Disciplinary Policy Agreed 2024

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Disciplinary Policy and Procedure
This policy sets out the procedure to ensure that the Town Council deals with disciplinary
matters in a fair and consistent way.
Approved by Council 22 April 2024

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1.

Introduction

This procedure is designed to help and encourage all employees to achieve and
maintain acceptable standards of conduct and job performance. The aim is to ensure
consistent and fair treatment for the individual. This procedure sets out the framework
for resolving issues relating to misconduct and unsatisfactory performance in
accordance with the Employment Rights Act 1996, Human Rights Act 1998, and the
ACAS Code of Practice on Disciplinary Procedures.
This procedure applies to all employees except where it conflicts with a contractual or
statutory requirement, which takes precedence.
2.

General Principles

The procedure is not a substitute for good management practices and should only be
invoked when initial attempts to improve conduct have been made following
discussions between the employee and their manager. However, where there has
been gross misconduct or a serious breach of disciplinary rules, the formal
procedure should be actioned immediately.
No disciplinary action will be taken against an employee until the circumstances have
been fully investigated.
The employee will be advised of the nature of the complaint against him or her and
will be given the opportunity to state his or her case at the appropriate stage.
The employee has the right to be represented at disciplinary hearings and appeals.
In all instances of alleged misconduct, the employee will be given at least 5 working
days’ notice of the requirement to attend a hearing or appeal. Should the employee
fail to attend without an acceptable reason, then the Chair of the hearing or appeal
may proceed in the employee’s absence.
Any disciplinary action taken will depend on the nature of the offence, the past
recorded behaviour of the employee concerned, the consequence to the Council of
the offence, and any explanation presented by the employee.
Employees have the right to appeal against any disciplinary warnings and dismissal.
3.

Roles and Responsibilities

Normally the Town Clerk will consider minor disciplinary issues and resolve them, if
they can, without recourse to the formal procedure.
Allegations of more serious misconduct or where a previous warning has been given
but the required improvement has not been made should immediately be referred to
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the Town Clerk who will then be responsible for nominating an Investigating Officer.
If the misconduct relates to the Town Clerk, this should be referred to the Mayor.
Where action being taken is with regard to the Town Clerk the matter will be dealt
with by the Mayor, the Deputy Mayor and a Committee Chair (agreed by the Mayor
and Deputy Mayor) ; these 3 people will agree on a course of action, including
obtaining any advice that is required and the appointment of an appropriate liaison
person.
The Investigating Officer who carries out an investigation should not participate in
any subsequent decision to take action under the procedure. Likewise, the Panel
hearing the case should not be involved in the investigation beforehand. It is
important that respective roles are identified at an early stage so that those roles are
not compromised. The Investigating Officer need not be the employee’s supervisor
or Line Manager, although this would normally be the case.
Only the Town Clerk has the right to suspend an employee and provide oral or
written warnings for minor misconduct.
Every effort will be made to ensure that any hearings will be conducted by people
who have not been involved in any matters which have led to the hearing taking
place, that may mean using Councillors who are not in the roles specified in this
procedure or who do not normally sit on the Committees referred to in this
procedure. In extreme circumstances, in order to obtain independence it may mean
the hearings are considered by persons who are not North Petherton Town
Councillors; in such instances the composition of any panel will need to be ratified by
the full Council.
4.

Representation

Employees have the right to representation, either by a trade union representative or
a work colleague or other lay-person at the hearing and appeal stages of the formal
procedure.
Representatives have the right to address the hearing or appeal. They may also ask
questions and present the employee’s case; they have no right however to answer
questions on the employee’s behalf.
Procedures
A guidance flow chart outlining the procedure, for use as a quick quide only, is
attached to this policy and procedure document.
5.
5.1

Informal Procedure
Informal Advice and Guidance

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Where a minor breach of acceptable/established standards of conduct occurs, which
does not justify formal disciplinary action, the Town Clerk will advise the employee
concerned of the conduct and the standard expected in the future. In many cases,
this will provide sufficient encouragement for the employee not to commit further
acts of misconduct.
The employee will be offered guidance, support, and additional training – where
appropriate – to achieve the necessary standards. Representation will not normally
be appropriate. The Town Clerk should make a note of such informal advice and
guidance and should set out in writing to the employee the required improvements
and standards of conduct that are expected in the future. Records of informal
advice/counselling should be kept on employee’s personal files.
The formal procedure will apply when:
• Previous informal advice or warnings have proved ineffective;
• The allegation is of a serious nature; or
• A number of minor allegations are made which taken together could constitute
a serious breach of discipline.
6.
The Formal Procedure
6.1 Suspension
In some circumstances, the Town Clerk may consider suspension with pay, pending
further investigation or until the disciplinary hearing takes place. Suspension may be
appropriate where:
• Cases potentially involve gross misconduct;
• Relationships have broken down; or
• There is a risk to the employer’s property or to other people.
An employee should be advised that suspension in itself does not constitute
disciplinary action.
An employee should be advised of the reasons for suspension. The period of
suspension should not normally last for more than 20 working days. However, this
period can be extended where necessary.
The decision regarding whether or not suspension is necessary can be reviewed at
any time during the disciplinary process.
Any decision to suspend an employee will be reviewed at least every 2 weeks to
ensure the suspension remains appropriate.
6.2
Investigation
Before any decision can be made about whether or not a disciplinary hearing is
necessary, an investigation must take place. The Town Clerk (or the Mayor and
Deputy Mayor and nominated Committee Chair, in relation to matters concerning the
Town Clerk) will appoint an appropriate Investigating Officer – who could be an
external adviser – who will report back with their findings and make
recommendations as to whether a disciplinary hearing should be convened.

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The responsibilities of the Investigating Officer are to collect evidence by
interviewing any relevant witnesses and gathering all relevant documentation. An
Investigatory Interview will normally be held with the employee concerned. The
purpose of the interview is to gather the employee’s initial response to the allegations
and to identify whether any further investigation is needed.
For the benefit of the employee and the Town Council, any investigation must be
concluded within a reasonable timescale. If there is a delay in completing the
investigation, it is the responsibility of the Investigating Officer to regularly update the
employee or their representatives on the progress of the investigation.
Once the Investigating Officer has gathered all the relevant facts and reviewed the
evidence, a report should be drafted to the Town Clerk (or the Mayor and Deputy
Mayor and nominated Committee Chair, in relation to matters concerning the Town
Clerk) recommending one of the following:
• Take no further action and inform the employee accordingly;
• Advise the arrangement of counselling, training, extra supervision, or written
advice (as appropriate); or
• Arrange a disciplinary hearing.
6.3 Arranging a Hearing
If, following the recommendations of the Investigating Officer, the Town Clerk
concludes that a hearing is required then the necessary arrangements should be
made by the Town Clerk or in matters concerning the Town Clerk (or the Mayor and
Deputy Mayor and nominated Committee Chair, in relation to matters concerning the
Town Clerk). The employee will be given at least 5 working days’ notice in writing.
The notice should include a clear written statement of the allegation and should
enclose any documentary evidence being relied upon and a reminder of the
employee’s right to be represented.
The Investigating Officer is responsible for presenting the case and making
arrangements for any witnesses that he or she relies upon to attend the meeting.
The employee is responsible for arranging any representation they choose to have
and any witnesses that they may wish to call. Details of any witnesses the employee
intends to call and a copy of all documents that the employee may wish to refer to at
the hearing must be submitted to the Investigating Officer at least 3 working days
prior to the hearing.
6.4 Conducting a hearing
The Panel for a hearing will normally comprise of the Town Clerk (or the Mayor and
Deputy Mayor and nominated Committee Chair, in relation to matters concerning the
Town Clerk) and where there is an allegation of gross misconduct or the possibility of
dismissal an independent HR representative should be present to advise.
The objective is:
• To hear the evidence in respect of the allegation, the employee’s response,
and to decide whether or not the allegation is substantiated; and
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•

If the allegation is substantiated, to determine the disciplinary sanction to be
applied in light of the seriousness of the offence and having regard to previous
relevant disciplinary history.

The procedure to be followed is:
1. Introduction of the Panel members and outline of their roles;
2. Statement of the purpose of the hearing and the allegation;
3. Presentation of the case by the Investigating Officer with witnesses called as
necessary;
4. Questions by employee or their representative;
5. Questions by the Panel;
6. Presentation of the case by the employee or their representative with
witnesses called as necessary;
7. Questions from Investigating Officer;
8. Questions from Panel;
9. Concluding statement by Investigating Officer;
10. Concluding statement by employee or their representative;
11. Adjournment of the Panel to make their decision;
12. The Panel reconvenes and the employee/representative is informed of the
decision and, if necessary, their rights of appeal.
Requests for an adjournment can be made at any stage and it is up to the Panel
Chair to decide whether or not a request should be granted.
The decision of the Panel will be confirmed to the employee in writing within 5
working days. The letter should clearly set out:
• The Panel’s decision;
• The length of time that any warning will be active for;
• The expected improvement in conduct;
• Any assistance that will be provided to achieve this; and
• The employee’s right to appeal.
6.5 Levels of Disciplinary Action
In determining the appropriate disciplinary action, regard should be given to the
employee’s previous record, the gravity of the offence, and any explanation given.
Although the procedure implies a sequential approach, there may be certain
circumstances where the matter needs to be considered immediately under Stages
2, 3, or 4.
Stage
Stage 1

Outcome
Oral Warning

Description
For a minor offence, a formal oral warning
(confirmed in writing) making it clear that further
misconduct will render the employee liable to
further disciplinary action including more severe
consequences.

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Stage 2
Stage 3

Stage 4

First Written
Warning

For a more serious offence or where a previous
warning to the employee has not resulted in the
required improvement to their conduct.
Final Written
For a sufficiently serious offence, which might
Warning
warrant only one written warning but is
insufficiently serious to justify dismissal, or where
previous warnings have been ineffective.
Dismissal with For an act or acts of misconduct, other than gross
notice
misconduct, by an employee who is under a
written or final written warning. The employee will
be liable to dismissal with notice or pay in lieu of
notice.
Dismissal
In cases where gross misconduct is established,
without notice the employee will be liable to summary dismissal,
i.e. without notice or pay in lieu of notice.

6.6 Length of Warnings
Records of informal meetings and formal warnings will be kept on employee’s
personal files. An oral warning will be live for 6 months and written warnings for 12
months from the date of the disciplinary hearing. Final written warnings will be live for
2 years.
7.

The Right Of Appeal

An employee has the right to appeal against disciplinary action resulting in a warning
or their dismissal. Three Councillors nominated by the full Council will form an
Appeal Panel and will hear the appeal, providing that they have had no previous
involvement in the matter, assisted by an independent adviser, if appropriate.
An employee who wishes to appeal must do so in writing to the Town Clerk (or the
Mayor, in relation to matters concerning the Town Clerk). This must be done within
10 working days of the disciplinary hearing informing them of the disciplinary action
taken. The appeal letter must set out the grounds for the appeal, normally under one
of the following headings:
• The severity of the disciplinary action;
• The findings of the Panel on a point of fact which is pertinent to the decision of
the hearing; and
• A failure to adhere to the disciplinary procedure.
7.1 Arranging an Appeal
The date and time of the appeal will be organised by the Town Clerk (or Mayor) in
relation to matters concerning the Town Clerk).
It is the responsibility of each side to prepare themselves for the appeal, including
arranging for any witnesses to attend.

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The Appeal Panel will hear the appeal, providing that they have had no previous
involvement in the matter, assisted by an independent adviser, if appropriate.
The Chair of the original Hearing Panel and the employee or their representative will,
where possible, agree papers for submission to the appeal 5 days prior to the
hearing.
7.2 Conducting an Appeal Hearing
The objective is:
• To review the processes used to inform the decision of the disciplinary
hearing to ensure they were fir and consistent with any legal requirements and
policies of the Town Council.
• To review the decision of the disciplinary hearing and decide whether that
action is warranted or not; and
• If the action is not warranted, to determine what action if any is appropriate;
In doing so, the Appeal Panel will have regard to seriousness of the offence and any
previous relevant disciplinary history.
The procedure to be followed is:
1. Presentation of the case by the Town Clerk (the Chair of the previous hearing)
who took the disciplinary action;
2. Questions by the appellant to the Town Clerk;
3. Presentation of the appellant’s case, including calling any witnesses;
4. Questions by the Town Clerk to the appellant and their witnesses;
5. Questions by the Appeals Panel to both parties and their witnesses;
6. Concluding statements by the parties. No new information should be
introduced at this stage and the appellant should have the opportunity to sum
up last;
7. Adjournment of the Panel to make their decision;
8. The appeal is reconvened if possible and both parties are informed of the
decision;
9. The decision of the Appeal Panel is final and will be confirmed to the
employee in writing within 5 working days. There is no further right of Appeal.
The Appeals Panel has the right to call its own witnesses should it consider this to be
of assistance in making its decision.
8.

Trade Union Officials

In normal circumstances, no action will be taken against an officer of a recognised
trade union until the matter has been discussed with a full-time officer of that union.
9.

Disciplinary Rules

It is difficult to define all the acts of misconduct that might lead to disciplinary action.
As a general principle, a test of reasonableness would be applied, i.e. would a

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reasonable person be aware that disciplinary action would result from a certain act or
omission?
The following are examples of the types of conduct that are unacceptable and might
lead to disciplinary action. The list is not exhaustive and other behaviour not listed
may lead to disciplinary action.
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Poor time-keeping/ attendance;
Unjustifiable absence from work;
Waste, loss or damage of Council property through failure to take due care;
Negligence or failure in performance of duty;
Inappropriate or unauthorised use of e-mail, IT, or telephone facilities; or
Being under the influence of alcohol or drugs.

9.1 Types of Gross Misconduct
Unacceptable conduct, which may be regarded as gross misconduct, is likely to lead
to an employee’s summary dismissal. This means dismissal without notice or pay
and occurs when the employment relationship between the Council and employee,
and the trust which is inherent in that, is irrevocably broken.
The list below gives examples of matters likely to be regarded as gross misconduct
and is not exhaustive.
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Refusing to follow reasonable management instructions;
Theft from the Council, its Members, employees, or the public;
Physical assault or verbal abuse;
Fraud or deliberate falsification of records;
Falsification of qualifications;
Serious negligence which causes unacceptable loss, injury, or damage;
Serious acts of insubordination;
Serious breach of confidence;
Use of privileged information for personal gain;
Malicious damage to the Council’s property;
Sexual misconduct at work;
Discrimination, victimisation, or harassment;
Serious breaches of safety rules;
Serious incapability through alcohol or drugs;
Accessing or distributing pornography on the Council’s IT facilities.

9.2 General Misconduct
10. General misconduct includes matters related to unsatisfactory performance
(where this is not covered under the capability procedure), timekeeping or
attendance.
11. General misconduct offences generally do not warrant dismissal on the first
occasion, other than in the most exceptional circumstances. In most instances,
general misconduct offences would normally lead to a formal warning. However,
repeated instances of general misconduct can result in dismissal. The following

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are examples of acts or omissions, which constitute general misconduct; this list
is not exhaustive:
Violation of environmental, health, safety and hygiene rules.
Misuse of Town Council e-mail, Internet or telephone.
A conflict of interest with the business activity of the Town Council
Misuse / lack of care of Town Council provided equipment.
Unacceptable standard of job performance.
Unacceptable timekeeping.
Unauthorised absence.
Persistent absence.
Misuse of Town Council or other employees’ property.
Poor upkeep of Town Council vehicles or equipment.
Failure to complete documentation in a timely manner.
Failure to follow established policies and procedures.
Failure to comply with a reasonable order, instruction or contractual requirement

Training

Appropriate training will be given to the Town Clerk or any Councillors who might be
involved in disciplinary or appeals meetings to ensure that they fulfil their
responsibilities under this procedure.

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Disciplinary Procedure
(this is for guidance only please refer to policy document for detailed information)
Formal Action
Section 6 of Policy

Informal Action
(Section 5 of Policy)
Considering whether or not to suspend an
employee
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Meeting / Discussion
A) with Town Clerk & Employee.
Or
B) in matters relating to the Town Clerk, the Town
Clerk, Mayor, Deputy Mayor and nominated
Committee Chair

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Answer Yes
to any of the
questions

Does the case potentially involve gross misconduct?
Is there a risk to the Town Council’s property or other
people?
Have relationships broken down between the
employee and management line?

(Section 6.1 of policy)

Suspend

Answer No to
the questions
Unlikely to have
reasonable grounds
for suspension

Investigation
(Section 6.2 of policy)

Notice of hearing to be
given in writing at least 5
working days in advance

No Further Action

Hearing (Section 6.3 – 6.5 of policy)
A) with Town Clerk & Employee.
Or
B) in matters relating to the Town Clerk, the Town Clerk,
Mayor, Deputy Mayor and nominated Committee
Chair

Advise / arrange training,
counselling, advice etc

In either situation A or B where there is an allegation of gross
misconduct or the possibility of dismissal there should also be
an independent HR advisor present

Hearing outcome to
advised, in writing within 5
working days

Appeal
(Section 7 of the Policy)
(Any appeal must be made in writing within 10 days
of the decision
The Appeal Panel will hear the appeal, providing
that they have had no previous involvement in the
matter, assisted by an independent adviser, if
appropriate.

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