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DISCIPLINARY POLICY

POLICY STATEMENT

1. PHSO expects its employees to maintain high standards of conduct and behaviour
in accordance with the PHSO Values and Code of Conduct. The Disciplinary Policy
is designed to ensure that employees achieve and maintain these standards of
behaviour and any failure to meet these standards is dealt with promptly,
decisively and fairly through action under this policy.

2. This policy is not intended to apply to issues of poor work performance, which are
handled under the Capability Policy. However, in exceptional cases where an
employee commits errors and the actual or potential consequences of this are, or
could be, extremely serious, for example jeopardise health and safety or relate to
financial mismanagement etc, action may be taken under this procedure.

PURPOSE AND SCOPE

3. This policy is designed to:

 enable employees to understand, achieve and maintain the standards of

conduct required by PHSO; and
 enable PHSO to manage conduct issues effectively.

4. The Disciplinary Policy and procedure does not apply to:

 termination of employment during the probation period, which is dealt with

under the Probation Policy and procedure;
 termination of employment by mutual consent;
 action taken in relation to attendance, which is dealt with under the
Capability Policy and the Healthy Workforce Policy; and
 performance issues which are handled under the Capability Policy.

5. This policy applies to all PHSO employees. Individuals on secondment to PHSO

may be subject to the procedures of their home organisations. HR, People &
Talent will normally consult with the home organisation before formal action is
taken.

6. Managers must make clear to agency workers and self-employed contractors the
standards of conduct required. Where there are misconduct issues, PHSO
reserves the right to remove an agency worker or self-employed contractor from
work immediately without recourse to this or any other employment policy.

7. PHSO Trade Union representatives are subject to the same Code of Conduct and
Disciplinary procedure as all other PHSO employees. However, their case will be
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discussed with a senior representative or full-time official before formal action is
taken.

PRINCIPLES

8. The following principles apply to the Disciplinary Policy and procedure:

 PHSO will not accept conduct that is below the standards expected of its
employees and will:
 clearly establish the required standards of conduct and behaviour;
 deal firmly and promptly with misconduct issues;
 make decisions necessary to protect our employees and our reputation for
impartiality, to ensure the effective running of the organisation and to
maintain a high quality of service to our customers; and
 seek to maintain the dignity of all employees involved in Disciplinary
proceedings.
 Line managers will take the lead in dealing with conduct issues, unless it is
inappropriate for them to do so, and will involve HR, People & Talent for
advice, information and support at the earliest stage of any stage of the
Disciplinary procedure.
 the disciplinary process is transparent, taking account of the requirement to
maintain strict confidentiality throughout;
 decisions made will be fair, consistent and appropriate to the particular
circumstances.

OUTCOMES

9. The intended outcomes of this policy are that:

 the conduct of PHSO employees is exemplary; and

 PHSO acts in compliance with relevant statutory requirements, including the
ACAS Code of Practice.

MONITORING AND REVIEW

10. HR, People & Talent will keep this policy under review and will monitor formal
decisions made under the Disciplinary procedure for fairness and consistency.

11. A formal review of this policy will take place every 3 years unless there is a
significant change in relevant legislation or business need which triggers a review
before then.

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Disciplinary procedure

1. Disciplinary Stages

1.1 The Disciplinary procedure has the following stages:

 Informal Stage
 Formal
 Investigation
 Hearing
 Appeal, as appropriate

1.2 This is not an escalating procedure. Where misconduct is serious it may be

appropriate to move to the formal stages of the Disciplinary procedure without
having first been through the informal stage. In these circumstances the line
manager must seek advice from HR, People & Talent.

2. Key Roles in the Disciplinary Procedure

2.1 In general, those involved in a Disciplinary procedure are as follows:

Stage in Manager taking action HR, People & Talent role
procedure
Informal Meetings conducted by the line Available for advice and
Stage manager, unless there is a particular guidance to line management
reason why it would be inappropriate
for this to be the case. In such
circumstances it should then be the
countersigning manager.
Formal A manager at a Pay Band no lower Where it is not appropriate for
Meetings/ than the employee and at least Pay the line manager to investigate,
Investigation Band D2 and who is unconnected with the investigator(s) will be
the case. appointed by HR, People &
Talent.

HR, People & Talent will provide

support and guidance to the
investigator(s).
Disciplinary Two person panel plus HR, People & The second panel member will
Panel Talent: be appointed following
o Hearing Manager to be at least consultation, between the
one Pay Band higher than the Hearing Manager and HR, People
employee; & Talent.
o second member at a Pay Band no
lower than the employee, outside Support from HR, People &
the line management chain. Talent to ensure procedural
regularity.
Neither panel member should have
been involved with any previous
stage of the procedure.

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Stage in Manager taking action HR, People & Talent role
procedure
Appeal Conducted by the countersigning To ensure procedural regularity.
manager or a manager at the same
Pay Band or above as the Hearing
Manager who was not involved with
any previous stage of the procedure.

2.2 The Role of the Line Manager

The line manager may be asked to undertake the role of Disciplinary Manager,
Investigator, or Hearing Manager in a disciplinary case but this will depend on the
circumstances of the case. Consideration will be given to ensure that they do not
carry out a role which presents a conflict of interest. For example it would not
be appropriate for a manager to conduct an investigation and be on a Hearing
Panel, or to undertake any formal role when they should be interviewed as a
“witness”.

2.3 All employees taking part in the formal stages of a Disciplinary procedure
(including investigation meetings) may be accompanied to a meeting by a PHSO
colleague or Trade Union representative. For further information on the right to
be accompanied please see section 9.

3. Informal Stage

3.1 In cases of minor misconduct, the line manager should address any concerns
regarding an employee’s conduct informally, normally through a one-to-one
meeting.

3.2 At the informal meeting:

 the manager should outline the conduct causing concern and where possible
provide times and dates of when the misconduct has occurred;
 the manager should explain why the conduct is unsatisfactory and ensure that
the employee is aware of, and understands, the required standards of
conduct;
 the employee should have the opportunity to explain their conduct or ask
questions;
 the manager should ascertain whether the employee has any work-related
difficulties which could cause, or contribute to the unsatisfactory conduct, or
if there are any personal or health related problems.

3.3 The manager should keep a written record of the meeting. The length and format
of the notes will depend on the nature of the conduct issue and the circumstances
around each case. The note should be copied to the employee. Managers should
be aware that any records kept are likely to fall within the Data Protection Act.
As this is informal action these notes are not saved on the employee’s personal
file in HR, People & Talent. If the misconduct recurs within a reasonable period
of time, these notes may be referred to when deciding the most appropriate
action.

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3.4 Where discussions at the informal stage indicate a more serious misconduct may
have occurred, the line manager should halt the meeting and advise the employee
that further investigation may be appropriate, following which the manager
should contact HR, People & Talent for guidance.

4. Formal Stage 1 – Investigation

4.1 If it is suspected, or reasonably believed, that a matter contravenes any of

PHSO’s policies or standards of behaviour or may otherwise be a matter which
should be subject to formal procedures, the employee or line manager identifying
the issue will promptly notify HR, People & Talent.

4.2 The line manager, with HR, People & Talent, will consider whether suspension is
appropriate. See section 8 for further information.

4.3 HR, People & Talent, in conjunction with relevant managers, will appoint a
Disciplinary Manager. Once appointed the Disciplinary Manager is responsible for
ensuring the prompt progress of the investigation and for keeping all relevant
parties informed as to progress.

4.4 The Disciplinary Manager will initiate an investigation to establish the facts and
gather information. The Investigator (this may be the Disciplinary Manager but
for clarity through the investigation stages of this procedure this person will be
called the Investigator) will work with HR, People & Talent to carry out the
investigation. Depending on the particulars of the investigation in complex cases
it may be appropriate for more than one person to investigate the complaint, but
this will be the exception. In some cases, an investigation may be carried out by
an individual who is not a PHSO employee. This will be arranged by HR, People &
Talent if the investigation requires specialist knowledge or skills or if the
circumstances of the case require the Investigator to be independent of PHSO.

4.5 The Disciplinary Manager will write to the employee informing them that the
Formal Disciplinary procedure has been initiated. The letter will inform them of
the issues under investigation and the name of the Investigator.

4.6 The investigation should be given high priority by all concerned in order that it
may be expedited as quickly as possible. The investigation will usually consist of
the following steps:
 meet with the disciplinary case originator;
 meet with any other employee involved in the case, as a participant or
witness;
 meet with the employee who is the subject of the investigation;
 invite the employee to identify any relevant witnesses;
 review relevant documentation.

4.7 Investigation meetings are formal meetings which should be noted.

4.8 On completion of the investigation, a report must be prepared; this report should
detail the thorough investigation which has taken place and set out the facts of
the investigation. The report is expected to identify: key pieces of evidence,
areas where evidence is not available or cannot be substantiated and conflicting
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evidence. However, it will not include a recommendation for action to be taken
with regard to the individual. The completed investigation report will be sent to
the Hearing Manager.

4.9 The Hearing Manager will review the investigation report and decide whether:

 the allegation has not been substantiated and there is no case to answer; or
 there appears to be a case to answer and a formal Disciplinary Hearing should
be convened.

4.10 If following their review of the investigation report the Hearing Manager decides
that the allegation has not been substantiated, instead of meeting with the
employee they may decide to write to the employee to advise them of the
outcome and notify them that the case is closed. Advice must be sought from HR,
People & Talent if this option is to be pursued and the employee’s line manager
should be informed.

5. Formal Stage 2 – Disciplinary Hearing

5.1 Where there appears to be a case to answer, a panel will need to be convened.
The second panel member will be identified and appointed following consultation
between the Hearing Manager and HR, People & Talent.

5.2 The Hearing Manager will write to the employee inviting them to a Hearing.
Enclosed with the letter should be a copy of the investigation report along with
all information and documentation to be considered by the Panel. This should be
sent at least 5 working days before the Hearing. The Hearing Manager may ask
the investigator to attend the Hearing to present their findings and clarify aspects
of the report.

5.3 If an employee cannot attend the Disciplinary Hearing on the date advised for
reasons outside of their control, the Hearing Manager should consider a further
date. However, a decision may be taken in the employee’s absence if they fail to
attend the re-arranged meeting without good reason.

5.4 At the Hearing the Hearing Manager should:

 introduce those present and their roles in the meeting;

 explain the purpose of the Hearing;
 state the allegation(s) made;
 explain how the Hearing will be conducted and ensure all participants are
aware they can request an adjournment at any time during the proceedings.

5.5 Only allegations communicated to the employee in advance of the Hearing can be
discussed at the Hearing.

5.6 The purpose of the Disciplinary Hearing is to:

 give the employee the opportunity to provide any additional information;

 give the employee the opportunity to raise any mitigating factors;
 allow the employee/Panel to ask questions;
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 raise points about evidence provided by the witnesses.

5.7 Following the above, the Panel will adjourn to consider the outcome of the
hearing. The Disciplinary Panel must decide whether disciplinary action is
justified or not, and if so what level of disciplinary action is appropriate.

5.8 Before reaching a decision the Panel should take account of the employee’s
disciplinary record, their length of service, actions taken in previous similar cases
and whether the intended disciplinary action is reasonable under the
circumstances.

5.9 Disciplinary action may include one or more of the following:

 No penalty but remedial action required (eg. coaching, change in work

practices);
 Noted Oral Warning;
 First Written Warning;
 Final Written Warning;
 Demotion; following a First or Final Written Warning;
 Redeployment; following a First or Final Written Warning;
 Dismissal (with notice or summarily).

5.10 If practicable, the Hearing Manager will communicate the outcome of the Hearing
to the employee by reconvening the Hearing. The Hearing Manager will always
write to the employee advising the outcome, this letter will contain:

 the decision of the Hearing Panel;

 the nature and duration of any penalty;
 details of other any actions agreed;
 a warning of potential action should further or other misconduct occur;
 confirmation of the right of appeal, including timescales and to whom an
appeal should be sent.

6. Duration of warnings

6.1 A warning is considered to be live for a fixed duration, after which it will be
disregarded for disciplinary purposes:

 Noted Oral warning – 6 months;

 First Written warning – 9 months;
 Final Written warning – 12 months.

6.2 In very exceptional circumstances and after discussion with the member of HR,
People & Talent supporting the Hearing Panel, a Final Written Warning may be
extended to 18 months or 24 months.

6.3 A record of the warning stays on an employee’s file after it is spent. If similar
misconduct occurs within a short time of the warning being spent, the misconduct
decision may take account of the previous warning.

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6.4 An employee who has a live warning on their file may not apply for secondment
opportunities or promotion for the duration of the warning. Live warnings may
also be taken into account for other management decisions such as selection for
redundancy.

7. Formal Stage 3 - Appeal

7.1 The employee has the right to appeal against the outcome of the Disciplinary
Hearing. The appeal should be submitted in writing within 10 working days of the
date of the disciplinary decision letter, following which an Appeal Manager will be
appointed. If the disciplinary decision has been taken by a Leadership Team
member, the appeal will usually be heard by an alternative Leadership Team
member, or exceptionally by an Advisory Board member(s).

7.2 The appeal letter should set out the full grounds of appeal as the content of this
letter will be the basis on which the appeal is considered. All documentary
evidence which the employee considers relevant to the appeal should accompany
the appeal letter or be submitted within 5 working days of the appeal being
lodged.

7.3 The Appeal Manager will write to invite the employee to an Appeal meeting.

7.4 At the meeting, the Appeal Manager will consider the representations made by
the employee. The purpose of the appeal is not to re-hear the case. However,
the Appeal Manager will consider:

 whether the procedure has been followed;

 any new evidence that was not previously available;
 whether the decision was reasonable in the circumstances.

7.5 The Appeal Manager will be supported through the process by a member of HR,
People & Talent. The Appeal Manager will consider whether there is a need to
call for further evidence before reaching a decision.

7.6 Following consideration of the evidence, the Appeal Manager will communicate
their decision to the employee in writing. The letter will include:

 the outcome of the appeal and the reasons for the decision;
 any actions agreed to resolve the situation if the appeal is upheld;
 a reminder that there is no further appeal.

7.7 The outcome of the appeal may be one of three options:

 the appeal is fully upheld, no penalty to be imposed and no further action to

be taken;
 the appeal is partially upheld, a reduced/alternative penalty to be imposed
and/or further action to be taken;
 the appeal is dismissed and the outcome stands.

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8. Suspension

8.1 In certain circumstances an employee may be suspended from work. Other than
in exceptional circumstances, suspension will be on full pay and should only be for
a limited period of time to enable an investigation to be completed and for a
hearing to determine the outcome of the allegations. A decision to suspend does
not imply guilt and is not a disciplinary penalty. In some situations an employee
may be transferred to another location or job whilst an investigation takes place.

8.2 Suspension may be the appropriate action where:

 the matter to be investigated may be gross misconduct; and/or

 PHSO feels that the employee’s continued presence at work is not
possible/appropriate; and/or
 there is a perceived threat to the safety or wellbeing of the employee
concerned, or other employees, should they remain in the workplace.

In all instances advice must be sought from HR, People & Talent.

8.3 If at any stage of the investigation it becomes clear that the alleged misconduct
cannot be substantiated, then the suspended employee will be instructed to
return to work, unless such a return would impede the prompt conclusion of the
investigation. Conversely, if an employee has not been suspended but the
investigation provides information that indicates suspension is the appropriate
course of action this decision can be taken part way through the process.

8.4 The steps for suspending an employee are:

 the line manager should discuss with their Director/Head of Function (or in
their absence, another Senior Manager) whether suspension is appropriate,
seeking advice from HR, People & Talent;
 if authorisation is received from the Director/Head of Function, an
appropriate manager, with HR, People & Talent, will meet with the employee,
to inform them of the suspension and explain the reason;
 the employee will normally be permitted to collect personal belongings before
being escorted from the premises immediately; and
 details of the suspension will be sent in writing (normally by HR, People &
Talent or the line manager) to the employee as soon as possible detailing the
reason for suspension and the process to be followed thereafter.

8.5 In exceptional circumstances, a suspension may be carried out over the

telephone, if the employee is not on the premises. The telephone call must take
place in the presence of a member of HR, People & Talent (or another manager)
and will be followed by a letter, as described above.

8.6 A suspended employee will not usually be permitted to interact with other
employees without permission from their line manager/countersigning manager.
Certain facilities, such as remote access to PHSO intranet and email, will normally
be removed during suspension.

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8.7 Suspension can be difficult for the employee and disruptive for the team. It
should not be a decision which is taken lightly and should be kept to the shortest
period possible. Disciplinary procedures following a suspension should, therefore,
be dealt with as a matter of urgency.

9. Right to be accompanied

9.1 All employees who are subject to the formal stages of the Disciplinary procedure
have a right to be accompanied to meetings by a PHSO colleague or Trade Union
representative (but not a solicitor, family member or friend outside PHSO).

9.2 PHSO also allows employees to be accompanied at investigation meetings if they

wish.

9.3 When arranging formal meetings employees will be reminded of the right to be
accompanied. Every effort will be made to accommodate the availability of the
colleague accompanying the employee. However, where this causes the process
to be unduly delayed, the employee may be requested to seek an alternative.

9.4 During the meeting the colleague or Trade Union representative may:

 address the meeting but not answer questions on behalf of the employee;
 confer with the employee during the meeting, requesting an adjournment if
necessary.

9.5 During the formal stages of the Disciplinary procedure the manager will be
accompanied by a member of HR, People & Talent.

10. Property and computer searches

10.1 In some disciplinary cases it may be necessary to search the employee’s desk, or
other cupboards and storage units; this will normally be done in the presence of
the employee.

10.2 In cases of suspected gross misconduct it may not be possible or appropriate to

obtain permission or search in the employee’s presence. In such cases, PHSO
reserves the right to conduct a search which will be carried out by a member of
HR, People & Talent and in the presence of a witness. The employee will always
be informed that a search has been conducted and the reason for it.

10.3 It may also be necessary to interrogate other computer held data as part of the
disciplinary investigation. This will be done in accordance with the relevant PHSO
policies, including the ICT Acceptable Use Policy.

10.4 Records and other assets may need to be secured, particularly where these may
be required as evidence.

11. Criminal offences and convictions

11.1 Some acts of misconduct may constitute criminal offences; where this is the case,
PHSO will involve the police. Internal procedures may run concurrently with
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criminal proceedings, HR, People & Talent will seek legal advice to ensure that
any internal action does not prejudice the employee’s right to a fair trial.

11.2 Where an employee is charged or convicted of a criminal offence outside PHSO

they must inform HR, People & Talent immediately. This will not automatically
result in disciplinary action. Factors which will influence the decision include:

 the nature of the (alleged) offence;

 the Court’s decision;
 any sentence imposed; and
 whether the (alleged) offence:
o brings or has the potential to bring PHSO into disrepute and/or
impair its effective functioning;
o indicates the individual is unsuitable for continued employment;
o prevents the employee from carrying out their duties.

11.3 Failure to report a conviction is regarded as serious misconduct and may result in
disciplinary action regardless of any action arising from the conviction itself.

12. Timescales

12.1 Timescales have largely been left open in order to provide a degree of flexibility.
All those concerned in the Disciplinary procedure should try to strike a balance
between the (often conflicting) needs to:

 expedite the matter as quickly as possible;

 provide sufficient notice to allow participants to prepare for a meeting (and
arrange accompaniment, as appropriate);
 deal with work pressures and deadlines; and
 allow for other commitments (such as annual leave).

13. Grievance during Disciplinary procedure

13.1 If a grievance is raised in writing during a Disciplinary process, the aim will be to
avoid an unnecessary duplication of procedures and to ensure that the matter is
dealt with speedily. The issues will be dealt with as one process where it is
appropriate to do so and where this will expedite matters.

13.2 In exceptional cases, where a complaint is made during the disciplinary process
which impacts directly on the conduct of the process (specifically where the
complaint is that disciplinary action is discriminatory or that the real cause of
action is other than that specified by the manager), the process may be halted
and the grievance may be considered separately.

13.3 The decision to halt the disciplinary process will be taken by a manager at
Director level or above, in conjunction with HR, People & Talent. Employees
should be aware that if such a grievance is found to be vexatious or raised with
the intention of disrupting the disciplinary process, they are likely to be subject
to further disciplinary action.

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14. Sickness absence during Disciplinary procedure

14.1 PHSO aims to deal with disciplinary matters as quickly as is practicable. A brief
period of sickness absence may delay the process but if there are repeated short
periods or one long period of sickness absence then at least part of the process
may continue in the employee’s absence. Alternatively, the Panel may wish to
consider written representations from the employee or their representative, in
the employee’s absence.

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Conduct likely to lead to disciplinary action

1. Levels of misconduct

1.1 There are three levels of misconduct:

 Gross misconduct – behaviour that damages the relationship between PHSO

and the employee to the extent that continued employment may no longer be
possible. May result in dismissal without notice (summary dismissal).
 Serious misconduct – behaviour that damages trust and confidence between
PHSO and the employee but the damage is not irretrievable. May result in a
First or Final Written Warning. Continued repeated serious misconduct can
lead to dismissal;
 Minor misconduct – unacceptable behaviour which, as an isolated incident,
requires corrective action but does not in itself damage the employment
relationship. May result in a noted Oral Noted warning or a First Written
Warning.

1.2 The types of behaviour that are likely to be considered as gross misconduct are
given below for guidance purposes only. This list is not intended to be
exhaustive.

 violent, abusive or intimidating conduct

 bribery, theft or fraud
 wilful damage to PHSO’s property or reputation, including any action which is
likely to bring PHSO to disrepute
 serious negligence which has, or has the potential to, cause significant loss,
damage or injury
 serious and/or persistent bullying, harassment or discrimination
 conviction for a serious criminal offence which affects the reputation or
credibility of PHSO
 serious acts of insubordination
 unauthorised use or disclosure of confidential information
 deliberate falsification of PHSO’s records
 failure to comply with relevant statutory or regulatory requirements
 breach of Health and Safety regulations which endangers others
 a serious or wilful breach of the Code of Conduct.

1.3 In some cases, the level of misconduct escalates in stages. Behaviour which is
considered minor misconduct the first time it occurs may be viewed as serious
misconduct or as gross misconduct the second time it occurs.

1.4 Incidents of gross misconduct whether a first instance or escalated in stages, may
result in dismissal, with or without notice.

1.5 Where a manager identifies conduct which is inappropriate they should contact
HR, People & Talent with regard to following the Disciplinary procedure.

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Annex 1: DISCIPLINARY PROCEDURE FLOWCHART

Possible misconduct
takes place

Potential misconduct Potential misconduct

considered to be sufficiently serious to
minor and managed warrant formal action
Informally

The Formal stages of the

Conduct does not
End of Disciplinary Process.
improve or further Investigation and Hearing
process misconduct takes place

Investigation
Disciplinary case,
indicates no
upheld or partially case to
upheld answer

Disciplinary
sanction imposed

If outcome if
Appeal
dismissal,
employee leaves
PHSO

Appeal upheld Appeal

dismissed

Reduced penalty No penalty

imposed or other imposed and no
necessary action other action
identified

End of process

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