Disciplinary policy and procedure

Disciplinary procedure

It is important to try to resolve matters informally where appropriate. 

We will discuss concerns about an employee's conduct in one-to-ones or supervision meetings. These types of meetings can be enough to prevent the issue from re-occurring. 

Managers should not wait to address an issue if they need a one-to-one or supervision meeting. They should arrange to meet with the employee to make them aware of any concerns. The employee can then address matters promptly.

Any discussion must include the promotion of health and wellbeing whilst considering the nature of the work and our requirements.

Managers must make notes of the conversation. These must include the outcome, and any remedial action to be taken. They can use either standard one-to-one or supervision notes or a Record of Actions form. 

Managers will keep Record of Action forms locally. They will remove them: 

Managers may invoke the formal disciplinary procedure when:

  • the issue is a more serious incident, or
  • informal steps have not succeeded in resolving matters 

Policy definitions

  • The 'disciplining manager' is the manager who will hear the disciplinary. They must be senior to the employee who has allegedly committed the offence. They will usually be the employee's line manager.
  • The 'investigating manager' is responsible for carrying out the investigation. They will be a manager or investigator appointed as an independent person to undertake the investigation.
  • 'Working days' are Monday to Friday. These exclude Bank Holidays and statutory holidays, regardless of the days an employee works.
  • We recognise that council services use different management structures and levels. Managers holding formal disciplinary hearings will be of an appropriate level. This is in line with the local scheme of delegation.
  • A head of service or above must chair a disciplinary hearing where the outcome may be dismissal. This follows the responsibility for functions in the Constitution.
  • An employee may suggest underlying medical issues as contributing to reasons for the misconduct. Managers may refer employees to occupational health if absent from work due to sickness. They will advise on assisting an employee's return to work and their participation in this procedure.