Disciplinary Action Template - DOC by aky19596

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									        Employment Manual




DISCIPLINARY
 TEMPLATE
  LETTERS
DISCIPLINARY TEMPLATE LETTERS

CONTENTS
All letters contained in this pack are broadly applicable and should be amended
according to the particular circumstances

      Notification of suspension
      Notification of investigation
      Further allegation arising prior to investigatory interview
      Invite to investigatory interview
      Further allegation arising from investigatory interview
      Outcome of the investigation
      Notification of the disciplinary hearing
      Adjournment of the disciplinary hearing
      Disciplinary hearing decision other than dismissal
      Disciplinary hearing decision – Dismissal with notice
      Disciplinary hearing decision – Dismissal without notice
                             Notification of Suspension


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>

<Date>

Dear <Addressee>

Precautionary Suspension from Duty

Further to the discussion you had with your line manager <Name> regarding the
above, I am writing to confirm that you were suspended from duty with immediate
effect whilst the following allegation(s) of misconduct are investigated.

Allegations:
<Insert allegation(s)>

An appropriate Investigator will be appointed shortly and their appointment will be
confirmed in writing to you. In the course of the investigation you will be interviewed
and will be invited to offer explanation or comment on the allegations. You are
encouraged to be accompanied at the interview by your trade union representative or
work colleague. Any information which is gained during the investigation process
may be presented at any subsequent disciplinary hearing.

During your suspension you will continue to receive contractual pay, which will be the
normal remuneration applicable immediately prior to your suspension. However
should you fall ill during the period of your suspension, you should comply with the
sickness absence reporting procedures in full and should continue to seek approval
for annual leave in accordance with procedures. Your sickness pay entitlement will
commence at the point illness commences albeit your suspension will continue. You
will/not continue to accrue holiday entitlement throughout your suspension.

It is a term of your suspension that you are not required to attend work (including
relief work) however should you wish to visit your place of work or any other county
council establishment during your suspension for any reason, you should do so only
by prior permission and arrangement with me. Failure to seek such prior permission
may be treated as serious misconduct.

You should remain available to the county council during your normal working hours
over the period of your suspension and attend meeting(s) as appropriate. You are
encouraged to be accompanied at the meetings by your trade union representative or
work colleague.

I appreciate that suspension from work can cause concern and that you may want to
share your feelings and concerns with someone. The following support arrangements
are therefore available if you wish to make use of them.

      Suspension leaflet (included)
       Your support officer is <Name and Number>

       <Insert or Delete> Relate, the confidential counselling service, which the
        Social Services Directorate provides for its staff
        (NB This service is only available for Social Services employees)

       The county councils employee support and counselling service which can be
        accessed by telephoning Lincoln (01522) 836198

       You can also make with your own independent arrangements for support
        during the investigation by contacting your staff/union representative.

I would remind you that you are not to discuss any aspect of the investigation with
anyone other than named in this letter.

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which is enclosed. May I remind you that being suspended from duty is not a
disciplinary sanction and does not imply any presumption of guilt on your part.

If you require any advice or clarification on the operation of the procedure please
contact <Name> on <Number> who will be happy to assist.

Please acknowledge receipt of this letter by signing and returning one copy of this
letter to me in the prepaid envelope enclosed.

Yours sincerely


<Name>
Director of <Directorate>

Encl.


I acknowledge receipt of a copy of this letter dated <Date>

SIGNED…………………………………………… DATE…………………………..

NAME (Print)………………………………………
                             Notification of Investigation

PRIVATE & CONFIDENTIAL

<Addressee>
<Address>

<Date>

Dear <Addressee>

Investigation into Matters Which May Lead to Disciplinary Action

Further to the discussion you had with your line manager <Name> regarding the
above, I am writing to confirm that a thorough investigation into the following
allegation(s) of misconduct will be undertaken by <Investigating Officer(s) name(s)
title(s)>

Allegations:
<Insert allegation(s)>

In the course of the investigation you will be interviewed and will be invited to offer
explanation or comment on the allegations. You are encouraged to be accompanied
at the interview by your trade union representative or work colleague.

Should any additional allegation(s) come to light during the course of the
investigation I will advise you in writing that this/these allegation(s) will also be
investigated. Any information which is gained during the investigation process may
be presented at any subsequent disciplinary hearing.

I would remind you that you are not to discuss any aspect of the investigation with
anyone other than named in this letter.

You will be informed in writing of the outcome of the investigation at the point that it is
concluded. (In the meantime you should continue to comply with the terms of your
suspension as detailed in the letter to you dated ………) only insert where the
employee is suspended

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which is enclosed.

If you require any advice or clarification on the operation of the procedure please
contact <Name> on <Number> who will be happy to assist.

Yours sincerely

<Name>
<Commissioning Officer>
            Further allegation arising prior to investigatory interview


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Investigation into Matters Which May Lead to Disciplinary Action

I refer to my letter dated <date of notification of appointment of investigator> and
write to advise you that the following additional allegation(s) has come to light during
the course of the investigation:

Allegations:
<Insert allegation(s)>

The allegation(s) is/are now formally added to those included in the above-mentioned
letter.

In the course of the investigation you will be interviewed and will be invited to offer an
explanation on the matter, you may also be questioned further. You are encouraged
to be accompanied at the interview by your trade union representative or work
colleague. Any information which is gained during the investigation process may be
presented at any subsequent disciplinary hearing.

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.

If you require any advice or clarification on the operation of the procedure please
contact <Name> on <Number> who will be happy to assist.

Yours sincerely



<Name>
<Commissioning Officer>
                               Investigatory Interview

PRIVATE & CONFIDENTIAL

<Addressee>
<Address>

<Date>

Dear <Addressee>

Investigation into Matters Which May Lead to Disciplinary Action

I refer to my letter(s) dated <Letter one> and <letter two if applicable> which informed
you that you would be interviewed during the course of the investigation. The
purpose of the interview is for the investigator to make further enquires of you in
relation to the allegations and the circumstances giving rise to them and to give you
opportunity to respond and offer explanation. The allegations which are subject of the
investigation are:

Allegations:
<Insert allegation(s)>

I am now able to make arrangements for <investigators name> to conduct the
interview and should like this to take place on <date/time/venue>

You are encouraged to be accompanied at the interview by your trade union
representative or work colleague. Should you wish to arrange to be accompanied you
should do so without delay and should contact me directly should any difficulties
arise in making arrangements.

You are reminded that any information which is gained during the process of the
interview may be presented at any subsequent disciplinary hearing.

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.

If you require any advice or clarification on the operation of the procedure please
contact <Name> on <Number> who will be happy to assist.

In the meantime, I should be grateful if you would confirm that you will be attending
by return of post or contact me directly on <number> should you have any difficulty
with the arrangements.

Yours sincerely
<Name>
<Commissioning Officer>
              Further allegation arising from investigatory interview

PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Investigation into Matters Which May Lead to Disciplinary Action

I refer to the investigatory interview which took place <earlier
today/yesterday/on…with….>. During the course of the interview you referred to a
matter which gave rise to a further allegation of misconduct:

Allegations:
<Insert allegation(s)>

<Investigators name> interrupted the interview at the point that the matter was raised
and informed you that the information given constituted a further allegation of
misconduct. He/she then offered you opportunity to adjourn and reconvene at a later
time in order to give you the opportunity to responded to the new allegation.

<Investigators name> then gave you the opportunity to seek advice, which you
did/did not and [following the adjournment] you confirmed your wish to continue with
the interview with the inclusion of the new allegation.

<Investigators name> confirmed formally that the above allegation had been added
to those notified to you on <date> and I am therefore writing to reiterate the
confirmation in writing. The allegation was included in the matters subject to the
investigatory interview as agreed.

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.

Yours sincerely



<Name>
<Commissioning Officer>
                            Outcome of the Investigation

PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Investigation into Matters Which May Lead to Disciplinary Action


I write further to my letter dated <date of notification of investigation> in order to
advise you that the investigation is now complete. The outcome of the investigation is
that your explanation has been accepted and/or there is no evidence to support the
allegation(s) and there will, be no further action on the matter.

Your suspension is now lifted and you should return to work at/on (in consultation
with line manager). The matter is now concluded.

OR

I write further to my letter dated <date of notification of investigation> in order to
advise you that the investigation is now complete. The outcome of the investigation is
that the allegations are supported by evidence but the course of action in light of all
the circumstances is counselling.

I should like to make arrangements for this to be conducted without delay and should
like this to take place on <date/time/venue>. I should be grateful if you would confirm
your attendance by return of post.

OR

I write further to my letter dated <date of notification of investigation> in order to
advise you that the investigation is now complete. The outcome of the investigation is
that there is a case for you to answer. My decision therefore, is that the matter will be
put before a disciplinary hearing in accordance with the County Councils Disciplinary
Procedure and this letter serves as formal notification of this. The specific
allegation(s) which will be considered at the hearing is/are:

Allegations:
<Insert allegation(s)>

You have the right to be accompanied by your trade union representative at the
hearing. If you wish to exercise this right you should inform me to make the
necessary arrangements.

Confirmation of the arrangements for the hearing, which will be made in consultation
with your representative, will be sent to you in due course. In the meantime I must
advise you that the Hearing may proceed in your absence should you fail to attend
without advance notification to me and without good reason.

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.


Yours sincerely

<Name>
<Commissioning Officer>
                         Notification of the Disciplinary Hearing

PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Notification of the Intention to Hold a Disciplinary Hearing

I write further to my letter dated <date of Outcome of the Investigation letter> in order
to formally advise you that you are required to attend a disciplinary hearing as
detailed below:

Date:
Time:
Venue:

These arrangements have been made in consultation with [you/your representative]
and I would remind you that the hearing may proceed in your absence should you or
your representative fail to attend without advance notification to me and without good
reason.

The hearing will be conducted by a Panel consisting of <name and title> Panel
Chairman <name and title> Independent Manager and <name> HR Adviser

The specific allegations which will be considered at the hearing are:

Allegations:
<Insert allegation(s)>

In view of the seriousness of these allegations the Panel will consider what
disciplinary action to take, if any, and whether the Authority can continue to have
trust and confidence in your ability to carry out your job. You need to be aware that
all disciplinary matters are considered serious and a range of sanctions are available
including dismissal.

During the course of the hearing you will have the right to hear and question all
evidence presented covering the allegations and to provide a statement of your own
behalf. A copy of the evidence the Authority will be presenting will be forwarded to
you a minimum of 3 days prior to the hearing. Any documentation you wish to
present must be received by me no less than 5 days prior to the hearing in order to
avoid unnecessary delays at the hearing.
It is/not the intention to call witnesses to the hearing. These will include<name of
witness(s) if applicable>. If you would like to call any witnesses you must inform me
by means of return of the copy of this letter.
As this is a formal disciplinary hearing you may be accompanied by your trade union
representative. A copy of this letter has therefore been forwarded to your
representative [if applicable]

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.

Please acknowledge receipt of this letter by signing the attached copy and returning
it to me in the pre-paid envelope provided by return of post.

<Insert/Delete> I have enclosed documents which will be presented at the hearing

OR

The documentation which will be used at the hearing will be forwarded to you in due
course.

Yours sincerely

<Name>
Commissioning Officer

Enc.
cc: <Representative/ Union>


I acknowledge receipt of this letter inviting me to a disciplinary hearing at <Venue>
on <Day> <Date> <Time> and confirm I will be attending.

SIGNED…………………………………………… DATE…………………………..

NAME (Print)………………………………………

I will be forwarding my documentation for presentation at the hearing by no later than
<insert date documents required>

Delete as appropriate: I do not intend to call witnesses
I intend to call the following witnesses

Name---------------------------------------   Title-----------------------------------

Name---------------------------------------   Title-----------------------------------
                      Adjournment of the Disciplinary Hearing


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Notification of the Intention to Hold a Disciplinary Hearing following adjournment

I write further to my letter dated <date of notification of hearing letter> which advised
that you were required to attend a disciplinary hearing to be held on <Date, Time at
Venue>. These arrangements were made in consultation with [you/your
representative] and you were informed that the hearing would proceed in your
absence should you or your representative fail to attend without advance notification
to me and without good reason.

I received notification on <date> that <name of person unable to attend> were unable
to attend because <reason>. This was accepted and the hearing was adjourned on
this occasion.

Further arrangements have now been made for the hearing to be held as detailed
below:
Date:
Time:
Venue:

I therefore write to confirm these arrangements and to inform you that the hearing will
proceed on this occasion in the absence of you or your representative should such
circumstances arise. If you cannot attend personally you are invited to put your case
either through your representative or if that person is not available, an alternative
representative, or submit your case in writing in advance.

The specific allegations which will be considered at the hearing are:

Allegations:
<Insert allegation(s)>

The above is in accordance with the County Council’s Disciplinary Procedure, a copy
of which was provided to you in earlier correspondence.

Please acknowledge receipt of this letter by signing the attached copy and returning
it to me in the pre-paid envelope provided by return of post. A copy of this letter has
been forwarded to your representative [if applicable]
Yours sincerely
<Name>
Commissioning Officer

cc: <Representative/ Union>


I acknowledge receipt of this letter inviting me to the reconvened disciplinary hearing
at <Venue> on <Day> <Date> <Time> and confirm I will be attending.


SIGNED…………………………………………… DATE…………………………..

NAME (Print)………………………………………


I will be forwarding my documentation for presentation at the hearing by no later than
<insert date documents required>

Delete as appropriate: I do not intend to call witnesses
I intend to call the following witnesses

Name---------------------------------------   Title-----------------------------------

Name---------------------------------------   Title-----------------------------------
                            Disciplinary Hearing Decision
                         First Written/Final Written Warning


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Disciplinary Warning

I write further to the Disciplinary Hearing held on <date> which considered the
following allegations

Allegations:
<Insert allegation(s)>

 The Panel took into account all the evidence provided at the hearing and considered
any mitigating circumstances before delivering their decision on the sanction
awarded.

This letter serves as confirmation of the decision that you were given a <First written
warning/ final written warning> in accordance with the county councils disciplinary
procedure.

The warning will be placed on your personnel file, but will be disregarded for
disciplinary purposes after a period of 6/12/24 months. The warning will be citied
should you be subject to any further disciplinary action in the period which it is live.

You have the right to appeal against this decision as detailed in the county councils
appeals procedure. A copy of which is enclosed.

Yours sincerely




<Name>
<Directorate>
                           Disciplinary Hearing Decision
                               Dismissal with Notice


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Dismissal

I refer to the Disciplinary Hearing held on <date>, the conclusion of which was that
you were issued with a final written warning and cautioned that that warning would be
citied should be subject to further disciplinary action in the period it remained live.
The allegations substantiated in that case were:

Allegations:
<Insert allegation(s)>

Further misconduct was alleged on <date> and the conclusion of the subsequent
disciplinary hearing held on <date> was that these further allegations of misconduct
have been substantiated. These allegations are:

Allegations:
<Insert allegation(s)>

The decision of the Panel is that you be dismissed and I therefore write to confirm
that decision.
As this is not a summary dismissal, I am issuing you with <Number of weeks> paid
notice from the date of the hearing and therefore your employment with Lincolnshire
County Council will be terminated on <date>.

You have the right to appeal against this decision as detailed in the county councils
appeals procedure. A copy of which is enclosed.

Yours sincerely



<Name>
<Directorate>
                           Disciplinary Hearing Decision
                             Dismissal without Notice


PRIVATE & CONFIDENTIAL

<Addressee>
<Address>


<Date>

Dear <Addressee>

Dismissal

I refer to the Disciplinary Hearing held on <date> the conclusion of which was that
the allegations were substantiated as detailed below:

Allegations:
<Insert allegation(s)>

This constitutes gross misconduct and the panel’s decision was that you be
summarily dismissed. I therefore write to confirm that your last day of employment
with the County Council was <date the decision was made>

You have the right to appeal against this decision as detailed in the county councils
appeals procedure. A copy of which is enclosed.


Yours sincerely



<Name>
<Directorate>

								
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