DISCIPLINARY PROCEDURE

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1 DISCIPLINARY PROCEDURE 1. Purpose 1.1 This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct, attendance and performance when these have been judged unsatisfactory. It is not intended to penalise employees but to enable them to meet the Council s objectives, to provide quality services and treat people with dignity and respect. The aim of this procedure is to ensure consistent and fair treatment for all employees. 2. Background 2.1 The overall aim is to ensure that employers and employees attempt to resolve difficulties themselves by using their organisation s internal dispute resolution machinery rather than resorting to employment tribunals. 2.2 This procedure complies with the ACAS Code of Practice on Disciplinary and Grievance Procedures. 3. Scope 3.1 Minor breaches of rules and standards will be dealt with informally by managers as part of their responsibility to establish and maintain standards of conduct and performance. Where the matter is more serious, or the employee s conduct continues to be unacceptable, despite the manager s informal intervention, the Disciplinary Procedure will be used. 3.2 Where the employee s unacceptable performance is not due to issues of conduct e.g. health, lack of skills or qualifications, or because the job has changed in nature, the Positive Attendance Policy or Capability Policy should be followed. However, where attendance or performance is considered to be attributable to unacceptable conduct, e.g. negligence, lack of application or attitudinal problems, the Disciplinary Procedure should be applied. 3.3 This procedure applies to employees covered by the NJC for local government employees and to all other employees of the County Council for whom there is no other specific disciplinary procedure laid down in national or local conditions of service, or where contractual conditions specify this procedure. 3.4 The Dismissal Procedure Fixed Term/Temporary Contract, Probationary Periods, Redundancy and Retirement will apply in the following circumstances:- HR/Disciplinary Procv2.1_Dec2010 1

2 a) the employee s fixed term or temporary contract is due to end, or if they were working on a particular project which is due to end, or because funding has ceased for the work on which the employee was engaged b) the employee s contract is to end by reason of redundancy c) the employee s employment is to end during or at the conclusion of a probationary period of service, where dismissal arises from unsuitability for confirmation of appointment. 3.5 Where employees are seconded to the Council from an external organisation they will be subject to the disciplinary procedure applicable to their employer. 3.6 Where Council employees are seconded to an external organisation they will be subject to the Council s Disciplinary procedure. 3. Related Policies/Procedures 3.1 Accusations involving Misappropriation of Funds, Financial Irregularities, Allegations of Sexual Misconduct, and Child Protection should be handled in conjunction with this procedure. Details of these procedures are available in the HR Toolkit under Employment Matters: Legal and Procedural Issues. 3.2 Other Council policies and procedures which are relevant to this Policy Include: Alcohol and Substance Abuse Policy Capability Policy Dismissal Procedure Fixed Term/Temporary Contract, Probationary Period Equality and Diversity Policy Grievance Procedure Harassment Policy Health and Safety Policy Positive Attendance Policy Redundancy Procedure Retirement Procedure Voluntary Early Retirement Procedure Whistleblowing: Procedure and Guidance HR/Disciplinary Procv2.1_Dec2010 2

3 4. Responsibilities 4.1 Employees are expected to: Observe the Council s standards of conduct Co-operate with disciplinary investigations Attend disciplinary hearings and appeals as and when requested Comply with the procedure relating to disciplinary hearings and appeals as detailed in this procedure. 4.2 Line Managers are expected to: Ensure that all employees are aware of this procedure Maintain acceptable standards of conduct and a climate where employees feel valued and respected Maintain contact with employees who are suspended and ensure that they are supported on return to the workplace Notify employees of their right to be accompanied by a trade union representative or co-worker Notify employees of the outcomes of the disciplinary procedure as detailed in this procedure Seek advice from Directorate or Corporate HR as required Seek approval of senior managers when required, as detailed in this procedure Keep employee records and maintain confidentiality throughout the procedure and in accordance with the Data Protection Act. 4.3 Commissioning Managers are expected to: Appoint investigating officers Take responsibility for ensuring that Disciplinary Investigations are undertaken efficiently and without delay Notify HR and line managers of the outcome of disciplinary investigations, hearings and appeals in accordance with this procedure Arrange disciplinary hearings and the attendance of witnesses. 4.4 Investigating Officers are expected to: Undertake disciplinary investigations in a timely, thorough, comprehensive and unbiased manner Inform the Commissioning Manager of any delays occurring in the investigation in order that they can be resolved Summarise their findings and present them to the Commissioning Manager Attend disciplinary hearings and appeals as required. 4.5 Directorate HR is expected to: HR/Disciplinary Procv2.1_Dec2010 3

4 Provide advice and guidance to managers on the implementation of this procedure Advise managers of arrangements for disciplinary hearings and appeals as detailed in this procedure Record and monitor the outcomes of this procedure to ensure consistency of treatment Regularly review this policy. 4.6 The Corporate HR Team is expected to: 5. Policy Monitor the implementation of this policy for consistency and equality across the equality strands Investigate any unequal and adverse impacts on these strands Publish the results of the findings of this monitoring process. 5.1 Before any decision is made regarding formal disciplinary action, the employee will normally be provided with a copy of the Disciplinary Procedure and advised in writing of the nature of the complaint against him or her and will be given the opportunity to state his or her case. 5.2 At all stages in the formal disciplinary procedure, the employee will have the right to be accompanied by a single companion who is either a co-worker or a trade union official. 5.3 No employee will be dismissed for a first breach of discipline except in the case of gross misconduct, or exceptionally, in cases where a considered and reasonable conclusion has been reached that a warning would be futile. (See the section on Dismissal in the Disciplinary Procedure Guidelines). 5.4 An employee will have the right to appeal against any disciplinary penalty. 5.5 All disciplinary investigations and hearings shall be carried out as quickly as possible in order to avoid unnecessary delay. 5.6 In line with the ACAS Code of Practice, where disciplinary action is being considered against an employee who is a trade union representative, the normal disciplinary procedures should be followed. However it is advisable to discuss the matter at an early stage, with the employee s agreement, with an official employed by the Union. 5.7 The Corporate Director or the nominated Senior Manager is authorised to deal with all cases up to the level to which the Corporate Director is empowered to appoint i.e. all posts below Corporate Director/Deputy level. HR/Disciplinary Procv2.1_Dec2010 4

5 5.8 This procedure can also apply to conduct outside of work, including criminal charges or convictions where the conduct has a bearing on the nature of the individual s employment. The main consideration should be whether the offence or conduct is one that makes the individual unsuitable for their type of work, or brings the Council into disrepute. (See 6.21 of this Procedure and the Criminal Offences section of the Disciplinary Procedure Guidelines). 5.9 A grievance which seeks to reopen a disciplinary case which has been completed, including the appeal stage, will not be allowed. 6. Procedure NB This procedure should be read in conjunction with the Disciplinary Procedure Guidelines. 6.1 Where the manager believes that there has been a breach of discipline he/she will normally hold a meeting with the employee to discuss the matter. Whilst there is no statutory right for the employee to be accompanied at this meeting the employee should be informed that they may be accompanied by a co-worker or trade union representative provided that this does not delay the meeting taking place normally by more than one working day. 6.2 If, on the basis of the employee s response, the manager considers that there may be an issue to be addressed formally, he/she will contact the relevant senior manager to discuss whether to commission a disciplinary investigation. If the manager, having spoken to the senior manager, believes that an investigation should be undertaken he/she will advise the employee of this together with the nature of the alleged breach of discipline and confirm this in writing. 6.3 If the issues are serious / potential gross misconduct, or if the employee already has a final written warning and the outcome, if proved, could be dismissal, the employee should be informed of this in the letter, so that they are fully aware of the potential seriousness of the situation. 6.4 The manager may also redeploy or suspend the employee on full pay, with the approval of the senior manager and having sought advice from Directorate HR, where a serious breach of conduct is alleged or to enable a full investigation to be undertaken. Suspension is a neutral act and is not a disciplinary sanction and will only apply when other alternatives have been considered. The Suspension will be kept under review. (See the section on Suspension in the Disciplinary Procedure Guidelines). Investigation 6.5 The disciplinary investigation will be carried out by an Investigating Officer appointed by the relevant senior manager, referred to as the Commissioning Manager. This will vary from department to HR/Disciplinary Procv2.1_Dec2010 5

6 department but the Investigating Officer (IO) should be of sufficient seniority to reflect the importance of the matter and to ensure credibility. In certain types of cases it may be preferable for the investigation to be undertaken by an officer external to the Directorate. 6.6 On straightforward issues the investigation can be a simple process, for example, the IO listing out the relevant facts and events. 6.7 Investigations must be given the highest priority and be carried out without undue delay taking into account the circumstances of each case. The IO should report progress to the Commissioning Manager who will notify the employee s line manager and Directorate HR. The line manager will keep the employee and his/her representative (if they have one), informed of the situation. If the investigation process is being delayed the IO should seek assistance from the Commissioning Manager and the Directorate HR Officer/Manager (See the section on Investigating Officers in the Disciplinary Procedure Guidelines). 6.8 The investigation should be thorough, comprehensive and unbiased. The role of the IO is to gather evidence and prepare a report which must be clear and contain a summary of their findings based on the facts and detailing any evidence to indicate whether or not the alleged misconduct may have occurred. 6.9 It is a reasonable management instruction to require employees to cooperate with the investigation and any subsequent hearing. Employees therefore have a duty to:- Meet with the Investigating Officer Put forward their own account and explanation of the events at issue Answer the Investigating Officer s questions about the events at issue Advise the IO of any witnesses and documentary evidence they wish to be taken into account The employee who is subject to the investigation is expected to cooperate with the IO. This is an essential part of the process, as it is important for the employee to have an opportunity at the earliest stage of the proceedings to put forward matters which may impact on the decision as to whether or not disciplinary action is to be taken. It will also assist the IO in identifying witnesses and identifying and retrieving other evidence such as documents. It is essential that the employee is able to put relevant matters forward while they are still fresh in their mind. Failure to do so may, depending upon the reasons for the employee s non co-operation, be considered as misconduct under the Disciplinary Procedure as they may prejudice a reasonable and proper investigation Following the investigation, the Commissioning Manager will meet with the IO to discuss his/her report, if possible. HR/Disciplinary Procv2.1_Dec2010 6

7 6.12 If, based on the IO s report, the Commissioning Manager decides there is no case to answer, or that the matter should be handled in another way e.g. by providing advice and guidance or learning and development, he/she will notify the line manager and the Directorate HR Manager/Officer and there will be no further action under the disciplinary procedure. The line manager will notify the employee and confirm this in writing and reinstate the employee if he/she has been redeployed or suspended If, however, the Commissioning Manager considers that a prima facie case has been established, he/she will arrange for a disciplinary hearing to be held. Disciplinary Hearing The procedure attached as Appendix 1 is applicable to Disciplinary Hearings 6.14 The disciplinary hearing will be conducted by a manager (not the Commissioning or Investigating Officer). In certain circumstances e.g. cases which are concerned with allegations of serious misconduct or gross misconduct, the Hearing Officer will be supported by another senior manager and the Directorate HR Manager/Officer (See Appendix 1) The employee must be given as much notice as possible, but not less than seven working days, in writing, of the date, time and place of the hearing and the nature of the complaint, together with any witness who will be in attendance. He/she will be advised of these details by Directorate HR and of the right to be accompanied at the hearing by a single companion who is either a trade union official or a co-worker If the person accompanying the employee is unavailable, or is unable to attend for reasons outside their control, on the date given for the hearing by the Council the employee may propose an alternative date, generally no later than 5 working days after the date notified to them. The Council will hold the hearing on the revised date provided that it is reasonable and convenient to both the employer and the employee. If this is not possible a new date will be set which does not delay the process unduly. However, if the employee is persistently unable or unwilling to attend a hearing without good cause, the Council shall proceed in the employee s absence and make a decision on the available evidence It is expected that all relevant documentation will have been exchanged between the management and employee/trade union representative prior to the hearing. The Investigating Officer will provide the Commissioning Manager with his/her report. The Commissioning Manager will forward a copy of this to the Directorate HR Manager/Officer and provide the employee/trade union representative HR/Disciplinary Procv2.1_Dec2010 7

8 with the relevant documentation not less than 7 working days in advance of the hearing. The Commissioning Manager will also notify the employee and his/her representative of any witnesses management will be calling to give evidence at the hearing. The employee/trade union representative will provide the Commissioning Manager and the Directorate HR Officer/Manager with copies of all documents upon which the employee will rely including any statement of case, if the employee chooses to present one, and witness statements not less than 3 working days in advance of the hearing, together with the names of any additional witnesses they wish to attend the hearing. (See the section on Exchange of Information in the Disciplinary Procedure Guidelines). Deciding Disciplinary Action/Penalties 6.18 At the conclusion of the disciplinary hearing or appeal, (which is a complete rehearing), the Hearing Officer or Committee shall consider the facts of the matter on the balance of probabilities and may either exonerate the employee or take whatever form of disciplinary action is appropriate Factors to consider before deciding on any disciplinary penalty once the decision has been made that the employee carried out the alleged misconduct include: whether the procedure indicates what the likely penalty will be as a result of the particular misconduct the penalty imposed in similar cases in the past any circumstances or mitigating factors which might make it appropriate to lessen the severity of the penalty e.g. general employment record, level of experience, position and length of service whether the proposed penalty is reasonable in view of all the circumstances the employee s disciplinary record. Except in special circumstances, any disciplinary action should be disregarded for disciplinary purposes after expiry of the warning. A decision to dismiss should not be based upon an expired warning but, the fact there is an expired warning may explain why a lesser sanction is not appropriate. Potential disciplinary action includes:- recorded oral warning; first stage of the formal procedure for minor offences written warning; second stage of formal procedure following a recorded oral warning or first stage for more serious offences final written warning; third stage of the formal procedure following a written warning or first stage for serious offences dismissal with notice; final stage of the formal procedure following a final written warning or where a warning is futile; this will be in exceptional cases only HR/Disciplinary Procv2.1_Dec2010 8

9 summary (or instant) dismissal; for gross misconduct. NB summary dismissal applies to gross misconduct only. In other cases, dismissal with contractual notice must apply. NB Consideration should be given to the alternative to dismissal options set out in Para 6.23 & 24 before deciding to dismiss an employee from the Council s service 6.21 Examples of gross misconduct are as follows:- Theft Fraud Deliberate falsification of records Fighting at work, physical violence Physical conduct/inappropriate physical contact with clients Assault on/abuse of another person Deliberate damage to Council property Serious/persistent incapability through alcohol or non-prescribed drugs Negligence causing/with the potential to cause unacceptable loss, damage or injury Serious insubordination Serious infringement of health and safety rules Conduct prejudicial to the Council's interests or which may damage or prejudice the Council's reputation or integrity Discrimination, harassment or bullying directed towards other employees, clients or members of the public Misuse of the Council s property or name Serious breach of confidence (e.g. serious breach of Data Protection, or the Council s Code of Practice on Computer Security, or the Council s Code of Conduct or appropriate Professional Codes). Conduct outside of work which makes the employee unsuitable for their type of work or is calculated or likely to destroy the Council s trust and confidence in the employee taking into account the nature of the offence, the nature of the work to be done, the extent to which it involves contact with employees, partner agencies and the general public, and the status of the employee (See the section on Criminal Offences in the Disciplinary Procedure Guidelines) There will also be conduct in some circumstances which may amount to gross misconduct for particular categories of staff. For example professional staff working in particularly sensitive areas. THIS IS ONLY AN INDICATIVE NOT A COMPREHENSIVE LIST AS IT WOULD BE IMPOSSIBLE TO INCLUDE ALL POTENTIAL CIRCUMSTANCES. HR/Disciplinary Procv2.1_Dec2010 9

10 Alternatives to Dismissal 6.23 In accordance with ACAS guidelines some acts, termed as gross misconduct, are so serious in themselves or have such serious consequences, that they may call for dismissal without notice for a first offence. For these reasons employees will not normally receive pay in lieu of notice or be considered for alternative employment if they are found to have committed Gross Misconduct Before the decision is taken to dismiss, the hearing officer(s) may also consider the following alternatives to dismissal, taking account of the nature of the conduct, mitigation and the seniority and nature of the post. The Council has the right to take the following action as an alternative to dismissal if appropriate: - suspension without pay for a specified period loss of increment consideration of alternative employment at a lower grade within the Council The written notification of the outcome of a disciplinary hearing will be sent within five working days (other than where a recorded oral warning is issued) and must contain a summary of the reasons for the action taken. This will be sent to the employee s line manager, the employee and his/her representative by Directorate HR Manager/Officer and will provide details of the right to appeal if they are not satisfied with the outcome of the hearing The line manager will arrange for the employee s return to work and reinstatement if he/she has been redeployed or suspended provided the outcome of the hearing does not result in dismissal or demotion. Appeals The procedure attached as Appendix 2 is applicable to Disciplinary Appeals All employees shall have the right to appeal to a higher level of management, within the directorate. In the case of a decision by a Corporate Director, the appeal shall be to another Corporate Director. HR/Disciplinary Procv2.1_Dec

11 6.28 The grounds of appeal shall be notified in writing by the employee or his/her representative to the Senior Manager/Corporate Director and Directorate HR Manager/Officer within 7 working days of the date of notification of the decision of the disciplinary hearing and shall state the reason for the appeal. An extension to this period may be agreed between the parties where necessary according to the circumstances of the case. The appeal shall be heard as soon as possible thereafter An appeal against dismissal shall be to the Staffing Committee and shall be notified in writing by the employee or his/her representative to the Assistant Director People Management including the reason for the appeal The rights of the employee and the procedure for convening and hearing of an appeal shall be the same as for the initial disciplinary hearing as set out in paragraphs 6.14 to 6.16 above and Appendix 1 and 2. The appeal hearing is a full re-hearing of the case and can, therefore, include new evidence. Both parties are required to produce a written statement of their case, together with supporting documents which should be exchanged not less than 5 working days in advance of the hearing. For appeals to Staffing Committee, papers are to be sent to Member Services (See Appendix 3) 6.31 The decision on the appeal will be notified in writing to the employee and his/her representative by Directorate or Corporate HR and no further right of appeal exists within the Council. The appeal should not result in any increase in penalty. Further guidance on preparing for Appeals to the Staffing Committee is contained in Appendix Monitoring of Procedure 7.1 The Corporate HR Team will monitor the implementation of this procedure to provide for consistency and equality in handling disciplinary matters. Reports will include details of when a decision to suspend an employee is taken the date and reason for suspension, when the suspension is lifted and the reason /outcome. 7.2 The number, gender, disability, sexual orientation religion or belief age and ethnic origin of employees subject to disciplinary procedures and outcomes will be monitored. Directorates must ensure that this data is input to the authority s personnel system. Statistical results will be used to investigate any unequal and adverse impacts on any of these groups and form part of the Council s published performance data. 8. Records HR/Disciplinary Procv2.1_Dec

12 8.1 Records must be kept on the individual s personal file of the nature of any breach of disciplinary rules, the employee s response or mitigation, the action taken and the reasons for it, whether an appeal was lodged, its outcome and any subsequent developments. Records will also include instances where the employee has been exonerated at either the initial hearing or any subsequent appeal. These records are to be kept confidential and retained in accordance with this procedure and the Data Protection Act Advice 9.1 Where a manager is unsure about implementing any aspect of this procedure, they should seek advice from the Directorate HR Officer/Manager. 10. Review of Procedure 10.1 These rules and procedures will be reviewed periodically in the light of developments in the law, employee relations practice and changes in the needs of the organisation in order to ensure their continuing effectiveness and relevance. December 2010 HR/Disciplinary Procv2.1_Dec

13 APPENDIX 1 The following procedure is applicable to Disciplinary Hearings: 1. The Investigating officer presents his/her report. 2. Questions on the report may be asked by the employee, the employees s representative, the hearing officer(s) or the adviser to the hearing officer(s). (The role of the adviser is to act in an advisory capacity and not to take a leading role in proceedings. They do not form part of the decision making panel). 3. Witnesses who have provided statements to the Investigating Officer may be called and the hearing officer(s) or the adviser may ask questions of them. 4. Where there is agreement between the parties there will be no need to call witnesses. (There may be other circumstances, as detailed in Guidelines, where witnesses are not required to attend). 5. The employee or their representative may ask questions of the witnesses. 6. The employee or his/her representative will state their case and may call witnesses. NB The representative should not answer questions on the employee s behalf. 7. Questions may be asked by the hearing officer(s) and the adviser NB If necessary, the hearing can be adjourned to allow further investigation of information to be carried out. 8. The hearing officer will ask any further questions of the employee, the witnesses or the Investigating Officer as are necessary 9. The employee or their representative may make a closing statement 10. The parties will withdraw and the hearing officer(s) will reach a decision. In considering the decision, the hearing officer(s) may recall the parties for more information provided that the parties including any witnesses, where appropriate, are recalled together. 11. The decision should normally be communicated immediately but will in any event be confirmed in writing as soon as possible thereafter. HRToolkit/Performance/DisciplinaryApp1

14 The following procedure is applicable to appeals heard by a Corporate Director or senior manager or appeals to the Staffing Committee. APPENDIX 2 1. The management representative will state their case and may call witnesses. 2. Questions on the case and of the witnesses may be asked by the appellant, the appellant s representative, the hearing officer(s) or Committee and the advisers to the officer(s) or Committee. (The role of the latter is to act in an advisory capacity and not to take a leading role in proceedings and they are not part of the decision making panel). 3. The appellant or his/her representative will state their case and may call witnesses. The representative should not answer questions on the appellant s behalf. 4. Questions may be asked by the management representative, the hearing officer(s) or Committee and the advisers. NB If necessary, the hearing can be adjourned to allow further investigation of information to be carried out. 5. The management s representative shall have a right of reply and the opportunity to sum up their case. No new evidence must be introduced at this stage. 6. The appellant or his/her representative shall have the opportunity to sum up their case. No new evidence must be introduced at this stage. 7. The parties will withdraw and the hearing officer(s) or Committee will reach a decision. In considering the decision, the hearing officer(s) or Committee may recall the parties for more information provided that both parties including any witnesses, where appropriate, are recalled together. It may also ask its adviser(s) to consult both parties separately, about possible courses of action which, if agreed by both parties, need not be within the normal range of disciplinary measures but may nevertheless best meet the requirements of the situation. 8. The decision should normally be communicated immediately but will in any event be confirmed in writing as soon as possible thereafter. HRToolkit/Performance/DisciplinaryApp2

15 APPENDIX 3 APPEALS TO THE STAFFING COMMITTEE UNDER THE COUNCIL S DISCIPLINARY PROCEDURE Preparation for the hearing: Guidance and requirements for management and employee representatives Introduction 1. Certain appeals against dismissal must be heard by the County Council s Staffing Committee. It is important that appeal hearings are conducted as thoroughly and efficiently as possible and that unnecessary adjournments and delays are avoided. 2. The Disciplinary Procedure requires both parties to produce a written statement of case and to exchange that and any other supporting documents. It also provides that papers are to be sent to the Member Services Unit (for forwarding on to members of the Committee in advance of the hearing). 3. The Staffing Committee consists of up to seven members. In disciplinary appeals they will be advised by a legal and HR advisor. The Member Services Unit will provide a Committee Secretary who will be responsible for the general arrangements for the appeal and with whom representatives should liaise as necessary. 4. Members have many diary commitments and there needs to be reasonable certainty that once a hearing date for an appeal is fixed, it will go ahead on that day. If a hearing is not completed on the day fixed it can be difficult to find a date for an early resumption given the number of members and officers involved and the need for continuity of membership. The Member Services Unit therefore need to be given a time estimate for the length of the appeal hearing and an indication of the number of witnesses and papers involved. If it is considered necessary, more than one day can be fixed for the appeal. 5. Problems can be caused by the late submission of papers on the day of the hearing, especially if one side is taken by surprise and needs time to consider them. Time can also be wasted in the appeal hearing itself navigating around voluminous unpaginated (and sometimes repetitious) paperwork. Requirements of representatives 6. For these reasons representatives are required:- (i) to provide the Member Services Unit when requested with a time estimate for the hearing, an indication of the number of witnesses they are calling, and the size of the paperwork, and to promptly HRToolkit/Performance/DisciplinaryApp3 1

16 supply their and their witnesses availability; (ii) to prepare a statement of their case and include it in the agreed bundle referred to at (iv) (iii) to make sure that all the information therein is up to date and relevant, as some time may elapse between the statement of case being written and the date of the hearing; (iv) to liaise with each other so that one agreed paginated bundle of all of the supporting documents that both representatives wish to rely on in presenting their respective cases is prepared. (It is emphasised that in agreeing a bundle representatives are not necessarily agreeing the veracity or relevance of any document in the bundle this is merely a mechanism for ensuring that any papers either representative wants to refer to are available and paginated in one bundle. It does not prevent a representative questioning a document at the hearing). In practice this means that parties will need to disclose a list of the documents they intend to rely on to each other well in advance of the appeal hearing as a first step towards preparing the bundle; (v) to arrange for a copy of the agreed bundle (including the statements of case) to be delivered to the MSU at least ten working days before the appeal for copying and distribution to the members of the Committee and their advisors; (vi) to warn any witnesses that are required to attend of the date, time and venue for the hearing as soon as possible after being notified of the same by the MSU. 7. If following preparation of the bundle, documentation arises which a party wishes to rely on at the hearing, they should notify the other party as soon as possible, providing a copy. It is not expected that additional documentation will be produced on the day, and members will expect there to be a good reason for this, e.g. if a document has only come into existence since the bundle was produced. 8. It is emphasised that the Committee will not regard a document as evidence and take it into account simply because it forms part of the agreed bundle and has been supplied to members of the Committee in advance of the hearing. If representatives wish a document to be regarded as evidence in support of their case, either they or their witness(es) must refer the Committee to it at the appeal hearing. Members may not necessarily have read every document in detail, particularly where there is a large volume of documentation. 9. If these requirements are complied with, it will assist everyone in the smooth running of the appeal. HRToolkit/Performance/DisciplinaryApp3 2

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