THIS REPORT RELATES STIRLING COUNCIL TO ITEM 12 ON THE AGENDA. 12 November 1997 NOT EXEMPT DISCIPLINE AND GRIEVANCE HANDBOOK PARTS I - 3

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1 THIS REPORT RELATES STIRLING COUNCIL TO ITEM 12 ON THE AGENDA RESOURCES COMMITTEE CHIEF EXECUTIVES SERVICES PERSONNEL SERVICES 12 November 1997 NOT EXEMPT DISCIPLINE AND GRIEVANCE HANDBOOK PARTS I - 3 PURPOSE 1.1 The purpose of this report is to recommend to the Resources Committee adoption of a Discipline and Grievance procedure, and the setting up of a panel to deal with any disciplinary issues regarding Chief Officials. (Excluding the Chief Executive). SUMMARY 2.1 Stirling Council requires to have a Discipline and Grievance procedure which applies to all employees of the Council. A Discipline and Grievance Handbook has been drafted which has three parts, which are appended to this report Part I - The Discipline and Appeals Procedure. Part 2 - The Grievance Procedure. Part 3 - The Disputes Procedure. 2.2 All three parts of the handbook have been the subject of extensive trade union consultation and negotiation, as well as consideration by the Management Team. 2.3 The recommended disciplinary procedure in respect of Chief Executives is appended to the report. 3 RECOMMENDATION(S) 3.1 The Resources Committees are requested to: approve the attached Discipline and Grievance Handbook.

2 4 CONSIDERATIONS approve the setting up of a panel to deal with issues relating to the discipline of Chief Officials Adopt the Chief Executives - Disciplinary Procedures as contained within the JNC Scheme of Salaries and Conditions of Service for Chief Officials. 4.1 From 1 April 1996 to the present, Stirling Council has been operating three procedures in respect of discipline and grievance That of both the former Council's which applied to those employees on the transfer order, and the national procedure which applied to those employees appointed as part of an open selection process. 4.2 Stirling Council requires a discipline and grievance procedure which applies to all employees of the Council, with the exception of Teachers and the Chief Executive. For these two categories of employees separate procedures exist. 4.3 There is a specific discipline and grievance procedure for Chief Executives contained within the JNC Scheme of Salaries and Conditions of Service for Chief Officials. A copy of the Scheme is appended to this report. It is recommended that Stirling Council adopt this procedure in respect of the Chief Executive. 4.4 In respect of all other employees of the Council (with the exception of Teachers) a procedure has been drafted which will be in the form of a handbook, and which for ease of use and clarity has three distinct parts. Part I - The Discipline and Appeals Procedure complies fully With the ACAS Code of Practice, and the procedures contained within the National Schemes of Salaries and Conditions of Service. As the procedure also applies to Chief Officials, and in order to comply fully with the national guidelines and best practice, it is recommended that the Council set up a Chief Officials disciplinary panel. The Chief Officials disciplinary panel would deal with disciplinary issues involving either a final written warning or dismissal. The Chief Executive would remain responsible for disciplinary issues for Chief Officials up to and including a written warning. Membership of this panel would need to be distinct from that of the Appeals Panel. It is recommended that the Chief Officials Disciplinary Panel is made up of 5 members of the Resources Committee who are not members of the Appeals Panel, reflecting the political balance of the Council, I.e. 3 Labour, 1 Conservative and 1 SNP. Part 2 - The Grievance Procedure again fully complies with the ACAS Code of Practice and Procedures contained within the National Schemes of Salaries and Conditions of Service.

3 The grievance procedure recognises that an employee has the right to express a grievance and for this to be dealt with in a fair and consistent manner. The procedure exists for those who feel that they have a valid grievance, and is not there for grading issues. A separate procedure for dealing with grading issues will be developed. Part 3 - The Disputes Procedure applies in the event of either the Council or a recognised Trade Union declaring a dispute. The procedure is based upon those contained within various National Conditions of Service. 5 POLICY IMPLICATIONS 6 CONSULTATIONS 6.1 Trade Unions JTUC Director of Civic Services Head of Legal Services Management Team 7 RESOURCE IMPLICATIONS 7.1 Training in the now procedures will be required for all managers. The Trade Unions will be included in this exercise. 8 BACKGROUND PAPERS 8.1 There are no background papers in respect of this report. However the following procedures are appended: The Discipline and Grievance Handbook Parts 1-3. Appendix "E(l) of the JNC Scheme of Salaries and Conditions of Service Chief Executives - Disciplinary Procedures.

4 Author(s) Name Designation Tel No/Extension Jacqui Jones Head of Personnel Services Approved by Name Designation Signature Keith Yates Chief Executive Date Reference

5 STIRLING COUNCIL PERSONNEL SERVICES DISCIPLINE AND GRIEVANCE HANDBOOK PART I DISCIPLINE AND APPEALS PROCEDURE 1.0 INTRODUCTION It is the policy of Stirling Council to maintain effective working relationships with and between its employees. Disciplinary procedures should not be viewed as a means of imposing sanctions. Their purpose is to ensure fair, effective and consistent treatment of employees. This handbook embodies procedures which reflect the guidelines contained within the ACAS Code of Practice. The procedures have been designed to help and encourage improvement where there has been a failure to meet expected standards. This procedure is applicable to all Employees employed under JNC and NJC conditions of service, with the exception of the Chief Executive. 2.0 PRINCIPLES No disciplinary action will be taken against an employee until the case has been properly and fully investigated. Any disciplinary action will be taken in the shortest time possible without prejudice to the need for fair and thorough investigation. In cases when a formal hearing is required, this will be called by the employee's Director/Head of Service or nominee. in all formal hearings a representative from Personnel Services will be in attendance. Where necessary, a representative from Legal Services will also be present (see para 3.6) An employee shall be entitled to reasonable notice prior to a formal hearing. The minimum notice which will be given is FIVE clear working days. An employee shall have a right to be accompanied or represented by either a Trade Union Official or a personal representative of her/his choice and will have the right to call witnesses and to make full response to any complaint or allegation. An employee shall have the right to have full written details of any complaint or allegation, including details of what they mean in terms of potential disciplinary action or sanction, together with copies of supportive documentation and statements.

6 Any disciplinary action or sanction will be fully explained and, where required, confirmed in writing. An employee shall have a right of appeal against any form of disciplinary action or sanction. This will be fully explained at the time and confirmed in writing where necessary. Where allegations relate to a Trade Union official, consultation will take place with a Senior Official or Full time Official prior to disciplinary action being taken. The Council recognises the rights of confidentiality of employees subject to disciplinary procedures and will not publicise any details relating to identity or of any allegations raised. Disciplinary procedures will be kept under review and may be amended. Any proposed amendment Will be properly discussed with recognised Trade Union(s) as appropriate, prior to embodiment. The Disciplinary principles, rules and procedures form part of the terms and conditions of employment with Stirling Council. 3.0 DISCIPLINARY PROCEDURE The sections of this procedure are: Reasons for Disciplinary Action Suspension Informal Disciplinary Action Formal Disciplinary Acton: Convening a Disciplinary Hearing Stages Disciplinary Letters When employee is also subject of criminal charge(s). Appeals 3.1 Reasons for Disciplinary Action Misconduct Most breaches of disciplinary rules fall within this category and would not normally result in dismissal, except cases of repeated misconduct after a warning or warnings have been given. Examples of misconduct are given below, but are not exclusive or exhaustive:- Negligence in the performance of official duties. Habitual poor timekeeping or absence. Discrimination, harassment or intimidation of other employees, or if on duty, members of the public. In certain circumstances the seriousness of an offence may result in an immediate charge of Gross Misconduct. Refusal to carry out a reasonable instruction from a more senior officer. Absence from work without permission or for which an acceptable explanation cannot be given.

7 Failure to wear protective clothing when required or not using safety equipment provided for any specific task. Disregard of any Safety Requirements imposed either by statute or by Council policy which results in danger or injury to her/himself or to any other person, or serious damage to property or equipment. In certain circumstances the seriousness of an offence may result in an immediate charge of gross misconduct. Undertaking any form of unauthorised private business activity which, in any way is in conflict with the interests of the Council, or which relate to the nature of the duties undertaken by the individual. Gross Misconduct Gross Misconduct is defined as a breach of discipline or conduct of such a serious nature that has caused a breakdown of the relationship of trust and confidence between the Council and the individual(s) concerned. Examples of Gross Misconduct are given below, but are not exclusive or exhaustive:- Willful destruction of Council property or equipment. Fraudulent activity and/or deliberate falsification of documents. Acceptance of bribes or payment, either directly or in kind, or acceptance of any form of inducement. Involvement in corrupt practices. Theft of property or equipment belonging to or in the care of the Council, or, if on duty, from a member of the public or from elsewhere whilst acting on behalf of the Council. Falsification of any qualification which is hold to be an essential requirement of employment with the Council. Failure to disclose or falsifying detail of a criminal conviction where such disclosure is an essential requirement of employment. Violent or threatening behaviour, or the use of abusive or offensive language to employees or Elected Members of the Council, or whilst on duty, to members of the public. Indecent or offensive behaviour. Inability to carry out duties as a result of being under the effect of alcohol or drugs. Unauthorised issue of any material or information of a nature considered to be contrary to the interests of the Council or any of it employees. BE8w 6 November 1997

8 3.2 CRIMINAL CHARGES An employee shall not become the subject of disciplinary procedure solely as a result of being the subject of a criminal investigation, charged with or convicted of a criminal offence. Consideration must be given as to whether the alleged or proven offence is of relevance to the employment relationship between the Council and the Employee. All cases must be referred to the Head of Personnel Services, who will discuss the matter with the Director of Civic Services to determine such relevance. It is decided that there is relevance, the matter shall be conducted as a isciptinary issue within the terms of this procedure (as circumstances permit). Depending on the circumstances such procedure may precede or be deferred pending the outcome of any Criminal Procedure. Where, as a result of an internal investigation, it becomes obvious that a criminal act has taken place, the Council has a duty to report the matter to the appropriate authority. This will not prejudice the Council's Disciplinary procedure. 3.3 SUSPENSION An employee may only be suspended on the authority of the Director/Head of Service following consultation with a Personnel Services Manager. Where the employee is a Chief Official only on the authority of the Chief Executive following consultation with the Head of Personnel Services. Where suspension is considered necessary to allow a management investigation, or to protect the interests of the Council, this will be with full pay. An employee who is suspended will be given written confirmation of the reason(s) for suspension and the date from which this operates. The written confirmation must be issued within FIVE working days of the date of suspension. Investigations must be completed in the shortest time consistent with the necessity for thoroughness and completion. The date of any disciplinary hearing will be notified within one week of the completion of an investigation. The maximum period of suspension will normally, be one month. Only in exceptional circumstances where it is necessary or an investigation to continue beyond this, will the period of suspension be extended, and only following consultation with the Head of Personnel Services. In the case of suspension involving a Chief Officer an application for extension must be referred to the appropriate Committee or Sub Committee of the Council. It will be made clear to the employee that investigative, or probationary, suspension is NOT a disciplinary sanction and is not in any way to be considered as a means of dealing with any alleged misconduct. BESW 6 November 1997

9 9 7 The Council recognises that individuals placed upon suspension have a right of confidentiality and that publicity can cause unnecessary embarrassment and suffering. It is policy therefore that there will be no disclosure of names or allegations other than to those who may be professionally involved in such an event. 3.4 INFORMAL DISCIPLINARY ACTION This is normally the first level of a disciplinary procedure for first occurrences of misconduct other than that which is serious enough to warrant formal procedure. The emphasis is upon discussing the irregularity with the individual and listening to any mitigating circumstances from which an agreed remedial action or action plan can be developed. The individual should be aware however that further irregularities could result in formal action being instigated. A record should be kept for future reference by the person issuing such a warning. Such a record is to be discarded after a period of 6 months. 3.5 FORMAL DISCIPLINARY ACTION Where formal disciplinary action is necessary, an investigation and formal hearing will take place. Disciplinary investigations will normally be conducted by the immediate line manager of the employee. The appropriate Head of Service shall however have the authority to appoint another officer to conduct the investigation. This authority will have particular significance where more than one employee is involved. Where the allegations relate to financial irregularities or possible illegality, the Director of Finance and Information Services and/or the Director of Civic Services shall be immediately informed. Further investigation by the lnternal Auditors may be considered necessary. 3.6 CONVENING A DISCIPLINARY HEARING Hearing Officer The Officers authorised to institute any investigation to convene a hea6ng and to issue any warning or dismissal letter are the Director of the Service, and Head of Service in which the individual employee is engaged. A Director or Head of Service may delegate functions as above to another officer at Head of Service or Service Manager level, however where the nature of the allegation(s) are such that dismissal is a possible outcome, the Hearing Officer will be of a grade not lower than Head of Service. Disciplinary action relating to Directors or Heads of Service will be dealt with by the Chief Executive, however for more serious cases where the level of misconduct could result in dismissal, the hearing will be referred to the appropriate committee of the Council - the Chief Officers disciplinary panel. The Hearing Officer shall not be the officer involved in the investigation. BESW 6 November 1997

10 Procedure Formal hearings will be called and chaired by the hearing officer. All hearings will be notified to the Head of Personnel Services who will make arrangements for a representative to be present. In cases which allege serious or gross misconduct, and where there is a potential for final written warning or dismissal, a representative from Civic Services (legal) will be present. The role of the Personnel and Legal representatives at the hearing is an advisory capacity only. The decision is solely that of the Hearing Officer. Notice of a hearing will be issued not later than FIVE clear working days prior to the hearing date. Such notice will be given in writing and posted to the employee's home address. This notice must include:- The fact that it will be a formal disciplinary hearing under the Council's Disciplinary Procedure. The exact nature of the allegation(s). The right to call witnesses, and to submit statements and other documentation to the Hearing Officer. The right to be accompanied or represented by a Trade Union representative or another person of the Employee's choice. Copies of written statements and other supportive evidence will be sent with notice of hearing. Adequate arrangements will be made regarding the venue of a hearing to ensure that there will be no interruption. Where advisable, arrangements should be made for someone other than the hearing officer and advisers to take a detailed record. 3.7 Conduct of the hearing The hearing will be chaired and controlled by the Hearing Officer. The Manager who conducted the investigation will not be a member of the panel, but will be asked to present the supporting facts and material. The employee, or representative, and the hearing officer will be entitled to question the manager and any witnesses who may attend the hearing. The employee will be entitled to give any explanation he or she wishes, and may be questioned by the manager as well as by the hearing officer. The manager, as well as the employee or representative will be given the opportunity to address the hearing officer by means of summing up. The hearing officer may adjourn the hearing at any stage if this appears necessary or desirable. It the hearing is adjourned in order to obtain further information, the nature of that information will be specified. Any adjournment will normally be for a stated period. BE8W 6 November 1997

11 1 59 On completion of the hearing, the hearing officer will normally announce the decision and the disciplinary action, if any, to be taken. The hearing officer Will also explain the employee's right of appeal under this procedure, and the timescale for lodging an appeal. 3.8 STAGES IN THE FORMAL DISCIPLINARY PROCEDURE Stage 1 Formal Oral Warning When a formal oral warning has been issued at a hearing the Employee shall be informed, with confirmation in writing within FIVE working days, that a formal oral warning has been recorded and will be placed in the employee's personnel file. Confirmation of such action will be sent to the Head of Personnel Services. The warning will remain on record for 6 months. Stage 2 Written Warning Where a written warning is issued the hearing officer should explain the implications of this action. A copy of the warning will be sent to the Head of Personnel Services. The warning will remain on record for 9 months. Stage 3 Final Written Warning Where a final written warning is issued the hearing officer should explain the implications of this action. A copy of the warning will be sent to the Head of Personnel Services The warning will remain on record for 12 months. Note regarding Stages 1-3:- A summary record of all disciplinary awards will be maintained by Personnel Services who will maintain a constant review in order that records of disciplinary sanctions are expunged from Personnel Records when these are time-spent. Stage 4 Dismissal A letter of dismissal will be issued to the employee, with a copy to the Head of Personnel Services. Summary Dismissal An employee would not normally be dismissed for a first offence, however acts defined as gross Misconduct can lead to summary dismissal. Where the allegations are of such a serious nature as to require contemplation of this step, the Head of Personnel Services or a Personnel Services Manager should be contacted immediately. BE8W 6 November IM

12 3.9 DISCIPLINARY LETTERS Warning letters should be handed personally to the employee or sent by post. On every occasion, letters of dismissal should be sent by post. Letters must be precise in terms of the circumstances, the warning and its implication. In the case of termination, the letter must contain the explicit reason(s) for dismissal. Essential features should include therefore: 4.0 APPEALS Date of hearing Precise nature of offence(s) for which the employee has been disciplined The level of warning, as applicable. If previous warnings are still on record, these should be referred to The period of retention of any warning issued Further disciplinary steps in the event of further disciplinary incident within the pe6od of warning The right to and process for appeal Reference to the action taken as within the Council's approved Disciplinary Procedure Letters will be signed by the Hearing Officer in all cases following consultation with the legal and personnel advisers as to its terms, and will include an appeal application form. Directors and Heads of Service (CO Grades) Where an Officer Wishes to appeal against the decision of the Chief Executive, this will be heard by the Appeals Panel. Such appeal should be made in writing within TEN working days of having received the decision in writing (refer to footnote). This should be lodged with the Head of Personnel Services. Decisions issued by the Appeals Panel are final in terms of this procedure. Other Employees All employees have a right of appeal. At the conclusion of every hearing where a disciplinary action has been issued, the Employee shall be informed of their right and procedure of appeal. BE8w 6 November 1997

13 161 Where an employee elects to appeal, she/he must write (see footnote) to the Head of Personnel Services within TEN working days of having received their decision in writing clearly stating the grounds of appeal. The Head of Personnel services will send a copy of the appeal letter to the officer who conducted the original hearing. Confirmation that an appeal has been lodged will be issued to the appellant not later than the next working day. All appeals will normally be considered within TWENTY working days of the lodgement of the appeal. There may however be occasions whereby this is not possible through no fault of the appellant or the Council (eg certified absence). This time limit may therefore be extended by mutual consent. Appeals which are not lodged within the prescribed time limit will be deemed to have lapsed. In this event, there will be no further right of appeal. Note concerning lodgement in writing:- In all cases where an appeal is to be entered, the appellant is required to complete an Appeal Application. This form will be issued by a Hearing Officer in all cases where any disciplinary sanction is issued. The use of the form will be explained when details are given concerning rights and procedure of appeal Hearing Panels Appeals against Oral Warnings Hearing panels will comprise the Director or Management Representative from the same Service to that of the employee, plus representatives from Personnel and Civic Services (Legal). Where the Director issued the warning which is the subject of the appeal, the appeal will be heard by the Head of Personnel Services who will involve a legal adviser where necessary. Appeals against Written Warnings (other than Final) Hearing panels will comprise a Director or Management Representative from a different Service to that of the employee, plus representatives from Personnel and Civic Services (legal). Appeals against Final Written Warning Hearing panel shall consist of the Chief Executive and a Management Representative from a different Service to that of the employee, one of whom shall act as chairperson. Advisers from Personnel and Civic Services (Legal) will be present. If the Chief Executive is not available the panel will consist of two Management Representatives from different Services. Appeals against Dismissal] All appeals against dismissal will be heard by the Appeals Panel. Officers from Personnel and Civic Services (Legal) will be present to advise Members. BE8w 6 November 1997

14 1 62 Further right of Appeal There shall be no further right of appeal within the Council. In the case of dismissal an appeal may be referred externally to the appropriate ScottishCouncil when it is agreed by the Council and employee or any Trade Union(s) involved that a dispute exists. NOTE CONCERNING CONSTITUTION OF HEARING PANELS In keeping with the Council's policies on Equality, where possible, the constitution of all hearing panels will recognise an appropriate gender balance. BE8W 6 November--r 1997

15 Stirling Council.Disciplinary Procedure: Notice of Appeal To: Head of Personnel Services For Official Use Stirling Council Date of Receipt Langgarth, Ref.No Viewforth HO Adv Stirling FK82EF Tel ( Fax(01796) IMPORTANT NOTE Should you wish to enter an appeal, you must ensure that you complete all sections of this form and deliver it to the Head of Personnel Services within 10 (TEN) working days from your receipt of the Hearing Officer's written decision. In the absence of extenuating circumstances, failure to comply with the above timescale will result in your appeal being disqualified Appellants Name: Address: Service and Work Location: Date of Hearing: Hearing Officer: Reason for Appeal (give brief reason as to the grounds under which you are making this appeal: Signature: Date

16 1 6 5 Appendix E Chief Executives - Disciplinary Procedures APPLICATION 1 Procedures are set out below for use in cases relating to discipline of chief executives. The Joint Secretaries of the JNC for Chief Officials should be notified as soon as it is proposed to use any of these procedures and both parties are also recommended to contact the appropriate Side Secretary as soon as possible to ascertain whether more detailed assistance might be desirable. 2. The Joint Secretaries are available at any stage in the procedure to act in an impartial conciliation role if required to do so by either party (although conciliation is more likely to be of assistance before matters have progressed too far). DISCIPLINE Note; Authorities are recommended to have full regard to the principles and standards set out in the ACAS Code of Practice on Disciplinary Procedures. 3. Disciplinary action means any action occasioned by alleged misconduct or a complaint with regard to capability which, if proved, would, according to the usual practice of the authority, be recorded on a chief executive's personal file, and includes any proposal for dismissal of a chief executive for any reason other than redundancy or permanent Ill health or infirmity of mind or body, but does not include failure to renew a contract of employment for a fixed term unless the authority has undertaken to renew such a contract. 4. Where a question of misconduct or unsatisfactory work performance is raised in connection with a chief executive, for example by an elected member, it should normally be for a group of not fewer than three elected members appointed by the convenor or leader of the council, as appropriate, to carry out preliminary and careful investigation. As part of this investigation the elected members concerned should take into account any explanations given by the chief executive. During the investigation the chief executive has the right to be represented by his/her trade union or some other person of his/her choice. If, following the preliminary investigation, the elected members are satisfied that the matter requires further consideration, an Investigating Committee should fully investigate the matter. The lnvestigating Committee should normally be the Policy Committee, the Personnel Committee or an appropriate sub-committee of those Committees, the composition of which should, as far as possible, reflect the political balance of the Council. It should not include any member with a direct personal involvement in the complaint or any of the members who carried out the preliminary investigation. At this stage no record of the investigation should be entered on the individual's personal file. BE11W 6 November 1997

17 If at any stage it is felt appropriate, the chief executive may (subject to whatever consultation or approval may be required under the council's standing orders) be suspended from duty on full pay pending future investigation for not normally more than two months. Written notice stating the reasons for any such suspension shall be given. 6. The decision to have a full investigation should be communicated in writing to (a) (b) the chief executive and at his/her request to any trade union of which he/she is a member, and the Joint Secretaries of the Joint Negotiating Committees. 7. At this stage it will be necessary for the authority and the chief executive to agree to the appointment of an independent person. if the parties cannot agree on an independent person, the independent person shall be recommended by the Joint Secretaries to the JNC. 8. The chief executive should be given not less than 10 working days' notice of the meeting of the Investigating Committees and should at the same time be given full details of the complaints made against him/her. Within this time the chief executive has the right to request (a) (b) further details of the complaints made; and a postponement of the meeting for a period to be agreed between the parties or, In default of agreement, for a period not exceeding 14 days. 9. The chief executive shall be informed of his/her rights to challenge the case against him/her and to present his/her case to the lnvestigating Committee; to be represented at the meeting by his/her trade union representative or some other person of his/her choice; and to call any witness whom he/she considers appropriate and produce any documents which he/she considers relevant. 10. At the hearing, after any statement in evidence (including witnesses) in support of the complaint, the chief executive may give evidence, call winesses and produce documents. The person making any statement on behalf of the employing authority, the chief executive (or his/her representative) and each witness may be questioned on his/her statement or evidence by the other party and by members of the Investigating Committee. The person presenting the complaint and finally the chief executive or his/her representative should have the right to sum up at the end of the hearing and in no case should the Committee hear one party without the other being present BEIIW 6 November 1997

18 167 ROLE OF THE INDEPENDENT PERSON 11. It is the duty of the independent person appointed in accordance with para 2.5 above to prepare a report. The report may be prepared, at his/her discretion, either before the Investigating Committee hears the evidence, or after the Committee has heard, in the presence of the independent person, the evidence and summing up of both sides relating to the proposed disciplinary action, but before they reach any conclusions. The JNC recommend that the independent person prepares the report after the investigating Committee has met and heard the case of both sides, unless an interim report if requested before the Committees meets. Note: The authority shall pay the remuneration of the independent person, and any costs incurred by him/her or in connection with the discharge of his/her functions under these procedures. 12. The independent person shall, at his or her discretion, have power at any stage in the proceedings at which he/she considers appropriate (a) (b) (c) (d) (e) to recommend that no further steps (whether by the authority or any committee, subcommittee or officer of theirs) should be taken in respect of the disciplinary action proposed or contemplated; to recommend that any suspension shall end, and the chief executive shall be reinstated, to recommend that no steps towards disciplinary action or further disciplinary action against the chief executive, other than steps taken in the presence or with the agreement of the independent person are to be taken, before a report is made in accordance with para 3.3 below-, to inspect any relevant documents in the possession, or under the control, of the authority, and any other documents which any person is prepared to show to him/her to require any employee of the council to answer questions concerning the conduct of the chief executive providing that if any such employee has not been called to give evidence the person presenting the complaint on behalf of the authority and the chief executive (or his/her representative) may question the employee (in an appropriate forum) on the answers given to the independent person. 13. The report of the independent person shall state his/her opinion as to whether (and if so the extent to which) the evidence obtained supports any allegations of misconduct against the chief executive. The independent person shall at the same time send a copy of the report to the chief executive. BE11W 6 November 1997

19 168 RECOMMENDATIONS OF THE INVESTIGATING COMMITTEE 14. The Investigating Committee should recommend a course of action to the full council or other committee with a power of final decision, and the chief executive should be informed of their recommendations at the earliest opportunity, or in any case at least 10 working days before the meeting of the council (committee). 15. Where a chief executive's work, conduct or omission is such as to warrant disciplinary action, the Investigating Committee may recommend action which may include a warning, final warning, suspension without pay, demotion, reduction in salary or dismissal. 16. In the case of a first offence, other than for gross misconduct, the disciplinary action should normally be a warning which could be a final warning. 17. Where a warning has been issued and the chief executive commits a similar offence or a subsequent different but equally serious offence, the Investigating Committees may recommend a final warning or taking other serious disciplinary action. 18. The chief executive shall have the opportunity to appeal against the recommendation by presenting a written submission when the matter is considered by the council or appropriate committee. His or her representative shall have the right to attend this meeting and speak to the written submission. Members who sat on the Investigating Committee may attend and clarify points of information as necessary, but should not participate during the final consideration in the meeting of the council or appropriate committee. 19. The council or appropriate committee should consider the recommendation of the Investigating Committee in the light of the written and oral submissions made and reach a final decision. The employing authority should bear in mind throughout all stages of the procedure the requirement to treat the matter as confidential until a final decision has been reached. GROSS MISCONDUCT 20. When a case appears to be one of gross misconduct, normally the chief executive should (subject to whatever consultation or approval may be required under the authority's standing orders) be suspended from duty on full pay pending further investigation. The suspension will initially be limited to a period of two months. An independent person must be appointed, and will have the same powers and responsibilities as set out in sections 2-4. An investigation should be conducted by an Investigating Committee (formed in accordance with para 2.1 above) as speedily as possible, and as part of this investigation the chief executive must be given the opportunity to submit his/her explanations (if he/she so wishes). BEIIW 6 November 1997

20 169 CAPABILITY Note: The procedure for capability may need adaptation where medical fitness is in question. Authorities should bear in mind the advantage of a third medical opinion where their own medical adviser and that of the chief executive are not in agreement. In the case of permanent ill health an independent person need not be appointed. 21. Para 2.2 of the disciplinary procedure (providing for a preliminary investigation) shall apply also to any question or complaint as to the capability of the chief executive to fulfil the duties and responsibilities of the post, including any alleged failures by the chief executive to establish and maintain a satisfactory working relationship with the Council. 22. If the elected members making the preliminary investigation conclude that there is a question of substance as to the chief executive's capability, they should advise the chief executive informally of the nature of that question, of the ways in which the performance should improve and (unless there has been a previous warning or there is evidence of serious incapacity which is not likely to be remedied within a reasonable time) a period of time after which the matter will be reviewed. This period should be sufficient to allow the chief executive a reasonable opportunity to show either an improved performance or that the conclusion of the preliminary investigation was mistaken. At this stage no record of the investigation should be entered on the individual's personal file. 23. If, after para 6.2 has been complied with, there remains a substantial question as to the chief executive's capability, the question shall be referred to an Investigating Committee and the disciplinary procedure (including the provisions for appeal) as outlined in Sections 2-4 above shall apply except as varied below. An independent person will also need to be appointed in accordance with para 2.5 above, except in the case of permanent ill health (see above note). 24. It, as a result of the investigation by the Investigating Committee, it is concluded that the chief executive is not carrying out his/her duties and responsibilities to the level of capability that the employing autho6ty genuinely believes is required, it should be considered whether an alteration in duties and responsibilities may be appropriate. If this is not regarded as appropriate, members should consider the possibilty of either a recorded oral warning or a written warning with the provision of a reasonable amount of time for the chief executive to meet the requirements of his/her post or (if there has been a previous written warning or the Investigating Committee judge the incapability to be fundamentally irremediable) dismissal with notice. A satisfactory outcome may alternatively be achieved by the chief executive undertaking actively to seek other employment, resigning or accepting retirement. 25. It will be necessary in cases of capability for an independent person to be appointed as above and it will be his/her responsibility to recommend any disciplinary action to be taken against the Chief Executive. BEIIW 6 November 1997

21 I 1 71 STIRLING COUNCIL PERSONNEL SERVICES DISCIPLINE AND GRIEVANCE HANDBOOK PART 2 GRIEVANCE PROCEDURES 1.0 INTRODUCTION Stirling Council recognises the right of an Employee to be able to express a grievance and to be heard. This procedure has been designed to ensure that grievances are dealt with in a fair and consistent manner with the minimum of formality and in the shortest possible time. The use of the grievance procedure for testing grading and other similar issues is not acceptable. Such would severely impact upon the capacity to deal with more critical submissions. The procedure exists for those who feel that they have a valid grievance and makes clear the need to produce supportive reasons and evidence. This procedure is applicable to all Employees employed under JNC and NJC conditions of service. 2.0 PRINCIPLES An Employee has the right to express a grievance and be heard. A grievance may be any matter which an individual seeks to raise where she or he believes that her or his employer is acting unreasonably, or where it is believed that working conditions are less favourable than believed approp6ate. A grievance may include unfair or improper treatment by other employees. Grievances will be dealt with in a structured manner to ensure fairness and equity. Grievances will be processed by agreed procedures in the shortest time possible consistent with fairness and attention to detail. The Council will provide a framework for the outcome of grievance hearings to be appealed and heard. All grievances should be lodged with supportive evidence. The procedures for Grievance will be included within Conditions of Employment with Stirling Council. BE9aW 6 November 1997

22 172 The Council recognises the rights of confidentiality of employees and will not publicise the identity of individuals involved in or any detail relating to Grievance proceedings. Grievance procedures will be kept under review and be amended. Any proposed amendment will be discussed with recognised Trade Union(s) as appropriate prior to embodiment. 3.0 GRIEVANCE PROCEDURE 3.1 Outline A four stage grievance procedure will operate internally as detailed in para 3.2. The four stages provide for the furtherance of Grievance should settlement not be achieved Grievances will end at the level of the Authority except where it is agreed by the Council and any Trade Union(s) involved before the case shall be referred to the appropriate Scottish Council or Committee. 3.2 Representation At all stages in the grievance procedure, an Employee shall have a right to be accompanied or represented by a Trade Union representative. 3.3 Involvement of Personnel Services All stages in a Grievance shall be notified to Personnel Services. At procedure Stage 1, as detailed below, a Personnel Services representative will be in attendance if requested by either party. At all other stages, a representative from Personnel Services must be present, 3.4 Applicability This procedure is applicable to all Employees employed under JNC and NJO conditions of service. Stages 1-4 will apply to all manual, craft and APT&C employees Stages 1, 3 & 4 will apply to Heads of Service (JNC) Stages 1 & 4 Will apply to Directors Stage 4 will apply to the Chief Executive 3.5 Procedure Stage I Establishment of Grievance with immediate supervisor/manager In the first instance, a Grievance should be lodged by the employee with his or her immediate supervisor/manager. The grievance should be lodged in writing in the terms laid out in paragraph 4.0. The Supervisor/Manager should discuss all aspects of the grievance and, if necessary, seek advice from Personnel Services.

23 Decision is to be given to the employee in writing within 2 (TWO) working days. If the employee does not accept this decision, the employee may submit the grievance in writing to the Director of the Service within 10 (TEN) working days BF-9aw 6 November 1997

24 173 Stage 2 Hearing by Director (or Officer elected by the Director). Upon receipt of a letter of Grievance, the Director will arrange a hearing to take place within 10 working days unless, by mutual agreement, a longer period is considered to be necessary. Confirmation should be given in writing. The director should notify the Head of Personnel Services who will arrange for a representative from Personnel Services to be present. Written confirmation of the Directors decision will be sent to the employee within five working days of the meeting. If the employee does not accept this decision, the employee may submit the grievance in writing to the Chief Executive within 10 (TEN) working days. Stage 3 Hearing by the Chief Executive Upon receipt of a letter of Grievance, the Chief Executive will arrange a hearing to take place within 10 working days unless, by mutual agreement, a longer period is considered to be necessary. In the event that the Chief Executive is not able to arrange or agree a meeting within this time, a Director, other than the employee's Director of Service, may be appointed to convene the meeting. Confirmation should be given in writing. The Chief Executive should notify the Head of Personnel Services who will arrange to be present, or arrange for the presence of a Personnel Services Manager. Written confirmation of the Chief Executive's decision will be sent to the employee within five working days of the meeting. I In issues relative to Service matters. or procedures, or if about the proper application of management discretion the decision at this level shall be final. For other matters of Grievance, K the employee does not accept this decision, the employee may ask for it to be heard by the Appeals Committee. In such an event, request should be made in writing to the Head of Personnel Services within 10 (TEN) working days of such a decision being received. The Head of Personnel Services will acknowledge receipt of the request within 5 (FIVE) working days and will arrange for the matter to be heard by the Appeals Committees. If arrangements cannot be confirmed within five days, the Head of Personnel Services will advise the date of the Hearing in writing as soon as this is known. BE9aw 6 November 1997

25

26 1 7 4 Stage 4 Hearing by the Appeals Committee. Details of procedure will be given to the employee not less than 5 working days prior to the hearing. This is the final stage of the Grievance procedure except when it is agreed by the Council and the employee or any Trade Union(s) involved acting on behalf of the employee that a dispute exists and the manor be referred to the appropriate Scottish Council or Committee, as provided for in National Conditions of Service. 4.0 REQUIREMENT FOR SUPPORTIVE INFORMATION Within the terms of this procedure, an employee raising a formal grievance should support this with constructive information which serves to demonstrate the case being made. This does not preclude informal discussion with a Supervisor Manager or representative prior to this. 5.0 CONFIDENTIALITY The Council recognises that, especially when a grievance relates to another employee, there may be very sensitive issues raised. The Council assures that at all stages, information discussed will be hold in the strictest confidence and the Council will treat any improper disclosure as an act of Gross Misconduct, Further, the Council recognises that an employee has a right of protection against any form of harassment or unfair treatment arising from the raising of a Grievance and will take all steps necessary to ensure that this does not happen or continues to happen. Employees who feel aggrieved by the act(s) of other(s) must not refrain from bringing their grievance for fear of any kind. BE9aw 6 November 1997

27 STIRLING COUNClL PERSONNEL SERVICES DISCIPLINE AND GRIEVANCE HANDBOOK PART 3 DISPUTES PROCEDURE 1.0 PURPOSE This procedure shall apply in the event of a formal dispute being declared by either the Council or a recognised Trade Union. The procedure is based upon those contained within various National Conditions of Service and in this regard, the following guiding principles shall be applied:- 2.0 LODGEMENT OF DISPUTE By the Council In the event of dispute being raised by the Council, notice shall be served upon the local Branch Chairperson or representative, and confirmation shall be simultaneously submitted to the local or district officer of the Trade Union(s) involved. By Trade Union Notice shall be issued to the Director of Service where the dispute has arisen. Where a dispute is of a general nature, the notice should be given to the Chief Executive. Copies should be sent to the Chief Executive as necessary and to the Head of Personnel Services. 3.0 STATUS QUO When notice has been served by any party which defines and details the cause(s) and nature of a formal dispute, the status quo relating to any and all working practices and arrangements shall be maintained and will not be altered until this procedure has been exhausted. This will apply even I agreement shall not be reached. A dispute shall not be recognised as formal unless its nature is properly detailed. 4.0 INDUSTRIAL ACTION No Trade Union involved in a dispute will cause, take part in or authorise its members to take part in any form of industrial action against the Council unless and until this procedure has been exhausted. In a similar manner, the Council shall not take any form of action against any employee(s) or Trade Union unless and until this procedure has been exhausted. In either event, agreement need not necessarily have been reached.

28 5.0 REFERENCE TO SECRETARIES OF THE SCOTTISH COUNCILS Where it has not been possible to reach a local resolution and it is agreed by both or all parties that a dispute still exists, the issue may, if jointly agreed, be submitted for a hearing by the appropriate National Council.