an employee found 'not guilty' in a criminal court to be fairly dismissed for the same (perceived) 'offence' on "a balance of probabilities" (i.e. based on the information available at that time, it is more likely than less likely that an event has occurred).

Custodial Sentences
Again the imposition of a custodial sentence is not automatic grounds for sustaining a dismissal. It is for the Investigating Officer, and if necessary the Hearing Officer, to review the facts of the case, to assess them and to take a decision on their effects, if any, upon the individual's employment. This process does not preclude consideration being given to dismissing the individual for either frustration of contract i.e. the employee being incapable of fulfilling their contractual duties or for Some Other Substantial Reason (sound business reasons) in these circumstances.
Once again the question of reasonableness should be the guide. For example, a short sentence of two weeks could hardly be said to frustrate most employment contracts, however, if a custodial sentence of several months or more were imposed this could have potential implications for the employment relationship. The action will depend on the circumstances since, if the employer allows employees (subject to the exigencies of the service) to take leave of absence for a period similar to that of the custodial sentence and the employee would be entitled to take such leave of absence, then dismissal could be deemed unfair. If' however, no such benefit was allowed to other employees in comparable circumstances, then the employer would probably be entitled to dismiss the employee.
SUSPENSION

When to Suspend

Suspension from duty provisions apply in the following circumstances:

Where it is believed not to be in the interests of a Department's clients that an individual should continue to work pending completion of a disciplinary investigation;
Where it is believed that the continued presence of the employee might prejudice enquiries or influence witnesses;
Where there has been physical violence, or where tempers have been raised, it is often wise to get those concerned off the premises as quickly as possible while the matter is investigated;
Where there is a possibility that allegations may constitute gross misconduct.

Temporary Alternative Duties

In the circumstances described in (7.1.1) - (7.1.3) above, the Investigating Officer should consider whether it would be possible and appropriate for the employee to be temporarily redeployed to another area or field of work during the investigation. This would not be appropriate where the allegations potentially constitute gross misconduct.

Suspension Arrangements
Where a suspension is to take place, then a meeting with the employee concerned should be held as soon as possible. Every effort must be made to facilitate the employee's right to be accompanied by his/her trade union representative or friend, however where this is not possible, the suspension should not be unduly delayed (in these circumstances the Investigating Officer should merely effect the suspension and not put questions to the employee). Where it is not possible to hold a meeting with the employee, e.g. they are in custody, on annual leave; etc. then a letter detailing reasons for and terms of the suspension should be delivered to them without delay.
At the suspension meeting, the employee should be informed of the reason for the suspension and the terms of the suspension. They should be required to surrender establishment keys, ID card, security pass and any other appropriate material which is the property of the Council and which may be required as part of the investigatory process. The Investigating Officer should also review all security access (e.g. access to IT systems both remote and workplace) as set out in PC's 1360 and 1374. The employee should be made aware that suspension is not a judgement of guilt and is not to be regarded as a disciplinary sanction.
At the suspension meeting, the Investigating Officer should ascertain from the employee whether or not they have multiple contracts with the City Council. The Investigating Officer should seek to verify this information via the Departmental Personnel Section. In such circumstances, it is the Investigating Officer's responsibility to inform the other employing Department of the details of the suspension. The other employing Department should then review these details and make a decision as to whether or not there is an impact on the employee's contract with them. Dependent upon the severity of the impact, the other employing Department may consider taking action against the employee under investigation, which may include their suspension from duty.
All suspensions must be recorded on Delphi screen AB01 (code A050) for monitoring purposes; the Investigating Officer must ensure that the necessary details are forwarded promptly to the designated data input staff.

Details and Terms of Suspension
The details and terms of the suspension should be given to the employee at the suspension meeting and confirmed in writing without delay. These should include the following points:

The date and time from which the suspension takes effect.
The reasons for the suspension. These may be quite specific, however, at this stage, it is possible that the allegations may be more general and should be detailed as such, pending further investigation.
That it is essentially a precautionary action (although where the allegations potentially constitute gross misconduct, this should be clearly stated, along with the potential consequence of dismissal, if proven).
Any conditions which apply, e.g. not to visit the premises; not to contact a named individual or group of people; to be available to attend any investigatory interviews as required; etc. Employees should also be advised that any attempt to pressurise, coerce or intimidate colleagues, witnesses, service users and/or other work contacts may potentially be viewed as a further disciplinary matter.
That the suspension is on full contractual pay.

Sickness whilst on Suspension

Where the employee reports sick whilst on suspension, whilst they should still be recorded as suspended on full contractual pay and not on sick pay, they are still required to follow the normal sickness notification procedure. This includes submitting medical certificates and attending medical reviews as directed. Where sickness occurs, then early steps should be taken to refer the employee to the Occupational Health Unit to assess their fitness to attend investigatory meetings/hearings.

Actions during Suspension
The Investigating Officer should arrange to visit the location of the alleged incident and interview all persons with a potential knowledge of the incident without delay.
The period of suspension should be managed so as to cause the minimum of disruption to both the individual and the service, and must be concluded as quickly as possible, notwithstanding the requirements of the investigative process, with a target of not exceeding one month. Where there is a requirement to extend a suspension beyond two months, then Departments will be required to seek approval from the Head of Personnel.
Where suspensions exceed two months, the Employee Relations Team, Corporate Personnel, will closely monitor progress of the investigation, seeking detailed reasons from Departments for any continuing delays and will intervene to ensure that the process is undertaken as expeditiously as possible, where appropriate.
Where an employee has been suspended and following an investigation, the Investigating Officer believes that the issue is not a disciplinary matter and/or no longer falls within the circumstances described in 7.1.1-7.1.3, and/or where the allegation is reduced to one which constitutes action short of dismissal, then he/she should lift the suspension at the earliest opportunity and the employee should return to their normal place of work. This should be confirmed in writing without delay and the employee should be informed as to whether or not any disciplinary proceedings are to be invoked.
PREPARING FOR THE DISCIPLINARY HEARING

The Investigating Officer (henceforth referred to as the Presenting Officer) is responsible for arranging the disciplinary hearing and will present the case for management at the hearing. They should inform the employee of the intention to deal with the matter under the formal disciplinary procedure and should arrange for a suitable Hearing Officer to hear the case.
The Hearing Officer should be an officer who is normally senior to the Presenting Officer, for example, the Presenting Officer's line manager. Such an officer should have no prior knowledge of the case, in order to satisfy the requirements for a fair hearing. Administrative arrangements may be organised through or in association with the Departmental Personnel Officer.
The Presenting Officer must decide which statements and pieces of documentary evidence they intend to rely upon at the Hearing. It should be remembered that copies of such evidence will need to be sent to the employee (and their trade union representative) prior to the hearing and will be open to challenge.
The Presenting Officer must decide who they intend to call as witnesses on behalf of management and should ensure that these witnesses are available to attend the hearing and are appropriately prepared. To prepare witnesses, the Presenting Officer should meet with them in advance of the hearing, explain the role of witnesses in the process and give details of questions which they will be asked.
The Presenting Officer should respond positively to requests for access to information/records/witnesses from the employee or their representative, including provision of supervised access, in appropriate circumstances, to records and documents and copies of documents requested which are not specifically covered by rules or confidentiality (e.g. a reference where the agreement of a third party is necessary).
The Presenting Officer should liaise with the trade union concerned to arrange the earliest date for the hearing to take place.
No later than 10 working days before the hearing, the Presenting Officer should write to the employee and any nominated representative, notifying him/her of the hearing and giving all the necessary details -

time, date and venue for the Hearing;
name of the Hearing Officer;
details of the allegations, in clear unequivocal terms;
details of management witnesses (except where anonymous);
rights of representation;
the right to call witnesses and produce documents in his/her defence;
copies of any documents which will be relied upon at the Hearing, including witness statements.
a requirement for the employee to confirm receipt of the letter.

The Presenting Officer should note that summaries of, for example clock cards, work sheets, balance sheets, etc., may be presented at the hearing, however it is essential to have the original documents readily available (at the Disciplinary Hearing) for verification.
The employee will also have been provided with the opportunity to produce any documents which they intend to rely on at the hearing, and where these are furnished in advance of the hearing, the Presenting Officer should scrutinise these to anticipate any likely points which the employee or his/her representative may put forward for the purpose of undermining management's case and how this may be refuted if it happens.
PRESENTING A CASE AT A DISCIPLINARY HEARING

Planning the Presentation

Once the Presenting Officer is satisfied that all the necessary arrangements are in place for the Disciplinary Hearing, they should carefully plan their presentation of case to the Hearing, bearing in mind the obligation upon the Hearing Officer to reach a conclusion based upon an objective, comprehensive and unbiased consideration of all the facts presented.
The Presenting Officer should begin by preparing a clear and concise introduction to the case, explaining how they became involved and what actions were taken during the investigation; this should emphasise the significant issues upon which the presentation relies and the importance attached to the matters before the Hearing Officer.
The Presenting Officer should then decide upon the order of witnesses they intend to call, the use of witness statements and any supporting documentation.
If the Presenting Officer intends to call witnesses to give verbal evidence, they should prepare a list of the questions and as far as possible the supplementaries to be posed to the witnesses. It is important to try to ensure that questions are not too long or complicated. If they are, then the Presenting Officer runs the risk that some or all present, including the witness, may lose the thread of what is being said. Questions should be put so as to encourage a definite and complete answer from the witness; thus leading questions should be avoided.
The Presenting Officer should then examine their case for any potential areas of weakness and construct questions which are calculated to address this problem. This should include trying to anticipate any likely questions which the employee or his/her representative may put to management witnesses for the purpose of discrediting their evidence and consideration of how this may be refuted if it happens.

Making the Presentation
The Presenting Officer should endeavour to make sure that they cover everything fully, but not tediously during the presentation of the case;

introduction of the case;
introduction of evidence, including witness evidence/supplementary questions and/or witness statements, documentation etc;
cross-examination of the employee and any witnesses.

If the employee (or their representative) seeks leave to introduce new documentary evidence at the hearing which the Presenting Officer was not previously aware of then they should be prepared to challenge its admissibility and/or request an adjournment of the hearing for an opportunity to consider the new information and come to a view about how to deal with it.
When questioning the other side's witnesses, the Presenting Officer should try to make their questions clear and penetrating. In doing this they should be prepared to be persistent and probing without appearing to harass or intimidate individuals.
The Presenting Officer should have prepared in advance a 'framework' for the summing up of their case, but should be in a position to vary this as necessary in the context of the information presented at the hearing. lt is essential to be flexible and responsive to the circumstances which unfold during the hearing.
All parties should remember (if necessary the Presenting Officer should remind the Hearing Officer) that new information or facts cannot be introduced when summing up their respective cases - i.e. matters which have not previously been referred to in evidence during the earlier presentation.
CONDUCTING A DISCIPLINARY HEARING

Role of the Hearing Officer

The Hearing Officer's role in the Procedure is crucial to the proper and effective determination of the outcome. This Officer clearly, therefore, carries a substantial responsibility not only for the manner in which the Hearing is conducted but for arriving at a conclusion which, if challenged at a later stage, would be demonstrated as being fair and reasonable in all the circumstances.

Preparing for the Hearing
Before the hearing, the Hearing Officer should secure a representative from the Personnel Section to accompany him/her throughout the hearing. If necessary, s/he should make arrangements for an additional person to attend the hearing for the purpose of taking notes.
The Hearing Officer should check the procedure to be followed for the hearing with the representative from the Personnel Section who will accompany them throughout the hearing.
To smooth proceedings, immediately before the hearing commences the Hearing Officer should familiarise himself/herself with any correspondence and/or documentation which has been submitted in advance.
Immediately prior to the hearing, the Hearing Officer should check that satisfactory arrangements have been made for the comfort and convenience of all the parties, including any witnesses to be called.

Non-Attendance at the Hearing
Prior to the hearing, the Presenting Officer should liaise with the trade union concerned to arrange the earliest date for the hearing to take place and should try to ensure that there are no predictable or substantial reasons why the hearing cannot go ahead on the intended date (e.g. the employee is away on a previously approved holiday; he/she is in hospital/incapacitated by a medical condition which is unlikely to respond to treatment in time for the scheduled hearing (if necessary the Presenting Officer should seek advice from the Occupational Health Unit).
Witnesses should normally be present at a hearing - if a witness is absent (e.g. owing to sickness ) the Hearing Officer should take a decision on whether the case can continue in their absence - if, for example, the case was at the hearing or appeal stage and there was a written statement provided by the witness available, then it would be reasonable to proceed.
If it is the employee against whom the case is being considered who is unavailable, providing advance notice is given together with an acceptable explanation and appropriate supporting evidence, then the Hearing Officer should consider arranging an alternative date. When rearranging a hearing under the Disciplinary Procedure, the employee should be cautioned in writing that if they fail to attend, the matter may be dealt with in their absence, and a decision reached on the information available - in these circumstances the employee should be advised that acceptable options would be for them to submit a written statement of case and/or nominate another person to attend the hearing on their behalf.
If the employee is unable to attend, owing to certified sickness, this will not necessarily prevent the hearing continuing. Normally the Presenting Officer should seek advice from the Occupational Health Unit as early as possible, if necessary through referral, to see if they are fit to attend the hearings (this could also include getting permission from the employee to contact their GP etc. to discuss). If they are found to be unfit at that time, the Presenting Officer should seek to establish when they are likely to be considered fit, including assisting the process through a change of venue, aids/adaptations, the feasibility of submitting written questions for the employee to respond to within a given time etc. Where a date for fitness to attend cannot be established, and the process is being unduly delayed, the Presenting Officer may consider progressing the case, in the absence of the employee, setting out the alternatives available, as in 10.8.

Commencing the Hearing
At the outset of the hearing, the Hearing Officer should introduce themselves and the other people in attendance and the reason for their presence. They should then invite the Presenting Officer and employee or their representative to introduce themselves and their companions.
The Hearing Officer should then explain their role, how they intend to conduct the hearing, and the procedure to be followed during the hearing for the presentation of cases.
The Hearing Officer should emphasise that whilst the hearing is formal they have discretion to allow such latitude as they consider appropriate in order to establish the truth of the matter - which is the primary consideration - this may include the Hearing Officer directing their own enquiries, which may require adjourning for a specified reason/period, to establish a piece of evidence is to their satisfaction and/or to consider new evidence presented.
The Hearing Officer should then confirm with the employee that he/she is aware of and understands their right to be accompanied and represented at the hearing by a trade union or other representative. If the employee is aware of their rights but is unaccompanied then the Hearing Officer should confirm that he/she wishes to proceed in the absence of representation (this should be recorded in the notes being taken).
Finally, the Hearing Officer should confirm that each of the parties has available the same correspondence and documentation to which reference may be made during the hearing.

Controlling the Disciplinary Hearing
During the presentation of cases the Hearing Officer may be asked to accept new documentary evidence not previously made available by one or more parties. Normally this evidence should be accepted, particularly if it is material to the case, however, the Hearing Officer should in fairness ensure that all parties have sight of a copy of the document and call an adjournment to allow the parties to the case sufficient time to consider and form a view on the new information.
Witnesses will normally be called to corroborate their information, even if it is only to confirm the veracity of a statement presented on their behalf, after which they may be cross-examined by the employee or their representative. Witnesses should be kept away from the room in which the hearing is being conducted until they are required to give evidence. As they are called into the room the Hearing Officer should explain very briefly to them what is going to take place, including an instruction that having given their evidence they should return to a separate place away from other witnesses who are still waiting to be called. If a witness works in the same building in which the hearing is being conducted then the Hearing Officer may allow them to return to their duties, provided they are available to be recalled if necessary. In either case the Hearing Officer should stress the need for confidentiality and instruct the witness not to discuss details of the case with anyone else.

Presentation of Evidence at the Hearing
Personal problems must be specified and/or explained by the employee, including the context in relation to the incident etc. under consideration (e.g. in mitigation), and substantiated/corroborated wherever possible. Notwithstanding this approach, any information imparted should be treated with sensitivity and confidentiality.
The Hearing Officer should not allow the questioning of witnesses to go beyond the bounds of acceptable behaviour by the questioner; they must not be intimidated or threatened.
The introduction of statements into the hearing which are unsupported by the witness who made them are likely to be challenged by Trade Union representatives on the basis that they are unable to question the witness statement. There may be certain circumstances, e.g. in cases involving harassment/bullying and/or where there has been evidence of intimidation, where the non-appearance of the witness is justifiable and acceptable. Any other reasons given for the production of unsupported witness statements should be considered on their merits, but this does not mean to say that the Hearing Officer has to discount entirely the content of the statement and must give it such weight as they consider appropriate in the absence of a personal appearance by the witness to support it (note also `Anonymous Complaints', Section 5).

Note-taking
The Hearing Officer should keep their own notes of the key issues raised during the presentation of the case by both sides and highlight what s/he considers may be particularly important points to form the basis for the decision reached (this will prove useful when providing written reasons to the employee). For this reason the Hearing Officer, whilst being mindful of not hindering presentation of evidence, should not hesitate to ask questions or interrupt to obtain clarification of anything they do not understand.

Arriving at a Decision
When both sides have completed the presentation of their cases including the summing up and the Hearing Officer is satisfied that all that can reasonably be said on the matter has been said then the parties should be asked to retire to another place whilst they consider the evidence presented and arrive at a decision.
Wherever possible, the Hearing Officer should try to reach a conclusion and make a decision which can be announced to the parties within a reasonable time before they leave the premises. However, if the information which has been presented to the Hearing Officer is particularly complex and/or it has been a particularly long and tiring day, then it may be better for all concerned if they reserve their decision until they have given it the full and proper consideration it deserves, and in these circumstances Hearing Officers are advised to discharge the parties and inform the employee that they will advise him/her of their decision in writing not later than three working days after the hearing.
In reaching their conclusion and making a decision the key requirements the Hearing Officer needs to consider are -

Has the Presenting Officer made sure his/her facts were correct, and the reasons for prosecuting the disciplinary action valid?
Which, if any, of the allegations of misconduct have been substantiated?
Has sufficient regard been paid to any explanation put forward by or on behalf of the employee?

The key features for the Hearing Officer to consider in ensuring that the decision arrived is reasonable are:

Is there a genuine belief that the employee committed the act?
Is there reasonable evidence to sustain this?
Has the Investigating Officer carried out as thorough an investigation as reasonable, in the circumstances?

The above is known as the “band of reasonable responses” test and is the test used by an Employment Tribunal when considering whether or not a dismissal was fair/unfair. This test was established in case law (British Home Stores v Burchell [1978] IRLR 379) and Hearing Officers should note that whilst the case must be proven on the balance of probability, it is not necessary to prove the case beyond reasonable doubt (this only applies in criminal law).

In addition, the Hearing Officer must also be satisfied that the Disciplinary Procedure has been applied fairly, i.e.:
Has the employee be told (in unequivocal terms) what they are being accused of?
Has the employee been given the opportunity to state their case?
Has the employee been given the opportunity to be represented (by a Trade Union or other representative)?
Has the employee been informed of the implication of the hearing, in cases where the outcome is potentially dismissal?
Has the employee been informed of the outcome of the hearing and of their right to appeal? (Only applicable at the appeals stage of the process).
Where the Hearing Officer is not satisfied that based upon the information presented at the Hearing, they are not able to make a reasonable decision, they may:

recall any witnesses for further questioning (this should be done in the presence of both parties);
direct further enquiries, including adjourning for a specified reason/period, if necessary. If the Hearing Officer instructs the Presenting Officer to make these enquiries on their behalf, examination of the outcome of these enquiries should be carried out in the presence of both parties at the reconvened hearing.

Imposing Sanctions

The following formal sanctions may be applied under the Disciplinary Procedure:

(i) Stage 1 - (Verbal) Warning ] All Formal Warning

(ii) Stage 2 - Written Warning ] to remain 'live' for

(iii) Stage 3 - Final Written Warning; ] 6 months

(iv) Dismissal (summary or with notice)

Having arrived at a view on the case, the Hearing Officer must then decide that, if any disciplinary action to take. Consideration of this may be influenced by:

Reference to any relevant disciplinary rule (i.e. is there a relevant procedure and does it give guidance on treatment? Was the employee aware of the gravity of the offence and the consequences of committing it? Are there any “live” warnings already on the individual's record?)
Mitigating circumstances put forward by or on behalf of the employee including the individual's previous disciplinary record and general service - age, length of service etc. What was the response by the Presenting Officer?
Reference to consistency and previous action taken in similar circumstances. The need for consistency must, however, be tempered by the other factors - it cannot override an employer's right/responsibility to take into account not only the nature of the conduct, but also any mitigating circumstances affecting the employee concerned;
In cases of gross misconduct, is there a possibility of employing the individual in another location/capacity - i.e. the feasibility, given the size and administrative resources of the City Council, of maintaining employment?

The Personnel representative at the hearing is available to advise on any of these aspects on request.

Gross Misconduct

If the decision is that the misconduct was sufficiently serious so as to go to the heart of the contract and thus fundamentally breach that contract, then the Hearing Officer will, notwithstanding 10.22, dismiss the employee with immediate effect and without notice.

Ordinary Misconduct - “Totting-up”
If the decision is to award a cumulative or further sanction and the employee is already in receipt of a live final warning the Hearing Officer may also decide to dismiss the employee but in these circumstances, it would normally be with the appropriate period of notice, however in cases where an individual is in receipt of a live final warning for misconduct and then receives a further disciplinary sanction as a result of non-attendance through sickness absence, this alone will not result in dismissal on notice under the principle of aggregated warnings. In these circumstances, the employee would be issued with a fresh final warning for the offence in question (for 6 months from the outcome of the hearing), which would run concurrently with any other live warning. Any further disciplinary sanction could result in dismissal with the appropriate period of notice. Similarly where an employee has a live final written warning for non-attendance and then receives a further disciplinary sanction as a result of misconduct, a dismissal would not be effected immediately on the `totting-up' approach.

See following table for summary guidance:

Reason for current “live” final warning	Reason for cumulative sanction	Action
Non-attendance	Misconduct	Issue fresh final warning, effective from date of hearing, to run concurrent with existing final warning
Non-attendance	Non-attendance	Dismiss on notice
Misconduct	Non-attendance	Issue fresh final warning, effective from date of hearing, to run concurrent with existing final warning
Misconduct	Misconduct	Dismiss with notice

Demotion/Transfer

Where the outcome of a Disciplinary Hearing is that the Hearing Officer concludes on a balance of probabilities that an employee has committed an act (or acts) which amount to gross misconduct and that the contractual relationship has been fundamentally breached, then, having given regard to any mitigation, including the individual's previous disciplinary record and general service e.g. age, length of service etc., the Hearing Officer would normally move to summarily dismiss the employee without notice. However, each case must be judged on its own merits and in this respect the decision to dismiss should only be taken after careful consideration of all the circumstances.
As part of the process of ensuring that a dismissal is fair in terms of employment law, factors to which the Hearing Officer should give consideration would include whether there is any fitting alternative to dismissal from the City Council. Circumstances in which action short of dismissal might be considered include, for example, where the employee has admitted culpability, put forward relevant mitigation, demonstrated contrition, etc. In such circumstances and where the incident was specific to a post or workplace, the Hearing Officer may consider the possibility of employment in another capacity elsewhere within the organisation. It is not envisaged that there would be many circumstances where it would be appropriate to demote and/or transfer the employee to an alternative location however.
On the rare occasions when it is concluded that the circumstances of the case may allow consideration of the potential to assign the employee to a different post it must be as an alternative to dismissal from the City Council (rather than a free-standing disciplinary sanction), and then the following principles should be employed:

The employee should be advised of the Hearing Officer's decision in line with the agreed Disciplinary Procedure, i.e. that the allegation(s) are considered to have been proven and that the appropriate sanction would normally be dismissal, however, given the particular circumstances of the case consideration is being given to the potential for the employee to transfer to a different post as an alternative to dismissal from the service of the City Council.
If transfer/demotion emerges as a possibility, it must be made clear to the employee that any reassignment or a variation to the employee's contract must be mutually agreed. The employee should be made fully aware of the contingent nature of this sanction as outlined below, in 10.39 - 10.46, and 'cautioned' that if no appropriate post can be identified or the alternative is not accepted then the original sanction of dismissal will apply.

The consideration of suitable alternative employment is the responsibility of the Hearing Officer and should be based on the availability of a post which falls within the competence of the employee and is mindful of any circumstances peculiar to the disciplinary case (e.g. proximity of colleagues, degree of autonomy, level of (supervisory) responsibility, involvement/ exclusion of vehicles/plant/machinery).
In considering the possibility of alternative employment the Hearing Officer should be mindful of the scope for reallocating duties and any potential repercussions on other employees and/or the delivery of the service, and should seek advice from the Employee Relations Team, Corporate Personnel. Suitable alternative employment should be sought within the employing Department. In limited circumstances, i.e. in areas where work is of a similar nature, suitable alternative employment may be sought outside the employing Department.
Where the post offered to the employee involves a change in duties and/or location, but retains the same substantive grade, this is referred to as a transfer. Where there is a diminution of other allowances or other benefits as a result of the working arrangements associated with the transfer, the employee will receive the pay and conditions applicable to the new post and there is no entitlement to protection of earnings or other conditions of employment.
Where the only appropriate post available to the employee is on a lower grade, it will be offered on the substantive rate of pay and terms and conditions attached to that post; this is referred to as demotion and there is no entitlement to protection of earnings or other conditions of employment.
Where the alternative post is based at a different location to that of the employee's substantive post, there is no entitlement to travelling expenses in respect of commuting (it does however follow that the alternative post should be within a reasonable travelling distance for the employee taking due cognisance of their overall circumstances, including the accessibility of the proposed new location).
Where a reassignment or a variation to the employee's contract is mutually agreed, the employee shall be required to accept, in writing, the mutually agreed and revised particulars/job description which will be amended to reflect the revised duties and responsibilities and, if necessary, job title. The new contract will be offered on the terms and conditions attached to the new or revised post.
Where a reassignment or variation to contract involves a reduction in pay, it is the employing Department's responsibility to inform the employee of any implications for their pension entitlement .
Whilst the potential for suitable alternative employment is under consideration by the Hearing Officer, the Disciplinary Hearing stands adjourned. Under no circumstances should the employee be allowed to return to their substantive post (or to the workplace if suspended) during this brief hiatus, which should not normally last for longer than 10 working days.
In circumstances where no suitable post can be found this will need to be reflected in the dismissal letter. In such circumstances explicit reference should be made to the earlier 'caution' to reiterate that the original sanction of dismissal is being applied because no suitable alternative post could be identified.
The employee should also be advised although this transfer to a different post as an alternative to dismissal has been mutually agreed, they retain a right of appeal to the Chief Officer (or nominated representative) of the employing department. Pending the outcome of any appeal, however, the employee is required to report for work as agreed in the reassignment or a variation to their contract.
The employee's appeal may be based upon:

the reasons for taking the original disciplinary action
the original sanction to dismiss constituting an unreasonable response
a failure to follow the proper disciplinary procedures.

Where the appeal is upheld and the original sanction to dismiss is overturned, the employee should, where possible, be reinstated to their initial post. Where this is not possible, a suitable alternative post on the same conditions of service should be identified. If the alternative post is based at a different location to that of the employee's substantive post, travelling expenses in respect of commuting will be payable for a maximum of four years.

Announcing/confirming the Decision
Once the Hearing Officer has reached a decision the parties should be recalled for it to be announced to them. The Hearing Officer should state which of the allegations have been substantiated to their satisfaction, announce what action is being taken and the intention to confirm the decision in writing.
The Hearing Officer should then advise the employee of his/her right of appeal (where applicable), thank the parties for their attendance and presentations and conclude the Hearing.
At the conclusion of the hearing, the Hearing Officer should arrange in conjunction with the Personnel representative for a letter of confirmation of the decision, including outlining the reasons for arriving at it, and applying the particular sanction. This gives the employee a basis to consider whether they wish to lodge an appeal against the decision, and enable them to state their grounds for contesting the disciplinary action. This letter should be prepared and despatched within 24 hours of the conclusion of the hearing, with a copy to the employee's representative.
The letter referred to in 10.53 above should also contain the following information:

the date on which the hearing took place and the name and title of the Hearing Officer;
the offence(s) to which it relates and the conclusion of the Hearing Officer in relation to that (those) offence(s);
the disciplinary action being taken (first stage warning/second stage warning/final warning/dismissal with notice/summary dismissal/transfer/ demotion);
in the case of warnings, the duration of the warning and the consequences of any further act of misconduct within the currency of the warning;
the right of appeal open to the employee.

Where the sanction issued is a final warning, the letter should also include a caution to the effect that any further act of misconduct/non-attendance may result in their dismissal from the City Council.
The Hearing Officer should give instructions on whether they want their notes and/or the notes taken at the hearing to be transcribed immediately or if they intend to wait and see if the employee appeals against the decision.

EXPUNGED WARNINGS

Each disciplinary warning remains on an individual's live record for a period of 6 months, following which, provided there has been no further act of misconduct within the period of the warning, the warning will be considered to be expunged and will not be taken into account for future considerations of formal disciplinary action, suitability for promotion or any other employment decision. Any additional disciplinary warnings accrued during the `live' period will run concurrently, and the expunction date for each warning will be applied separately (but note 10.35 above ).
THE APPEALS PROCESS

Appeals - Principles and Procedures

A properly conducted appeal is the last opportunity within the procedures of the City Council to:

Re-hear and reconsider all the information and submissions from the parties to the case;
Consider any new information not previously available at the time a decision was taken on the matters at the earlier stage(s);
Review the decision previously taken and decide whether or not it was fair and reasonable in all the circumstances;
Act as a remedy for earlier procedural defects.
The Appeal will constitutes a full rehearing of the case, the format in terms of presentation and rules of evidence will be as detailed in Section 10 of these guidelines.
In reaching a decision, the Appeal Body must satisfy themselves on the following broad points:

the reasons for taking the disciplinary action are valid - i.e. - the allegations have been substantiated (on a balance of probability);
the sanction applied is reasonable in the circumstances - the `punishment fits the crime';
the proper disciplinary procedures have been followed;
there was a full and fair investigation;
the employee was aware of the allegations against him/her;
the employee was given the opportunity to state his/her case;
due regard has been given to any mitigating circumstances put forward.

Where a dismissal is as a result of cumulative warnings, the appeal will consider the case in toto, i.e. including all contributory sanctions.
The range of decisions open to an Appeal Body will be:

allow the appeal and quash the disciplinary sanction;
allow the appeal in part and substitute a lesser disciplinary sanction;
disallow the appeal and uphold the original disciplinary sanction.

NB - the above three are the only options available. When considering appeals against dismissal there is no provision for re-engagement as a lesser or alternative sanction.

Documentation

A copy of the notes of the Disciplinary Hearing must be scheduled for inclusion in the documents for consideration at the Departmental Appeal. Copies of all previous correspondence with the employee related to the matters under consideration should also be included, however documents which were only relevant to a particular allegation which was not substantiated at the original hearing should be excluded from the papers going forward to the Appeal Hearing. Only documentation which specifically relates to the employee's grounds for appeal should be scheduled for inclusion in the documents for consideration by the Employee Appeals Committee.
It may be useful for the Officer due to present the appeal to seek to agree with the employee's representative (through a meeting if necessary) the list of documents that are to be submitted to the appeal and to which reference may be made at the hearing. This does not mean of course that either side has a right of veto over documents that the other parties intends to submit. It is advisable for the representative from the Personnel Section to attend the meeting to offer advice on any matters of procedure.
In determining the list of documents for consideration at Appeal the Presenting Officer should have regard to any agreement previously reached at the Disciplinary Hearing to disregard documents originally scheduled for consideration.

Departmental Appeal Arrangements
All appeals must be made, in writing, to the Chief Officer, within ten working days of the extended reasons for the disciplinary action being received/confirmed.
An employee's right to appeal against any disciplinary action (short of dismissal from the City Council) taken against him/her will be considered by a nominated 2nd tier Officer from within the employing Department within two months of the sanction being applied. As this is the ultimate level of appeal in these circumstances, during the introduction at the beginning of the hearing the (Appeal) Hearing Officer should inform the parties that no further right of appeal exists within the internal procedures of the City Council and therefore his/her decision on the matters is final.
In cases of dismissal, summary or with notice, the Departmental appeal will be heard by the Chief Officer of the Department (or a nominated officer) within one month of the dismissal of the application to appeal being received.
When a written application of appeal is received by the Chief Officer, from an employee as a result of disciplinary action taken against him/her, after first checking that the application has been presented in time, the letter should be acknowledged, in practice by the Personnel Officer on behalf of the Chief Officer. The employee should also be informed that arrangements will be made for the Appeal to be heard on a date to be notified to him/her as soon as possible and within the prescribed time limits.
Whilst clearly it is a matter for Departments to decide, the Presenting Officer may wish to consider whether it is appropriate for the Personnel Officer to assume responsibility for co-ordinating the necessary administrative and domestic arrangements for the Appeal Hearing and for notifying the parties of these.
Notifying the employee of the outcome of the appeal is as detailed in Section 10 of these guidelines.

Employee Appeals Committee Arrangements

In the case of dismissal from the City Council there is a final right of appeal to the Employee Appeals Committee. Appeals to Elected Members must be made, in writing, via the Chief Officer of the employing Department, within ten working days of notification of the outcome of the Departmental appeal.
In submitting an appeal against dismissal to the Employee Appeals Committee, the employee must set out their grounds for appeal. This may include:

the disciplinary sanction imposed was inappropriate for the offence in light of the circumstances for the case/other similar cases have attracted lesser penalties;
a full and fair investigation did not take place/evidence from crucial witnesses was not picked up on/explored;
the conclusion reached defied the “facts”;
new evidence has emerged;
the proper disciplinary procedures have not been followed;
there were failings in previous contributory warnings which, through the “totting up” process, have caused the dismissal to be unfair.

NB: This list is not exhaustive

When a written application to appeal to Members is received by the Chief Officer, after first checking that the application has been presented in time, the letter should be acknowledged and forwarded to the Employee Relations Team, Corporate Personnel, who will begin the arrangements (via the Committee Services Section of the Chief Executive's Department ) to ensure that the appeal is heard at the earliest opportunity, and wherever possible within three months of the date of dismissal.
Arrangements for co-ordinating the necessary administrative and domestic arrangements for the Appeal Hearings to Members and for notifying the parties of these is the responsibility of the Committee Services Section of the Chief Executive's Department.
The case to be put to Members will be outlined in a report prepared by the Chief Officer who took the earlier appeal, and conforming to the requirements of PC 1409 (attached as Appendix 2). This report must be submitted to the Committee Services Section of the Chief Executive's Department in sufficient time to allow it to be distributed to all parties i.e. 10 working days before the due date of the Committee meeting.
Appeals will be arranged as quickly as practicable and the appellant and/or their representative should be given the opportunity to provide any written statements of case together with supporting documentary evidence incorporating statements etc. to be included if they wish, in the report for consideration by the Appeal body.
The procedure to be followed at the appeal will preface the Committee Report on which the appeal will be based.

DISPUTES

Where there is any dispute covering procedural issues concerning the application of the Disciplinary Procedure, these will initially be discussed by the respective JCC Joint Secretaries with a view to achieving a satisfactory resolution. Where matters cannot be resolved by the Joint Secretaries, they will be referred to the appropriate Executive Member and, if still not resolved, to the full JCC for further consideration. It is anticipated that only a limited number of issues will require such consideration.
RIGHT OF REPRESENTATION

During formal proceedings the employee shall be entitled to be represented at any investigatory hearing, the capability hearing and any subsequent appeal hearing.
Where action is being considered by a Line Manager which could result in a warning being issued, the individual employee will have the right to be accompanied by a Trade Union official, a friend or a colleague who will have the same right to speak on the employee's behalf as a trade union official.
The employee can only have one party as their representative. If they want to bring someone additionally for support, permission has to be sought from the Hearing Officer. Only the person representing may attend the hearing.

APPENDIX 1

DISCIPLINARY RULES

The purpose of this document is to make employees aware of the more common rules and standards applicable to them and the consequences of breaching those rules. The list is not exhaustive and may be revised from time to time.

Section 1 - Gross Misconduct

Breaches of the disciplinary rules contained in Section 1 will normally be classed as gross misconduct, which may result in summary dismissal i.e. without prior warning or notice.

1. Misuse of time clocks/cards for personal or financial gain (including the payment of wages/salary).

2. Falsifying personnel or other records for personal or financial gain (including the payment of wages/salary).

3. Conviction of a criminal offence directly related to or impinging upon the individual post, making continued employment with the City Council untenable.

4. Fighting/assault on another employee, client or member of the public.

5. Abuse of position of trust through borrowing from service users or developing

inappropriate relationships with vulnerable service users.

6. Theft from service users, the Department or other staff.

7. Failure to adhere to regulations and guidelines regarding the security of cash

and/or equipment/property belonging to the Department or service users for which the employee has responsibility.

8. Being incapable of carrying out duties and/or being a danger to others through

excess consumption of alcohol or other substances.

9. Knowing violation of safety regulations endangering self and/or others.

10. Intimidation/coercion of/or threatening other employees, service users or public.

11. Serious acts of racial/sexual harassment.

12. Knowingly making fraudulent claims for sick pay and receiving payments to which not entitled.

13. Theft, fraud or corruption (including claimant fraud or council tax evasion involving employees).

14. Refusal to follow reasonable management instruction.

15. Wilful damage to Authority property

16. Acceptance of bribes or other corrupt practices.

17. Accepting inappropriate or excessive gifts from service users or other working

contacts.

18. Improper/unauthorised disclosure of information to third parties for private

advantage of self or others.

19. Serious misuse of City Council computer facilities.

MANCHESTER HOUSING DEPARTMENTAL DISCIPLINARY RULES

A breach of any of the following may be considered to be gross misconduct which could result in summary dismissal:

Use of Departmental procedures, systems or databases to secure improper gain or advantage for oneself or for third parties.
Influencing others to make use of Departmental procedures, systems or databases to secure improper gain or advantage for oneself or for third parties.
Where an employee is a Manchester Housing tenant and is in serious breach of tenancy conditions.
Where an employee is a former Manchester Housing tenant, failure to make and adhere to a satisfactory agreement to repay any former tenant arrears.
Knowingly making, or benefiting from, fraudulent claims for housing benefit or Council tax benefit.
Displaying of racially motivated political material.
Putting at risk the health and safety of oneself, colleagues and/or clients, as a result of consuming alcohol or any other substance that could have a detrimental effect upon an employee's ability when operating machinery.

Breaches of the disciplinary rules contained in Section 2 will normally be classed as misconduct, the penalties for which will follow incrementally, as outlined in the Disciplinary Procedure. There will be instances, however where specific circumstances dictate a higher stage of disciplinary action, without proceeding through this sequence e.g. see Note in Section 1.

SECTION 2 - Misconduct

1. Lateness/bad timekeeping.

2. Unauthorised absence.

3. Poor attendance (including sickness absence).

4. Disorderly conduct.

5. Inadequate or bad work.

6. Wilful hindering of work - self or others.

7. Habitual and wilful carelessness or recklessness.

8. Intentional and/or deliberate waste or abuse of materials and/or equipment,

including telephones.

9. Abuse of normal break times (excluding flexitime - see flexitime regulations for

action required).

10. Failure to maintain a reasonable level of work/output/productivity.

11. Accepting gifts from or inappropriate relationships with service users or other

working contacts.

12. Interference with the work of other employees.

13. Consumption of alcohol during normal working hours - but see Alcohol Policy.

14. Falsifying personnel or other records (but see Rule 2, Section 1).

15. Harassment of other employees, including racial/sexual harassment.

Specific Departmental Rules

Breach of service-specific rules and guidelines may also be regarded as misconduct, dependant upon circumstances.

To be itemised separately by individual Departments.

APPENDIX 2 - Personnel Circular 1409

MANCHESTER CITY COUNCIL

PROCEDURE FOR PROCESSING EMPLOYEE APPEALS

1. INTRODUCTION

1.1 The Employment Act 2002 established a basic framework for statutory minimum dismissal and disciplinary and grievance procedures. The statutory Dispute Resolution Regulations come into force on 1 October 2004.

1.2 The Regulations establish a three-step standard dismissal and disciplinary procedure, with a modified two-step dismissal procedure to be applied in limited circumstances after employment has ended.

1.3 The standard three-step disciplinary and dismissal procedure comprises the following:

Step 1 - The employer sets out in writing the nature of the employee's conduct, capability or other circumstances that may result in dismissal or disciplinary action.

Step 2 - A meeting must be held with the employee to discuss the issue. After the meeting, the employer must inform the employee of any decision, and offer the employee the right of appeal.

Step 3 - If the employee decides to appeal, there must be a further meeting. The final decision must then be given to the employee.

1.4 The statutory standard dismissal and disciplinary procedure will apply to all types of dismissals under capability, conduct, redundancy, expiry of a fixed-term contract, and retirement unless it is by mutual consent.

1.5 In addition to this there are similar stages established in the statutory standard grievance procedure.

1.6 This procedure for processing Employee Appeals has been developed, in line with these Regulations, to ensure that employees have a right of appeal to their Chief Officer and, in the case of dismissal, a final right of appeal to a panel of Elected Members.

2. SCOPE

2.1. Appeals against dismissal

This procedure covers all appeals against dismissal under the following Manchester City Council policies and procedures:

Discipline
Capability (Performance)
Capability (Attendance)

2.2 Appeals with regard to Employee Complaints

This procedure also covers the right of appeal under the following City Council dispute resolution policies and procedures:

Dignity at Work
Grievance

2.3 Appeals with regard to Reasonable Offers of Alternative Employment

This procedure will also cover the right to appeal against the offer of alternative employment under the provisions of the City Council's Redeployment Agreement.

Full details of the procedure are set out below and Chief Officers should ensure that these arrangements are adopted for all appeals registered on or after 1 October 2004.

3. APPEALS AGAINST DISMISSAL

Where an employee is dismissed (either summarily or with notice), he/she has recourse to two appeals:-

3.1 Appeal to Departmental Chief Officer (or nominated officer)

All appeals must be made, in writing, to the Chief Officer, within 10 working days of the extended reasons for the dismissal being received/confirmed.

Appeals should be held within one month of the dismissal and the appeal will constitute a full rehearing of the case by the Chief Officer (or nominated representative).

The employee and his/her representative will be notified of the outcome of the appeal hearing within seven days and the Chief Officer will write to the individual setting out the reasons for reaching his/her decision and informing the individual of their final right of appeal to Elected Members. (Sample letter attached at Appendix 1)

3.2 Appeal to Elected Members

3.2.1. Notification of final right of appeal

In setting out this final right of appeal, (see sample letter attached at Appendix 1) the department will inform the individual that should they wish to appeal to Elected Members, they must complete “Appeal Document 1” (attached at Appendix 2) and return it to the Chief Officer within 10 working days of receiving the letter confirming the outcome of their departmental appeal.

In addition, the department will inform the individual that should they wish to present evidence in support of their appeal at the hearing, this evidence should be forwarded to the Chief Officer of the former employing department as soon as possible and no later than three days prior to the date of the hearing.

3.2.2 Individual exercises final right of appeal

In notifying their intention to appeal to the Employee Appeals Committee, the individual should complete Appeal Document 1 and return it to the Chief Officer of their former employing department within 10 working days.

The individual should include on the Appeal Document 1 their grounds for appealing. For example:-

The allegation was not clearly explained to the individual
The proper procedures had not been followed
There was no opportunity for the individual to state their case
A full and fair investigation did not take place/the investigating officer did not interview all of the relevant witnesses/evidence from crucial witnesses was not picked up on/explored
Representation was not offered
An important piece of evidence was not considered
New evidence has emerged
Viable options to dismissal were not considered.
Other similar cases have been treated less harshly
Mitigation was not taken into account.

(The above is not a definitive or exhaustive list)

3.2.3 Appeal received by Department

Where the individual exercises their final right of appeal and returns form Appeal Document 1, the Department will:

verify the details on Appeal Document 1 (and any supporting information) and forward to the Employee Relations Team, Corporate Personnel within two working days of receipt;

complete Appeal Document 2 (attached at Appendix 3), setting out their statement of case, i.e. the arguments to be used as the basis for the report to Employee Appeals Committee and forward to the Employee Relations Team within 10 working days of receipt of the associated Appeal Document 1.

3.2.4 Organisation of appeal before Elected Members

Once satisfied that appropriate statements of case have been established by both parties, the Employee Relations Team will request Committee Services to schedule a hearing before Elected Members;

Committee Services will notify all parties of the date of appeal before the Employee Appeals Committee;

The Department will finalise a Committee Report (in accordance with corporate guidelines set out in PC1287) which will incorporate matters set out in the appellant's Appeal Document 1. This report should be as succinct as possible to cover the relevant circumstances and considerations that informed the original decision to dismiss. Only appendices which are material to the decision should be included. In doing this, the Department will seek agreement from all parties in respect of documents to be included as appendices and will forward a draft Committee Report (with all intended appendices) to the Employee Relations Team, no later than 15 working days prior the date of the appeal hearing;

The Employee Relations Team will scrutinise the Committee Report to ensure compliance with corporate standards and, in circumstances where the report is considered inadequate (or contains insufficient/excessive and/or inappropriate detail), the Employee Relations Team will liaise with the Department in order to make the necessary amendments recommended by the Personnel Manager (Employee Relations);

Upon receipt of the approved Committee Report, Committee Services will forward the report (with all appendices) to the employee/representative, the Department, the Employee Relations Team and Elected Members within the agreed time limits, as set out in PC 1319.

3.2.5 Format of appeal hearing

The procedure for hearing the appeal will be as detailed on the front of the Committee Report. It will be considered on the basis set out in that report which will incorporate information set out by the appellant in the Appeal Document 1 and that set out by the Department in Appeal Document 2;

At the appeal, the Departmental representative will present their case, based only upon those points which the individual has raised as grounds for their appeal. On the same basis, the individual (or their representative) will then present their case to Members.

Only those issues raised in the employee's grounds for appeal will normally be considered. Where circumstances warrant, however, a complete rehearing will not be precluded, although this will be at the absolute discretion of the panel.

At the conclusion of the hearing, the Employee Appeals Committee will advise the appellant of their decision. This will be followed by a letter to the individual confirming the outcome of the appeal, including reasons for the decision arrived at.

A summary of these arrangements is attached as Appendix 4.

4. APPEALS WITH REGARD TO EMPLOYEE COMPLAINTS

4.1 Where a formal investigation is undertaken as a result of an employee complaint submitted under the provisions of the City Council's

Dignity at Work Procedure; or

Grievance Procedure

the Investigating Officer will set out his/her decision in writing, having discussed the outcome and/or any proposed action with the complainant.

4.2 The Investigating Officer will inform the employee that if he/she is dissatisfied with the outcome of the investigation he/she has the right of appeal and/or to request a review of the case by the Chief Officer (or their nominated representative).

4.3 The appeal or request for a review should include reasons for the employee's dissatisfaction and must be submitted to the Chief Officer within 10 working days of receipt of the written notification from the Investigation Officer.

4.4 The Chief Officer (or their nominated representative) will meet with the complainant and review the case. This will involve reviewing related paperwork, interviewing the original Investigating Officer and/or any other parties/witnesses involved in the case, as deemed appropriate.

4.5 The Chief Officer (or their nominated representative) will communicate his/her decision, and any proposed action, to the complainant as soon as possible, and in any event, within 10 working days.

4.6 There is no further right of appeal beyond the Chief Officer.

5. APPEALS WITH REGARD TO REASONABLE OFFERS OF ALTERNATIVE EMPLOYMENT

5.1 Where an individual wishes to appeal against a reasonable offer of alternative employment made by a Chief Officer under the provisions of the City Council's Redeployment Agreement, the employee should direct their appeal in writing, including the grounds on which they consider the offer to be unreasonable, to the Head of Corporate Personnel.

5.2 The Head of Corporate Personnel (or nominated representative) will meet with the complainant and review the case. This will involve reviewing related paperwork and/or interviewing the parties involved in the case, as deemed appropriate.

5.3 The Head of Personnel (or nominated representative) will communicate his/her decision to the employee as soon as possible, and in any event, within 10 working days.

5.6 There is no further right of appeal beyond the Head of Corporate Personnel.

SAMPLE LETTER CONFIRMING OUTCOME OF DEPARTMENTAL APPEAL

Dear Name

APPEAL AGAINST DISMISSAL

I refer to the appeal hearing which you attended on (insert date) at which you were represented by (insert name of representative, if applicable), and now write to confirm that the Appeal Hearing Officer (insert name) disallowed your appeal against dismissal.

The Appeal Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to and key issues drawn out to provide extended reasons for decision).

You have a final right of appeal to elected Members. Should you wish to appeal against the decision of the Appeal Hearing Officer, you must complete the attached form (Appeal Document 1) and return it to (insert name of Chief Officer) within 10 working days of receipt of this letter. In completing the attached form, you should ensure that you clearly set out the grounds for your appeal as these grounds will form the basis of your hearing before elected Members and will ensure that Members are able to give full consideration to the specific matters you are appealing.

Should you wish to present evidence to support your case at the appeal hearing before elected Members, you should forward copies of this evidence to (insert name of Chief Officer) as soon as possible and no later than 3 days prior to the date of the hearing.

Yours sincerely,

Chief Officer

APPEAL DOCUMENT 1 (AD1)

Appeal Against Dismissal to the Employee Appeals Committee

Please read the attached Guidance Notes before completing this form

Appellant's Details

For appellant's use

For office use

Full Name

Your name in full

Address

The address at which you can be contacted (pending your appeal you should also advise your former employing department of any change of address)

Telephone No.

Your telephone could be any/all of home/work/mobile

Former Employing Department

Name of the department from which you were dismissed

Post

Your former post, including full job title (and section/location) if you know it.

Date of Termination

The date on which you were dismissed (last day of your notice period, if applicable)

Details of representative

The name of your representative (if you have one) and the address/ telephone number at which they can be contacted. This could be a trade union representative, solicitor or a friend etc.

Grounds on which appeal is based

Please set out in your own words the reason(s) why you believe the decision to dismiss you was not fair. See Guidance Notes 3, 4 & 5

(attach further sheet(s) if required)

Signed

Date

Date received by Dept

Date received by Employee Relations

GUIDANCE NOTES FOR APPELLANTS

1. This form is for use when setting out your appeal to the Employee Appeals Committee and should only be used for appeals against dismissal.

2. The enclosed letter from your former Chief Officer sets out the outcome of your departmental appeal and the reasons that the Appeal Hearing Officer gave for dismissing you from your post. You should read this letter carefully and ensure that you understand the reasons set out before completing Appeal Document 1. If you are unclear about any of the reasons given, you should discuss them with your representative and/or seek clarification from your former employing Department.

Grounds for appeal

When completing the AD1 you will, in the first instance, be required to set out the grounds for your appeal. For example,

Viable options other than dismissal were not considered
Proper consideration was not given to the evidence available
All evidence was not explored or was discounted without foundation
The proper procedures were not followed

Note: the above list is not exhaustive.

When setting out your grounds for appeal you should include the reason for holding that belief and this could be presented through your statement of case or through supporting documentation. For example:

Alternatives to dismissal such as re-allocation/re-assignment of duties not explored
New evidence has emerged which was not taken into account
The relevance of witnesses/evidence was not picked up on/explored
Which procedures were not followed and in what way
There was no opportunity to state your case
Representation was not offered
An important piece of evidence was not considered

Note: the above list is not exhaustive.

4. You should be specific when setting out your grounds as these grounds will form the basis for the appeal hearing before Members and you will not be allowed to introduce any evidence which falls outside the grounds that you have listed on this form. The purpose of setting out your grounds in this way is to ensure that Members can focus on the key issues of your case and are able to give full consideration to the matters being appealed.

5. If you have any evidence that you wish the appeals panel to consider at the hearing or you intend to call any witnesses in your defence, you should send the relevant documentation and information directly to the Chief Officer of your former Employing Department as soon as possible.

6. When exercising your right of appeal, you should remember to send your appeal (and all accompanying documentation) to your former Chief Officer within 10 working days of receipt of the letter confirming the outcome of the departmental appeal hearing.

7. YOU MUST REMEMBER TO COMPLETE AND RETURN APPEAL DOCUMENT 1 when lodging your intention to appeal. Any failure to do so will result in your appeal hearing being delayed until such time as the grounds for your appeal can be established.

8. Once you have returned your letter of appeal and Appeal Document 1 (including any supporting documentation), your appeal to Elected Members will be listed for a hearing as soon as possible and within three months of the date of your dismissal.

APPEAL DOCUMENT 2 (AD2)

Departmental Response to Appeal Document 1

	For Departmental use	For use by Employee Relations Team
Appellant's Name
Former Employing Department
Dates of Employment:	Started Ended
Reason for Termination [include all allegations proven and whether dismissal was summary or with notice]
Name/Tel no. of Departmental Contact Officer
Department's statement of case This should be based upon the former employee's grounds of appeal and address the issues as set out in AD1. This should be brief - it will subsequently form the basis for the Committee Report [attach further sheet(s) as required]
Signed
Date
Date Received by Employee Relations
Employee Relations Officer assigned

SUMMARY OF ARRANGEMENTS FOR PROCESSING DISCIPLINARY APPEALS TO ELECTED MEMBERS

	Action by the former Employing Department		Action by the Individual	Action by Employee Relations Team, Corporate Personnel
1	Write to the individual:-
	a) setting out the Appeal Hearing Officer's reasons for reaching his/her decision;
	b) informing the individual of their final right of appeal to Elected Members enclosing Form AD1;
	c) informing the individual (should they wish to appeal to Elected Members) that they must complete Form AD1 & return it to the Department within 10 working days of receiving this letter;
	d) informing the individual that, should they wish to present evidence in support of their appeal to Members, they should do so via the Department at least 3 days in advance of the date of the hearing
		2	Complete Form AD1 (including grounds for appeal) and return to former employing Department within 10 working days.
3	On receipt of Form AD1 from employee:-
	a) Verify details on AD1 (& any supporting information) & forward to Employee Relations Team within two working days of receipt;
	b) Prepare the department's statement of case;

	Action by the former Employing Department	Action by the Individual		Action by Employee Relations Team, Corporate Personnel
	c) Complete AD2 and forward to Employee Relations Team within ten working days of receipt of AD1
			4	Once satisfied that appropriate statements of case have been established, request Committee Services to organise Employee Appeals Committee
5	Once date of Employee Appeals Committee has been notified to all parties:-
	a) Prepare Committee Report incorporating matters set out in the appellant's AD1;
	b) Seek agreement from both parties in respect of documents to be included as appendices to the report;
	c) forward a draft Committee Report (with all intended appendices) to the Employee Relations Team, no later than fifteen working days prior the date of the appeal hearing.		6	Scrutinise the Committee Report to ensure compliance with corporate standards and, where the report is considered inadequate (or contains excessive and/or inappropriate detail), liaise with the Department.

APPENDIX 3

ADVICE NOTE 17

2 APRIL 2004

Procedure for requesting extension to suspension of 2 months and over

Dear Colleague,

Executive Members approved a new Disciplinary Procedure, which became effective from 1 February 2000. In agreeing the procedure one of the objectives of Members was to ensure that that it should wherever possible reduce unnecessary delays, particularly in respect of the investigation stage when an employee is suspended from work.

It is essential that periods of suspension are managed so as to cause the minimum of disruption to both the service and the individual, and investigations should be concluded as quickly as possible, ideally within one month.

I refer to my memo dated 31 July 2003, in which I set out how suspension should be effectively managed in line with the agreed Disciplinary Procedure. Disciplinary suspensions should be recorded on Delphi and, where a period of suspension from work is likely to extend beyond two months, the circumstances should be discussed with the Head of Personnel.

Whilst a number of Departments are now recording suspensions on Delphi, I still have general concerns with regard to the length of time employees are suspended from work whilst investigations into allegations of gross misconduct are being conducted.

I would therefore like to remind you

(1) all suspensions must be recorded on Delphi;

(2) that if a suspension is likely to extend beyond two months, this must be discussed with a member of the Employee Relations Team setting out the following:

The reason/s why the necessary investigation has not been concluded;

The measures necessary to conclude the investigation;

The anticipated length of any extension and a proposed date for the lifting of the suspension or a disciplinary hearing to be held.

I would also remind you that the Head of Personnel's approval to continue a suspension is not open ended and requires renewal on a monthly basis, where a suspension does extend beyond a two month period, and the employee is subsequently dismissed, the reasons for the length of the suspension must be explained in any subsequent report to the Employee Appeals Committee.

This process will allow Corporate Personnel Officers to analyse the reasons put forward by the department with a view to offering assistance in positively managing the situation e.g. Strategies to progress the investigation. I hope that this strategy for minimising delays in the suspension process will be helpful to departments.

Jon Redfern

Head of Personnel

Appendix 4

SAMPLE LETTERS

1. Confirmation of Suspension

2. Instruction to attend an investigatory interview

3. Revoke suspension - no further action

4. Revoke suspension - further action

5. Remain on suspension - further action

6. Instruction to attend a disciplinary hearing

7. Outcome of hearing - no action

8. Outcome of hearing - 1st stage warning

9. Outcome of hearing - 2nd stage warning

10. Outcome of hearing - summary dismissal

11. Outcome of hearing - dismissal on notice

12. Acknowledgement of appeal

13. Instruction to attend appeal hearing

14. Outcome of appeal hearing

CONFIRMATION OF SUSPENSION

Dear

SUSPENSION FROM DUTY

I am writing to confirm that following our meeting on (insert date), you are suspended from work on full contractual pay pending an investigation into (insert allegation of gross/misconduct). If the allegations are proven to be gross misconduct you may be summarily dismissed.

You are instructed to make yourself available when necessary to provide relevant information required during the course of the investigation and furthermore, you should refrain from contacting (insert named officer/groups of officers/service users/etc) and from visiting the private areas of any City Council establishments without my express permission (insert any additional conditions as appropriate).

Any attempt to pressurise, coerce, or intimidate colleagues, witnesses, service users and/or other work colleagues may be viewed as a further disciplinary matter.

Yours sincerely

On behalf of

Chief Officer

INSTRUCTION TO ATTEND INVESTIGATORY INTERVIEW

Dear

INVESTIGATORY INTERVIEW

I am instructing you to attend an investigatory interview on insert date/time) for the reasons set out below:

“Insert allegation(s)”

The purpose of the interview is to establish the facts and provide an opportunity for you to supply answers. Dependent upon the result of the investigation, disciplinary action may or may not be invoked.

On the date, please report to (insert venue). You may, if you wish, have a friend or Trade Union Representative present.

Yours sincerely

On behalf of

Chief Officer

REVOKE SUSPENSION - NO FURTHER ACTION

Dear

OUTCOME OF INVESTIGATIONS

Further to my meeting with you on (insert date of investigatory interview) I am now writing to confirm that I have completed my investigations into the allegations of (gross) misconduct which were referred to me for consideration.

On the basis of my investigation I am of the view that there is no case to answer concerning these allegations and accordingly, I do not propose to take any further action under the formal disciplinary procedure.

You are now officially reinstated to duty with immediate effect and II should be obliged if you would contact (insert name) to make arrangements for your return to duty without delay.

No reference to these matters will appear on your record.

Yours sincerely

On behalf of

Chief Officer

REVOKE SUSPENSION - FURTHER ACTION

Dear

OUTCOME OF INVESTIGATIONS

Further to my meeting with you on (insert date of investigatory interview), I am now writing to confirm that I have completed my investigations into the allegations of (gross) misconduct which were referred to me for consideration.

On the basis of my investigation it is my view that there is substance to the allegations and I do, therefore, intend to refer these matters to a formal disciplinary hearing for consideration and determination.

However, I am not of the opinion that these allegations are so serious as to justify your continued suspension from work and inform you that you are now officially reinstated to duty with immediate effect. I should be obliged if you would contact (insert name) to make arrangements for your return to duty without delay.

I shall write to you again as soon as possible giving you the details of the arrangements for the hearing and notifying you of the specific allegations which will be the subjection of the hearing.

If you are unclear about anything concerning this letter then please do not hesitate to contact me.

Yours sincerely

On behalf of

Chief Officer

REMAIN ON SUSPENSION - FURTHER ACTION

Dear

OUTCOME OF INVESTIGATIONS

Further to my meeting with you in (insert date of investigatory interview), I am now writing to confirm that I have completed my investigations into the allegations of (gross) misconduct which were referred to me for consideration.

I shall write to you again as soon as possible giving you the details of the arrangements for the hearing and notifying you of the specific allegations which will be the subject of the hearing.

In the meantime you will remain suspended from duty in accordance with my letter to you dated (insert date) and you must continue to observe the conditions set out there in.

If you are unclear about anything concerning this letter then please do not hesitate to contact me.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING

Dear

DISCIPLINARY HEARING

I am instructing you to attend a disciplinary hearing on (insert date/time). The reason for the hearing is to determine the following allegation(s):

“Insert detailed allegation(s), giving specific nature and dates of incidents”

The Presenting Officer will be (insert name), and the Hearing Officer will be (insert name and designation). Copies of the evidence which will be presented at the hearing are enclosed for your attention. The Presenting Officer will, in addition, call (insert number) witnesses, (insert names and witnesses).

If you intend to present documentary evidence or call witnesses in your defence, please forward a copy of your documents and names of witnesses to the Personnel Section no later than two working days before the date of the hearing.

On that date, please report to (insert venue of Hearing). You may, if you wish, have a friend or Trade Union Representative present.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING - NO ACTION

Dear

OUTCOME OF DISCIPLINARY HEARING

I refer to the City council's agreed disciplinary procedure and to the disciplinary hearing held on (insert date), at which you were accompanied by (insert names of representative if applicable). I now write to confirm that the Disciplinary Hearing Officer (insert name) found that there was no case to answer and imposed no formal disciplinary action against you.

However, (insert name of Hearing Officer) recommended that the following actions be taken outside the formal disciplinary procedure (insert recommended actions).

I confirm that no reference to the formal disciplinary matter will appear on your records.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING - 1ST STAGE WARNING

Dear

FIRST STAGE WARNING

I refer to the City Council's agreed disciplinary procedure and to the disciplinary hearing held on (insert date), at which you were accompanied by (insert name of representative if applicable). I now write to confirm that the Disciplinary Hearing Officer (insert names) issued you with a first stage warning for the reason set out below:

“insert charge”

The Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to and key issues drawn out to provide extended reasons for decision).

This warning, which constitutes the first level of warning under the agreed disciplinary procedure is operative for a period of six months and will, provided there is not further breach of discipline during that period, then be expunged from your record. If, however, there is no improvement in your (insert attendance or conduct) during this period or if you are adjudged to have committed any further breach of discipline, then I will have no alternative but to impose upon you a further disciplinary penalty which may, depending upon the seriousness of the breach of discipline, include your dismissal from the service of the Authority.

Should you wish to appeal against this warning you must do so, to (insert name of chief Officer), within 10 days of receipt of this letter.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING - 2ND STAGE WARNING

Dear

SECOND STAGE WARNING

I refer to the City Council's agreed disciplinary procedure and to the disciplinary hearing held on (insert date), at which you were accompanied by (insert name of representative if applicable). I now write to confirm that the Disciplinary Hearing Officer (insert name) issued you with a second stage warning for the reason set out below:

“Insert charge”

The Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to and key issues drawn out to provide extended reasons for decision).

This warning, which constitutes the second level of warning under the agreed disciplinary procedure is operative for a period of six months and will, provided there is not further breach of discipline during that period, then be expunged from your record. If, however, there is no improvement in your (insert attendance or conduct) during this period or if you are adjudged to have committed any further breach of discipline, then I will have no alternative but to impose upon you a further disciplinary penalty which may, depending upon the seriousness of the breach of discipline, include your dismissal from the service of the Authority.

Should you wish to appeal against this warning you must do so, (insert name of Chief Officer), within 10 days of receipt of this letter.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING - 3RD STAGE WARNING (FINAL)

I refer to the City Council's agreed disciplinary procedure and to the disciplinary hearing which you attended on (insert date), at which you were represented b (insert name of representative if applicable), and now write to confirm that the Disciplinary Hearing Officer (insert name) issued you with a third stage (final) warning for the reason set out below:

“Insert charge”

The Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to and key issues drawn out to provide extended reasons for decision).

This warning, which constitutes the third and final level of warning under the agreed disciplinary procedure is operative for a period of six months and will, provided there is no further breach of discipline during that period, then be expunged from your record.

If, however, there is no improvement in your (insert attendance or conduct) during this period of if you are adjudged to have committed any further breach of discipline, then I will have no alternative but to impose upon you a further disciplinary penalty which may include your dismissal from the service of the authority.

Should you wish to appeal against this warning you must do so, to (insert name of Chief Officer) in writing, within 10 days of receipt of this letter.

Yours sincerely

On behalf of

Chief Officer

DISCIPLINARY HEARING - SUMMARY DISMISSAL

Dear

CONFIRMATION OF DISMISSAL

I refer to the City Council's agreed disciplinary procedure and to the disciplinary hearing which you attended on (insert date) at which you were represented by (insert name of representative if applicable) and now write to confirm that at the conclusion of the hearing, the disciplinary Hearing Officer (insert name) dismissed you for the following reasons:

“insert charge”

The Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to an key issues drawn out to provide extended reasons for decision).

This dismissal is summary. Your effective date of termination is, therefore, (insert date of hearing). Any monies owed to you will be forwarded, by cheque, to your home address as soon as possible.

You are advised to contact (named officer) to make arrangements to remove any personal possessions from (insert former place of work).

Should you wish to appeal against this decision you must do so, to (insert name of Chief Officer) in writing, within 10 days of receipt of this letter.

If you are a member of the Local Government Pension Scheme, you are advised to contact the Pensions Team, Corporate Services Department on 805 1691 (internal)/ 277 1691 (external) to discuss the pension options now available to you.

Yours sincerely

On behalf of

Chief Officer

ACKNOWLEDGEMENT OF APPEAL

Dear

ACKNOWLEDGEMENT OF APPEAL

I acknowledge receipt of your letter dated (insert date) and your intention to appeal against the (insert stage of warning/dismissal/demotion) which was issued to you on (insert date of disciplinary hearing).

In accordance with the City Council's agreed disciplinary procedure, an Appeal Hearing date will be set within one month of the date of this letter.

I will contact you again to confirm the date of the Appeal Hearing as soon as possible.

Your sincerely

On behalf of

Chief Officer

APPEAL HEARING

Dear

APPEAL HEARING

I refer to your appeal against the (insert stage) warning awarded to you on (Insert date of Hearing) for (insert reason):

and write to inform you that your Appeal Hearing will take place on (Insert date and time).

The Appeals Hearing Officer will be (Insert name of Chief Officer) and the Presenting Officer will be (Insert Name). At the Hearing, the Presenting Officer will present the enclosed bundle of evidence.

If you intend to present documentary evidence of call witnesses in your defence, please forward a copy of your documents and names of witnesses to the Personnel Section no later than two working days before the date of the Hearing.

On the date of Hearing, please report to (Insert venue/address).

You may, if you wish, have a friend or Trade Union Representative present.

Yours sincerely

On behalf of Chief Officer

APPEAL HEARING - OUTCOME

Dear

APPEAL HEARING

I refer to the appeal hearing which you attended on (insert date), at which you were represented by (insert name of representative if applicable), and now writen to confirm that the Appeal Hearing Officer (insert name) (insert disallowed/partially allowed/allowed) your appeal against the (insert original award/decision).

The Appeal Hearing Officer gave the following reasons for reaching his/her decision (hearing notes should be referred to and key issues drawn out to provide extended reasons for decision).

Under the agreed disciplinary procedure.

Either

you have no further right of appeal

Or (where the appeal is against dismissal only)

you have a further right of appeal to Elected Members. Should you wish to appeal against the decision of the Appeal Hearing Officer, you must do so, to (insert name of Chief Officer) in writing, within 10 days of receipt of this letter.

Yours sincerely

On behalf of

Chief Officer

APPENDIX 5

LIST OF SENIOR TRADE UNION REPRESENTATIVES

TRADE UNION

NAME

POSITION

ADDRESS

CONTACT NUMBER

Amalgamated

Engineering & Electrical Union

David Gorton

Regional Officer

Parkgates

Bury New Road, Manchester

M25 8XJ

Tel: 798 8976

Fax: 798 9721

Manufacturing, Science & Finance Union

Jim Fitzpatrick

Regional Officer

3 Acton Square

Salford

Manchester

M5 4NY

Tel: 745 7300

Fax: 745 9785

Transport & General Workers Union

Maria Smyth

Regional Industrial Organiser

1 Merchant Quay

Salford Quays

Salford

Manchester

M5 2SG

Tel: 848 0909

Fax: 872 6068

General & Municipal Boilermakers Trade Union

Duncan Edwards

Regional Organiser

Thorne House

36 Station Road

Cheadle Hulme

Stockport

Cheshire

SK8 7AB

Tel: 485 8111

Fax: 485 8968

UNISON

Phil Widdall

Regional Officer

3/5 St John Street

Manchester

M3 4DL

Tel: 254 7500

Fax: 833 1614

UNISON

Tony Caffery

Branch

Secretary

3/5 St John Street

Manchester

M3 4DL

Tel: 254 7500

Fax: 254 7515