CHAPTER 13: GRIEVANCE AND DISCIPLINARY PROCEDURES
13.1. It is the policy of the Clerk of the Parliaments to provide good conditions of employment and to encourage good working relationships between employees. On occasion, however, it is recognised that staff may feel dissatisfied about a matter arising in the course of their work. This may cover concerns about their terms and conditions of employment, about their working environment or about their treatment by other staff or those with whom staff have professional contact at work. Where staff have such concerns the following procedure applies.
13.2. Staff who wish to raise a question of concern should raise it in the first instance informally with their line manager who will discuss it with the member of staff. In most cases day to day issues can be resolved in this way. However, if the matter is complex the manager may decide to refer it to a more senior manager or to the Human Resources Office for them to address.
13.3. If staff remain dissatisfied with the resolution of their complaint at an informal level, they should complain in writing to their line manager or, if the complaint is against the line manager, to a more senior manager. He or she will arrange for a formal investigation of the complaint, will discuss the matter with the member of staff concerned and if appropriate will interview other members of staff. The manager will respond to the member of staff in writing, if possible within 7 working days, and will set out details of the right of appeal.
13.4. If the grievance is against another person, the problem will be set out in writing with full details provided to the other party.
13.5. If the issue is still unresolved then the member of staff should, within 7 working days of receiving a response, complain in writing to the Human Resources Office (or if the complaint relates to a member of the Human Resources Office and cannot fairly be investigated by senior managers of that Office, to the Clerk Assistant). A further interview or interviews will be conducted and a decision will be given in writing as soon as practicable after the conclusion of the investigation, together with details of the right of appeal.
13.6. The final stage of the procedure is an appeal in writing to the Clerk of the Parliaments. The Clerk of the Parliaments may hear the appeal in person or may delegate the hearing to another senior manager. The member of staff will be invited to appear at the hearing in support of their appeal and other staff may also be interviewed, depending on the nature of the disputed matters. The findings of the hearing will be communicated to the appellant in writing as soon as practicable. This decision will be final.
13.7. In some cases, for example where the complaint is against a senior member of staff, it may not be possible for all stages of the procedure to be followed.
13.8. Staff have the right to be accompanied by a trade union representative or a colleague at any stage of the grievance procedure, informal or formal, and must be so informed.
13.9. All interviews will be conducted on a confidential basis and will not be disclosed to other parties to the complaint.
13.10. Complaints about health and safety issues should be raised under the procedure set out above. Where appropriate those hearing the grievance should seek the advice of the Occupational Health and Welfare Service.
13.11. If a member of staff considers they are the subject of discrimination on any grounds then they should approach the Equal Opportunities Officer and any grievance will initially follow the procedure set out at paragraphs 1.10 and 1.11. If staff remain dissatisfied following an investigation under paragraph 1.11 they may appeal to the Clerk of the Parliaments on the same terms set out at paragraph 13.6 above.
Political or outside pressure
13.12. Staff of the House should not attempt to bring political or other outside pressure to bear in support of their own personal claims. However, this rule does not override any statutory rights of appeal, such as those conferred by legislation on race relations, sex and disability discrimination and employment protection which apply to the staff of the House, nor does it restrict their right to approach their Member of Parliament. Its object is to preclude members of staff from using outside influence to gain for themselves special concessions which are not available for others.
13.13. These disciplinary procedures are designed to help ensure that the standards of conduct laid down for staff are observed, by providing a fair method of dealing with alleged offences. They should not be viewed primarily as a means of imposing sanctions. They are also concerned with emphasising and encouraging improvements in individual conduct. A certain framework is set by employment protection law and practice. For example, it is recognised as important that employees should know what standards of conduct are expected of them; and it is required that employees should be given a written statement, or referred to a reasonably accessible document, specifying certain aspects of the disciplinary rules and procedures. This Code is intended to satisfy these general principles and to conform with the ACAS Code of Practice Disciplinary and Grievance Procedures.
13.14. Disciplinary measures are likely to be appropriate in cases of gross misconduct. Examples of such gross misconduct include: (1) conviction of a criminal offence whether committed on official duty or otherwise (see paragraph 13.27); (2) serious insubordination or refusal to cooperate, which could include refusal to obey reasonable instructions from a senior officer; (3) prolonged or repeated unauthorised absence from duty for which no acceptable reason is given; (4) financial irregularities on official duty; (5) oppressive, bullying or disrespectful behaviour (see paragraph 12.2); (6) violent behaviour or deliberate damage to property; (7) discrimination, abuse or harassment (see paragraph 1.10); (8) serious neglect of official duty; (9) persistent bad time-keeping, despite formal recorded warnings; and (10) conduct which adversely affects the reputation of the House and the effective discharge of its business.
13.15. Disciplinary cases should always be considered against as full an understanding as possible of the facts and of any relevant personal, domestic or social circumstances of the staff member complained of. In all stages of the disciplinary process, the first step is for the line manager or the Head of Office to ascertain the facts. This should be done before recollections fade. Written records should be kept of any interviews. Where the behaviour complained of concerns an apparent failure of performance rather than conduct, different procedures may be appropriate. (See paragraph 10.12.)
13.16. Disciplinary powers lie ultimately with the Clerk of the Parliaments. Subject to any directions he may give, most minor offences may be dealt with by Black Rod for his Department, or by the member of staff's line manager or Head of Office in the Clerk of the Parliaments' Department. In addition, the Clerk of the Parliaments may delegate his powers under the formal disciplinary procedures. Delegation of disciplinary powers is without prejudice to the Clerk of the Parliaments' powers to deal with any particular case himself or to confirm or vary the decision of a delegate when considering recommendations made to him by the Civil Service Appeal Board (see paragraph 14.26 and Appendix C).
13.17. The Trade Union side of the House of Lords Whitley Committee has the right to make representations on procedural matters and on general principles underlying disciplinary action. Disciplinary action in individual cases is a matter for management, although a member of staff subject to formal disciplinary action has the right to the assistance throughout of a trade union representative or a colleague. Paragraph 13.20 describes how this right operates.
Minor offences: informal oral
warnings 13.18. Minor offences may be dealt with by line management or by the Head of Office by informal oral warning. This may be sufficient and so avoid the need for formal disciplinary procedures. Staff who are given informal oral warnings should be given a clear explanation of the conduct complained of and what improvements are required, over what period. They should also be informed of the action - including formal disciplinary action ( that will be taken if their conduct does not improve. Informal oral warnings are not part of the formal disciplinary proceedings and staff must be so informed. Line managers or Heads of office should keep records of informal oral warnings (see paragraph 13.36).
Formal disciplinary procedures 13.19. If a member of staff's conduct does not improve after an informal oral warning (or warnings), or if the case is sufficiently serious, formal disciplinary proceedings may be invoked. When a formal disciplinary charge is brought, the procedure set out below will be followed. It is important that all stages of this procedure are dealt with promptly and punctiliously and line managers are advised to seek the advice of the Human Resources Office before embarking upon them.
13.20. The member of staff will be given a written statement defining the charge and setting out the details of the case to be answered. At the same time he or she will be advised that the matter is being conducted under the formal disciplinary procedures and of the right to be accompanied throughout the disciplinary process by a trade union representative or a colleague. If the member of staff wishes, a copy of the written statement should be sent to that person. The member of staff will be invited to attend a hearing to discuss the charge and may also make written representations, to be submitted within a reasonable time (normally 10 working days but a shorter or longer period if agreed in the circumstances of a particular case).
13.21. The aim of a disciplinary hearing is to resolve any doubts about the facts and any relevant circumstances and to ensure that a clear picture of the member of staff's defence is presented, without undue formality. Unless conducting the interview personally, the person exercising disciplinary powers will appoint the person or persons who are to be present on his or her behalf; and the member of staff charged may be accompanied by a trade union representative or colleague. There can be no standard practice but the normal intention is that the person or persons conducting the interview will submit a report to the person exercising disciplinary powers which should give their opinion as to whether the member of staff charged committed the offence (giving reasons for such opinion). Unlike in a court of law the offence does not have to be proven beyond a reasonable doubt but merely on balance of probability. A report will be accompanied by a note of the interview. The person exercising disciplinary powers will then write to the member of staff charged to inform him of the outcome and any penalty and of details of the right to appeal.
13.22. The person exercising disciplinary powers is responsible for deciding whether the member of staff committed the offence and if so what penalty is appropriate. The disciplinary penalties available to persons exercising disciplinary powers are as follows: (1) oral or written warning; (2) stoppage of next performance pay increase, in whole or in part; (3) fines or restitution (in whole or in part) either for culpable loss or damage caused by the offender or for unauthorised absence from duty, which may be recovered from pay; (4) suspension for a specific period with loss of pay; (5) loss of seniority, ban on promotion or consideration for promotion, including temporary promotion or eligibility for substitution, for a specific period; (6) downgrading which may be for a specific minimum period, after which a member of staff will be eligible for consideration for promotion; downgrading includes removal from a post attracting additional pay or allowances; (7) dismissal.
13.23. There is no rigid code automatically assigning particular penalties to particular offences. The treatment of a disciplinary offence will be affected by the circumstances of the office in question and of the particular case. Except for gross misconduct (see paragraph 13.14), no one will be dismissed for a first disciplinary offence, or dismissed without notice.
13.24. For less serious offences a formal oral warning may suffice. The person exercising disciplinary powers should make it clear to the member of staff what the complaint consists of, what action or change of behaviour is required, within what timescale; that it is the first step of the disciplinary procedure; that it may be appealed; and that a written record of the warning will be kept on file and that any recurrence of unacceptable behaviour within a set timescale will attract further disciplinary procedures.
13.25. If the offence is more serious, or if during the currency of a formal oral warning the member of staff fails to improve their conduct or commits a further offence they may be given a formal written warning in similar terms and making clear that a further offence could result in a final written warning.
13.26. For the most serious offences short of gross misconduct, or if during the currency of a formal written warning the member of staff fails to improve their conduct or commits a further offence they may be given a final written warning. A final warning will be in similar terms to the warnings outlined above but will make clear that failure to improve could result in dismissal or other sanction set out in paragraph 13.22(2) to (6).
13.27. A criminal conviction may lead to disciplinary action. Although not all stages of the formal disciplinary procedure may be appropriate, e.g. because the facts are not in dispute, the member of staff will be given the opportunity to make representations against any action proposed, and may be assisted in this by a trade union representative or colleague. The main considerations which the person exercising disciplinary powers will take into account in deciding what action is appropriate are whether the offence impairs the business of the office or Department or the work of the House, brings the House into disrepute or makes the member of staff unsuitable for his or her type of work.
13.28. Where the nature of the member of staff's offence makes it inappropriate for him or her to remain in the same post, consideration will be given to the possibility of a move to another post in the office or Department.
13.29. A member of staff may at any time be suspended from duty if, in the opinion of the person exercising disciplinary powers, that course is a necessary precaution in the public interest pending the outcome of criminal or disciplinary investigations or proceedings, and no alternative course, such as transfer to other duties, is appropriate. Suspension in these circumstances, as distinct from suspension as a disciplinary penalty (see paragraph 13.22(4)), does not imply any decisions about the case, and this important distinction should be kept in mind wherever any record or report of the period of absence is necessary. Suspension pending the outcome of disciplinary proceedings will be paid. In the case of staff subject to criminal investigations or proceedings pay in respect of the period of suspension may be withheld wholly or in part so long as such suspension continues, if the person exercising disciplinary powers so decides. In such circumstances staff will be told that they may be eligible to claim for National Insurance benefits such as unemployment or sickness or supplementary benefits.
13.30. Where it is decided that pay should continue, for the purposes of calculating the amount to be paid the member of staff on suspension should be treated in the same way as staff are treated during the first six months of sickness absence.
13.31. Any decision to withhold pay will be subject to early and regular review, in any event not later than two weeks after pay is first withheld, to consider whether the member of staff and/or dependants are likely to suffer hardship. The member of staff should be given an opportunity to state his or her financial position and the case should be dealt with urgently. Among the factors taken into account will be the circumstances of the alleged offence and the person's dependants.
13.32. Each case for withholding pay in whole or in part should be considered on its merits but where there exists good reason to withhold pay in part, the part withheld should not normally exceed half pay. The factors which would normally be taken into account in determining whether and if so how much pay should be withheld are whether there appears to have been substantial misappropriation of public money, the member of staff's financial commitments, whether or not he or she is held in custody, or the hardship which might be caused to the member of staff or dependants. It should be borne in mind that the period without pay will not reckon for pension purposes, and will result in a reduction of superannuation benefits, including dependants' benefits.
13.33. If disciplinary proceedings result in a penalty, any withheld pay in respect of the suspension will be forfeited wholly or in part if the person exercising disciplinary powers so determines after consideration of all the circumstances of the case. Any withheld pay which it is decided will not be forfeited will be paid. A member of staff cleared of all charges will receive a net sum making up any shortfall in net pay that would have been received during the period of suspension. Where it is concluded that a member of staff should be paid during a period of suspension, including retrospective payment, the period should reckon under the pension scheme in the normal way.
13.34. The procedures set out in paragraphs 13.31 to 13.33 do not affect the practice whereby a line manager may send someone home if the circumstances seem to require this. Unless this is for a very brief period, however, consideration should be given by the person exercising disciplinary powers to the need for formal suspension.
Trade union representatives 13.35. Although normal disciplinary standards apply to members of the staff who are trade union representatives, normally no disciplinary penalty should be imposed on a trade union representative until the circumstances of the case have been discussed with a senior trade union representative or full-time official. Consultation is not necessary over an informal oral warning (see paragraph 13.18). Care should be taken that a disciplinary penalty is not seen as an attack on the union's functions.
13.36. A record will be kept on a member of staff's file detailing the full circumstances of any disciplinary offence, the action taken, whether an appeal was lodged, its outcome and any subsequent developments. Such records will be carefully safeguarded and kept confidential. Any formal oral warnings given in accordance with paragraph 13.24 which have not been related to subsequent formal disciplinary action will normally be disregarded after a period of
6 months. Any formal or final written warnings will normally be disregarded after a period of 12 months. Staff will be told of the relevant periods of currency of warnings when they are administered.
13.37. No record of any anonymous and unsubstantiated
allegation will be kept on the subject's personal file, although
a separate general record may be kept of such allegations in order
to assist in tracing the originator.
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