Capability and Disciplinary Procedure - Guidance Notes

8/21/2019 Capability and Disciplinary Procedure - Guidance Notes

1/36

NORTHUMBERLAND COUNTY COUNCIL

GUIDANCE NOTES ON THE OPERATION OFTHE CAPABILITY AND DISCIPLINARY PROCEDURE

CONTENTS

Section Page

PURPOSE OF THE GUIDANCE............................................................................................1Application of the procedre! to chief officer!.......................................................................1"hen are the procedre! !ed#............................................................................................ 1

Infor$al action!.................................................................................................................1Ad%ice and a!!i!tance for $ana&er!................................................................................ 1I! it capa'ilit( or i! it di!cipline#......................................................................................... 1

The No$inated Officer...........................................................................................................1Po"er! of No$inated Officer!...........................................................................................1Dtie! of No$inated Officer!.............................................................................................1)riefin& the In%e!ti&atin& Officer........................................................................................1

Condctin& the in%e!ti&ation.............................................................................................1The ri&ht! and dtie! of e$plo(ee!..................................................................................1In%e!ti&atin& co$plaint! a&ain!t In%e!ti&atin& or Enforce$ent Officer!............................1S!pen!ion pre or po!t in%e!ti&ation................................................................................1Preparin& the report for the No$inated Officer.................................................................1En!rin& the ri&ht! of the e$plo(ee drin& the hearin&.................................................... 1Dealin& "ith the or&ani!ation*! "itne!!e!.........................................................................1Dealin& "ith the e$plo(ee+! "itne!!e!.............................................................................1,ana&in& challen&e! to "itne!! !tate$ent!.....................................................................1

THE CONC-USION OF A CAPA)I-IT OR DISCIP-INAR HEARING.................................1Co$in& to a deci!ion.........................................................................................................1Co$$nicatin& the deci!ion............................................................................................. 1Secrin& i$pro%e$ent.....................................................................................................1/Ca!e! in%ol%in& frad or fal!if(in& infor$ation.................................................................1Redeplo($ent and de$otion............................................................................................1Re0ire$ent to "or drin& the period of notice...............................................................1

THE APPEA- HEARING........................................................................................................1Preparin& for the hearin&...................................................................................................1Preparin& and pre!entin& the ca!e...................................................................................1The e$plo(ee!*! &rond! for appeal................................................................................1Dealin& "ith appeal! drin& e$plo(ee*! pro'ationar( period...........................................1Co$in& to a deci!ion.........................................................................................................1Rein!tate$ent and re2en&a&e$ent...................................................................................1

De'riefin& and !pport...........................................................................................................1RE3IE4 OF CAUTIONS AND 4ARNINGS...........................................................................1,onitorin& the e$plo(ee...................................................................................................1E5pired cation! and "arnin&!..........................................................................................1-iftin& $onitorin& arran&e$ent!........................................................................................1

Condition! of !er%ice i!!e!...................................................................................................1Attendance at a hearin& or inter%ie".................................................................................1Annal lea%e drin& period! of !!pen!ion.......................................................................1Sic lea%e drin& period! of !!pen!ion...........................................................................1Entitle$ent to !ic pa( ari!in& fro$ di!ciplinar( $atter!...................................................1Application! for e$plo($ent drin& period! of !!pen!ion..............................................1Rein!tate$ent and calclation of 'ac2pa(.......................................................................1

Pa($ent! on di!$i!!al......................................................................................................1Re!tittion in ca!e! of frad or theft..................................................................................1Capa'ilit( ca!e! 2 other !anction! a%aila'le......................................................................1Di!cipline ca!e! 2 effect! on pa( and ftre pro$otion.....................................................1

6 North$'erland Cont( Concil


2/36

Sa$ple letter! and doc$ent!...............................................................................................1-etter to confir$ a&reed action pre for$al capa'ilit( or di!ciplinar(................................178Dra"in& the line8............................................................................................................19Infor$in& an e$plo(ee of an in%e!ti&ation......................................................................1:In%itation to attend a di!ciplinar( hearin&........................................................................;/For$al "arnin& letter.......................................................................................................;1Final "arnin& letter..........................................................................................................;;

Notification of !!pen!ion letter......................................................................................;In%itation to attend a capa'ilit( hearin&...........................................................................;?Confir$ation of a capa'ilit( follo"2p hearin&................................................................;7For$al cation letter........................................................................................................;9Final cation letter...........................................................................................................;:Di!$i!!al on &rond! of capa'ilit(..................................................................................


3/36

NORTHUMBERLAND COUNTY COUNCIL

GUIDANCE NOTES ON THE OPERATION OF THECAPABILITY, DISCIPLINARY PROCEDURE

PURPOSE OF THE GUIDANCE

The!e &idance note! do not fo!part of the Capa'ilit( and Di!ciplinar( Procedre. The(are a !tate$ent of &ood practice@ de!i&ned to a!!i!t $ana&er! to carr( ot theirre!pon!i'ilitie! nder the Capa'ilit( and Di!ciplinar( Procedre. The &idance note! arecon!i!tent "ith crrent e$plo($ent le&i!lation@ ca!e la" and the rele%ant ACAS Code ofPractice.

APPLICATION OF THE PROCEDURES TO CHIEF OFFICERS

The Capa'ilit( and Di!ciplinar( Procedre applie! to all for$al capa'ilit( and di!ciplinar(!itation! concernin& e$plo(ee! of the Concil e5cept firefi&hter! and tho!e "ithin !copeof Schedle 1? of the School Standard! and Fra$e"or Act 1::9. Ho"e%er@ "hen appliedto Chief Officer!@ the follo"in& a$end$ent! are re0ired in accordance "ith the Concil*!Standin& Order!.

The po"er of !!pen!ion of Chief Officer! lie! "ith the Chief E5ecti%e.

The po"er of !!pen!ion of the Chief E5ecti%e lie! "ith the -eader of the Concil in

con!ltation "ith the ,onitorin& Officer.

The po"er of di!$i!!al of an( Chief Officer incldin& the Chief E5ecti%e lie! "ith an

appropriate Panel of the Concil.

Chief Officer appeal! a&ain!t di!$i!!al "ill 'e heard '( a panel of elected $e$'er!

"ith tho!e $e$'er! 'ein& in%ol%ed in the ori&inal deci!ion to !!pend or di!$i!! 'ein&e5clded fro$ $e$'er!hip of the appeal panel.

The Head of the Paid Ser%ice $a( tae di!ciplinar( action e5cept for di!$i!!alB a&ain!tan( Chief Officer.

"HEN ARE THE PROCEDURES USED#

Info!a$ action%

The pri$ar( prpo!e of the Capa'ilit( and Di!ciplinar( Procedre i! to i$pro%e theperfor$ance and condct of e$plo(ee!. U!all( the infor$al control! e5erci!ed drin&rotine !per%i!ion are !fficient and the!e !hold al"a(! 'e actioned initiall(. It "ill 'enece!!ar( to !e the for$al procedre "here the nor$al !per%i!or( proce!! ha! failed to"or or "here the i!!e i! !erio!.

Occa!ionall(@ a $ana&er "ill "i!h to 'rin& naccepta'le perfor$ance or 'eha%ior to theattention of an e$plo(ee in a !li&htl( $ore for$al $anner "ithot !in& the fll for$alprocedre and thi! i! accepta'le. It i! al!o &ood practice to atte$pt to o'tain theco$$it$ent of the e$plo(ee to attain the e5pected !tandard of perfor$ance or condctand to confir$ that co$$it$ent in "ritin& after the infor$al $eetin&. Ho"e%er@ the "rittenconfir$ation !hold not contain a cation or "arnin& a! "ritten cation! and "arnin&! canonl( 'e i!!ed if the for$al procedre! ha%e 'een follo"ed. A !a$ple infor$al letter@ "hich$ana&er! are ad%i!ed to adopt@ i! !ho"n at the end of thi! doc$ent. o !hold $ae anote of the content of an( infor$al $eetin& and retain thi! a! (o $a( need to refer to thi!$eetin& at a later !ta&e.

6 North$'erland Cont( Concil 1 Re%i!ed April ;/1/


4/36

Ad&ice and a%%i%tance fo !anage%

Ad%ice and a!!i!tance i! a%aila'le fro$ the H$an Re!orce Ser%ice !o that (o feelco$forta'le a'ot (or role in the !per%i!or(@ capa'ilit( or di!ciplinar( proce!!e!.It i! particlarl( i$portant to con!ider !eein& ad%ice "hen2

decidin& pon the !cope of an in%e!ti&ation@

decidin& "hether or not to !!pend an e$plo(ee@

decidin& "hether or not to initiate for$al action@

for$latin& the co$plaint a&ain!t the e$plo(ee@

co$in& to a deci!ion after a hearin&@

for$latin& the "ritten deci!ion of the hearin& and

preparin& the !tate$ent of ca!e for the appeal.

)( tain& ad%ice at the!e critical !ta&e! (o "ill en!re that (or action! are con!i!tent "iththe approach taen thro&hot the Concil@ en!re@ that all rele%ant i!!e! are co%ered inthe nece!!ar( doc$ent! and that an( potential "eane!!e! in procedre or findin&! are

identified at an earl( !ta&e.

Dea$ing 'it( %)%*ected financia$ ieg)$aitie%

Financial Re&lation! re0ire that the Director of Re!orce! or hi! repre!entati%e !hold 'e$ade a"are i$$ediatel( of an( !!pected irre&larit( affectin& the finance! or propert( ofthe Concil. Adit !taff "ill &i%e &idance on ho" and '( "ho$ the financial a!pect! of theca!e !hold 'e in%e!ti&ated.4here the financial irre&larit( i! !i&nificant the Director of Re!orce! "ill con!lt "ith-e&al Ser%ice! a'ot referrin& the $atter to the police.

Dea$ing 'it( %)%*ected incident% '(ee a c(i$d o &)$nea+$e ad)$t (a% +een (a!edo *)t at i% of (a!

An( co$plaint! or concern! in relation to a child or %lnera'le adlt 'ein& har$ed or pt atri! of har$ $!t 'e notified i$$ediatel( to the appropriate !afe&ardin& officer. Therele%ant officer "ill &i%e ad%ice on ho" the in%e!ti&ation !hold 'e carried ot.

In&o$&ing t(e *o$ice

The police $a( al!o need to 'e in%ol%ed "here !erio! $i!condct or irre&laritie! arealle&ed to ha%e occrred "hich do not in%ol%e the Concil+! finance! or propert(@ !ch a!a!!alt or threatenin& 'eha%ior. In !ch ca!e! (o !hold contact -e&al Ser%ice! a'ot

referrin& the $atter to the police.

The police $a( ref!e to 'eco$e in%ol%ed ntil an internal in%e!ti&ation ha! !ho"n thatthere i! a real po!!i'ilit( of a cri$e ha%in& 'een co$$itted. In !ch ca!e!@ an initial internalin%e!ti&ation !hold 'e carried ot to e!ta'li!h "hether or not thi! i! the ca!e. If a cri$eappear! to ha%e 'een co$$itted@ con!ltation! a'ot police in%ol%e$ent !hold 'ere!$ed.

4hene%er the police are in%ol%ed in a ca!e care !hold 'e taen not to i$pede theirin%e!ti&ation!. It i! %er( rarel( nece!!ar( to a"ait the re!lt of an( cri$inal pro!ection that$i&ht en!e nle!! the police or the Cro"n Pro!ection Ser%ice !pecif( thi!.

I% it ca*a+i$it- o i% it di%ci*$ine#

6 North$'erland Cont( Concil ; Re%i!ed April ;/1/


5/36

It i! !o$eti$e! %er( difficlt to tell the difference 'et"een capa'ilit( and di!ciplinar( i!!e!.There are t"o !i$ple phra!e! "hich di!tin&i!h 'et"een capa'ilit( and di!ciplinar( i!!e!2

Capa'ilit( i! "I would if I could but ..." and a po!!i'le rea!on $i&ht 'e2I ha%en+t 'een trained@$( 'ac "on+t let $e@I ha%en+t &ot a licence or@I don+t nder!tand "hat (o $ean.Di!cipline i! "I can but I won't ..." and a po!!i'le rea!on $i&ht 'e2I don+t care "hat (o !a(@"h( !hold I#@I+$ their 'o!! !o I can do "hat I lie

So$e thin&! are o'%io!l( dealt "ith ato$aticall( nder di!ciplinar( !ch a! frad@ theft@ph(!ical a!!alt a&ain!t a collea&e or client@ di!hone!t(@ hara!!$ent@ a'!e of po!itionand 'll(in&.

THE NOMINATED OFFICER

Po'e% of No!inated Office%

Onl( people no$inated '( the Chief Officer are e$po"ered to tae for$al action nder theCapa'ilit( and Di!ciplinar( Procedre. A li!t of accredited officer! athori!ed to tae actionnder the!e procedre! i! $aintained '( the H$an Re!orce Ser%ice and i! a%aila'le onthe intranet.

D)tie% of No!inated Office%

The dtie! of the No$inated Officer are t"o2fold

to en!re that the intere!t! of the Concil are protected. to en!re that an( e$plo(ee "ho i! the !'ect of a capa'ilit( or di!ciplinar( i!!e i!

treated fairl( and rea!ona'l(.

Se$ecting a No!inated Office

A No$inated Officer !hold 'e allocated for each ca!e a! it ari!e!@ tain& into accont theapparent !erio!ne!! of the i!!e and the e5perience of the No$inated Officer. In practice@the Chief Officer $a( dele&ate the allocation of indi%idal ca!e! to one of the %er( !eniorNo$inated Officer!.

I$partialit( i! e!!ential and the No$inated Officer !hold@ "here rea!ona'l( practica'le@ 'e

a per!on "ho ha! not 'een pre%io!l( in%ol%ed in the $atter.

Se$ecting an In&e%tigating Office

One of the fir!t ta!! of the No$inated Officer i! to !elect an In%e!ti&atin& Officer@ nor$all(fro$ their o"n Directorate. An In%e!ti&atin& Officer i! !ed in order to pro%ide !o$e!eparation 'et"een the fnction! of 8pro!ector8 and 8d&e8. The per!on "ho carrie! otthe in%e!ti&ation of a co$plaint !hold not condct the capa'ilit( or di!ciplinar( hearin&.

In 'oth capa'ilit( and di!ciplinar( ca!e! it i! often appropriate for the e$plo(ee+! line$ana&er to 'e the In%e!ti&atin& Officer. Ho"e%er@ there "ill 'e occa!ion! "hen the natreof the i!!e nder in%e!ti&ation or the relation!hip 'et"een the e$plo(ee and the line

$ana&er $ae it inappropriate for the line $ana&er to ndertae that role. The H$anRe!orce Ser%ice can pro%ide ad%ice and &idance in !electin& In%e!ti&atin& Officer!.

6 North$'erland Cont( Concil < Re%i!ed April ;/1/


6/36

4hen choo!in& an In%e!ti&atin& Officer (o !hold con!ider that the( "ill need to pre!entthe ca!e at the capa'ilit( or di!ciplinar( hearin& if there i! to 'e oneB. If the ca!e proceed!to E$plo($ent Tri'nal it i! liel( that the( "ill 'e called a! one of the e( "itne!!e! for theConcil.

Biefing t(e In&e%tigating Office

The No$inated Officer !hold en!re that the In%e!ti&atin& Officer nder!tand! the !copeand depth of the in%e!ti&ation re0ired. Thi! $a( chan&e dependin& pon the findin&! ofthe initial in%e!ti&ation.

ROLE OF THE IN.ESTIGATING OFFICER

The In%e!ti&atin& Officer ha! three di!tinct dtie!.

To 'e i$partial and carefl to "ei&h all the e%idence o'tained 'efore co$in& to a

concl!ion.

To prepare a report once all of the e%idence ha! 'een &athered and $ae areco$$endation to the No$inated Officer a'ot "hether a for$al hearin& !hold 'econ%ened.

To pre!ent the ca!e for $ana&e$ent if the No$inated Officer decide! that a for$al

hearin& !hold 'e con%ened..

Cond)cting t(e in&e%tigation

In it! !i$ple!t for$@ 8in%e!ti&atin& the ca!e8 cold 'e a! 'a!ic a! a!in& !o$eone to o'tainan e$plo(ee+! a'!ence record and to report on "hether or not all the a'!ence! "erecorrectl( recorded and athori!ed. Ho"e%er@ for $ore !erio! ca!e!@ the In%e!ti&atin&Officer $a( need to dra" p a plan for the in%e!ti&ation "hich !hold 'e carried ot a!

!oon a! po!!i'le.

The re0ire$ent! !et ot in the doc$ent entitled Procedures for Hearings andAppealsconcernin& notice of hearin&! DO NOT appl( "hen arran&in& in%e!ti&ationinter%ie"! or !i$ilar $eetin&!. All that i! re0ired i! to &i%e rea!ona'le "arnin& of the$eetin&. If an e$plo(ee i! na'le to tra%el or 'e tran!ported to "or@ the inter%ie" !holdtae place in a Concil propert( con%enient to the e$plo(ee*! ho$e@ if practica'le.

T(e ig(t% and d)tie% of e!*$o-ee%

The doc$ent entitled Infor$ation for E$plo(ee! !et! ot the 'a!ic infor$ation re0ired'( an e$plo(ee nder !!pen!ion or in%e!ti&ation@ the e$plo(ee !hold 'e &i%en a cop( of

that doc$ent.

One of the $o!t i$portant i$plied ter$! in a contract of e$plo($ent i! $tal tr!t andconfidence. Therefore@ it i! rea!ona'le to e5pect that all e$plo(ee! "ill 'e hone!t "hen'ein& 0e!tioned and that the Concil "ill condct it! in%e!ti&ation! and hearin&! hone!tl(and in &ood faith. A 'reach of that tr!t i! fre0entl( fatal to the contract of e$plo($ent't e$plo(ee! are often and nder!tanda'l( relctant to 8incri$inate8 the$!el%e! or theircollea&e!. Ho"e%er@ "herea! a per!on nder in%e!ti&ation $i&ht nder!tanda'l( not "i!hto an!"er certain 0e!tion!@ the e$plo(er ha! the ri&ht to e5pect all e$plo(ee! to co2operate fll( in all rea!ona'le en0irie!. Therefore@ it $a( !o$eti$e! 'e nece!!ar( to 'rin&to the e$plo(ee+! attention the fact that conceal$ent@ di!hone!t( or an( atte$pt to pre%entthe Concil fro$ ndertain& a proper in%e!ti&ation cold in it!elf re!lt in di!ciplinar(

action 'ein& taen a&ain!t the per!on concerned.

6 North$'erland Cont( Concil = Re%i!ed April ;/1/


7/36

An inter%ie"ee can 'e acco$panied '( a trade nion official or a "or collea&e 't thatper!on i! not a repre!entati%e and $!t not an!"er 0e!tion! on the inter%ie"ee+! 'ehalf.It i!@ ho"e%er@ le&iti$ate for that per!on to $ae repre!entation! to the inter%ie"er if !Bhecon!ider! that the 0e!tionin& i! oppre!!i%e or nfair. It i! al!o in order for that per!on to!&&e!t a particlar line of 0e!tionin& to the In%e!ti&atin& Officer in order to en!re that allrele%ant i!!e! are co%ered.

Inte&ie'ing

Nor$all(@ it i! 'etter to inter%ie" all tho!e "ho can thro" an( li&ht on the alle&ed poorperfor$ance or condct 'efore !peain& to the per!on nder in%e!ti&ation. Carefl note!need to 'e taen. Con!ideration $a( 'e &i%en to tain& alon& a note2taer in $ore co$ple5ca!e!@ ho"e%er@ it i! 'e!t practice to t(pe p note! of the inter%ie" and to !i&n and datethe$. The ro&h or hand2"ritten note! !hold 'e retained on file for ftre reference.3er'ati$ tran!cript! of inter%ie"! are not nece!!ar(. A cop( of the inter%ie" note! !hold'e !ent to the inter%ie"ee.)efore co$$encin& the inter%ie"@ the In%e!ti&atin& Officer !hold !et the !cene '(infor$in& the inter%ie"ee of

the prpo!e of the inter%ie".

chec "hether the( "i!h to 'e acco$panied '( their trade nion repre!entati%e or a

collea&e if the( are nacco$panied.

Re$ind the inter%ie"ee that the( $!t tell the trth.

In%e!ti&atin& Officer! !hold 'e !(!te$atic in their 0e!tionin&. It i! ad%i!a'le to prepare!o$e e( 0e!tion! in ad%ance. In addition to atte$ptin& to di!co%er "hat actall(happened@ the In%e!ti&atin& Officer al!o need! to e!ta'li!h "hat !hold ha%e happened.For e5a$ple@ if a ta! ha! 'een done incorrectl( clarif( ho" it !hold ha%e 'een done andho" the indi%idal "old no" thi!. Finall(@ the( !hold !$$ari!e to te!t their o"n

nder!tandin& of "hat ha! 'een !aid.

In&e%tigating co!*$aint% again%t In&e%tigating o Enfoce!ent Office%

Co$plaint! a&ain!t In%e!ti&atin& or Enforce$ent Officer! !hold 'e in%e!ti&ated in the!a$e "a( a! an( other in%e!ti&ation.

The prpo!e of $an( of the!e co$plaint! $a('e to di!credit the %eracit( of a Concil"itne!! "hen &i%in& e%idence in a cri$inal pro!ection. The defence "ill $ae alle&ation!a&ain!t the in%e!ti&atin& or enforce$ent officer. The officer@ nder cro!!2e5a$ination in the"itne!! 'o5 "ill ha%e to ad$it that the( are the !'ect of a di!ciplinar( in%e!ti&ation andthe intention i! to di!credit the Concil+! e%idence.

If the in%e!ti&ation re%eal! that there i! !'!tance to the co$plaint then a di!ciplinar(hearin& $!t 'e con%ened nder the procedre. If the co$plainant ref!e! to pt theco$plaint in "ritin& or if there i! no !'!tance to the co$plaint then the officer "ill 'e a'leto !tate nder cro!!2e5a$ination that the co$plainant ref!ed to ela'orate or that theco$plaint "a! $ade 't not !'!tantiated.

S)%*en%ion *e o *o%t In&e%tigation

There $a( 'e a need to !!pend an e$plo(ee fro$ dt( "ithot predice and "ithot lo!!of re$neration if initiall( the %ie" i! that it $a( con!titte &ro!! $i!condct@ &ro!!

incapa'ilit( or "here an in%e!ti&ation into the alle&ed offence $i&ht 'e i$peded '( the

6 North$'erland Cont( Concil > Re%i!ed April ;/1/


8/36

pre!ence at "or of the e$plo(ee. The No$inated Officer "ill deter$ine thi!. Con!ltation"ith the H$an Re!orce Ser%ice i! ad%i!a'le.

Other !taff "here appropriateB !hold 'e infor$ed of the !!pen!ion and in%e!ti&ation inclear@ na$'i&o! ter$! and it !hold 'e !tre!!ed that there i! to 'e no a!!$ption of&ilt.

In $an( ca!e!@ e!peciall( tho!e in%ol%in& alle&ed or !!pected a!!alt or a'!e@ the letter!!pendin& the e$plo(ee fro$ dt( $a( prohi'it contact "ith a na$ed client or ppil or"ith the e!ta'li!h$ent and it! !taff for a period of ti$e. Thi! !tep !hold onl( 'e taen"here the No$inated Officer feel! it i! nece!!ar(.

4here an e$plo(ee i! !!pended@ it i! i$portant to en!re that their trade nion or "orcollea&e repre!entati%e i! &i%en rea!ona'le facilitie! to prepare a defence@ incldin&acce!! to the Concil e$plo(ee! "ho $i&ht 'e called a! "itne!!e! for the e$plo(ee.

The doc$ent entitled Information for Employees!et! ot the 'a!ic infor$ation re0ired'( an e$plo(ee nder !!pen!ion or in%e!ti&ation and the e$plo(ee !hold 'e &i%en acop( of that doc$ent.

In !o$e in!tance! "here an e$plo(ee i! !!pended "here it i! !!pected that a%lnera'le per!on ha! 'een har$ed or pt at ri! of har$ notification $!t 'e $ade to theappropriate re&lator( 'od( e.&. PO3A@ POCA@ GSCC@ GTC.

DEALING "ITH THE FINDINGS OF AN IN.ESTIGATION

Pe*aing t(e e*ot fo t(e No!inated Office

The report to the No$inated Officer !hold 'e prepared in the no"led&e that it $i&ht 'e

prodced in e%idence in an E$plo($ent Tri'nal. The follo"in& i! liel( to for$ part of thereport

the 'rief &i%en to the In%e!ti&atin& Officer and the na$e of the No$inated Officer

a 'rief !tate$ent on the 'ac&rond to the in%e!ti&ation@ if rele%ant@ a 'rief !ection co%erin& the !trctre of the nit or !ection in "hich the

e$plo(ee "or!@ the e$plo(ee+! !tart date and pre%io! record and an( "orin&and other relation!hip! "ith people "ho ha%e fi&red in the !a$e in%e!ti&ation a!co$plainant! or "itne!!e!@

infor$ation relatin& to the people inter%ie"ed drin& the cor!e of thein%e!ti&ation@

cop( of the e( doc$ent! e5a$ined@ con!idered or con!lted@

a !tate$ent of "hat happened a! far a! i! no"n@ incldin& reference to an(i$pondera'le! and ncertaintie!@

a !tate$ent of "hat !hold ha%e happened and

a reco$$endation a'ot "hether there !hold 'e an( frther action nder theCapa'ilit( and Di!ciplinar( Procedre and@ if !o@ the de&ree of !erio!ne!! of thatca!e. Ho"e%er@ the In%e!ti&atin& Officer !hold not e5pre!! an opinion on the!anction "hich !Bhe e5pect! to 'e taen.

pa&e! !hold 'e n$'ered for ea!e of reference

inter%ie" note! attached a! appendi5

date of report and the na$e of the In%e!ti&atin& Officer

The final report !hold a!!i!t the No$inated Officer and the e$plo(ee to nder!tand thei!!e! 'ein& rai!ed. 4here appropriate it !hold contain cro!!2reference! to attacheddoc$ent!.

6 North$'erland Cont( Concil ? Re%i!ed April ;/1/


9/36

RESPONSIBILITIES OF THE NOMINATED OFFICER

The No$inated Officer i! re!pon!i'le for en!rin& that a fll and proper in%e!ti&ation ha!'een carried ot "ithin the de!ired ti$e!cale!.

The( $!t al!o 'e !ati!fied that2

all appropriate per!on! ha%e 'een !poen to@

all a!pect! of the ca!e ha%e 'een con!idered@ !ch a!

the i$$ediate incident!B@the 'ac&rond to the i$$ediate incident!B@the circ$!tance! of the indi%idal! concerned@the e$plo($ent hi!tor( of the per!on!B nder in%e!ti&ation@the di!ciplinar( or capa'ilit( record of the per!on!B nder in%e!ti&ation@the relation!hip! 'et"een e$plo(ee! and@8c!to$ and practice8@ if rele%ant

all fact! ha%e 'een &athered and@ "here po!!i'le@ %erified.

Deciding '(et(e to *oceed 'it( fo!a$ action

On receipt of the In%e!ti&atin& Officer+! report@ the No$inated Officer "ill need to decide"hat action to tae ne5t and it i! ad%i!a'le to !ee ad%ice fro$ the H$an Re!orceSer%ice.

If the deci!ion i! to tae no for$al action nder the Capa'ilit( and Di!ciplinar( Procedre@and the e$plo(ee no"! that he or !he "a! nder in%e!ti&ation@ the e$plo(ee !hold 'etold of the deci!ion and nder!tand ho" the ca!e ca$e to 'e in%e!ti&ated.

Alternati%el(@ the No$inated Officer $a( decide that the per!on nder in%e!ti&ation !hold

face a for$al capa'ilit( or di!ciplinar( hearin&.

Pe*aing fo t(e ca*a+i$it- o di%ci*$ina- (eaing

En!re that rea!ona'le notice of the hearin& i! &i%en@ not le!! than a $ini$$ of > "orin&da(! and the date and ti$e of the hearin& i! con%enient for all partie! in%ol%ed. If thee$plo(ee i! &eninel( na'le to attend an( hearin& (o arran&e@ for e5a$ple if he or !hei! ill@ (o $!t offer another rea!ona'le date. If the e$plo(ee*! repre!entati%e cannot$ae the date of the hearin& (o offer@ the e$plo(ee $!t propo!e another date and ti$e"hich !hold 'e no $ore than fi%e da(! later than the ori&inal date. If thi! !econd hearin&i! $i!!ed@ (o are entitled to 'e fir$ and proceed "ith the hearin&.

The doc$entation !ent to the e$plo(ee !hold contain !fficient detail! of the co$plaintand it! po!!i'le con!e0ence! to ena'le the e$plo(ee to 'e prepared to an!"er allalle&ation! and deal fll( "ith the$ at the hearin&.

If ne" fact! e$er&e 'efore the hearin& and after the doc$entation ha! 'een i!!ed tothe e$plo(eeB or drin& the hearin&@ "hich are !i&nificant it i! 'etter to po!tpone or adornthe hearin&. Thi! "ill allo" !fficient ti$e for frther in%e!ti&ation and for the e$plo(ee to'e notified of the fact! and prepare a re!pon!e.E5a$ple! of letter! in%itin& an e$plo(ee to capa'ilit( and di!ciplinar( hearin&! are incldedin thi! doc$ent and it i$portant to en!re that no notification to an( part( in%ol%ed in thehearin& appear! to pre2d&e the i!!e.

Cond)cting t(e (eaing



10/36

The No$inated Officer chair! the hearin&. The( !hold introdce all the participant! ande5plain their role! in the proce!!. The( !hold control the pace of the proceedin&! !o thate%er('od( ha! a fair hearin& and that@ a! far a! po!!i'le@ e%er( i!!e of ncertaint( i!thoro&hl( e5a$ined. The( !hold allo" either !ide rea!ona'le opportnit( to adorn ifnece!!ar(. The( $a( al!o "i!h to call an adorn$ent to tae ad%ice fro$ the HR ad%i!or@ ifpre!ent.

Nor$all(@ onl( one repre!entati%e i! allo"ed 't to facilitate the trainin& of trade nion@ HRand $ana&e$ent !taff@ an e5tra repre!entati%e or $e$'er of !taff $a( 'e per$itted prel(in an o'!er%ational capacit(.

En%)ing t(e ig(t% of t(e e!*$o-ee d)ing t(e (eaing

The e$plo(ee ha! the follo"in& ri&ht! drin& the hearin&2 to 'e repre!ented or acco$panied '( a trade nion or fello" "orer in accordance

"ith the doc$ent entitled Procedures for Hearings and Appeals@

to 0e!tion the pre!enter on the !tate$ent! $ade a&ain!t the e$plo(ee note thatthe pre!enter $!t 'e prepared to 'rin& e%idence to !pport the a!!ertion! 'ein&$adeB@

to 0e!tion the pre!enter+! "itne!!e! if an(B@

to 'rin& hi! or her o"n "itne!!e! a!!$in& the( are rele%ant to the ca!eB@

to ha%e hi! or her ca!e and e5planation heard and

to re$ain !ilent. Ho"e%er@ if the e$plo(ee adopt! thi! !tance@ (o $!t $ae itclear that '( re$ainin& !ilent@ (o "ill onl( ha%e heard the pre!enter+! !ide of the!tor( and that (o "ill ha%e to $ae p (or $ind on the otco$e 'a!ed onl(pon the e%idence pre!ented. It i! al!o i$portant to 'rin& to the e$plo(ee+!attention the fact that conceal$ent@ di!hone!t( or an( atte$pt to pre%ent theConcil fro$ ndertain& a proper in%e!ti&ation cold@ in it!elf@ re!lt in di!ciplinar(

action 'ein& taen.

Dea$ing 'it( t(e ogani%ation/% 'itne%%e%

4here either !ide intend! to call rele%ant "itne!!e! the( !hold &i%e ad%ance notice thatthe( intend to do thi!.

The pre!ence of a "itne!! to &i%e per!onal e%idence i! !all( $ore con%incin& than a"ritten !tate$ent particlarl( in appeal !itation!. Therefore@ it i! ad%i!a'le to ha%e at lea!tone "itne!! if there i! liel( to 'e a conflict of e%idence at the hearin&.

4here the pre!enter intend! to rel( on a "ritten !tate$ent fro$ a "itne!!@ the e$plo(ee

or their repre!entati%eB $a( a! for the "itne!! to 'e pre!ent !o that 0e!tion! can 'e ptdirectl(. If the "itne!! i! a Concil e$plo(ee the re0e!t $a( 'e a&reed. If a "itne!! i!not a Concil e$plo(ee the( cannot 'e co$pelled to attend.Dea$ing 'it( t(e e!*$o-ee0% 'itne%%e%

An e$plo(ee $a( 'rin& "itne!!e! to a hearin& or !'$it "ritten !tate$ent! fro$ "itne!!e!to !pport their ca!e. It i! the e$plo(ee*! re!pon!i'ilit( to en!re that a "itne!! i! "illin&to appear on their 'ehalf or &i%e a !tate$ent. Ho"e%er "here the e%idence i! !tron&l(a&ain!t the e$plo(ee@ the e$plo(er i! entitled to ref!e to li!ten to all or !o$e of the"itne!!e! on the &rond! that their e%idence "ill not affect the otco$e of the di!ciplinar(proceedin&!. Thi! $a( 'e tre in the follo"in& !itation!2

"here "itne!!e! are not den(in& the fact! of an incident 't are $erel(e5pre!!in& per!onal opinion! re&ardin& the effect!



11/36

"here "itne!!e! are 8ot!ide e5pert!8 'ro&ht in '( the trade nion to e5pre!!

opinion! on $atter! of profe!!ional co$petence and e5perti!e or "here !e%eral "itne!!e! are &i%in& 8character reference!8 on the e$plo(ee+!

'ehalf and ha%e no e%idence rele%ant to the actal co$plaint! 'ein& $ade.

4here there i! an( ncertaint( o%er "hether a "itne!! !hold 'e called or not the H$an

Re!orce Ser%ice !hold 'e con!lted "ith.

Managing c(a$$enge% to 'itne%% %tate!ent%

If either !ide challen&e! a "ritten "itne!! !tate$ent@ the No$inated Officer $a( allo" the"itne!! to attend in per!on in order to clarif( the $atter in di!pte and a%oid dela(!.Ho"e%er@ the No$inated Officer !hold not co$pel the attendance of a "itne!! in the!ecirc$!tance!@ e!peciall( if the "itne!! i! a ppil@ a client or !o$e other per!on re0irin&!en!iti%e treat$ent.

THE CONCLUSION OF A CAPABILITY OR DISCIPLINARY HEARING

Co!ing to a deci%ion

Each ca!e "ill 'e decided on it! o"n particlar circ$!tance!. The !tandard of proofre0ired i! that there are 8rea!ona'le &rond! to 'elie%e8 fro$ the e%idence pre!ented thatthe $atter co$plained of did occr. Thi! i! not a cri$inal ca!e "here the ca!e ha! to 'epro%en 8'e(ond rea!ona'le do't8. In reachin& a deci!ion the follo"in& !hold 'e taeninto con!ideration

the natre of the co$plaint

the natre of the e$plo(ee! "or

the e$plo(ee*! le%el of re!pon!i'ilit( and !eniorit(

the e$plo(ee*! pre%io! capa'ilit( and di!ciplinar( record

an( $iti&atin& factor! incldin& the health of the e$plo(ee action taen in pre%io! !i$ilar ca!e!

!anction! a%aila'le nder the procedre

or HR ad%i!or "ill 'e a'le to pro%ide ad%ice and &idance.

Co!!)nicating t(e deci%ion

4hen &i%in& the deci!ion at the end of the hearin& it i! ad%i!a'le to "rite e( point! fordeci!ion 'eforehand. Thi! "ill en!re that the oral and "ritten deci!ion! are the !a$e and"ill a%oid conf!ion.

It i! i$portant to re$e$'er to notif( the appropriate re&lator( 'od( e.&. PO3A@ POCA@GSCC@ GTC re the otco$e of the hearin& for ca!e! "here an indi%idal ha! 'een!!pended andor di!$i!!ed.

Sec)ing i!*o&e!ent

In $o!t ca!e! in%ol%in& capa'ilit( or di!cipline a rea!ona'le e$plo(er "ill 'e e5pected totae appropriate !tep! to 'rin& a'ot an i$pro%e$ent in the e$plo(ee+! perfor$ance orcondct a! "ell a! i!!in& the nece!!ar( cation or "arnin&. 4here capa'ilit( cation! ordi!ciplinar( "arnin&! are 'ein& i!!ed@ the No$inated Officer+! deci!ion "ill ha%e toincorporate the !tep! that need to 'e taen to achie%e the re0ired !tandard of "or e.&.clo!er !per%i!ion@ $ore trainin&. The!e !tep! $!t 'e inclded in the cation or "arnin&

letter.

6 North$'erland Cont( Concil : Re%i!ed April ;/1/


12/36

Ca%e% in&o$&ing fa)d o fa$%if-ing info!ation

4here a di!ciplinar( hearin& co$e! to the concl!ion that the e$plo(ee ha! o'tained$one( fro$ the Concil '( frad or other deception !ch a! fal!ification of ti$e!heet! oro%erti$e record!@ con!ideration !hold 'e &i%en to the 0e!tion of reco%er( of the $one(.Gidance !hold 'e !o&ht fro$ Adit !taff and HR !er%ice 'efore the di!ciplinar( letter i!'ein& for$lated !o that@ if reco%er( i! to 'e !o&ht@ that deci!ion $a( 'e incorporated intothe letter.

Rede*$o-!ent and de!otion

Altho&h the Concil ha! re!er%ed the ri&ht to i$po!e redeplo($ent or de$otion nder theCapa'ilit( and Di!ciplinar( procedre@ neither i! appropriate in ca!e! of &ro!! $i!condct.The( $a( 'e con!idered in le!!er ca!e! or ca!e! of &ro!! incapa'ilit( 't !hold not 'econ!idered to 'e ea!( option!.

Redeplo($ent or a de$otion !hold al"a(! 'e acco$panied '( a final cation in acapa'ilit( ca!e or a final "arnin& in a di!ciplinar( ca!e a! it i! %er( nliel( that the Concilcold tolerate a frther failre of capa'ilit( or di!cipline.

The rea!on for redeplo($ent or de$otion i! to retain the !er%ice! of an e$plo(ee@ 't in a$ore !ita'le o'. A! the intention i! to a%oid di!$i!!al@ the redeplo($ent or de$otion ofan e$plo(ee nder the!e procedre! "old tae priorit( o%er the re0ire$ent! of theConcil+! Di%er!it( and E0alit( in E$plo($ent Polic( to ad%erti!e all po!t! internall( ande5ternall(.

4hen it i! con!idered that redeplo($ent i! an appropriate cor!e of action@ the H$anRe!orce Ser%ice $!t 'e con!lted.

Re1)ie!ent to 'o d)ing t(e *eiod of notice

Unle!! an e$plo(ee ha! 'een di!$i!!ed on the &rond! of &ro!! $i!condct "ithotnotice@ the e$plo(ee $!t 'e paid for the "hole of the period of notice@ irre!pecti%e of"hether the deci!ion ha! 'een $ade for the$ to "or thi! period or not.

Info!ing intee%ted *atie% of t(e deci%ion

,ana&er! !hold onl( infor$ third partie! of the otco$e of a capa'ilit( or di!ciplinar(hearin& if there i! a le&iti$ate rea!on for the$ no"in& the otco$e !ch a! a &rie%anceor a co$plaint fro$ a $e$'er of the p'licB. The( $!t al!o 'e a"are of "hether an

appeal i! liel( to 'e $ade 'efore di!clo!in& thi! infor$ation. It i! !tron&l( reco$$endedthat ad%ice on thi! $atter i! !o&ht fro$ the H$an Re!orce Ser%ice andor the Pre!!Office 'efore $ain& !ch di!clo!re!.

THE APPEAL HEARING

Pe*aing fo t(e (eaing

An e$plo(ee "i!hin& to appeal i! re0ired to notif( the H$an Re!orce Ser%ice "ho "illthen infor$ the appropriate per!on in order that the nece!!ar( arran&e$ent! for the appealhearin& can'e $ade.

6 North$'erland Cont( Concil 1/ Re%i!ed April ;/1/


13/36

The per!on $ain& the arran&e$ent! !hold en!re that the $ana&e$ent and theappellant !tate$ent! of ca!e are !ent ot on the !a$e da( to en!re that neither part( can'ild it! ca!e pon the !'$i!!ion of the other part(.

If $ana&e$ent "itne!!e! &a%e e%idence in per!on at the ori&inal hearin& and theire%idence $ade a !i&nificant contri'tionB the( $a( al!o attend the appeal hearin&. If thee$plo(ee "i!he! to 'rin& "itne!!e! "ho did not attend the ori&inal hearin&@ thi! !hold 'eallo"ed pro%ided that their identit( i! properl( di!clo!ed in ad%ance.

Pe*aing and *e%enting t(e ca%e

Chief Officer! !hold con!ider carefll( "ho !hold pre!ent the $ana&e$ent ca!e atappeal and $a( "i!h to con!lt the H$an Re!orce Ser%ice on thi! $atter. Nor$all(@ theper!on cho!en "ill 'e the No$inated Officer "ho heard the ori&inal ca!e. An appropriate$e$'er of the H$an Re!orce Ser%ice $a( 'e a%aila'le to a!!i!t the pre!entin& officer inthe preparation of the ca!e and $a( al!o 'e a%aila'le to acco$pan( the pre!entin& officerat the appeal hearin& if re0ired. 4here a $e$'er of the H$an Re!orce Ser%icea!!i!t!@ nor$all( a different officer fro$ the H$an Re!orce Ser%ice"ill ad%i!e the appeal'od(.

T(e e!*$o-ee/% go)nd% fo a**ea$

The e$plo(ee*! ca!e $!t 'e 'a!ed !olel( on the &rond! of appeal di!clo!ed in theirletter of appeal. The appeal 'od( !hold di!re&ard an( $atter not directl( related to theori&inal &rond! of appeal.

Cond)ct of t(e a**ea$ (eaing

The &idance &i%en on condct in capa'ilit( and di!ciplinar( hearin&! a'o%e applie!

e0all( to appeal!.

Dea$ing 'it( a**ea$% d)ing e!*$o-ee/% *o+ationa- *eiod4here an e$plo(ee ha! le!! than t"el%e $onth! contino! !er%ice "ith the Concil an(appeal a&ain!t di!$i!!al can 'e heard '( the e$plo(ee*! Director@ nle!! the Director toothe ori&inal deci!ion to di!$i!!. Other"i!e the appeal $!t 'e heard '( another Director.

Late 'itne%%e% o doc)!entation

Re0e!t! to prodce ne" "itne!!e! or doc$entation drin& the hearin& or the appeal!hold nor$all( 'e declined. If@ for !o$e %er( &ood rea!on@ "itne!! or doc$entation i!

allo"ed@ &reat care !hold 'e e5erci!ed "hen con!iderin& the te!ti$on(.

Co!ing to a deci%ion

Sitation! "here an appeal $i&ht !cceed can 'e !$$ari!ed a!2aB "here ne" fact!@ "hich "ere not no"n at the ti$e of the ori&inal deci!ion@

e$er&e "hich clearl( !hift the 'alance of pro'a'ilitie! in fa%or of the e$plo(eeor@

'B "here the ori&inal deci!ion appear! in all the circ$!tance! of the ca!e to ha%e'een nfair.

If an ad$i!!i'le !tate$ent i! $ade '( either part( drin& the hearin& that rai!e! &eninedo't! a'ot the fact! of the ca!e@ the appeal 'od( !hold con!ider adornin& the hearin&to allo" the other part( to in%e!ti&ate the ne" clai$!.



14/36

Rein%tate!ent and e 2engage!ent

The ter$ reinstatement!hold 'e !ed onl( in circ$!tance! "here the e$plo(ee i! to 'etaen 'ac into e5actl( the !a$e e$plo($ent and on the !a$e ter$! and condition! ofe$plo($ent a! 'efore di!$i!!al "ith no 'rea in !er%ice. At "or!t@ a final "arnin& cold 'ei$po!ed here in lie of di!$i!!al.

The ter$ re-engagement!hold 'e !ed "here it i! intended that the e$plo(ee "ill !ffera detri$ent !ch a! de$otion@ chan&e of place of e$plo($ent or 'rea in !er%ice and thi!!hold 'e a! an alternati%e to di!$i!!al.

DEBRIEFING AND SUPPORT

After an initial hearin& or an appeal hearin& it i! &ood practice for $ana&e$ent to de'rief.The topic! co%ered in the de'riefin& "ill depend pon the t(pe of ca!e and it! co$ple5it('t the follo"in& checli!t !hold 'e con!idered2

Arran&e$ent! !hold 'e $ade to en!re that all rele%ant !taff are clear a'ot the

otco$e of the hearin& and the !tep! "hich need to 'e taen in the near2@ $id2and lon&2ter$.

The In%e!ti&atin& Officer or $ana&e$ent*! "itne!!e! $a( re0ire feed'ac

concernin& the pre!entation of the ca!e or e%idence.

In di!$i!!al ca!e!@ Finance $!t 'e infor$ed a! a $atter of r&enc( !o that

!alar( pa($ent! can 'e cea!ed. It i! i$portant to notif( the correct rea!on forlea%in& i.e. &ro!! $i!condct rather than !in& ter$! !ch a! capa'ilit( ordi!$i!!al.

RE.IE" OF CAUTIONS AND "ARNINGS

Monitoing t(e e!*$o-ee

4here the e$plo(ee ha! recei%ed a cation or a "arnin& the line $ana&er "ill 'ere!pon!i'le for $onitorin& and doc$entin& their perfor$ance or condct a&ain!t a&reed!tandard! or tar&et!@ to !ee "hether the nece!!ar( i$pro%e$ent i! 'ein& achie%ed and tochec that an( !pport that ha! 'een pro$i!ed i! actall( 'ein& deli%ered.

Life of a ca)tion

The nor$al life of a for$al cation or for$al "arnin& i! one (ear. The nor$al life of a finalcation or final "arnin& i! t"o (ear!. Ti$e !tart! to rn fro$ the date of i!!e of the cationor "arnin& i.e. the hearin& dateB. Ho"e%er@ the procedre allo"! for an e5ten!ion of the

cation or "arnin& if an e$plo(ee i! a'!ent fro$ "or for a prolon&ed period for rea!on!other than nor$al lea%e. In !ch ca!e!@ the No$inated Officer $a( e5tend the end date ofthe cation or "arnin& '( a lie a$ont and $!t confir$ the fact to the e$plo(ee in"ritin&.

A cation or "arnin& "ill nor$all( 'e di!re&arded after it! end date nle!! a ne" capa'ilit(or di!ciplinar( co$plaint ori&inate! 'efore that date. If !ch a !itation ari!e!@ the endin& ofthe life of the cation or "arnin& "ill 'e dela(ed ntil the concl!ion of an( capa'ilit( ordi!ciplinar( hearin& "hich $i&ht en!e. The e$plo(ee !hold 'e infor$ed of thi! in "ritin&.

E3*ied ca)tion% and 'aning%

An e5pired "arnin& or cation !hold re$ain on the file a! it $a( 'e rele%ant "henpreparin& reference! for other e$plo($ent. Re&ardle!! of the a&e of an( "arnin& "hich$a( e5i!t@ particlar care $!t 'e taen to en!re that pro!pecti%e ne" e$plo(er! in the

6 North$'erland Cont( Concil 1; Re%i!ed April ;/1/


15/36

field of edcation or !ocial care are infor$ed if there are !erio! concern! a'ot thee$plo(ee in re!pect of ppil! or client!.

Lifting !onitoing aange!ent%

There are !o$e ca!e!@ particlarl( in capa'ilit( !itation!@ "here the $ana&er $a( decideto di!contine clo!e $onitorin& of perfor$ance 'efore the for$al end of the cation periodin %ie" of the fact that &ood pro&re!! ha! 'een $ade. If thi! i! done@ the e$plo(ee !hold'e infor$ed in "ritin& of thi! fact 't !hold al!o 'e infor$ed that the cation "ill not e5pirentil the date pre%io!l( notified.

SPECIAL SITUATIONS

Ca%e% in&o$&ing a$co(o$ o d)g%

4here a $ana&er feel! that an alcohol or dr&! pro'le$ i! in%ol%ed in a capa'ilit( ordi!cipline ca!e the( !hold con!lt the H$an Re!orce Ser%ice 'efore tain& frtheraction.

4hil!t alcohol and dr&! pro'le$! are correctl( reco&ni!ed a! $edical pro'le$! re0irin&treat$ent and !pport@ "here thi! cor!e of action doe! not achie%e the de!ired re!lt it "ill'e nece!!ar( to in%oe the capa'ilit( and di!cipline procedre in order to !ee ani$pro%e$ent.

4here !erio! capa'ilit( or condct pro'le$! are in%ol%ed it $a( 'e nece!!ar( to in%oethe capa'ilit( and di!ciplinar( procedre! i$$ediatel(. In $ore $inor ca!e!@ the otco$e$a( 'e to defer a deci!ion or action pendin& the e$plo(ee nder&oin& appropriatetreat$ent. Ho"e%er@ "here &ro!! $i!condct i! in%ol%ed it "ill not nor$all( 'e nece!!ar( todefer a deci!ion.

If an nderl(in& alcohol or dr& pro'le$ i! !!pected@ 't denied '( the e$plo(ee@ thecapa'ilit( or di!ciplinar( proce!! i! naffected.

CONDITIONS OF SER.ICE ISSUES

Attendance at a (eaing o inte&ie'

4here an e$plo(ee i! in%ited to attend a di!ciplinar( or capa'ilit( hearin& or anin%e!ti&ator( inter%ie" the( are entitled to recei%e pa($ent for the period in%ol%ed inattendin& the hearin& or inter%ie" and an( e5ce!! tra%el incrred tra%ellin& to and fro$ it.4here the hearin& or inter%ie" i! con%ened ot!ide the e$plo(ee+! nor$al "orin& hor!

the e$plo(ee i! entitled to additional pa($ent or ti$e off in lie a! "ell a! therei$'r!e$ent of an( additional tra%elin& e5pen!e! incrred.

Pa-!ent d)ing *eiod% of %)%*en%ion

Drin& a period of !!pen!ion the e$plo(ee !hold recei%e nor$al pa( a! defined '(their condition! of !er%ice. If an e$plo(ee i! on le!! than fll pa( then that le%el of pa( "illcontine thro&h the !!pen!ion.

A period of !!pen!ion "ill not cont to"ard! the calclation of an honorari$ nder the

locall( a&reed condition! of !er%ice relatin& to actin&2p.

6 North$'erland Cont( Concil 1< Re%i!ed April ;/1/


16/36

Pa($ent of a hi&her &rade@ rate of pa( or n$'er of hor! than an e$plo(ee*! nor$alcontract of e$plo($ent pro%ide! for@ "ill onl( 'e $ade "hen on the da( i$$ediatel( priorto !!pen!ion the e$plo(ee had 'een recei%in& the pa($ent for a $ini$$ period of threecalendar $onth!.

Ann)a$ $ea&e d)ing *eiod% of %)%*en%ion

Drin& a period of !!pen!ion@ an e$plo(ee i! e5pected to 'e a%aila'le to tae part in thein%e!ti&ation at an( rea!ona'le ti$e a! re0ired '( $ana&e$ent. Prior lea%e co$$it$ent!"ill need to 'e o'!er%ed. 4here it i! anticipated that the period of !!pen!ion $a( 'eprolon&ed@ non2conflictin& lea%e re0e!t! !hold 'e appro%ed and encora&ed. Incirc$!tance! "here the &rantin& of lea%e "ill nnece!!aril( prolon& the re!oltion of aca!e it !hold 'e ref!ed. All annal lea%e taen drin& !!pen!ion "ill cont a&ain!t thee$plo(ee*! entitle$ent.

4here an e$plo(ee on !!pen!ion i! 8na%aila'le8 drin& their nor$al "orin& hor! or i!on nathori!ed lea%e@ the period in 0e!tion !hold 'e conted a&ain!t their annal lea%eentitle$ent and di!ciplinar( action !hold 'e con!idered.

4here prolon&ed !!pen!ion i! in%ol%ed@ or "here the end of the lea%e (ear i!approachin&@ the e$plo(ee !hold 'e encora&ed to tae annal lea%e@ dependin& on the!ta&e of the in%e!ti&ation.

Sic $ea&e d)ing *eiod% of %)%*en%ion

4here an e$plo(ee "ho ha! 'een !!pended &oe! on !ic lea%e the( are !'ect to thenor$al rle! relatin& to a period of !icne!! a'!ence. Altho&h the( $a( clai$ that it i! the!!pen!ion it!elf that ha! ca!ed the !icne!!@ the ti$e certified a! !icne!! a'!encecont! a&ain!t their allo"ance. Thi! $ean! that on occa!ion! the e$plo(ee "ill drop to half

pa( or e%en no pa( drin& a period of !!pen!ion "here the len&th of !er%ice i! relati%el(!hort or "here there ha%e 'een pre%io! period! of a'!ence.

S!pended e$plo(ee! "ho are in receipt of an e!!ential car !er allo"ance and "ho!'!e0entl( &o on !ic lea%e !hold ha%e their l$p !$ "ithdra"n a! !et ot inPara&raph ?.< of the Green )oo. Under thi! pro%i!ion the l$p !$ i! paid in fll for there$ainder of the fir!t $onth of a'!ence and for the follo"in& three $onth!. For the ne5tthree $onth! it i! redced to >/J and@ follo"in& that@ no pa($ent i! $ade.

Entit$e!ent to %ic *a- ai%ing fo! di%ci*$ina- !atte%

4here the Occpational Health Ph(!ician certifie! that an e$plo(ee*! a'!ence on !ic

lea%e i! a! a direct re!lt of their $i!condct@ incldin& an5iet( a'ot the con!e0ence! oftheir action!@ con!ideration !hold 'e &i%en to reco%erin& $one(! paid in relation tooccpational !ic pa( and to !!pendin& ftre pa($ent!B at the point that di!ciplinar(action i! taen.

A**$ication% fo e!*$o-!ent d)ing *eiod% of %)%*en%ion

Application! fro$ e$plo(ee! !!pended fro$ dt( prior to a hearin& !hold 'e treated ine5actl( the !a$e "a( a! if the e$plo(ee "a! at "or. Thi! inclde! the &i%in& or recei%in&of reference!@ a! appropriate.

Ret)n to 'o afte !atenit- $ea&e

6 North$'erland Cont( Concil 1= Re%i!ed April ;/1/


17/36

An e$plo(ee "ho!e di!$i!!al pre%ent! her fro$ co$pletin& the nece!!ar( three $onthperiod of e$plo($ent follo"in& $aternit( lea%e "ill 'e re0ired to refnd $one(! paid inre!pect of occpational $aternit( pa(. An( notice period "ill cont to"ard! the three $onthperiod of e$plo($ent.

Rein%tate!ent and ca$c)$ation of +ac2*a-

4hen an e$plo(ee i! rein!tated rather than re2en&a&edB on appeal@ the follo"in& !hold'e con!idered in the calclation of retro!pecti%e pa($ent!

aB if e$plo(ee recei%ed an( !icne!! related 'enefit! fro$ the DSS then@ for theperiod in 0e!tion@ the( !hold 'e re&arded a! ha%in& 'een on !ic lea%e and 'epaid in accordance "ith the !ic pa( !che$e

'B if the e$plo(ee o'tained other e$plo($ent drin& the period 'et"een the date ofdi!$i!!al and the deci!ion to rein!tate@ detail! !hold 'e o'tained fro$ thee$plo(ee and dedcted fro$ the !alar( ad!t$ent on the 'a!i! that the Concilonl( need! to $ae &ood an( o%erall lo!! of earnin&! that ha! occrred. Thealternati%e "old 'e to $ae no pa($ent for an( period "hen the e$plo(ee "a!in other paid e$plo($ent. Ho"e%er@ an( !ch period "ill not 'e treated a! a'rea in contino! !er%ice.

Rein%tate!ent and t(e ca- o&e of ann)a$ $ea&e entit$e!ent o $ie) da-%

S!pen!ion i! not con!idered to 'e an e5ceptional circ$!tance "arrantin& the carr( o%erof ot!tandin& lea%e 'et"een lea%e (ear!. Ho"e%er@ a! "ith !icne!! or $aternit( lea%e@!hold an e$plo(ee retrn fro$ !!pen!ion !hortl( 'efore the end of the lea%e (ear and'e pre%ented fro$ tain& all or part of ot!tandin& lea%e de to the de$and! of the !er%ice@then that part can 'e carried for"ard and taen "ithin a rea!ona'le period.

In the ca!e of lie da(! e.&. "here an e$plo(ee ha! "ored an additional !hift prior to!!pen!ion and i! de a da( off in lie@ entitle$ent to !ch da(! i! not ti$e li$ited and

therefore naffected '( the re!triction! on carr( o%er placed on annal lea%e.

Pa-!ent% on di%!i%%a$

4here the di!$i!!al i! the con!e0ence of the accral of a n$'er of "arnin&!@ e5cept inca!e! of theft or frad@ the 0e!tion of "ithholdin& pa($ent! "ill not ari!e@ and allcontractal entitle$ent! are honored. In the ca!e of ot!tandin& lea%e or lie ti$e@e$plo(ee! !hold 'e re0ired to tae the ti$e off drin& the notice period and onl( "henthe notice period i! in!fficient to allo" thi! to happen !hold pa($ent! in lie 'e $ade. In$an( ca!e! follo"in& their di!$i!!al@ e$plo(ee! "ill not 'e re0ired to "or their noticeand "ill !pend the period on 8&arden lea%e8 drin& "hich an( ot!tandin& lea%e or lieda(! "ill 'e taen.

4here di!$i!!al i! a! a con!e0ence of &ro!! $i!condct@ the 0e!tion of "ithholdin&pa($ent! $a( ari!e. Effecti%el(@ nle!! the "ritten a&ree$ent of the e$plo(ee ha! 'eeno'tained@ in the $aorit( of ca!e! thi! "ill onl( allo" for the "ithholdin& of e5pen!e!pa($ent!. It al!o allo"! for the non2pa($ent of ot!tandin& contractal lea%e entitle$ent@altho&h !tattor( lea%e entitle$ent $!t 'e paid.

Re%tit)tion in ca%e% of fa)d o t(eft

4here an e$plo(ee ha! 'een di!$i!!ed a! a con!e0ence of an act of frad or theft@directorate! $a( "i!h to con!ider "hether it i! appropriate to dedct the %ale of the$one(! and &ood! in%ol%ed fro$ an( ot!tandin& pa($ent! de to the e$plo(ee "ith thee$plo(ee+! a&ree$ent. S$all !$! can 'e reco%ered in thi! "a(@ or '( rai!in& an in%oice.4here !'!tantial !$! are in%ol%ed@ the $atter !hold 'e referred to Internal Adit to

6 North$'erland Cont( Concil 1> Re%i!ed April ;/1/


18/36

con!ider "hether it i! appropriate to reco%er the $one(! fro$ the e$plo(ee*! froKenpen!ion contri'tion! nder the Occpational Pen!ion! Sche$e! A!!i&n$ent!@Forfeitre@ )anrptc(@ etc.B Re&lation! 1::7.

Ca*a+i$it- ca%e% 2 ot(e %anction% a&ai$a+$e

4here an e$plo(ee+! "or perfor$ance i! n!ati!factor(@ !erio! con!ideration !hold 'e&i%en to adoptin& !o$e or all of the follo"in&@ a! appropriate.

Annal incre$ent! 2 "ithhold annal incre$ent!.

Career &rade 2 halt pro&re!!ion thro&h the &rade.

Sic note! 2 in!i!t on their prodction for e%er( !icne!! a'!ence in ca!e! "here

there i! e5ce!!i%e !e of !elf2certification.

Occpational !ic pa( 2 "ithhold pa($ent if the e$plo(ee 'reache! an( of the

0alif(in& condition!.

In $o!t capa'ilit( !itation!@ it "old 'e incon!i!tent to allo" annal incre$ent! orpro&re!!ion "ithin a career &rade. Frther$ore@ if incre$ental or career &rade pro&re!!ioni! later rein!tated@ it !hold 'e fro$ the crrent date and !hold not 'e 'ac2dated.

Di%ci*$ine ca%e% 2 effect% on *a- and f)t)e *o!otion

4here di!ciplinar( action ha! 'een taen a&ain!t an e$plo(ee@ thi! "ill not nor$all( ha%ei$plication! for incre$ent! or pro&re!!ion thro&h a career &rade@ altho&h there $a( 'ecirc$!tance! "here !ch action can 'e rea!ona'l( !tified. Directorate! are ad%i!ed tocon!lt HR Ser%ice! "here !ch action i! 'ein& conte$plated.

There ha%e 'een ca!e! "here@ ha%in& 'een i!!ed "ith a for$al "arnin& or final "arnin&@an e$plo(ee ha! applied for another po!t !o$eti$e!@ e%en a pro$otion po!tB drin& the

life of the "arnin&. Thi! i! a difficlt i!!e on "hich to i!!e !pecific &idance. TheAppointin& Officer i! entitled to con!ider the e$plo(ee+! di!ciplinar( record in decidin&"hether to inter%ie" or to $ae an appoint$ent. There "ill 'e occa!ion! "hen@ 'eca!e ofthe natre of the po!t@ e.&. infre0ent !per%i!ion@ it "ill 'e appropriate to e5pect ane$plo(ee to pro%e the$!el%e! tr!t"orth( drin& the life of a "arnin& 'efore 'ein&con!idered for !ch a po!t.

SAMPLE LETTERS AND DOCUMENTS

The "ordin& and content of letter! are e5tre$el( i$portant. Di!ciplinar( deci!ion! and thee$plo(ee+! ri&ht! in !ch circ$!tance! $!t 'e con%e(ed in an accrate andna$'i&o! $anner. For thi! rea!on the procedre !et! ot the e!!ential ele$ent! to 'e

inclded in all "arnin& and di!$i!!al letter!. No$inated Officer! !hold al"a(! refer to theprocedre "hen draftin& letter!. A! a frther aid@ !e%eral e5a$ple letter! and doc$ent!are attached.

6 North$'erland Cont( Concil 1? Re%i!ed April ;/1/


19/36

Lette to confi! ageed action *$an *e fo!a$ ca*a+i$it- o di%ci*$ina- action +eingtaen

PERSONA- L CONFIDENTIA-

Dear ,M MMMMMMMM@

Frther to or di!c!!ion earlier toda( I ha%e !et ot 'elo" the $ain point! pon "hich "ea&reed2

1 All telephone call! !hold 'e an!"ered "ith the $ini$$ of dela( and the Concil+!telephone perfor$ance !tandard! cop( attachedB !hold 'e achie%ed.

; All telephone call! !hold 'e an!"ered "ith a clear and cheerfl %oice and thefollo"in& "ord! !hold 'e !ed 8Good $ornin& or afternoonB@ Directorate@ ohnS$ith !peain&@ ho" can I help (o#8

< If (o are na'le to deal "ith the caller (or!elf (o $!t en!re that the call i!pa!!ed to a per!on "ho i! a'le to deal "ith it or@ if that i! not po!!i'le@ (o $!t offerto tae a $e!!a&e for that per!on.

= If (o tae a $e!!a&e fro$ a telephone caller (o $!t en!re that it i! accrate andle&i'le and that it i! placed pro$inentl( on the recipient+! de! "ithot dela(.

> At the earlie!t opportnit(@ I "ill arran&e for (o to recei%e telephone trainin& in orderthat (o "ill 'e a'le to !e the appropriate facilitie! on the ne" !(!te$.

o "ere ad%i!ed that thi! letter "old 'e !ent to (o. A! e5plained@ the!e are infor$altar&et!@ ot!ide of the for$al Capa'ilit( or Disciplinary, if appropriateQ Procedre.Ho"e%er@ if $atter! do not i$pro%e@ the for$al procedre "ill 'e in!ti&ated.

Si&ned managerQ M

Si&ned employeeQ

Date MMMMMMMMMMMMMMMMMMMMMMM



20/36

Lette to confi! ageed action *e di%ci*$ina-


Dear ,M MMMMMMMM@

Frther to or $eetin& earlier toda( to di!c!! (or failre to co$plete (or o' card!correctl( (o infor$ed $e that thi! had 'een co$$on practice for !e%eral (ear! and had@in the pa!t@ 'een condoned '( certain $e$'er! of the $ana&e$ent tea$.

I ha%e looed into thi! clai$ and find that it "a! indeed the ca!e. Ho"e%er@ I a$ "ritin& toconfir$ that (o $!t@ fro$ no" on"ard!@ en!re that (o co$plete (or o' card! onco$pletion of each o' and en!re that the( are !i&ned '( the c!to$er 'efore (o lea%ethe pre$i!e!.

I ha%e al!o !een (or collea&e! and ha%e "ritten to the$ alon& !i$ilar line! !o that therecan 'e no $i!nder!tandin& in the ftre.

If (o e5perience an( pro'le$! in $eetin& the!e ne" re0ire$ent! (o !hold contact $eat the earlie!t opportnit(.

or! !incerel(@

ManagerQ



21/36

Lette e notification of in&e%tigation


Dear ,M MMMMMMMM@

I ha%e 'een infor$ed '( ,M MMMMMMMM@ the MMMMMMMM of an incident that too place ondateQ in%ol%in& (or!elf and ,M MMMMMMMM.

An in%e!ti&ation "ill 'e carried ot into thi! incident '( ,M MMMMMMMM a! !oon a! po!!i'leand I enclo!e a cop( of a doc$ent entitled Information for Employees "hich !et! ot(or ri&ht! and dtie! nder the Concil*! Capa'ilit( and Di!ciplinar( Procedre! and al!o&i%e! infor$ation "hich (o $a( find !efl.

or! !incerel(@

Nominated OfficerQ

cc H$an Re!orce Ser%ice

6 North$'erland Cont( Concil 1: Re%i!ed April ;/1/


22/36

E3a!*$e 4 5 O)tco!e of in&e%tigation6in&ite to di%ci*$ina- (eaing


Dear ,M MMMMMMMM@

I ha%e 'een infor$ed '( ,M MMMMMMMM@ the MMMMMMMM of an incident that too place ondateQ in%ol%in& (or!elf and ,M MMMMMMMM. An in%e!ti&ation ha! 'een carried ot into thi!incident '( ,M MMMMMMMMand a cop( of the report i! appended to thi! letter. Thein%e!ti&ation report indicate! that ,M MMMMMMMM!poe to (o a'ot (or failre to carr( ot(or dtie! a! pre%io!l( in!trcted and in re!pon!e (o2

aB !&&e!ted that the "or "a! allocated to (o 'eca!e it "a! particlarl( ardo!@

'B !ed fol and a'!i%e lan&a&e "hen told a&ain to carr( ot the "or "ithot dela(and@

cB !'!e0entl( left the "orplace "ithot athori!ation@ at


23/36

E3a!*$e $ette e o)tco!e of di%ci*$ina- (eaing 7'itten 'aning8


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the di!ciplinar( hearin& held in $( office on dateQ@ at "hich(o "ere repre!ented '( ,M MMMMMMMM positionQ. Al!o pre!ent "ere list those present,such as the Investigating Officer, any itnesses and the H! Advisor and state the functionsof those presentQ.

I confir$ that@ at the hearin&@ (o "ere i!!ed "ith a for$al "arnin& nder the ter$! of theConcil+! di!ciplinar( procedre. o "ill recall that the hearin& "a! con%ened to di!c!!(or per!i!tent 'ad ti$e2eepin& in recent $onth! and in particlar (or late arri%al for "oron 17 and 1: Octo'er 1::M "hen (o "ere / $inte! late re!pecti%el(.The!e incident! follo"ed pre%io! occa!ion! "hen (o arri%ed late for "or and for "hich(o "ere &i%en %er'al "arnin&! '( ,M MMMMMMMM@ the la!t !ch occa!ion 'ein&;: Septe$'er 1::M.

o and (or repre!entati%e "ere afforded an opportnit( to e5plain the!e incident! and(o "ill recall that "e di!c!!ed (or per!onal circ$!tance! and the a%aila'ilit( of p'lictran!port in (or area. Ho"e%er@ a! I !tated at the hearin&@ I con!ider (or e5planation to 'en!ati!factor( 'eca!eMMMMMMMMM and therefore confir$ the "arnin& &i%en on dateQ.Plea!e note that !hold there 'e an( recrrence of (or 'ad ti$e2eepin& "ithin the ne5t1; $onth!@ or an( other $i!de$eanor '( (or!elf "ithin thi! period@ (o "ill 'e lia'le tofrther@ and perhap! $ore !erio!@ di!ciplinar( action "hich $a( lti$atel( lead todi!$i!!al. If@ ho"e%er@ there i! a $ared and !!tained i$pro%e$ent in (or ti$e2eepin&and (or condct i! in all other re!pect! !ati!factor(@ then thi! "arnin& "ill 'eco$eineffecti%e on date " one year from the date of this letterQ and "ill 'e di!re&arded for the

prpo!e! of the di!ciplinar( procedre. Ho"e%er@ (o !hold note that the Concil ha! adt( to $ention rele%ant capa'ilit( and di!ciplinar( "arnin&! in reference!.

A cop( of thi! "arnin& "ill 'e placed in (or per!onal file in the directorate to&ether "ithan( "ritten co$$ent! or o'!er%ation! that (o $a( "i!h to $ae.

o ha%e a ri&ht of appeal a&ain!t thi! "arnin& and@ !hold (o "i!h to do !o@ (or "rittennotice of intention to appeal@ including your grounds of appeal in detail@ $!t 'erecei%ed '( the Corporate Ser%ice! Depart$ent at Cont( Hall@ ,orpeth@ North$'erland@NE?1 ;EF '( dateQ. or appeal "ill 'e heard '( ,M MMMMMMMM@ the MMMMMMMMMMM. or #ythe Appeal $ommittee% as appropriateQ

If applica#le, add&"A! (o "ere repre!ented '( ,M MMMMMMMM@ a cop( of thi! letter ha!'een !ent to (or repre!entati%e in accordance "ith the di!ciplinar( procedre.Q

or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;1 Re%i!ed April ;/1/


24/36

E3a!*$e $ette e o)tco!e of di%ci*$ina- (eaing 7fina$ 'itten 'aning8


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the di!ciplinar( hearin& held in $( office on dateQ@ at "hich(o "ere repre!ented '( ,M MMMMMMMM positionQ. Al!o pre!ent "ere list those present,such as the Investigating Officer, any itnesses and the H! Advisor and state the functionsof those presentQ.

I confir$ that@ at the hearin&@ (o "ere i!!ed "ith a final "arnin& nder the ter$! of theConcil+! di!ciplinar( procedre.

o "ill recall that at the hearin& (o "ere 0e!tioned a'ot fre0ent latene!! for "or.o "ere infor$ed that on 1@ < and 7 ,arch (o had 'een o'!er%ed '(,M MMMMMMMMenterin& the office 1> $inte! late altho&h (o had not !o&ht per$i!!ion toarri%e late.

In repl(@ (o !&&e!ted that (o had 'een na'le to catch (or !al '! and had neededto collect $aterial! fro$ the !toreroo$ on (or "a( to the office. I confir$ ho"e%er that(or e5planation "a! n!ati!factor( 'eca!e MMMMMMMM and that I con!ider (or action inarri%in& late for "or in !ch circ$!tance! on three !eparate occa!ion! to 'e !erio!dereliction of dt(.

I $!t ad%i!e (o that an( frther $i!condct "ill render (o lia'le to $ore !erio!di!ciplinar( action incldin& the po!!i'ilit( of di!$i!!al. Ho"e%er@ if (or condct i!!ati!factor( thi! final "arnin& "ill 'e di!re&arded for the prpo!e! of the di!ciplinar(procedre after date " to years from the date of this letterQ. Ho"e%er@ (o !hold note that

the Concil ha! a dt( to $ention rele%ant capa'ilit( and di!ciplinar( "arnin&! inreference!.

A cop( of thi! "arnin& "ill 'e placed in (or per!onal file in the directorate to&ether "ithan( "ritten co$$ent! or o'!er%ation! "hich (o $a( "i!h to $ae@

o ha%e a ri&ht of appeal a&ain!t thi! "arnin& and@ !hold (o "i!h to do !o@ (or "rittennotice of intention to appeal@ including your grounds of appeal in detail@ $!t 'erecei%ed '( the Corporate Ser%ice! Depart$ent at Cont( Hall@ ,orpeth@ North$'erland@NE?1 ;EF '( 'dateQ. or appeal "ill 'e heard '( ,M MMMMMMMM@ the MMMMMMMMMMM. 'or #ythe Appeal $ommittee% as appropriateQ


or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;; Re%i!ed April ;/1/


25/36

E3a!*$e $ette e notification of %)%*en%ion


Dear ,M MMMMMMMM@

I refer to the incident that occrred on dateQ at e!ta'li!h$entQ in%ol%in& (or!elf and @ a e$plo(ee $e$'er of the p'lic clientQ.

I a$ infor$ed '( ,M MMMMMMMM@ the MMMMMMMMMMMMM@ that (o "ere !een '( t"o othere$plo(ee! to ha%e !trc MMMMMMMM acro!! the face drin& MMMMMMMMMMMMM.

In %ie" of thi! report@ I confir$ that (o are !!pended fro$ dt( "ithot lo!! ofre$neration ntil frther notice "hil!t an in%e!ti&ation of thi! incident i! carried ot. Thi!!!pen!ion i! not a di!ciplinar( act. It i! entirel( "ithot predice to the otco$e of thein%e!ti&ation 't it i! con!idered'necessary as gross misconduct (or gross incapa#ility) issuspected AN*+O! that your presence at or could impede the investigation-.

4hil!t on !!pen!ion (o !hold not %i!it (or place of "or and !hold not contact an(e$plo(ee! or client! of the e!ta'li!h$entQ. Ho"e%er@ (or repre!entati%e "ill 'e &i%en allrea!ona'le facilitie! to condct in%e!ti&ation! on (or 'ehalf@ incldin& acce!! to Concile$plo(ee! "ho are potential "itne!!e! !hold an( ca!e 'e 'ro&ht a&ain!t (o. In thi!re&ard@ plea!e a! (or repre!entati%e to contact ,M MMMMMMMM appropriate senior officerQto $ae the nece!!ar( arran&e$ent!.

,M MMMMMMMM appropriate senior officerQ "ill eep (o infor$ed of the &eneral pro&re!! ofthe in%e!ti&ation! and I "ill "rite to (o a&ain once the in%e!ti&ation ha! 'een co$pleted.In addition@ the 4elfare Officer i! a%aila'le to &i%e (o "elfare !pport and con!ellin& and

can 'e contacted on /1?7/B >


26/36

E3a!*$e $ette e notification of di%!i%%a$


Dear ,M MMMMMMMM@

I refer to the di!ciplinar( hearin& "hich (o attended in $( office on dateQ "ith,M MMMMMMMM@ positionQ. Al!o pre!ent "ere list those present, such as the InvestigatingOfficer, any itnesses and the H! Advisor and state the functions of those presentQ.

o "ill recall that "e di!c!!ed (or contined latene!! for "or@ (or naccepta'le'eha%ior to"ard! (or !taff@ and (or failre to co$pete (or fle5i ti$e !heet pro$ptl( andcorrectl(. o "ere re$inded that altho&h (o had recei%ed a final "ritten "arnin& ondateQ concernin& the!e $atter! there had 'een no i$pro%e$ent. In re!pon!e (o clai$edthat there had 'een $iti&atin& per!onal circ$!tance! that had $ade it difficlt for (o toconcentrate on (or "or drin& the pa!t !i5 $onth!.

I con!idered the circ$!tance! that (o dre" to $( attention 't "a! na'le to acceptthe$ in $iti&ation in %ie" of the pre%io! record of di!ciplinar( "arnin&! and the !pportthat (o ha%e recei%ed fro$ the Directorate ,ana&e$ent Tea$.

I "rite to confir$ $( deci!ion that (o are di!$i!!ed on &rond! of $i!condct and here'(&i%e (o MMM "ee!+ notice of (or di!$i!!al. The ter$ination of (or !er%ice! "ill thereforetae effect on dateQ. A! the Concil ha! re!er%ed to it!elf the ri&ht not to allo" e$plo(ee!to retrn to the "orplace drin& the notice period@ (o !hold not attend (or place of"or 'et"een no" and the e5pir( of (or notice e5cept to re$o%e an( per!onal 'elon&in&!'( prior arran&e$ent "ith , appropriate senior officerQ.

o ha%e a ri&ht of appeal a&ain!t (or di!$i!!al and@ !hold (o "i!h to do !o@ (or"ritten notice of intention to appeal@ including your grounds of appeal in detail@ $!t 'erecei%ed '( the Corporate Ser%ice! Depart$ent at Cont( Hall@ ,orpeth@ North$'erland@NE?1 ;EF '( 'dateQ. or appeal "ill 'e heard '( ,M MMMMMMMM@ the MMMMMMMMMMM. 'or #ythe Appeal $ommittee% as appropriateQ

$hec that the employee has one year.s continuous service #efore inserting the folloing&"In addition@ (o ha%e the ri&ht nder crrent e$plo($ent le&i!lation to pre!ent a clai$ ofnfair di!$i!!al to an E$plo($ent Tri'nal. If (o "i!h to e5erci!e thi! ri&ht (o $!t do !o"ithin three $onth! fro$ the date of (or di!$i!!al and@ at the !a$e ti$e@ (o !hold a!that it 'e held in a'e(ance pendin& the e5ha!tion of (or ri&ht! nder the Concil+!procedre!.Q


or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;= Re%i!ed April ;/1/


27/36

E3a!*$e $ette e di%!i%%a$ on t(e go)nd% of go%% !i%cond)ct


Dear ,M MMMMMMMM@

I refer to the di!ciplinar( hearin& that (o attended in $( office on dateQ "ith,M MMMMMMMM@ positionQ. Al!o pre!ent "ere list those present, such as the InvestigatingOfficer, any itnesses and the H! Advisor and state the functions of those presentQ.

The prpo!e of the hearin& "a! to di!c!! the incident on dateQ "hen (o "ere !een '(,M MMMMMMMM@ (or line $ana&er@ tain& $one( fro$ the pett( ca!h fnd and placin& it in(or hand'a&. ,M MMMMMMMM!'!e0entl( checed the pett( ca!h and fond that 1/ inthe for$ of t"o > note! had 'een re$o%ed.

At the hearin& (o ad$itted tain& the $one( 't clai$ed that (o "ere 'orro"in& the$one( for !hoppin& prpo!e! and intended to replace it the ne5t da(. I indicated that I "a!na'le to accept (or e5planation and that I con!idered (or action to con!titte &ro!!$i!condct.

In the circ$!tance! I "rite to confir$ $( deci!ion that (o are to 'e di!$i!!ed on the&rond! of &ro!! $i!condct "ith effect fro$ toda(@ dateQ


$hec that the employee has one year.s continuous service #efore inserting the folloing&"In addition@ (o ha%e the ri&ht nder crrent e$plo($ent le&i!lation to pre!ent a clai$ ofnfair di!$i!!al to an E$plo($ent Tri'nal. If (o "i!h to e5erci!e thi! ri&ht (o $!t do !o"ithin three $onth! fro$ the date of (or di!$i!!al and@ at the !a$e ti$e@ (o !hold a!that it 'e held in a'e(ance pendin& the e5ha!tion of (or ri&ht! nder the Concil+!procedre!.Q


or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;> Re%i!ed April ;/1/


28/36

E3a!*$e $ette e in&ite to ca*a+i$it- (eaing


Dear ,M MMMMMMMM@

I ha%e 'een infor$ed '( ,M MMMMMMMM@ that (o appear to 'e e5periencin& difficlt( indealin& "ith certain a!pect! of (or "or. Accordin& to ,M MMMMMMMM@ he ha! !poen to(o on a n$'er of occa!ion! a'ot the follo"in& $atter!2

aB repeated inaccracie! in co$pletin& for$!@'B failin& to !end the co$pleted for$! to client! on ti$e and@cB failre to 'ac p (or data on the co$pter each da(.

I "rite to infor$ (o that@ in %ie" of the!e co$plaint!@ (o !hold attend $( office on dateQat timeQ for a hearin& to 'e held nder the Capa'ilit( Procedre a cop( of "hich i!enclo!edB. Al!o enclo!ed i! a doc$ent entitled PROCEDURES FOR HEARINGS ANDAPPEA-S. The prpo!e of the hearin& "ill 'e to e!ta'li!h "hether or not there i! a lac ofcapa'ilit( on (or part and@ if !o@ ho" to proceed.

o are ad%i!ed that the po!!i'le con!e0ence! ari!in& fro$ thi! hearin& $i&ht 'e e& a"ritten cation@ a final cation@ di!$i!!alQ.

Include t!e following paragrap! if appropriateo are ad%i!ed that if the alle&ation!B i! areB fond to 'e pro%en@ and tain& into accontthe Final Cation (o recei%ed on Enter dateQ@ (or e$plo($ent $a( 'e ter$inated.

Include t!e following paragrap! if appropriate

o are ad%i!ed that if the alle&ation!B i! areB fond to 'e pro%en@ it "ill 'e con!ideredGro!! Incapa'ilit( nder the Concil*! Capa'ilit( and Di!ciplinar( Procedre and (ore$plo($ent $a( 'e !$$aril( ter$inated "ithot notice.

o ha%e the ri&ht to 'e repre!ented or acco$panied '( a trade nion official or a "orcollea&e.

If applica#le, add&"A! (o ha%e indicated that (o are to 'e repre!ented '( ,M MMMMMMMM@a cop( of thi! letter ha! 'een !ent to (or repre!entati%e in accordance "ith the capa'ilit(procedre.Q

Plea!e let $e no" the identit( of the trade nion official or "or collea&e "ho "ill 'e

repre!entin& or acco$pan(in& (o and confir$ that (o "ill 'e attendin& the hearin&. o!hold note that if (o fail to attend "ithot notice a deci!ion "ill 'e $ade in (or a'!ence.

or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;? Re%i!ed April ;/1/


29/36

E3a!*$e $ette e o)tco!e of ca*a+i$it- (eaing 9 no fo!a$ action +eing taen


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the capa'ilit( hearin& held in $( office on dateQ in thepre!ence of ,M MMMMMMMM positionQ. Al!o pre!ent "ere list those present, such as theInvestigating Officer, any itnesses and the H! Advisor and state the functions of thosepresentQ.

At that hearin&@ I "a! !ati!fied that (o had 'een e5periencin& difficlt( in dealin& "ithcertain a!pect! of (or "or. The area! of concern "ere2

aB repeated inaccracie! in co$pletin& for$!@'B failin& to !end the co$pleted for$! to client! on ti$e and@cB failre to 'ac p (or data on the co$pter each da(.

Ho"e%er@ (o pointed ot that (o had recei%ed no trainin& on ho" to co$plete the for$!and that pro'le$! in co$pletin& the$ ca!ed dela(! "hich@ in trn@ ca!ed (o to fail to!end the for$! to client! on ti$e. o al!o pointed ot that (o had not 'een !ho"n ho" to'ac p (or data on the co$pter.

I a$ !ati!fied that !o$e trainin& did tae place on 'oth the!e $atter! 't that it "a! not!fficient in the circ$!tance!. Therefore@ I "rite to confir$ that I a$ arran&in& for (o to'e &i%en frther trainin&@ for the !tandard of "or e5pected of (o to 'e clearl( !et ot in"ritin& to (o '( , and for (or "or to 'e $onitored for a period of for "ee! thereafter.

In order that I can a!!e!! the pro&re!! $ade@ (o !hold attend a follo"2p hearin& heldnder the capa'ilit( procedre in $( office on dateQ at timeQ. The prpo!e of the follo"2p

hearin& "ill 'e to e!ta'li!h "hether the re0ired trainin& ha! 'een &i%en@ "hether the!tandard! re0ired of (o ha%e 'een &i%en to (o in "ritin& and "hether there ha! 'een anaccepta'le i$pro%e$ent in (or perfor$ance. o !hold 'e a"are that@ if !fficientpro&re!! ha! not 'een $ade@ frther for$al action "ill 'e taen nder the capa'ilit(procedre "hich cold lti$atel( lead to (or di!$i!!al.

o ha%e the ri&ht to 'e repre!ented or acco$panied '( a trade nion official or a "orcollea&e.

If applica#le, add&"A! (o ha%e indicated that (o are to 'e repre!ented '( ,M MMMMMMMM@a cop( of thi! letter ha! 'een !ent to (or repre!entati%e in accordance "ith the capa'ilit(procedre.Q

or! !incerel(@

Nominated OfficerQ

cc H)!an Re%o)ce Se&ice



30/36

E3a!*$e $ette e o)tco!e of ca*a+i$it- (eaing 9 fo!a$ ca)tion i%%)ed


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the follo"2p hearin& held nder the capa'ilit( procedre in$( office on dateQ in the pre!ence of ,M MMMMMMMM positionQ. Al!o pre!ent "ere list thosepresent, such as the Investigating Officer, any itnesses and the H! Advisor and state thefunctions of those presentQ.

At that hearin&@ I "a! !ati!fied that the re0ired trainin& had 'een &i%en to (o and that the!tandard! e5pected of (o had 'een &i%en to (o in "ritin& '( ,M MMMMMMMM. I "a! al!o!ati!fied that (o had $ade con!idera'le pro&re!! in $eetin& the !tandard! !et do"n for'acin& p (or data on the co$pter each da(.

Ho"e%er@ (o !till !ee$ to 'e e5periencin& difficlt( in co$pletin& the for$! and thi! i! !tillca!in& !o$e dela(! in !endin& the for$! to client!. Therefore@ I "rite to confir$ that I a$i!!in& (o "ith a for$al cation. I a$ al!o arran&in& for (o to 'e &i%en frther trainin& onco$pletin& the for$! and for (or "or to 'e $onitored for a frther period of for "ee!thereafter.

In order that I can a!!e!! the pro&re!! $ade@ (o !hold attend a frther capa'ilit( hearin&in $( office on dateQ at timeQ. o ha%e the ri&ht to 'e acco$panied at thi! hearin& '( (ortrade nion repre!entati%e or a "or collea&e. The prpo!e of the frther hearin& "ill 'e toe!ta'li!h "hether the re0ired trainin& ha! 'een &i%en and "hether there ha! 'een anaccepta'le i$pro%e$ent in (or perfor$ance. o !hold 'e a"are that@ if !fficientpro&re!! ha! not 'een $ade@ frther for$al action "ill 'e taen nder the capa'ilit(procedre "hich cold lti$atel( lead to (or di!$i!!al. Ho"e%er@ if (or perfor$ance i!

$aintained at a !ati!factor( le%el@ thi! for$al cation "ill 'e di!re&arded for the prpo!e! ofthe capa'ilit( procedre after date " one year from the date of this letterQ. Ho"e%er@ (o!hold note that the Concil ha! a dt( to $ention rele%ant capa'ilit( and di!ciplinar("arnin&! in reference!.

A cop( of thi! for$al cation "ill 'e placed in (or per!onal file in the directorate to&ether"ith an( "ritten co$$ent! or o'!er%ation! "hich (o $a( "i!h to $ae.

o ha%e a ri&ht of appeal a&ain!t thi! for$al cation and@ !hold (o "i!h to do !o@ (or"ritten notice of intention to appeal@ including your grounds of appeal in detail@ $!t 'erecei%ed '( the Corporate Ser%ice! Depart$ent at Cont( Hall@ ,orpeth@ North$'erland@NE?1 ;EF '( 'dateQ. or appeal "ill 'e heard '( ,M MMMMMMMM@ the MMMMMMMMMMM. 'or #y

the Appeal $ommittee% as appropriateQ

If applica#le, add&"A! (o "ere repre!ented '( ,M MMMMMMMM@ a cop( of thi! letter ha!'een !ent to (or repre!entati%e in accordance "ith the capa'ilit( procedre.Q

Plea!e let $e no" the identit( of the trade nion official or "or collea&e "ho "ill 'erepre!entin& or acco$pan(in& (o and confir$ that (o "ill 'e attendin& the hearin&. o!hold note that if (o fail to attend "ithot notice a deci!ion "ill 'e $ade in (or a'!ence.

or! !incerel(@

Nominated OfficerQ




31/36

E3a!*$e $ette e o)tco!e of %econd ca*a+i$it- (eaing 9 fina$ ca)tion i%%)ed


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the !econd follo"2p hearin& held nder the capa'ilit(procedre in $( office on dateQ in the pre!ence of ,M MMMMMMMM positionQ. Al!o pre!ent"ere list those present, such as the Investigating Officer, any itnesses and the H!Advisor and state the functions of those presentQ.

At that hearin&@ I "a! !ati!fied that the frther trainin& had 'een &i%en to (o 't that (o!till !ee$ to 'e e5periencin& difficlt( in co$pletin& the for$!.

Therefore@ I "rite to confir$ that I a$ arran&in& for (o to 'e &i%en a checli!t forco$pletin& tho!e for$! and for (or "or to 'e clo!el( $onitored for a frther period offor "ee! thereafter. I al!o confir$ that (o ha%e 'een &i%en a final cation. Thi! i! (orfinal opportnit( to de$on!trate i$pro%e$ent and@ !hold (or perfor$ance not $eet the!tandard! re0ired of (o "ithin that period and 'e $aintained at that le%el thereafter (o$a( 'e di!$i!!ed on &rond! of capa'ilit(. Ho"e%er@ if (or perfor$ance i! $aintained at a!ati!factor( le%el@ thi! final cation "ill 'e di!re&arded for the prpo!e! of the capa'ilit(procedre after date " to years from the date of this letterQ. Ho"e%er@ (o !hold note thatthe Concil ha! a dt( to $ention rele%ant capa'ilit( and di!ciplinar( "arnin&! inreference!.

A cop( of thi! final cation "ill 'e placed in (or per!onal file in the directorate to&ether"ith an( "ritten co$$ent! or o'!er%ation! "hich (o $a( "i!h to $ae@

In order that I can a!!e!! the pro&re!! $ade@ (o !hold attend a frther capa'ilit( hearin&

in $( office on dateQ at timeQ. o ha%e the ri&ht to 'e acco$panied at thi! hearin& '( (ortrade nion repre!entati%e or a "or collea&e. The prpo!e of the frther hearin& "ill 'e toe!ta'li!h "hether there ha! 'een an accepta'le i$pro%e$ent in (or perfor$ance.

o ha%e a ri&ht of appeal a&ain!t thi! final cation and@ !hold (o "i!h to do !o@ (or"ritten notice of intention to appeal@ including your grounds of appeal in detail@ $!t 'erecei%ed '( the Corporate Ser%ice! Depart$ent at Cont( Hall@ ,orpeth@ North$'erland@NE?1 ;EF '( 'dateQ. or appeal "ill 'e heard '( ,M MMMMMMMM@ the MMMMMMMMMMM. 'or #ythe Appeal $ommittee% as appropriateQ

If applica#le, add&"A! (o "ere repre!ented '( ,M MMMMMMMM@ a cop( of thi! letter ha!'een !ent to (or repre!entati%e in accordance "ith the capa'ilit( procedre.Q

Plea!e let $e no" the identit( of the trade nion official or "or collea&e "ho "ill 'erepre!entin& or acco$pan(in& (o and confir$ that (o "ill 'e attendin& the hearin&. o!hold note that if (o fail to attend "ithot notice a deci!ion "ill 'e $ade in (or a'!ence.

or! !incerel(@

Nominated OfficerQ


6 North$'erland Cont( Concil ;: Re%i!ed April ;/1/


32/36

E3a!*$e $ette e o)tco!e of ca*a+i$it- (eaing 9 e%)$ting in di%!i%%a$


Dear ,M MMMMMMMM@

I a$ "ritin& in connection "ith the hearin& held nder the capa'ilit( procedre in $( officeon dateQ in the pre!ence of ,M MMMMMMMM@ (or repre!entati%e. Al!o pre!ent "ere listthose present, such as the Investigating Officer, any itnesses and the H! Advisor andstate the functions of those presentQ.

At that hearin&@ I "a! !ati!fied that once a&ain (o ha%e 'een e5periencin& difficlt( inco$pletin& the for$! and ha%e@ in con!e0ence dela(ed !endin& the$ to client! on ti$e.o "ill recall that (o ha%e 'een &i%en a &reat deal of trainin& and a!!i!tance to help (operfor$ thi! ta! 't I ha%e to conclde that (o are !i$pl( not capa'le of perfor$in& it tothe !tandard re0ired. o "ill al!o recall that I ha%e@ in the pa!t@ re%ie"ed the !tandard to!ee if it i! rea!ona'le and (o "ere infor$ed that I cold !ee no rea!on to alter the!tandard.

)earin& in $ind that (o are !'ect to a crrent final cation concernin& (or perfor$anceI ha%e no alternati%e 't to di!$i!! (o fro$ (or crrent po!t. A! (o "ere $ade a"are atthe hearin&@ I ha%e atte$pted to find !ita'le alternati%e e$plo($ent for (o "ithin statehereQ 't "ithot !cce!!. Therefore@ I "rite to confir$ $( deci!ion that (o aredi!$i!!ed on &rond! of capa'ilit( and here'( &i%e (o MMM "ee!+ notice of (ordi!$i!!al. The ter$ination of (or !er%ice! "ill therefore tae effect on dateQ. Ho"e%er@ I!hall contine to !ee !ita'le alternati%e e$plo($ent for (o p to thi! date in accordance"ith the Concil*! Alternati%e E$plo($ent Polic(@ a cop( of "hich i! enclo!ed for (orinfor$ation.


$hec that the employee has one year.s continuous service #efore inserting thisparagraphQ In addition@ (o ha%e the ri&ht nder crrent e$plo($ent le&i!lation to pre!ent aclai$ of nfair di!$i!!al to an E$plo($ent Tri'nal. If (o "i!h to e5erci!e thi! ri&ht (o$!t do !o "ithin three $onth! of (or di!$i!!al and@ at the !a$e ti$e@ (o !hold a!that it 'e held in a'e(ance pendin& the e5ha!tion of (or ri&ht! nder the Concil+!procedre!.

Documents

Capability and Disciplinary Procedure - Guidance Notes