Norfolk Fire and Rescue Service

Issued on: 12 September 2012

Human Resources Order

Managers must ensure that the content of this HRO is brought to the attention of all personnel in their
Department, Station or Watch. Sign and date the relevant section below when this has happened.
Department Station Red White Blue Green

Disciplinary Procedure

File reference: HRO-G7

Revised: 12 September 2012: Lynn Major
Department: Human Resources

Contents: Page:
1 Introduction 1
2 Scope 3
3 ACAS Code of Practice 2009 4
4 The Role of Human Resources 5
5 Time Limits 6
6 Considerations Before Initiating Disciplinary Action 6
7 Preliminary Investigation 7
8 Investigation 7
9 Information for the Employee before a Disciplinary Hearing 8
10 Hearings 8
11 Decision on Outcome and Action 9
12 Levels of Management 10
13 Representation 11
14 Stages of Disciplinary Action 12
15 Gross misconduct / Suspension 17
16 Disciplinary Hearing Procedure 18
17 Appeals 20
18 Disciplinary Records 22
19 Where a Grievance is Raised during a Disciplinary Procedure 23
20 Disciplinary Action against Trade Union Representatives 23
21 Promotion with a Live Warning on Record 23
22 CPD 23
23 Criminal Offences 23
24 Other Issues 23

1 Introduction The Code of Conduct – Standards of Conduct (HRO-G1) sets

out the main personal and professional standards of conduct
that are required, in order to act in a professional manner.

The Disciplinary Procedure enables the Service to deal with

situations where employees behave in a way which breaches
the expected standards of conduct and behaviour, or where
employees do not meet Service expectations in the way they
File Ref: HRO-G7 Page 1 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012

do their job, for example unsatisfactory performance or

attendance. In every case except for dismissal, the procedure
is designed to help and encourage employees to meet and
maintain the required standards and to remedy problems.

The Code of Conduct – Standards of Conduct (HRO-G1) sets

out the main personal and professional standards of conduct
that are required, in order to act in a professional manner.

(a) The disciplinary procedure is negotiated by the National

Joint Council (NJC) for Local Authorities Fire and Rescue
Services and is set out in the Scheme of Conditions of
Service (The Grey Book).

This disciplinary procedure, as adopted by Norfolk Fire

and Rescue Service, has been agreed with the recognised
trade unions. It applies to all uniformed staff whose terms
and conditions are negotiated by the above mentioned
NJC.

(b) The disciplinary procedure is made available to all

employees on the intranet and is referred to in contracts of
employment. Management will do all they can to ensure
that every employee knows and understands the
procedure, including those employees whose first
language is not English or who have trouble reading. This
will be done as part of each employee’s induction process.

(c) The procedure, which incorporates the ACAS Code of

Practice (April 2009) on Disciplinary Procedures, is
designed to help and encourage all employees to achieve
and maintain acceptable standards of conduct, attendance
and job performance. The aim is to ensure consistent and
fair treatment for all employees in the organisation.

(d) Every effort has been and will be made to agree these
procedures and any future amendments with the
recognised trade unions.

(e) All managers, at every level, who may be involved in

disciplinary action shall be fully trained and competent in
the operation of the procedure. Responsibility for the
appropriate level of disciplinary action must be in
accordance with the relevant role map, the role of the
manager and levels of delegated authority.

(f) The basis of this procedure is that the principle of natural

justice both applies, and is clearly seen to apply, at every
stage. The aim is to ensure that appropriate action can be
taken without unnecessary delay, but in a framework
which also ensures fairness for both employees and
File Ref: HRO-G7 Page 2 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
managers.

(g) The guiding principle of the procedure is that, in every

case except dismissal, the aim is to obtain improvement
and remedy problems. Each case shall be treated on its
merits in the light of the particular circumstances involved.

2 Scope (a) This guidance covers the scope of the procedure

(conduct, attendance, job performance and fitness); the
requirement to undertake an appropriate investigation; the
stages of the procedure; the sanctions available to the
employer; the rights of the employee; and the appeal
mechanism etc.

(b) The disciplinary procedure is designed to cover behaviour

which is contrary to that necessary for ensuring a safe and
efficient workplace, and for maintaining good employment
relations. Such behaviour could include, but is not limited
to:

 bad behaviour, such as fighting or drunkenness

 unsatisfactory work performance
 harassment, victimisation or bullying
 misuse of company facilities (for example e-mail and
internet)
 poor timekeeping
 unauthorised absences
 repeated or serious failure to follow instructions

(c) Acts which constitute gross misconduct are those resulting

in a serious breach of contractual terms. Examples of
gross misconduct might include, but is not limited to:

 theft or fraud
 physical violence or bullying
 deliberate and serious damage to property
 serious misuse of the Authority’s property or name
 deliberately accessing pornographic, offensive or
obscene material
 unlawful discrimination or harassment
 bringing the Authority into serious disrepute
 serious incapacity at work brought on by misuse of
alcohol or illegal drugs
 causing loss, damage or injury through serious
negligence
 a serious breach of health and safety rules
 a serious breach of confidence

(d) Neither lists given at paragraphs (b) and (c) are

exhaustive and there may be actions which are not listed
but may be the subject of disciplinary action.

File Ref: HRO-G7 Page 3 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(e) In determining the seriousness of the misconduct,
particular regard will be given to the circumstances of the
individual case. Factors which may influence a decision
as to the seriousness of the offence may include:

 The type and degree of misconduct

 The consequences arising from the misconduct
 The frequency of the misconduct, and
 The level of responsibility of the employee concerned.

Careful consideration will be given to the above factors in

each case. Each case will be treated on its own merits in
the light of the particular circumstances involved. This
may mean that what is regarded as misconduct in some
cases may, in others, depending on the circumstances, be
regarded as gross misconduct.

3 ACAS Code of (a) From 06 April 2009 the Employment Act 2008 changed
Practice 2009 the way that disciplinary (and grievance matters) are
handled, by replacing the statutory dismissal, discipline
and grievance procedures (the statutory procedures) with
a new ACAS Code of Practice ‘Disciplinary and grievance
procedures’.

This Disciplinary Procedure satisfies the requirements of

the Code.

(b) The Code sets out six key elements of fairness as follows:

 Matters should be raised and dealt with promptly.

 Parties should act consistently
 Employers should carry out the necessary
investigations to establish the relevant facts.
 Employers should inform employees of the basis of the
problem and allow the employee to put their case in
response before any decisions are made.
 Employees should be allowed to be accompanied at
any formal disciplinary (or grievance) meeting.
 Employers should allow an employee to appeal against
any formal decision made.

(c) The Code sets out the process for disciplinary matters,
which is:

 Establish the facts of each case

 Inform the employee of the problem
 Hold a meeting (hearing) with the employee
 At that meeting, allow the employee to be
accompanied.
 Helping the employee to construct their defence

File Ref: HRO-G7 Page 4 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
 Decide on the appropriate action
 Provide the employee with an opportunity to appeal

It is also a principle of fairness that the employee should

be allowed to construct their defence.
A failure to follow the ACAS Code of Practice does not in
itself, make a person or organisation liable to proceedings.
However, employment tribunals will take the Code into
account when considering relevant cases. Tribunals will
also be able to adjust any awards made in relevant cases
by up to 25 per cent for unreasonable failure to comply
with any provision of the Code. This means that if the
tribunal feels that an employer has unreasonably failed to
follow the guidance set out in the Code they can increase
any award they have made by up to 25 per cent.
Conversely, if they feel an employee has unreasonably
failed to follow the guidance set out in the code they can
reduce any award they have made by up to 25 per cent.

To accompany the Code, Acas have produced a

comprehensive guide to handling disciplinary (and
grievance) matters. Both can be accessed from
www.acas.org.uk.

4 The Role of Human (a) The role of Human Resources is to ensure that the
Resources disciplinary procedure is correctly applied and to protect
the interests of both individuals and the Service.

(b) The specific responsibilities of Human Resources include:

 Undertaking administrative and secretarial

arrangements in support of the disciplinary process
(although the employee arranges for their own
witnesses to attend any hearings– see section 9.
 Ensuring consistent and fair treatment for employees
subject to the disciplinary procedure.
 Providing advice and support on the interpretation of
Fire and Rescue Service policy and procedure,
employment law and on key aspects in each case.
 Ensuring appropriate records of the process are taken
and relevant documentation is retained.
 Ensuring that reasonable adjustments are made to the
arrangements and application of the disciplinary
process to accommodate any special requirements of
individuals involved in the process.
 Ensuring the Investigating Officer identifies, collects
and presents all relevant evidence regardless of
whether it supports, or does not support, the
allegation(s). This may include questioning at
disciplinary interviews and hearings.

File Ref: HRO-G7 Page 5 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
 Advising the Presenting Officer and the employee, or
their representative, on the process of the investigation
and hearing.
 Providing relevant background information on the
employee to the Presiding Manager after the evidence
has been presented to enable them to arrive at an
appropriate decision on the sanction.
 Advising the Presiding Manager to ensure that
disciplinary outcomes are fair, consistent and
reasonable in the particular circumstances of the case.
However the responsibility for the outcome rests with
the Presiding Manager.

5 Time Limits Time limits applicable to the different stages of the

procedure are set out below (See section 14 ‘Stages of
Disciplinary Action’). These time limits may be varied by
mutual agreement.

6 Considerations (a) Cases involving minor misconduct or unsatisfactory

Before Initiating performance or attendance are usually best dealt with
Disciplinary Action informally by the line manager.

(b) Before considering formal disciplinary procedures, the

manager should consult Human Resources for advice and
support to ensure that due process is followed and that a
consistent approach is taken.

(c) Where the individual subject to formal disciplinary action is

a trade union representative, managers should follow the
advice at section 20 ‘Disciplinary Action Against Trade
Union representatives’.

(d) Where there are issues of performance including poor

attendance, account should be taken of the outcome of
the review of the Personal Development Record (PDR),
which is designed to offer support and assistance. In these
cases the disciplinary process should only be used where
actions to remedy unsatisfactory performance, based on
the developmental PDR, are not proving effective.

(e) When dealing with absence from work, it is important to

determine the reasons why the employee has not been at
work. If there is no acceptable reason, the matter should
be treated as a conduct issue and dealt with through the
disciplinary process.

(f) If the absence is due to genuine (including medically

certified) illness, the issue becomes one of performance,
and a more sympathetic and considerate approach is
merited. When thinking about how to handle these cases,
it is helpful to consider:
File Ref: HRO-G7 Page 6 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012

 how soon the employee’s health and attendance will

improve
 whether alternative work is available
 the effect of the absence on the organisation
 how similar situations have been handled in the past
 whether the illness is as a result of a disability in which
case the provisions of the Disability Discrimination Act
will apply
 impact on safety.

However the matter will still need to be dealt with in

accordance with the ‘Disciplinary Procedure'

7 Preliminary Before a formal investigation, a preliminary, informal

Investigation investigation may be undertaken (normally by line
management) to gather the facts before a decision is made
about the course of action required. Following this preliminary
‘fact finding’ investigation a summary report should be
submitted to HR.

8 Investigation (a) In cases of misconduct an Investigating Officer will be

appointed and an investigation carried out to establish the
facts promptly. The employee should be notified in writing
of the investigation and the nature and details of the
allegations, as soon as possible. It is important to keep a
written record for later reference.

(b) An HR Adviser will support the Investigating Officer. It is

legitimate for the HR Adviser to ask questions at
interviews at the Investigation stage.

(c) Having established the facts, the manager will decide with
advice and support from Human Resources whether to
drop the matter or deal with it in accordance with the
procedure, which may include reference back to the
informal stage. Where necessary technical expertise
relevant to the case should also be made available.

(d) Where an employee is to be interviewed as part of an

investigation they should be advised of the purpose of the
meeting in advance. It is good practice for employees to
be provided with the opportunity to be accompanied at the
investigation stage. Notice should be given to enable the
individual to make arrangements to be accompanied. The
amount of notice should be reasonable in the light of the
circumstances of the case and should not frustrate the
process.

(e) A record of investigation interviews will be made. This

File Ref: HRO-G7 Page 7 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
may by hand, or at the Service’s discretion, by means of a
recording mechanism.

(f) Investigations should be completed in good time. The

Investigating Officer should keep the employee informed
of the likely timescale of the investigation and any delays
as they occur in order to allay any unnecessary anxiety.
In this connection it is important for the Investigating
Officer to liaise with HR to issue a letter accordingly.

(g) As part of the investigation, the Investigating Officer must

arrange to check the individual’s PRF to check if there is
anything relevant on file, including any ‘live’ warnings.

9 Information for the (a) In advance of any disciplinary hearing the manager /HR will
Employee before a write to the employee in accordance with the minimum
Disciplinary Hearing periods of notice set out in section 10. The letter should
contain enough information for the employee to fully
understand the case against them with all relevant details
(eg dates, times, location, etc.) and the reasons why this is
not acceptable. If the employee has difficulty reading, or if
English is not their first language, the manager should
explain the content of the letter to them orally. The letter
should also invite the employee to a hearing at which the
problem can be discussed, and it must inform the
employee of their right to be accompanied at the meeting
(see Section 13). Copies of any documents that will be
produced at the hearing will be forwarded to the employee.

(b) No later than 3 days before the hearing, the employee

should provide management with a list of witnesses they
intend to produce and copies of any report / documentary
evidence they will be presenting at the hearing. The
employee may if they wish provide character witnesses.
The employee or their representative should make
arrangements for their witnesses to attend the hearing.
Where the witnesses are current employees of Norfolk Fire
and Rescue Service and there are difficulties in releasing
them from duty to attend, the employee or their
representative should notify the HR Department.

(c) At all stages employees shall be fully informed.

10 Hearings (a) The timing and location of the disciplinary hearing should
where practicable be agreed with the employee and/or their
representative. The length of time between the written
notification of the outcome of the investigation and the
hearing should be long enough to allow the employee
and/or their representative to prepare and shall in any
event be not less than:
File Ref: HRO-G7 Page 8 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012

 7 days for first formal stage

 10 days for the second stage
 21 days for the third stage

These time limits may be varied by mutual agreement.

(b) The manager should hold the hearing in a private location

and ensure both that there will be no interruptions, and that
the employee feels the issue is being treated confidentially.

(c) At the hearing, the process will be explained to the

employee. The case against the employee will be stated
including the evidence. The employee and/or their
representative will be given every opportunity to set out
their case and answer any allegations that have been
made. The employee will also be allowed to ask questions,
present evidence and/or information, call witnesses, and
character witnesses where appropriate and be given an
opportunity to raise points about any information provided
by witnesses.

(d) An employee and/or their representative who cannot attend

a hearing should inform the manager / HR in advance, as
soon as possible. If the employee fails to attend through
circumstances outside their control, and unforeseeable at
the time the hearing was arranged (eg illness), the
manager should arrange another hearing. A decision may
be taken at a hearing in the employee’s absence if they fail
to attend the rearranged hearing without good reason. An
employee’s representative may attend on their behalf, if the
employee is unable to attend. If an employee’s
representative cannot attend on a proposed date, the
employee has a right to suggest another date so long as it
is reasonable and is not more than seven days after the
date originally proposed by the employer. This seven day
time limit may be extended by mutual agreement.

(e) An HR Adviser will attend the Hearing in an advisory

capacity. It is legitimate for the HR Adviser to ask
questions at the Hearing.

11 Decision on (a) Following the hearing the manager must decide whether
Outcome and Action action is justified or not. Where it is decided that no action
is justified the employee should be informed. Where it is
decided that action is justified the manager will need to
consider what form this should take. Before making any
decision the manager should take account of the
employee’s disciplinary and general record, length of
service, actions taken in any previous similar case, the
explanations given by the employee and other relevant
File Ref: HRO-G7 Page 9 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
factors. The intended action must be reasonable under the
circumstances.

(b) Examples of actions the manager might choose to take are

set out in Section 14. It is normally good practice to give
employees at least one chance to improve their conduct or
performance before they are issued with a final written
warning. However, if an employee’s misconduct or
unsatisfactory performance – or its continuance – is
sufficiently serious, for example because it is having, or is
likely to have, a serious harmful effect on the organisation,
it may be appropriate to move directly to a final written
warning. In cases of gross misconduct, the employer may
decide to dismiss even though the employee has not
previously received a warning for misconduct.

(c) For issues other than conduct, the norm would be to have
sequential stages (ie to proceed Stage 1, then Stage 2 then
Stage 3) unless there were exceptional circumstances, for
example if safety is compromised.

(d) Following the hearing the decision should be confirmed in

writing as soon as possible, and at the latest within seven
days. The decision shall include a description of the nature
of the issue, any required remedial action and the
timescale for improvement. Except in cases of dismissal,
where the issues relate to performance and in other cases
where appropriate the decision shall include the following:

 the improvement that is required

 the timescale for achieving this improvement
 a review date
 all support the employer will provide to assist the
employee

(e) Note that the outcome can include some form of mediation
depending on the circumstances, for example where there
has been a deterioration of working relationships because
of the disciplinary case.

(f) Employees should also be informed that if there is no

improvement, further stages, leading ultimately to
dismissal, may be invoked.

12 Levels of (a) The lowest levels of line management who can take action
Management within the procedure is in accordance with the role maps.
The lowest level at the informal stage would be the Crew
Manager. Subject to training, competence, and levels of
delegated authority, the formal stages are as follows:

Conduct Hearing/ Take

Investigation
Action
File Ref: HRO-G7 Page 10 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
Formal stage 1 Watch Manager Station Manager*
Formal stage 2 Station Manager Group Manager
Formal stage 3 Group Manager Area/Brigade Manager

*In cases of unsatisfactory performance and absence it is

appropriate for a Watch Manager to inform the employee
that a failure to improve could lead to disciplinary action
being taken.

(b) Where the manager who would normally deal with the
issue cannot be available, or, there may be a conflict of
interest, another manager at the same or higher level,
should be appointed to deal with the case. Where the
procedure has reached the second formal stage or higher,
the hearing should be conducted by a manager who is not
the investigating manager but is at the same or higher
level. The investigating manager would normally present
the management case at the second and third formal
stages.

13 Representation (a) Employees subject to the disciplinary procedures have a

right to be accompanied by a fellow employee or trade
union official of their choice at all formal stages of the
procedure.

(b) In addition, it is good practice for employees to be provided

with the opportunity to be accompanied at the investigation
stage although this should not frustrate the process.

(c) Fellow employees or trade union officials do not have to

accept a request to accompany an employee, and they
should not be pressurised to do so.

(d) An employee or lay trade union official who has agreed to

accompany a colleague employed by the same employer is
entitled to take a reasonable amount of paid time off to
fulfill that responsibility. This should cover the hearing and
allow time for the representative to familiarise themselves
with the case and confer with the employee before and
after the hearing. A request for reasonable paid time off by
a trade union official to accompany an employee employed
by another fire authority in the same region shall be given
due consideration by the respective employers.

(e) Appropriate arrangements will be made to ensure an

employee with a disability or representatives are able to
participate in procedures as far as possible.

(f) Before the hearing takes place, the employee will inform
the manager who they have chosen as a representative

File Ref: HRO-G7 Page 11 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
and should respond to any request to provide advance
notice of any witnesses they intend to call and any
documentary evidence they intend to produce.

(g) The representative should be allowed to address the

meeting/hearing in order to:

 put the employee’s case

 sum up the employee’s case
 respond on the employee’s behalf to any views
expressed at the hearing

(h) The representative can also confer with the employee

during the meeting/hearing and participate as fully as
possible in the meeting/hearing, including asking witnesses
questions. The representative has no right to answer
questions on the employee’s behalf, or to address the
hearing if the employee does not wish it, or to prevent the
employer from explaining their case.

14 Stages of On issues of conduct, the procedure may be initiated at any

Disciplinary Action stage depending on the seriousness of the case. Where issues
concern unsatisfactory performance and/or attendance the
stages in the procedure would normally be followed in sequence
and account will be taken of the employee’s Personal
Development Record.

The stages of Disciplinary Action are as follows:

Informal Stage

Formal Stage

- First Formal Stage

- Second Formal Stage
- Third Formal Stage
-
Appeals Process

Informal Stage

(a) Cases involving minor misconduct or unsatisfactory

performance or attendance are usually best dealt with by
means of an informal discussion by the line manager, and
this may be all that is required to remedy the situation. The
informal approach means that minor problems can be dealt
with quickly and confidentially. Where issues involve
performance, or in some cases attendance, supportive
action, reference to the PDR and specialist advice may be
more appropriate. Informal action can be taken by line
managers at Crew Manager level (or equivalent) or above.
File Ref: HRO-G7 Page 12 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012

(b) At this informal stage the manager should ensure that

employees understand the position, is clear of the expected
outcomes and the process by which they will be achieved.
This should be confirmed in writing and filed on their
Personal Record File. An agreed review date will be set at
this time, normally three months but this can be varied, and
at the conclusion of this monitoring/review period. The
outcome of the review will be recorded on their PRF.

(c) Advice should be sought from Human Resources before

initiating Informal Action to ensure that the Informal Stage
is appropriate and to ensure consistency of approach.

(d) Representation is not normally appropriate at the informal

stage, although if they wish, the employee can have a
colleague or trade union representative accompany them,
although this should not frustrate the process.

Formal Stage

Where matters are more serious or where an informal approach

has been tried but isn’t working, it will normally be appropriate to
enter the formal stages of the procedure.

Before considering formal action, the line manager should

consult with Human Resources for advice and support to ensure
that due process is followed and that a consistent approach is
taken.

In all cases the Presiding Officer of any hearing will be different

to the Investigating Officer of that particular case.

First Formal Stage

(a) This stage should be used in performance/attendance

cases where informal support and action based on the
PDR has not resolved the problem. This stage should also
be used in cases of conduct where the nature of the
alleged offence may warrant a sanction no greater than a
warning.

(b) The employee’s line manager at Watch/Station Manager

level (or equivalent) or above will initiate, conduct (or in the
case of Station Manager) delegate an appropriate
investigation and ensure that it is completed in good time.
On completion of the investigation, the Watch/Station
Manager (or equivalent) or above will notify the employee
of the outcome of the investigation and decide whether the
matter should be dropped, be dealt with on an informal
basis, proceed to a Stage 1 hearing or be referred to the
Stage 2 or 3 process. Where a stage 1 hearing is required,
File Ref: HRO-G7 Page 13 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
a Station Manager (or equivalent) or higher will preside and
consider the case in full. A minimum of seven days notice
of a Stage 1 hearing should be given. The employee has
the right to be represented and present their case in
response to management.

(c) Where, following a Stage 1 disciplinary hearing an

employee is found guilty of misconduct, the usual first step
would be to give them a ‘formal written warning’ setting out
the nature of the misconduct and the change in behaviour
required. A warning can only be given at Station Manager
level (or equivalent) or above, and only after a disciplinary
hearing.

(d) A ‘formal written warning’ must give details and an

explanation of the decision. It should warn the employee of
the consequences; that failure to improve or modify
behaviour may lead to further disciplinary action, and the
outcome could be a final written warning and ultimately,
dismissal. The employee should also be informed that they
may appeal against the decision. A record of the warning
will be kept on the Personal Record File, but it should be
disregarded for disciplinary purposes after six months.

(e) Where there are issues of performance, account should be

taken of the review of the employees PDR, which is
designed to offer support and assistance whenever
possible, and other supporting evidence. Following a
Stage 1 hearing, an employee who is found to be
performing unsatisfactorily will be issued with a letter
detailing the following:

 the performance problem

 the improvement that is required

 the timescale for achieving this improvement

 a review date

 all support the employer will provide to assist the

employee

 that failure to improve could lead to further

disciplinary action being taken. The letter confirming
the above , together with a follow up Action Plan,
should be used as the basis for monitoring and
reviewing performance over a specified period eg
three or six months. The Action Plan should be
devised by the individual’s line management, in
conjunction with the individual, and issued to the
individual as soon as possible. (A copy of the
File Ref: HRO-G7 Page 14 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
documentation issuing the Action Plan to the
individual, and the Action Plan itself, should be
retained by management and HR).

Second Formal Stage

(a) This stage should be used in performance/attendance

cases where there is a failure to improve in the timescale
set at the first formal stage. In conduct cases, it should be
used when there has been a failure to change behaviour in
the timescale set at the first formal stage or when the
offence is sufficiently serious, action may be initiated at this
stage. At the second formal stage, the sanction will be no
greater than a final written warning. This sanction may only
be issued after a further investigation and hearing.

(b) The second formal stage should be investigated at Station

Manager level (or equivalent) or above and ensure it is
completed in good time. On completion of the
investigation, the Investigating Officer will recommend
whether the matter should be dropped, be dealt with on an
informal basis, referred to a Stage 1 hearing, proceed with
a stage 2 hearing or referred to a stage 3 hearing. The
employee will be notified of the outcome of the
investigation. Where a stage 2 hearing is required, a
Group Manager (or equivalent) or higher will preside and
consider the matter in full. A stage 2 hearing should be
conducted by a manager who is not the Investigating
Officer but is at the same or higher level. A minimum of 10
days notice of a hearing should be given. The employee
has the right to be represented and present their case in
response to management.

(c) Where following a Stage 2 disciplinary hearing, the

employee is found guilty of misconduct; he or she may be
issued with a ‘final written warning’. The final written
warning must give details and an explanation of the
decision. It should warn the employee that failure to
improve or modify behaviour may lead to dismissal or to
some other sanction, and advise them of their right of
appeal. The final written warning will be kept on the
employee’s Personal Record File but should be
disregarded for disciplinary purposes after eighteen
months.

File Ref: HRO-G7 Page 15 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
In appropriate circumstances, a sanction lesser that a final
written warning may be issued; the same right of appeal
applies.

A final written warning may only be given to an employee

by a Group Manager (or equivalent) or above.

Third Formal Stage

(a) This stage should be used in all cases where the employee
fails to improve or where the alleged offence is sufficiently
serious that it may warrant dismissal or other sanction short
of dismissal.

(b) The third formal stage should normally be investigated by a

Group Manager or above, who will initiate, conduct or
delegate an appropriate investigation and ensure it is
completed in good time. On completion of the
investigation, the Investigating Officer will make a
recommendation whether the matter should be dropped, be
dealt with on an informal basis, referred to a stage 1 or 2
hearing or proceed with a stage 3 hearing. Where a stage
3 hearing is required, a Principal Officer will preside and
consider the case in full. A stage 3 hearing should be
conducted by a Principal Officer who is not the
Investigating Officer, but is at the same or higher level. A
minimum of 21 days notice of a hearing should be given.
The employee has the right to be represented and present
their case in response to management.

(c) Where following a stage three disciplinary hearing, the

employee is found guilty of misconduct, the employee may
be dismissed. Alternatively where there has been a failure
to improve as required or, in exceptional cases, at the first
offence, following the investigation and hearing, a decision
may be made to award a sanction less than dismissal, or in
serious cases, as an alternative to dismissal. Written
confirmation of the sanction will be kept on the Personal
Record File. These sanctions are:

 A warning.
 Demotion (either within role or no more than one role; a
demotion of more than one role can only be done with the
agreement of the employee).
 Disciplinary transfer (which should involve no loss of
remuneration and unless the employee agrees otherwise
should be within the same duty system).
 Loss of pay up to a maximum of thirteen days.

The employee must be told they have the right to appeal

and details of the appeal process.

File Ref: HRO-G7 Page 16 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(d) A decision to dismiss may only be made by a Principal
Officer.

15 Gross misconduct / (a) If a manager considers an employee guilty of gross

Suspension misconduct, and thus potentially liable for summary
dismissal, it is still important to establish the facts before
taking any action. A period of suspension (on full pay) may
be necessary, although it should only be imposed after
careful consideration and should be kept under review. It
should be made clear to the employee that the suspension
is not a disciplinary action and does not involve any
prejudgement.

(b) It is a core principle of reasonable behaviour that

employers should give employees the opportunity of putting
their case at a disciplinary hearing before deciding whether
to take action. This principle applies as much to cases of
gross misconduct as it does to ordinary cases of
misconduct or unsatisfactory performance.

(c) It is impossible to predict the full range of circumstances

which will arise in disciplinary cases. Emphasis will always
be on a speedy and fair resolution. In some cases it may
be appropriate to suspend an employee from the workplace
while an investigation or preparation for a disciplinary
hearing takes place. Some examples that may give rise to
this include a serious breach of health and safety, whether
the employee remaining in the workplace would prejudice
the investigation (for example by influencing witnesses) or
to protect the employee. It is not a punitive measure and
does not imply guilt or blame. Suspension can only be
authorised at Principal Officer level, after advice has been
taken from Human Resources.

(d) If an employee is to be suspended they will be informed of

the reasons for the suspension, that suspension is not
disciplinary action, and that they will be asked to return to
work for an investigative meeting or disciplinary hearing as
soon as possible. It is also appropriate at this stage to
confirm any conditions which will apply during the period of
suspension, for example, communications channels,
availability to attend meetings, facilities to meet with their
representative, etc.

(e) Where an employee is suspended they will receive full pay

unless they commence sick leave in which case their pay
will be in accordance with the rules of the sick pay scheme.

(f) Full pay for those employees on the retained duty system
will be calculated on the basis of their retained payments
averaged over a twelve-week period.

File Ref: HRO-G7 Page 17 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(g) Suspension should be for an initial period of 28 days after
which time it is reviewed. It is important that individuals are
kept updated on a regular basis and letters issued
accordingly (by HR) in a timely manner.

16 Disciplinary Hearing If following an investigation, it is decided that there is a case to

Procedure answer the employee will be requested to attend a disciplinary
hearing. The employee has the right to be represented by a
colleague or a trade union representative and to present their
case in response.

Conduct of the Hearing

The Presiding Manager will be supported and advised at all

formal disciplinary hearings by Human Resources.

A record of the hearing will be made, by means of a recording

mechanism. An additional note taker may also be present.

(a) The Presiding Manager will:

 introduce everyone present and explain their role

 explain the purpose of the hearing and the procedure
that will be followed
 explain that the employee will be given every opportunity
to state their case, challenge evidence and explain any
mitigating circumstances.
 check that the employee is well enough to take part in
the hearing
 establish which witnesses each party intends to call.
 Establish whether there are any procedural matters
which require clarification.
 establish if there are any questions at this stage

(b) Then the Presiding Manager will ask the Presenting Officer
(normally the Investigating Officer) to make an opening
statement explaining the nature of the allegations and how
the case will be presented

(c) The Presenting Officer will then call each witness

individually and question them.

(d) The employee or their representative can then ask

questions of each witness.

(e) The Presiding Manager can then ask questions of each

witness

(f) The Presenting Manager can then ask the witness to clarify
any responses they have given.

File Ref: HRO-G7 Page 18 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(g) With the exception of the employee subject to the
disciplinary action, when each witness has completed their
evidence, they will leave the room. The Presiding Manager
may decide to confirm to the witness that their presence is
no longer required and ‘dismiss’ them at that time or ask
them to remain available.

(h) When the Presenting Officer has completed the

presentation of their case, the Presiding Manager will ask
the employee or their representative to make an opening
statement explaining the response to the allegations and
how the case will be presented.

(i) The employee or their representative will then call each

witness individually and question them, including character
witnesses.

(j) The Presenting Officer can then ask questions of each

witness.

(k) The Presiding Manager can then ask questions of each

witness.

(l) The employee or their representative can then ask the

witness to clarify any responses they have given.

(m) With the exception of the employee subject to the

disciplinary action, when each witness has completed their
evidence, they will leave the room. The Presiding Manager
may decide to confirm to the witness that their presence is
no longer required and ‘dismiss’ them at that time or ask
them to remain available.

(n) The Presiding Manager will then invite the Presenting

Officer to make a closing statement summarising their
case.

(o) The Presiding Manager will then invite the employee or

their representative to make a closing statement
summarising their case.

(p) Both parties adjourn while the Presiding Manager

deliberates. The HR Adviser will remain to continue to
provide support to the Presiding Manager.

(q) Both parties reconvene and are informed of the decision

that has been reached.

(r) If the case against the individual is found, the Presiding

Manager may then review the employee’s disciplinary
record before finally deciding on the appropriate sanction.

File Ref: HRO-G7 Page 19 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(s) The Presiding Manager will advise the employee that they
will receive written confirmation of the outcome and their
right to appeal, and that matters raised within the hearing
should remain confidential. A copy of the notes of the
hearing will also be made available to the employee.

(t) Should there be any uncertainty on evidence already given

which necessitates recalling the parties, both parties are to
return together even though only one is concerned with the
point which has given rise to doubt.

(u) At any point in the hearing, a brief adjournment may be

held at the discretion of the Presiding Manager, for
example if at any party requires clarification on procedural
points or if the meeting becomes difficult or tense. Either
party may request an adjournment to seek advice or to
regain composure etc.

(v) At any point during the hearing a witness may be recalled

by the Presiding Manager or at the request of the employee
or the Presenting Officer to clarify any questions raised.
This should take place in the presence of both parties.

(w) If during the course of the hearing it becomes evident that

further investigation is required, the Presiding Manager can
adjourn the hearing to enable the further investigation to be
carried out. If a disciplinary hearing is still required, a
decision will be made if the hearing should start anew or
can be continued from before.

Note:
Employees and the person that accompanies them are obliged
to make every effort to attend the hearing.

Where an employee is persistently unable or unwilling to attend

a disciplinary hearing without good cause, the employer should
make a decision on the evidence available.

17 Appeals (a) Employees who have had disciplinary action taken against
them will be given the opportunity to appeal. The appeal,
which should be made no later than seven calendar days
after they have been informed in writing of the decision,
must be in writing / email and include the grounds of
appeal.

(b) The appeal shall be heard by a higher level of manager

than the level which heard the previous stage. The
manager will be supported and advised at disciplinary
appeals by Human Resources. In order to preserve the
integrity of the appeal, this will not be the same individual
who provided advice and support at the hearing stage.

File Ref: HRO-G7 Page 20 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(c) Where an employee appeals against disciplinary action
taken against them they must put their grounds of appeal in
writing and state the reasons for the appeal. The grounds
of appeal will normally be one or more of the following:

 There was a defect in the procedure

 The issue is not proven on the balance of probabilities
 The disciplinary sanction was too severe
 New key evidence, not taken into account at the hearing,
has come to light since the hearing which may have an
impact on the decision

(d) It is possible that, if new evidence has come to light since

the hearing the matter is referred back to the Hearing
manager, rather than proceed to appeal.

(e) The Appeal will normally be conducted as a ‘Review

Meeting’ unless:

 There was a procedural defect at the original hearing

such that the hearing was unfair.

 New evidence has come to light which needs to be heard

in full.

 There is a dispute about evidence given by one or more

witnesses at the original hearing.

Note that this is not an exhaustive list.

In these cases the Appeal Manager will normally conduct

the appeal hearing as a re-hearing (in full or part), where
this is required. Note it may be necessary to re-hear the
witness evidence at the appeal.

(f) For all Appeals, The Appeal Presiding Manager will have
available all the documents presented to the original
hearing. They will also have a copy of the record of the
hearing, the letter confirming the outcome of the original
disciplinary hearing, the letter of appeal and all other
relevant information. The Presiding Manager will reach
findings based on the documentation and the submissions
at the appeal hearing from the parties.

(g) At the appeal hearing the employee and/or their

representative will first put their case by explaining the
grounds of appeal and presenting any relevant evidence.
The management case will then be put, responding to the
grounds of appeal, normally by the manager who
conducted the original hearing. Relevant witnesses may
be brought by either side, and be questioned by all parties.

File Ref: HRO-G7 Page 21 of 24

 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
(h) The outcome of the appeal will be either:

 The case against the employee is upheld (in whole or

part); the sanction will then be the same or a lesser
penalty.
 The case against the employee is not upheld.

(i) In cases of gross misconduct dismissal will be summary

following the hearing. If the employee is reinstated on
appeal, pay will be reinstated and backdated.

(j) In other cases of dismissal, employees shall be given

contractual notice of dismissal following the hearing. Every
effort will be made to conclude any appeal process within
the notice period. Where it has not been possible to
conclude the appeal process within the notice period,
notice may be extended for a reasonable period with a view
to concluding the appeal process within the notice period.
If the dismissal is not upheld on appeal, the employee will
be reinstated.

(k) In cases of sanctions other than dismissal, the sanctions

should not be implemented until any appeal process has
been concluded.

(l) In cases of dismissal or where the Chief Fire Officer made

the decision at the third formal stage, the Appeal would be
heard at Corporate level, by members of the County
Council.

18 Disciplinary Records (a) It is the responsibility of Human Resources to ensure that

appropriate records of the process are taken and relevant
documentation is retained.

(b) Records of informal disciplinary action, warnings and other

disciplinary sanctions are kept on Personal Record Files. If,
after a period of 3 years there has been no further informal
or formal disciplinary action, then the record will be
removed. Warnings will be disregarded for disciplinary
purposes after the specified timescale (specified earlier). A
record will also be retained on the PRF of the outcome of
any appeal.

(c) Records of disciplinary cases, including details of the

allegations, the investigation and accompanying evidence,
the hearing and appeal will be retained separately by
Human Resources. Documentation held by Presiding
Managers, Investigating Officers, witnesses and other
personnel involved in the disciplinary process should be
passed to HR.

(d) Line managers should only retain information about

File Ref: HRO-G7 Page 22 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
informal disciplinary action while cases are still in progress
or about formal disciplinary outcomes while warnings are
still current.

19 Where a Grievance In the course of a disciplinary process, an employee might raise

is Raised during a a grievance that is related to the case. If this happens, the
Disciplinary manager should consider suspending the disciplinary procedure
Procedure for a short period while the grievance is dealt with. Depending
on the nature of the grievance, the manager may need to
consider bringing in another manager to deal with the
disciplinary process.

20 Disciplinary Action Disciplinary action against a trade union representative can lead
against Trade Union to a serious dispute if it is seen as an attack on the union’s
Representatives functions. Normal standards apply but, if disciplinary action is
considered, the case should be discussed, after obtaining the
employee’s agreement, with a senior trade union representative
or permanent union official.

21 Promotion with a Where an employee has a live first warning this may be taken
Live Warning on into account by Managers considering the individual for
Record promotion.

Whilst an employee has a live final warning they are not eligible
to apply / be considered for promotion.

22 CPD A CPD payment will not be payable for the period that a warning
is ‘live’ that is 6 months for a ‘first warning’ and eighteen months
for either a ‘first and final warning’ or ‘final warning’. An
application for a CPD can be made during the period that the
warning is ‘live’ for the period following.

23 Criminal Offences If an employee is charged with, or convicted of, a criminal

offence not related to work, this is not in itself reason for
disciplinary action. The manager should establish the facts of
the case and consider whether the matter is serious enough to
warrant starting the disciplinary procedure. The main
consideration should be whether the offence, or alleged offence,
is one that makes the employee unsuited for their type of work.
Similarly, an employee should not be dismissed solely because
they are absent from work as a result of being remanded in
custody. Where a matter which is the subject of a disciplinary
investigation has been referred to and is being investigated by
the police, but no charges have been brought, the disciplinary
investigation may be suspended pending the outcome of the
Police investigation within reasonable timescales.

24 Other Issues (a) Managers and employees will normally be expected to go

through with the disciplinary procedure unless they have
reasonable grounds to believe that by doing so they might
be exposed to a significant threat, such as violent, abusive
or intimidating behaviour, or they will be harassed. There
File Ref: HRO-G7 Page 23 of 24
 Norfolk Fire and Rescue Service
Issued on: 12 September 2012
will always be a certain amount of stress and anxiety for
both parties when dealing with any disciplinary case, but
this exemption will only apply where the employer or
employee reasonably believes that they would come to
some serious physical or mental harm; their property or
some third party is threatened or the other party has
harassed them and this may continue.

(b) Equally, the procedure does not need to be followed if

circumstances beyond the control of either party prevent
one or more steps being followed within a reasonable
period. This will sometimes be the case where there is a
long-term illness or a long period of absence abroad but in
the case of managers, wherever possible they should
consider appointing another manager to deal with the
procedure.

File Ref: HRO-G7 Page 24 of 24