Disciplinary and Grievance policy
May 2026
Disciplinary Procedure
This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst at work or representing the council. The aim is to ensure consistent and fair treatment for all. This procedure is prepared in accordance with the dismissal and dispute resolution procedures as set out in the Employment Rights Act 2008 and the current ACAS Code of Practice.
Principles
- No disciplinary action will be taken against an employee until the case has been fully investigated.
- At every stage in the procedure the employee will be advised of the nature of the complaint against them and will be given the opportunity to state their case before any decision is made.
- At all formal stages the employee will have the right to be accompanied by a trade union representative or work colleague during the disciplinary interview.
- No employee will be dismissed for a first breach of discipline except in the case of gross misconduct when the penalty of dismissal without notice or payment in lieu of notice may be applied.
- An employee will have the right to appeal against any disciplinary penalty imposed.
- The procedure may be implemented at any stage if the employee’s alleged misconduct warrants such action.
The Procedure for Misconduct and Gross Misconduct
- The following list provides examples of misconduct which will normally give rise to formal disciplinary action:
- Unauthorised absence from work.
- Persistent short-term and/or frequent absences from work without a medical reason.
- Minor breaches of Health and Safety or other Council rules or procedures.
- Failure to perform your job to the standard expected or in line with your job description/objectives.
- Disruptive behaviour
- Failure to follow an agreed council procedure.
This list is not exhaustive and offences of a similar nature may result in disciplinary action being instigated.
N.B. persistent or frequent absence on medical grounds and long term sickness absence will be dealt with using the Council’s Sickness Absence or Capability procedure.
The following list provides examples of offences which are normally regarded as gross misconduct:
- Theft, fraud, deliberate falsification of records, or other acts of dishonesty
- Fighting or assault
- Deliberate damage to property of the council, its workers or members
- Gross incompetence in the conduct of work
- Gross negligence resulting in risk to the council, employees or the public
- Being under the influence of illegal drugs or excessive alcohol at work
- Acts of discrimination, harassment or victimisation (as defined under the Equality Act 2010)
- Serious insubordination
- Serious breach of confidentiality
- Unauthorised access to computer records
- Serious breach of IT, security, health & safety or confidentiality policies
- Any action likely to bring the council into disrepute
- Serious negligence causing significant loss, damage or injury
- Accepting bribes or incentive payments
- Misuse of council funds or assets
- Working with external parties to provide information detrimental to the council
This list is not exhaustive. Gross misconduct is generally any conduct which destroys the trust and confidence required in the employment relationship.
Informal Action
Minor misconduct will normally be dealt with informally in a confidential one-to-one meeting between the employee and line manager.
Where the Clerk is the subject of a complaint, the matter will be handled by a properly constituted Staffing Committee or equivalent.
Where informal action does not resolve the issue, formal procedures may be initiated.
Formal Action
The level of warning will depend on the seriousness of the alleged misconduct and previous conduct. In cases of alleged gross misconduct the process may commence at Stage 4.
Disciplinary Letters
A letter will be issued setting out:
- the allegation(s)
- reasons for concern
- invitation to a disciplinary meeting
- right to be accompanied
- stage of procedure being applied
- potential outcomes (including dismissal in gross misconduct cases)
- details of meeting time, date and venue
- copies of any evidence to be used
Disciplinary Meetings
Meetings will be held without unreasonable delay in a private setting. Normally this will be within 5 working days where practicable.
The employee will be given full opportunity to respond, present evidence and call witnesses (with prior notice).
If the employee is unable to attend for valid reasons, the meeting will be rearranged. If the employee fails to attend without good reason, the meeting may proceed in their absence.
Outcomes and Penalties
Stage 1 – Verbal Warning
A first instance of misconduct will normally result in an verbal warning covering:
- reason for warning
- stage of procedure
- required improvement
- timescales
- review date
- right of appeal
The warning will remain on file for 6 months subject to satisfactory conduct.
Stage 2 – Written Warning
For serious misconduct or repeat issues, a written warning will be issued including:
- details of complaint
- required improvement
- timescale
- warning of further action
- right of appeal
This will remain on file for 12 months subject to satisfactory conduct.
Stage 3 – Final Written Warning
Where conduct or performance remains unsatisfactory, or where the matter is serious, a final written warning will be issued including:
- details of complaint
- warning that dismissal may result
- improvement requirements
- right of appeal
This will normally remain on file for 12 months (or longer in exceptional cases).
Stage 4 – Dismissal or other sanctions
Where conduct remains unsatisfactory or gross misconduct is reasonably believed to have occurred, dismissal may result.
Only a properly convened panel may decide dismissal. The employee will be:
- informed in writing of allegations
- invited to a hearing
- notified of outcome in writing
Sanctions may include:
- dismissal with notice
- summary dismissal
- final warning with conditions
- demotion or loss of pay/seniority
Employees have the right of appeal.
In exceptional cases of serious gross misconduct, summary dismissal may occur without prior meeting, followed by written confirmation and appeal right.
Suspension
Where gross misconduct is alleged, suspension on full pay may be applied while investigation takes place.
Suspension is a neutral act and not a disciplinary sanction. It will only be used where necessary.
The employee will retain appropriate contact during suspension, although access to systems or premises may be restricted.
Investigators must not take part in the disciplinary decision.
Appeals
Employees have the right to appeal any disciplinary decision.
Appeals must be submitted within 5 working days in writing to the Chair (or appropriate senior officer).
Appeals may be based on:
- unfair outcome
- new evidence
- procedural issues
Appeals will normally be heard by a separate panel not involved in the original decision. The decision at appeal is final. Penalties cannot be increased on appeal.
The Right to be Accompanied
Employees have the statutory right under the Employment Relations Act 1999 to be accompanied by a trade union representative or work colleague.
The companion may:
- address the meeting
- present the employee’s case
- confer with the employee
The companion may not answer questions on behalf of the employee.
Hearing Panels
The Council will ensure hearing panels are properly constituted and trained. Members involved in investigations will not sit on panels.
Note-Taking
A note-taker will normally be present at all formal meetings to ensure accurate records are maintained.
Grievances Raised During Disciplinaries
Where a grievance arises during disciplinary proceedings, consideration will be given to pausing the disciplinary process where appropriate, in line with ACAS guidance.
Criminal Charges or Convictions
If an employee is charged with or convicted of a criminal offence this does not automatically give rise to a disciplinary situation. Consideration needs to be given to how a charge or conviction may affect an employee’s ability to undertake their duties and their relationships with the employer, colleagues, subordinates or customers.
Getting it Wrong
Failure to follow the ACAS Code of Practice (available at www.acas.org.uk) can lead to an Employment Tribunal awarding an uplift of an award against the council of up to 25%. Tribunals dealing with unfair dismissal claims are particularly interested in whether the employer followed a procedure and whether the employer acted fairly and reasonably. One way in which to avoid such a penalty is to have an agreed procedure, communicate that procedure to staff and Members, revisit and review the procedure regularly and have some training for those who are expected to operate the procedure.