MPA discipline procedure

Report: 7
Date: 16 November 2000
By: Clerk

Summary

The Human Resources Committee is invited to consider this draft discipline procedure with a view to adoption by the MPA.

A. Supporting information

1. The MPA requires a discipline procedure for its staff to ensure orderly employment relations as well as fairness and consistency in the treatment of individuals. A procedure would aid the effective running of the organisation and enable the Authority to influence the conduct of workers and deal with problems of poor performance and attendance.

2. A draft discipline procedure based on ACAS guidance is at Appendix 1. The Committee will wish to note it provides for member involvement in disciplinary hearings.

3. Because of the different terms and conditions under which staff are currently employed it was not possible to consult with any representative trade union or staff association about its terms. The procedure will, however, be reviewed by April 2001 as part of the wider review of staffing and terms and conditions. By that time, the representative body or bodies for staff will have been agreed.

B Recommendations

That the Human Resources Committee consider and adopt a discipline procedure for the MPA along the lines of the draft at Appendix 1, subject to any agreed amendments.

C. Financial implications

The draft statement at Appendix 1 gives rise to no additional financial implications.

D Review arrangements

The discipline procedure will be a ‘live’ policy subject to regular review and amendment as necessary. It will also be reviewed by April 2001 as part of the wider review of staffing and terms and conditions.

E Background papers

The following is a statutory list of background papers (under the Local Government Act 1972 S.100 D) which disclose facts or matters on which the report is based and which have been relied on to a material extent in preparing this report. They are available on request either to the contact officer listed above or to the Clerk to the Police Authority at the address indicated on the agenda.

• ACAS Code of Practice on disciplinary and grievance procedures

F Contact details

The author of this report is Gaye Haselden.

For information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix 1: MPA discipline procedure

Introduction

Disciplinary issues arise when problems of conduct or capability are identified and management seeks to address them through well recognised procedures.

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 workers and deal with problems of poor performance and attendance thereby assisting organisations to operate effectively. Rules set standards of conduct and performance at work; procedures help ensure that the standards are adhered to and also provide a fair method of dealing with alleged failures to observe them.

Guidelines

It is important that workers know what standards of conduct and performance are expected of them. The Employment Rights Act 1996 requires employers to provide written information for their employees about certain aspects of their disciplinary rules and procedures.

All MPA staff will be given a copy of this procedure and made aware of the likely consequences of breaking disciplinary rules or failing to meet performance standards. It is particularly important that managers at all levels and employee representatives are fully conversant with the disciplinary rules and that the rules are regularly checked and updated where necessary. All staff will be given a clear indication of the type of conduct, often referred to as gross misconduct, which may warrant summary dismissal (i.e., dismissal without notice). Summary is not necessarily synonymous with instant and incidents of gross misconduct will usually still need to be investigated as part of a formal procedure. Acts which constitute gross misconduct are those resulting in a serious breach of contractual terms and may include the following:

• sexual, racial, disability or other forms of unjustified discrimination, particularly sexual, racial, disability or other forms of harassment;
• theft, fraud and deliberate falsification of records;
• physical violence;
• bullying;
• deliberate damage to property;
• serious insubordination;
• misuse of MPA property or name;
• bringing the MPA into serious disrepute;
• serious incapability whilst on duty brought on by alcohol, illegal drugs or other substances;
• serious negligence which causes or might cause unacceptable loss, damage or injury;
• serious infringement of health and safety rules;
• serious breach of confidence (subject to the Public Interest (Disclosure) Act 1998);
• making use of official position to further private interests;
• computer misuse/unauthorised obtaining and/or disclosure of information;
• conviction, adult caution or formal warning for a criminal offence, including a serious traffic offence, for example, drink driving;
• unauthorised acceptance of gifts, payment or reward related to official MPA duties;
• false or unwarranted payments to contractors or suppliers, or favourable release of information to selected suppliers:

This list is not exhaustive. The Human Resources Team can advise in cases of doubt.

When a disciplinary or potentially disciplinary matter arises, the line manager will first establish the facts promptly before recollections fade, and where appropriate obtain statements from any available witnesses. It is important to keep a record for later reference. Having investigated all the facts the line manager will decide whether to; drop the matter; arrange informal coaching or counselling or arrange for the matter to be dealt with under the disciplinary procedure.

Employees will be informed, in advance of any disciplinary hearing, of the allegations that are being made against them together with the supporting evidence. They must be given the opportunity of challenging the allegations and evidence before decisions are reached. Employees will also be given the right of appeal against any decisions taken.

Minor cases of misconduct and most cases of poor performance may best be dealt with by informal advice, coaching and counselling rather than through the disciplinary procedure. Sometimes line managers may issue informal oral warnings - but they need to ensure that problems are discussed with the objective of encouraging and helping workers to improve. It is important that employees understand what needs to be done, how performance or conduct will be reviewed and over what period. Employees will also be made aware of what action will be taken if they fail to improve either their performance or conduct. Informal warnings and/or counselling are not part of the formal disciplinary procedure and the employee should be informed of this.

Before a decision is reached or any disciplinary action taken, there will be a disciplinary hearing at which employees have the opportunity to state their case and to answer the allegations that have been made. Wherever possible the hearing will be arranged at a mutually convenient time. In advance of the hearing, the employee will be advised of any rights under the disciplinary procedure including the statutory right to be accompanied. Prior to this stage, where matters remain informal, the statutory right of accompaniment does not arise.

In certain circumstances, for example, in cases involving gross misconduct, where relationships have broken down or where it is considered there are risks to MPA property or responsibilities to other parties, consideration will be given to a brief period of suspension with pay whilst an unhindered investigation is conducted. Such a suspension will only be imposed after careful consideration by the Clerk or Treasurer, as appropriate, and will be reviewed to ensure it is not unnecessarily protracted. It will be made clear that the suspension is not considered as disciplinary action.

The procedure

(A summary of the procedure is attached at Annex A)

First warning

Oral - In the case of minor misconduct the employee will be given a formal oral warning. Employees will be advised of the reason for the warning, that it normally constitutes the first step of the disciplinary procedure and of their right of appeal. A note of the oral warning will be kept but should be disregarded for disciplinary purposes after 12 months.

Written - If the misconduct is regarded as more serious the employee will be given a formal written warning giving details of the complaint, the improvement or change in behaviour required, the timescale allowed for this and the right of appeal. The warning will also inform the employee that a final written warning may be considered if there is no sustained satisfactory improvement or change. A copy of the written warning should be kept on file but should be disregarded for disciplinary purposes after 12 months.

Final written warning - Where there is a failure to improve or change behaviour during the validity of a prior warning, or where the misconduct is sufficiently serious, the employee will normally be given a final written warning. This will give details of the complaint, warn the employee that failure to improve or modify behaviour may lead to dismissal or to some other action short of dismissal and refer to the right of appeal. The final written warning should normally be disregarded for disciplinary purposes after 24 months.

Dismissal or other sanction - disciplinary hearing - In cases of gross misconduct or if the employee’s conduct or performance still fails to improve the final step is to conduct a disciplinary hearing. The panel for disciplinary hearings will normally be comprise of members of the HR Committee.

Procedure for disciplinary hearing - The chair of the discipline panel will introduce those present and outline the procedure for the hearing.

The panel will be advised by a member of the HR team, who will also outline the alleged misconduct and the action taken to remedy the behaviour.

Witnesses may be called and members of the panel may ask questions.

The employee may be represented at the hearing by a trade union representative or work colleague. The employee may only address the panel if asked by the panel to do so.

The panel will retire to reach a conclusion. Disciplinary action available to the panel includes: disciplinary transfer, demotion, loss of seniority, loss of increment (provided these penalties are allowed for in the contract) or dismissal.

The employee will be informed as soon as reasonably practicable of the panel’s decision and this should be confirmed in writing.

Appeals

Appeals should be lodged within five working days. The employee may choose to raise an appeal on a number of grounds which could include the perceived unfairness of the judgment, the severity of the penalty, new evidence coming to light or procedural irregularities. These grounds will need to be considered when deciding the extent of any new investigation or re-hearing in order to remedy previous defects in the disciplinary process.

Wherever possible the appeal will be heard by an appropriate individual, usually another member of the HR Committee not previously involved in the disciplinary procedure or the Chair of the Authority.

Individuals will be informed of the arrangements for the appeal hearing and also of their right to be accompanied at this hearing. Where new evidence arises during the appeal the employee, or their representative, will be given the opportunity to comment before any action is taken. It may be more appropriate to adjourn the appeal to investigate or consider such points.

The employee will be informed of the results of the appeal and the reasons for the decision as soon as possible and this will be confirmed in writing. If the decision constitutes the final stage of the appeals procedure, this should be made clear to the employee.

Annex A: MPA discipline procedure- summary

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