Disciplinary Procedure - Louth Town Council

Louth Town Council
DISCIPLINARY PROCEDURE

Adopted November 2025

Introduction

This procedure aims to allow the Council to set standards of performance and behaviour, make sure that employees are treated fairly and consistently when dealing with shortfalls, help maintain and improve standards, provide a means of deciding when dismissal is justified (dismissal is the last resort when all else has failed or when the employee’s breach is a very serious one), comply with legislation as part of the Employment Acts 2008 and 2010 and be consistent with ACAS Code of Practice relating to Discipline and Grievance.

Cases of minor misconduct or unsatisfactory performance are usually best dealt with informally. An informal conversation or quiet word is often all that is required to nip the problem in the bud and improve an employee’s conduct or performance. In some cases, additional training, coaching and advice may be what is needed. There will be situations where matters are more serious or where an informal approach has been tried but is not working. If informal action does not bring about an improvement, or the misconduct or unsatisfactory performance is considered too serious to be classed as minor, employers should provide employees with a clear signal of their dissatisfaction by taking formal action.

Informal Procedures

Informal action should take the form of a private discussion between the employee and the Town Clerk or if the action is against the Town Clerk with the Chairman of the Personnel Committee. This should be two-way and aimed at considering possible shortcomings in conduct or performance and encouraging improvement. Criticism should be constructive, with the emphasis being on finding ways for the employee to improve and for the improvement to be sustained. If it becomes become evident there is no problem make this clear to the employee. Where improvement is required the employee should be made to understand what needs to be done, how their performance and conduct will be reviewed, over what period and that formal action may be taken if there is no improvement. Brief notes of any agreed informal action should be kept for future reference. There should be reviews of progress over specified periods. At any stage the use of an independent mediator may be considered.

Formal Procedures

If an issue regarding an Employee’s conduct, behaviour or performance isn’t fully addressed by informal methods/mediation, these formal Disciplinary Procedures should be followed.

In most cases, the formal disciplinary procedures should only be used when counselling or training has been given and this has failed to produce the required improvements or when the seriousness of the offence warrants the formal disciplinary procedure. Appropriate investigations should be carried out without unreasonable delay to establish the facts. In some cases, this may involve holding an investigative meeting with the employee before proceeding to any disciplinary hearing. In others, it may involve the collation of evidence for use at a disciplinary hearing.

Investigative Meeting

When a potential disciplinary matter arises, someone will be appointed to establish the facts of the case, take statements from witnesses and hold an investigatory meeting with the employee (please note, that it should be made clear to the employee involved that this is not a disciplinary meeting and that they may be accompanied if they wish by a person of their choosing). It is important to keep a written record of the investigation for later reference. The following will undertake the investigation:

• Staff other than the Town Clerk – The Town Clerk
• Town Clerk – The Chairman of the Personnel Committee
Having established the facts, the person undertaking the investigation should decide whether there is a case for the employee to answer or not.

Where potential disciplinary action may need to be taken against the Town Clerk this must be approved by Council beforehand.

Before any warning, disciplinary action, or decision to dismiss is taken the employee will be written to and this letter/email will include:

• Detail of what it is they are alleged to have done wrong and briefly why this is not acceptable.
• A request for them to attend a meeting at which the issue can be discussed – allowing at least 3 working days notice.
• Details of the date, time and venue of the meeting.
• A statement making them aware that they have a right to be accompanied by a trade union official or a person of their choice.
• Copies of any written evidence, which may include witness statements.
• Sufficient information about the alleged misconduct or poor performance and its possible consequences to enable the employee to prepare to answer the case at a disciplinary meeting.
The employee will be at liberty to provide a copy of these documents to any person who may be accompanying them at the disciplinary meeting.

If disciplinary action is considered against a trade union representative, the case should be discussed, after obtaining the employee’s agreement, with a senior trade union representative or permanent union official (region).

If the employee or the person who is accompanying them is unable to make the proposed date, another meeting should be arranged within 5 working days.

Preparing for the meeting

• Arrange a time for the meeting, which should be held as privately as possible, in a suitable room, and where there will be no interruptions.
• Make provision for any reasonable adjustments to accommodate the specific needs of the person.
• Ensure that all the relevant facts are available, such as disciplinary records and any other relevant documents (i.e. absence or sickness records) and, where appropriate, written statements from witnesses.

The meeting should be held without unreasonable delay whilst allowing the employee reasonable time to prepare their case. The person conducting the meeting will explain the complaint against the employee and go through the evidence that has been gathered. It should be remembered that the point of the disciplinary meeting is to establish the facts, not to catch people out.

The employee will then be given the opportunity to state their case and answer any allegations that have been made. The employee will also be allowed to ask questions, present evidence, call relevant witnesses and be given an opportunity to raise points about any information provided by witnesses. Where an employer or employee intends to call relevant witness’ they should give advance notice that they intend to do this. Any person accompanying the employee will be able to fully participate in the meeting, for example by addressing the hearing, but not answer questions on behalf of the employee. If new facts emerge, it may be necessary to adjourn the meeting to investigate them and reconvene the meeting when this has been done.

The formal disciplinary procedure exists for:

• Performance issues.
• Misconduct.
• Gross misconduct.
In the case of gross misconduct, Louth Town Council may at its absolute discretion proceed immediately to Stage Three of the formal disciplinary procedures.

Misconduct

The following offences are examples of misconduct (however, this list is not exhaustive):

• Poor timekeeping
• Unauthorised absence
• Minor damage to Council property
• Minor breach of Rules and Procedures
• Abusive behaviour
• Poor standard of work

Gross Misconduct

The following are examples of gross misconduct (however, this list is not exhaustive):

• Theft or unauthorised possession of any property belonging to the Council
• Serious damage to Council property
• Fraud, falsification of reports, accounts, expense claims or self-certification forms, bribery, corruption
• Unauthorised entry to computer records
• Serious act of insubordination
• Serious incapability whilst on duty by reason of alcohol or illegal drugs
• Illegal drugs in the employee’s possession, custody, or control on Council premises
• Violent, dangerous or intimidatory conduct
• Sexual, racial, serious bullying or other harassment of a fellow employee
• Serious negligence which causes or might cause unacceptable loss, damage, or injury
• Serious infringement of health and safety rules
• Serious breach of confidence (subject to the Public Interest (Disclosure) Act 1998)

Formal Disciplinary Procedure

Stage 1 – Improvement Note – Unsatisfactory Performance

1. If performance does not meet acceptable standards, notification will be given by the Chair of the Personnel Committee or Chair of the Council following a disciplinary meeting as referred to above.

2. The employee will be informed of the formal nature of the warning by way of an improvement note. This will set out the performance problem, the improvement that is required, the timescale and any help that may be given. The employee will be advised that it constitutes the first stage of the disciplinary procedures and that failure to improve could lead to a final written warning.

3. A copy of the improvement note will be kept on the employee’s personnel file for six months but will then be considered spent subject to achievement and sustainment of satisfactory performance. The employee will be informed that he/she may appeal.

Formal Disciplinary Procedure Stage 1 – First Warning – Misconduct

1. If conduct does not meet acceptable standards, notification will be given by the Chair of the Personnel Committee or Chair of the Council following a disciplinary meeting as referred to above.

2. The employee will be given a written warning setting out the nature of the misconduct and the change in behaviour required. The written warning will also inform the employee that a final written warning may be considered if there is no sustained satisfactory improvement or change.

3. A copy of the warning will be kept on the employee’s personnel file but will be disregarded for disciplinary purposes after a period of six months. The employee will be informed that he/she may appeal.

Formal Disciplinary Procedure Stage 2 – Final Written Warning

1. If the employee has a current warning about conduct or performance, then further misconduct or unsatisfactory performance (whichever is relevant) may warrant a final written warning. It may also be warranted where ‘first offence’ misconduct is sufficiently serious but would not justify dismissal.

2. This will normally be given by the Chair of the Personnel Committee or Chair of the Council and confirmed to the employee in writing following a disciplinary meeting as referred to above.

3. The written warning will contain a summary of the complaint, the improvement required and the timescale. It will also specify the duration of the warning and that failure to improve may lead to Stage 3 (dismissal or some other action short of dismissal).

4. A copy of the warning will be kept in the employee’s personnel file but will be disregarded for disciplinary purposes after twelve months subject to the achievement and sustainment of satisfactory conduct or performance.

5. The employee will be informed that he/she may appeal.

Formal Disciplinary Procedure Stage 3 – Dismissal or other sanction

1. Dismissal may result from a serious first act of gross misconduct or from any further misconduct (of the same or another type) during the currency of an earlier warning, or failure to meet acceptable standards of performance. Such dismissal may be with or without notice or pay in lieu of notice.

2. The decision to dismiss the employee will not be taken without the authority of the Council. The decision to dismiss will be confirmed in a letter signed by the Chair of the Council.

3. If some sanction short of dismissal is imposed, the employee will receive details in writing of the complaint and will be warned that dismissal could result if there is not satisfactory improvement.

5. The employee will be informed that he/she may appeal.

Suspension during investigation

1. If appropriate, the Council may, by written notice, suspend the employee for as brief a period as possible while any investigation into an allegation of gross misconduct is carried out. The decision to suspend the employee can only be taken by a properly convened meeting of the Personnel Committee. Except when necessary or in exceptional circumstances, any such suspension will be limited to two weeks. The suspension itself is not seen as disciplinary action.

2. If the employee is suspended the terms and conditions of employment will continue together with all his or her rights under the terms and conditions, including the payment of salary.

3. During the period of suspension, the employee will not be entitled to access any Council premises except at the prior request or with the prior consent of the Council and subject to such conditions as the Council may impose.

Appeals Procedure

1. An employee may appeal against all disciplinary/dismissal decisions arising from the formal procedure.

2. The request for an appeal should be put in writing and set out the grounds of appeal, within five working days, to the Chair of the Council, who will call a meeting of the Town Council’s Appeals Panel, consisting of three council members who have not been involved so far.

3. The appeal will be heard by the Appeals Panel and the employee has the right to be accompanied by a fellow employee (or union representative).

4. The appeal hearing will be conducted within a reasonable period of the appeal being lodged and wherever possible within five working days of the appeal being lodged.

5. Where new evidence arises during the appeal, the employee and his/her companion should be given the opportunity to comment before any action is taken. If necessary, the appeal will be adjourned.

6. The employee will be informed of the results of the appeal and the reasons for the decision. This will be confirmed in writing within five to ten working days, and it will be made clear, if this is the case, that the decision is final. If it is not possible to respond within five to ten working days, the employee will be given an explanation for the delay and advised when a response may be expected.
Where appropriate, the opportunity for mediation will be put forward at any stage of a disciplinary procedure.

Grievance during disciplinary action

Should an employee raise a grievance during the course of disciplinary procedures, it may be appropriate to suspend the disciplinary procedure for a short period until the grievance can be properly considered. The Town Council may consider seeking external advice as appropriate.

Records

Full records should be kept including details of the nature of any breach of disciplinary rules or unsatisfactory performances, the employee’s response, the action taken and the reasons for it, whether an appeal was made and, if so, its outcome and any subsequent developments. All records will be kept confidential and retained in accordance with the Data Protection Act 1998.