Dstl procedure for

discipline

Dst1/DMS/HR/P040
Issue 2 .0
June 2002

Authorisation :
Author : H Skelton

Approved (Owner): R.Eade

(Head of HR)

Authorlsed: S.Mepham

(DlOperations)
Approval signatures are held on the
master copy

Dstl is part of the Ministry of Defence

Mool aI p~~1
© Crown copyright 2002, Defence Science and Technology Laboratory. This document is intended for internal use only.
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Dstl procedure for discipline

1. Purpose

1 .1 Anyone whose standard of behaviour falls short of that expected of a Dstl employee
will be liable to disciplinary action . A distinction must be drawn between
unacceptable personal behaviour and inefficiency, for which the Dstl procedure for
restoring efficiency (reference 1) applies .
1 .2 The procedure implements the policies and requirements of the Dstl Policies
Manual (reference 2) .
2. Scope

2 .1 This procedure applies to all civilian Dstl employees and sets out the actions to be
taken in disciplinary cases ; it outlines the penalties and defines the level of authority
that may award them, and also what records must be kept.
r 2.2 Service personnel are subject to separate military regulations, and disciplinary
_ action for them must be taken by the Senior Military Officer . Disciplinary action
involving individuals on secondment or attachment must be agreed in advance with
their parent employer.
3. Responsibilities _

3 1 Line managers are to ensure that this procedure is complied with.

3.2 All managers within Dstl are to apply this procedure.
4. Definitions

There are no specific definitions relevant to this procedure.

5. Referenced documentation and other procedures

The following documents relate to activities described in this procedure:

Title : Reference no.:
1 . Dstl procedure for restoring efficiency Dstl/DMS/HR/P039
2. Dstl Policies Manual Dstl/DMS/M001
3 . Dstl disciplinary process check list DstI/DMS/Form405
4. Model letter in reply to the report of a private life conviction Dstl/DMS/T033
5. Model letter to be sent in response to a civil conviction Dstl/DMS/T034
6. Model letter for suspension Dstl/DMS/T035
7. Dstl financial statement Dstl/DMS/Form406
8. Model letter for advising pay on suspension Dstl/DMS/T036
9. Model letter for disciplinary charge DstVDMS/T037
10.Model letter notifying employee of interview with the Dstl/DMS/T045
approving authority
11 Model letter for pepalties less than dismissal Dstl/DMS/T038
12 .Model letter for dismissal Dstl/DMS/T039
13.Dstl disciplinary report form Dstl/DMS/Form075

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Procedure
6. Overview

6.1 General
6.1 .1 Any disciplinary action must be discharged fairly and as quickly as possible . Failure
to do so could disaffect staff and damage Dstl's reputation and ability to win
business . A flow chart illustrating the disciplinary process is given in Figure 1 .
6 .1 .2 At all stages of disciplinary action an employee has the right to be accompanied by
his TU representative or a colleague .
6 .2 - .Disciplinary offences
6 .2.1 Minor offences
6 .2 .1 .1 Minor offences are those which do not themselves amount to serious breaches of
" discipline but which, if permitted to go unchecked, could lead to more serious
consequences, e.g . a first offence of lateness which could lead to habitual lateness .
Appropriate counselling at this stage may prevent a recurrence of the misconduct.
Some behaviours which may necessitate disciplinary action are listed at Annex A.
6 .2 1 .2 When investigating minor offences, it is necessary to establish whether a similar
minor offence has been previously recorded . A minor offence, if repeated, may
have to be dealt with as a major offence .
6 .2 .1 .3 Minor offences, if proven, do not attract a formal disciplinary penalty . They are
discharged with an oral or written warning, both of which have to be recorded an
the employee's personal file.
6.2.1 .4 Any oral or written warnings given for minor offences which have not been
escalated to subsequent formal disciplinary action will normally be spent after 12
months, and thereafter removed from the record .
6.2.2 Major offences and cumulative minor offences
6.2.2.1 Major offences or cumulative minor offences are regarded as gross misconduct
and must attract formal disciplinary action . Some behaviours and examples of the
most common disciplinary and criminal offences that constitute (or are regarded as)
gross misconduct are given in Annex A.
6.2.2 .2 Any employee who is convicted of a criminal offence or is found guilty of a gross
misconduct offence following internal disciplinary proceedings, is likely to face
dismissal . Dismissal may be appropriate even for a first offence, i .e . when no
previous oral or written warnings have been given. This is because such conduct
can lead to the essential trust between employer and employee being destroyed,
thus rendering the individual unemployable . Dismissal should not be imposed
without first completing formal disciplinary action, except in very extreme
circumstances (e.g . murder, treason) .

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6.2.2.3 When a case against an employee is being heard in a criminal court, it is quite
possible that Dstl will find it necessary to impose a disciplinary penalty as a
consequence of any conviction . An observer should therefore be sent to court so
that a report can be produced to provide background information in any subsequent
disciplinary hearing . The role of the court observer is described in Annex B.
6.2.2.4 Any penalties awarded for major offences will normally be spent after 5 years, and
therefore disregarded in any subsequent disciplinary action . There may be
occasions however, when a longer period is deemed necessary.
6.3 Penalties & levels of approving authority
6 .3.1 Penalties
6 .3.1A A formal disciplinary penalty should only be awarded after completion of formal
disciplinary action. (See paragraph 6 .2 .1 .3 for minor offences) . A range of
disciplinary penalties is available, and is listed at Annex C.
6 .3.1 .2 Summary dismissal (i.e . dismissal without completion of formal disciplinary action)
should not be undertaken since it amounts to a denial of natural justice, and will
usually attract an automatic unfair dismissal decision at any tribunal.
6 .3.2 Levels of Approving Authority
The authority to award disciplinary penalties is vested in Department Managers,
Heads of Function, Directors and the Chief Executive, depending on the level of the
offender . Details are in Annex C. The authority to award disciplinary penalties, other
than dismissal, can be delegated subject to the condition that the person awarding
the penalty must be senior to the manager of the offender .

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7. Disciplinary procedure

7 .1 General
7.1 .1 The procedure is illustrated in Figure 1 .

Figure 1 - Flow chart

7.1 2 A Dstl disciplinary process check list (Form 405 - reference 3) is to be used as an
aide memoir during disciplinary action. Whilst it does cover the main requirements
of the disciplinary process, it is unlikely to cover every eventuality, and may need
amending to cover particular circumstances . The check list is not to be regarded as
a substitute for following the disciplinary procedure detailed above.
7.1 .3 The completed check list also provides the record/means by which to ensure that
disciplinary action is discharged quickly and fairly.
7.2 Step 1 - Reporting of offence to the line manager
As soon as a disciplinary situation arises it must be reported to the relevant line
manager, who immediately assumes responsibility for implementing the disciplinary
process . The line manager can choose to delegate the responsibility to a suitable
manager within their area .

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7.3 Step 2 - Investigate the alleged offence
7.3.1 Workplace offences
Immediately it is suspected that an offence has been committed, an investigation
must be undertaken to establish the facts and determine whether there is a case to
answer . The employee must be informed of the investigation and given the chance
to offer an explanation . He/she should be informed of his/her right to be
accompanied by a TU representative or a colleague . However, it may first be
necessary to protect key evidence, and/or to liaise with the Ministry of Defence
Police (MDP) to ensure that informing the employee will not prejudice any enquiry
they may need to undertake. The investigation should include a review by two
people of all relevant documents and interviews with staff who may have knowledge
of the circumstances . A written record of the investigation must be made . The
investigation must also take account of any welfare issues and consult the Welfare
Officer if necessary.
7.3.2 Criminal acts and criminal convictions
s
7.3 .2.1 If there is any reason to suspect that a criminal act has been committed, the line
manager must place the matter in the hands of the Ministry of Defence Police
(MDP) . The MDP investigation will not necessarily obviate the need for a separate
management investigation, and it is advisable to conduct a local investigation while
the files are to hand and staff are available, in parallel with the MDP action . In these
circumstances close liaison must be maintained with the MDP to ensure that any
disciplinary action required is taken as soon as possible .
7 .3 .2 .2 Criminal convictions that impinge on the employer/employee relationship will also
result in disciplinary action . Employees must inform their line manager if they are
arrested, charged or convicted for any offence (except for a minor traffic offence
that does not attract a penalty of imprisonment or suspension of a driving licence) .
Failure to do so may itself result in disciplinary action, and will certainly be taken
into consideration when deciding whether disciplinary action is necessary following
a conviction. When notified of a private life conviction, line managers should
" respond to the employee in accordance with the model letters in reply to the report
of a private life conviction (reference 4) or a civil conviction (reference 5) as
appropriate . The Welfare Officer should be consulted and be used to make contact
with anyone in prison . Any criminal charge or conviction must be reported to the
Dstl Area Security Adviser immediately .
7 .3.2.3 If an employee who is to appear on a serious charge in a criminal court, or is
subject to disciplinary action, voluntarily tenders his/her resignation, it should
normally be accepted .
7 .4 Step 3 - Consider: suspension
7.4.1 Where it is suspected or known that a serious offence has been committed, and the
employee's presence in the workplace is undesirable, suspension from duty may be
a necessary precaution . The employee is to be advised using the model letter for
suspension (reference 6) .
7.4.2 In cases where the behaviour has brought about a breakdown of trust between the
employer and employee, suspension is normally advisable . It would be difficult to
defend a claim for unfair dismissal based solely on the grounds of loss of trust if,
while disciplinary action was pending, the employee were to continue in his/her
normal work. I '~
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7.4.3 At the time of the suspension, the employee should be asked to complete a
financial statement of income and expenditure (Form406 - reference 7) and
advised that they may enlist the assistance of the Welfare Officer. The statement is
used to determine appropriate pay during suspension. An employee's pay should
normally be maintained at a level which will avoid undue hardship . The maximum
by which pay is reduced is generally 50%; however, where the alleged offence
involves major, irrecoverable loss of public funds (in excess of £10K), pay should
be reduced to nil . The employee should be notified of the decision on pay, and
advised that he/she may claim social security benefits or obtain other employment
during suspension, but in either event his/her salary may be withdrawn. The
employee is to be advised using the model letter for pay on suspension (reference
8) . Employees detained, remanded in custody or imprisoned should have their pay
- withdrawn entirely.
7.5 Step 4 - Consider: Informal warnings (for minor offences)
7.5 .1 If a minor offence has been committed, the employee will be given either an oral or
written warning depending on the gravity of the misconduct, either of which are
recorded on the employee's personal file . This warning is not a disciplinary penalty
in itself .
7 .5 .2 When being given a warning for the first time, the employee must be informed of
the consequence of any further offence .
7 .5 .3 If an employee's behaviour does not improve after an oral warning, he/she may be
given a written warning . The written warning should specify the unacceptable
behaviour, set out what improvement is required and state that a record of the oral
warning has been recorded on the employee's personal file. The written warning
should also explain that further misconduct may need to be considered under the
formal disciplinary procedures, and may lead to a penalty .
7.6 Step 5 - Consider: formal disciplinary action (for major offences or cumulative
minor offences)
7 .6 .1 Major offences or cumulative minor offences will be regarded as gross misconduct
and attract formal disciplinary action .
7 .6 .2 Only very exceptional factors such as duress, coercion or diminished mental
competence should be entertained as possibly justifying a lesser response than
formal disciplinary action . In these circumstances, other appropriate action would
need to be taken.
7.7 Step 6 - Charge letter
7 .7 .1 Once it has been decided that formal disciplinary action is appropriate a disciplinary
file is opened and a charge letter is sent to the employee. The charge letter must
define the unacceptable behaviour (misconduct or gross misconduct) and describe
the specific action giving rise to it ; model letter for disciplinary charge (reference 9)
is to be used . Any documentary evidence supporting the case must be enclosed .

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7.7.2 Any regulation breached should be quoted. If there is any doubt about whether any
specific regulation has been infringed, then the actual offence should be stated in
precise terms .
7 .7.3 The disciplinary charge letter must give the employee the choice of replying in
writing within a specified time (between 10 and 20 working days), and the
opportunity to present his/her case in person at a disciplinary hearing . It should
state that in either case, he/she may have the assistance of a TU representative or
colleague in replying to the charge.
7 .7.4 Also in the letter, the employee should be invited to seek an interview with the
Welfare Officer. In any event, the Welfare Officer must be invited to make contact
with the employee to establish whether or not welfare assistance is required .
7.8 Step 7 - Consideration of response to charge letter
7.8.1 In his/her reply to the disciplinary charge letter, the employee may request an oral
hearing . Equally, it may be desirable to call the employee to a hearing even if
he/she has not requested one . A hearing will be necessary to resolve any points of
doubt, or when it is clear that the employee is unable to put his/her case fully in
writing . Where there is potential for a severe penalty to be imposed, it is advisable
to have a hearing .
7 .8 .2 Depending on the employee's response to the charge letter, it may be necessary to
obtain a welfare or medical report . The employee's written consent must be
acquired before a medical report can be obtained .
7 .8.3 Should the employee in his/her written reply accept the allegations and not request
a hearing, the case may be considered and disposed of under delegated powers or
referred, if necessary, with a recommendation to the appropriate authority for a
penalty decision .
7.9 Step 8 - Preparing for the disciplinary hearing
7 .9.1 The disciplinary hearing must be held as soon as possible and a minimum of 10
working days notice given of the hearing date . Unless by mutual agreement, the
" hearing should not be held later than 30 working days after receipt of the response
to the charge letter. The hearing chairperson must have had no previous
involvement in the case and must be senior to the manager of the offender . A
second member must be appointed to assist the chairperson and to take a record
of the hearing . A third member may be appointed who may also provide any special
expertise necessary for consideration of the case .
7 .9.2 A pack containing the evidence is to be prepared by the management bringing the
charges, and copies forwarded to the hearing officers and the employee, together
with the notification of the date of the hearing . The employee must be given all of
the evidence available to the hearing officers . It is important that all relevant
documents are included in the pack of evidence, since the employee must be given
sufficient time to consider the evidence and prepare his/her defence . It is therefore
not appropriate for the manager to present new evidence at the hearing, except in
extreme circumstances . The employee and/or his/her assistant is/are permitted to
produce any relevant evidence in his/her defence at any time prior to or at the
hearing . `
7 .9 .3 The employee is to be informed that he/she may have the assistance of a TU
representative or a colleague/friend to assist at the hearing . 'Friends' which include
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a solicitor are probably undesirable but may be allowed, although only in their
capacity of 'friend' and not in any legal capacity . However, as with any other
assistant, they can only make a contribution when asked to do so by, or with the
agreement of, the hearing chairperson .
7 .9.4 The employee should be advised of any witnesses being called to the hearing, and
invited to call any witnesses of his own .
7 .10 Step 9 - The disciplinary hearing
7.10.1 The disciplinary hearing is to resolve any doubts about the facts and allow the
employee to present a clear picture of his defence in an informal manner .
7 .10.2The employee must be advised during the hearing of who will be making the
decision and when he/she can expect to know the outcome .
7 .10 .3The hearing should be confined to reading the charge and the evidence without
undue formality, hearing any witnesses on relevant matters and any
" representations made on behalf of the employee. The employee is not entitled to
question witnesses. However, at the chairperson's discretion, and with the
agreement of the witness, this may be allowed to resolve specific points . In general
any queries relating to witness statements are clarified separately by the
chairperson with the relevant witness, and the outcome conveyed by the
chairperson to the employee .
7 .10 .4The hearing chairperson must make every effort to resolve any conflicts of
evidence. Any new evidence arising during the course of the hearing and not
contained in the written statements presented to the hearing, must be signed by the
persons concerned .
7.10 .5 Once all the evidence has been heard, the hearing is concluded .
7.10 .6The hearing chairperson must ensure the employee and his/her representative
receive a copy of the record of the hearing, and invite them to sign and return a
copy confirming that it is a fair and accurate record of the proceedings . If the record
cannot be agreed by both parties, then the employee's version should be attached
to the hearing officer's version.
7 .10 .71f the employee fails to sign and return his/her copy of the record, he/she should be
chased for a reply, asking if there is a problem. If after 2-3 workings days there is
still no response, the actions should be logged and attached to the hearing officer's
version .
7.10.81t is the responsibility of the hearing chairperson to decide whether or not, on the
balance of probability, the charge has been proven on the evidence provided . The
hearing chairperson will prepare a report recording the issues covered, outlining the
conclusions reached and make recommendations . Recommendations are to take
account of any mitigating factors which should be clearly explained . In no
circumstances should the recommendations of the hearing be disclosed to the
employee or his representative . (It should be noted, however, that the chairperson's
report will become available to the employee at a later date should the case
subsequently be tested at a CSAB or Employment Tribunal) .
7.10 .9 The chairperson's ,report, together with the record(s) of the hearing and the
disciplinary file are forwarded to the line manager for consideration of the case . If a
penalty is to be awarded, the line manager will forward the papers to the approving
authority (see Ann ex C ).

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7.11 Step 10 - Decision/penalty
7 .11 .1 The approving authority must offer an interview to the employee in the following
circumstances :
" cases where dismissal has been recommended by the hearing chairperson
(e.g . gross misconduct offences) where escalation of penalty imposed for a
previous offence or offences applies.
where the approving authority is minded to dismiss despite a recommendation
of a lesser penalty by the hearing chairperson .
7.11 .2The employee will be invited to attend an interview with the approving authority
using the model letter for notifying employee of interview with the approving
,authority (reference 10) and is entitled to be accompanied by a TU representative
or colleague . The purpose of the interview will be to provide the employee with the
opportunity, in the knowledge that dismissal is a possible outcome, to make any
representations direct to the appropriate approving authority before the final
" decision is taken . The interview shall be conducted in accordance with the
guidance given in Annex D.
7 .11 .3 Should the employee decline the opportunity of the interview this must be recorded
and a decision made on the basis of the hearing chairperson's recommendations .
7.11 .4The approving authority will decide whether or not to accept the recommendation .
7 11 .5 Due account will be taken of any genuine extenuating or mitigating circumstances
and also any previous disciplinary record that was accompanied by a warning of
more serious consequences in the event of further disciplinary action . No employee
will be dismissed for a first breach of discipline except for behaviour that constitutes
gross misconduct .
7 .11 .6 The scale of penalties available is listed at Annex C .
7 .11 .7Where the case is not proven, the employee must be informed in writing that
he/she has been found not guilty. Any pay that has been withheld on suspension
must be issued and normal pay restored .
7.11 .8Where the case is proven, the decision may first be conveyed orally to the
employee, but must be confirmed in writing immediately thereafter . The employee
must acknowledge receipt of the decision by signing and returning a copy of the
notification . If the penalty is a reprimand, it must be conveyed orally by the line
manager and then confirmed in writing using model letters for penalties less than
dismissal (reference 11) or dismissal (reference 12) .
7.11 .9 All letters notifying penalties short of dismissal are to include a warning that any
further offences may lead to more serious consequences . Where the penalty for the
next offence is likely to be dismissal, specific mention that the consequences of
further offences may include dismissal must be made .
7 .11 .10 Written notification of a penalty should not normally be sent to an employee on
sick leave without first seeking welfare or medical advice .
7 .11 .11 Implementation of a penalty short of dismissal should be deferred for ten working
days to give the employee time to lodge an appeal if he/her wishes . If an appeal is
lodged the penalty is deferred until the outcome of the appeal is known.
7 .11 .12 Decisions to dismiss are not to be deferred and should normally take effect from
the date of the letter notifying the employee of the decision . There will be no pay in

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lieu of notice . Dismissal letters must advise individuals of their right to appeal (see
9) .
7.11 .13 Where restitution is decided as all or part of the penalty, deductions from pay
should be arranged so that they do not cause severe financial hardship .
7.11 .14 All disciplinary cases that result in a guilty finding and a penalty imposed, and all
criminal and private life offences, should be reported to the Dstl Area Security
Adviser.
7.11 .15 Cases where a return to work is being considered following suspension, must be
referred to the Dsti Area Security Adviser quickly regardless of whether guilt has
been proved or not.
8. . The law and guiding principles

8.1 The law does not say that organisations must have disciplinary rules or policies .
However, if organisations dismiss an employee on grounds of misconduct, the
" dismissal will be unfair if the employer acted unreasonably. Failure to follow the
procedure could be considered unreasonable . This is underpinned by a Code of
Practice issued by the Advisory, Conciliation and Arbitration Service (ACAS) which
sets out ground rules on fairness and applies to employers in the same way as the
Highway Code applies to motorists . Breach of any of the Code's recommendations
will have to be justified if an unfair dismissal claim goes to an Employment Tribunal .
8.2 The law does require employers who have disciplinary rules, to notify employees of
the details . This process fulfils that requirement .
8 .3 Under the Sex Discrimination Act 1975 it is unlawful for employers to victimise or
discriminate on grounds of sex or marital status. Under the Race Relations Act
1976, direct and indirect discrimination and victimisation are unlawful on the
grounds of colour, race, nationality, ethnic or national origins. Under the Disability
Discrimination Act 1995 it is unlawful for employers to treat a disabled person less
favourably than someone else because of his disability, unless there is good
reason.
8.4 Employees are protected by the law in respect of sex, race or disability
discrimination, TU membership or activity, certain public interest disclosures and
'whistle blowing' on health and safety matters, immediately on joining Dstl. In such
cases, it is up to the employer to show that the dismissal was really on the grounds
of unacceptable personal behaviour .
8 .5 An employee must be given the opportunity to answer the charge against him/her .
To deny him/her the opportunity would, in law, be seen as a denial of natural
justice, and any penalty awarded would automatically be deemed unfair.

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8.6 The usual purpose of disciplinary action is not to enforce any particular code or law,
or code of morals, but to ensure the satisfactory discharge of Dstl business . This
should be borne in mind when considering disciplinary action and any appropriate
penalty for an offence .
8 .7 In dealing with disciplinary cases the employee must be treated justly . Before
formal disciplinary action is initiated there must be clear evidence that an offence
has been committed, and that the employee ought to be aware that the likely
consequence of his behaviour would be disciplinary action . In cases of doubt, a
warning may be appropriate for a first offence .
8.8 The evidence in a disciplinary case must be sufficient to give the person awarding
the penalty reasonable grounds for believing the employee is guilty . It would not be
just to assume guilt and place the onus on the employee to prove his/her
innocence .
8.9 When considering dismissal of an employee, the penalty must be reasonable in the
circumstances and consistent with what would be expected of other employers . It
would not be sufficient to dismiss merely on the basis of morality of the behaviour ;
there must be some alleged impact on the performance of the employee's job or
effect upon other employees and/or the business .
8.10 TU representatives are subject to the same disciplinary standards as all other
employees . When disciplinary action is contemplated against a TU representative
in a situation where TU activities might provide a good defence, the full time TU
official of the appropriate union should be informed . Management can then decide
in the light of the comments received, whether TU activities can be accepted as a
valid reason in the particular case. If the case does proceed, representations
relating to TU activities car. be considered as necessary.
9. Appeals

9 .1 There is an internal right of appeal against disciplinary penalties less than

dismissal, and against dismissal for those employees who are ineligible to appeal to
the Civil Service Appeal Board. Internal appeals will normally be settled within Dstl,
if necessary by the Chief Executive as the final arbiter . However, Dstl employees do
have the right to appeal to the Permanent Under Secretary of State (PUS) if they
remain unsatisfied once the internal Dstl appeals process has been exhausted .
9.2 Advice on how appeals against dismissal are handled is given in Annex E.
9 .3 An internal appeal should be made within ten working days of the penalty being
awarded, unless the employee can show good reasons for failing to meet the time
limit. The appeal should be addressed to the originator of the penalty letter, and
considered by the approving authority (see annex C) . This appeal may include an
oral hearing, when the employee can be accompanied by a TU representative or
colleague if requested . An agreed record of the interview should be handed to the
employee .
9 .4 If the employee is still not satisfied, he/she may request to have his appeal
considered by the Chief Executive . The employee must submit his written appeal
within ten working days of the notification of his/her earlier appeal, outlining the
grounds for appeal and the desired remedy. Again, he/she may be assisted in the
task by a TU representative or colleague . O
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9 .5 An employee who is dismissed having one or more year's service has a right to
appeal to the Civil Service Appeal Board (CSAB) and/or to an Employment
Tribunal . A short guide on how appeals against dismissal are handled is at Annex
E. In his/her dismissal letter, the employee must be informed of his/her right to
appeal to the CSAB and be advised that he/she must submit his/her intention to
appeal in writing to the CSAB secretariat within three months of his/her last day of
service . All communications should be addressed to:
The Secretary
Civil Service Appeal Board
11 Belgrave Road
London SWiV 1RB
Telephone : 0207-273-6505 .
9 .6 When the appeals procedure is completed, if the appeal fails, any penalty that has
been imposed should be implemented .
10 9.7 These arrangements are complementary to grievance appeals . An employee does
not have two parallel routes for appeal on any one issue .
10. Records

10 .1 Records of oral warnings for minor offences that have not been escalated to formal
disciplinary action (see 6.2.1 .4) are to deleted form the employee's file 12 months
after the warning has been issued .
10.2 Immediately following formal disciplinary proceedings, a disciplinary report (Form
075 - reference 13) is to be completed by the line manager and kept on the
employee's file . A copy of the completed report (Form 075) with the name deleted
to preserve anonymity, should be forwarded to the HR Corporate Team . The
information will be used to maintain a reference source for all disciplinary actions
brought against Dstl employees .
10 .3 A copy of the completed checklist (Form405 - reference 3) and any supporting
information are to be kept on the employee's file. The checklist, whilst a useful aide
memoir during disciplinary action, has a secondary purpose to rebut any allegations
of tardy management action which may emanate during an appeals process .
10.4 Records are to be retained for as long as the employee's file is retained .

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Annex A Behaviours which may necessitate disciplinary action/gross

misconduct offences
A.1 Some behaviours which may necessitate disciplinary action (this list is not
exhaustive)
Depending on the type or severity of the misconduct, some of these behaviours
may need to be treated as gross misconduct which is a major offence (see
paragraph A.2) .
" behaviour which brings about a breakdown of trust between employer and
employee;
" criminal acts (whether or not the police authorities have decided to prosecute) ;
" discrimination ;
" harassment ;
" intoxication through alcohol or drugs abuse ;
" loss of, or damage to, public property ;
" misuse of electronic equipment or media (including the Internet/Intranet) ;
" negligence ;
" on site speeding or parking offences ;
" poor timekeeping ;
" refusal to obey a reasonable instruction ;
" security breaches ;
" unauthonsed absence from work ;
" waste or embezzlement of stores and materials, and misuse of labour .
A.2 Gross misconduct offences (this list is not exhaustive)
Any employee who has committed a gross misconduct, which is a major offence, is
likely to face dismissal . Examples of the most common offences which fall within
the category of gross misconduct are :
" assault;
theft;
. submission of fraudulent claims for overtime, expenses or advances, or failure
to notify changes of any details ;
deliberate abuse of a Flexible Working Hours scheme ;
deliberate malpractice, deception or falsification of documents or accounts ;
discriminatory conduct, sexual, racial or any other form of harassment;
unauthorised borrowing or possession of public money or property;
improper use of/access to computer data ;
behaviour which brings about a breakdown of trust between employer and
employee.

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Annex B Court observer's role

13 .1 A court observer is normally a member of HR who attends court proceedings .
13 .2 He/she attends either when the Ministry of Defence Police decide to prosecute, or
when an employee reports that he/she has been charged, and where conviction
could have a serious effect on the employee's career. Examples of such cases are
where the offence is alleged to have been committed on official premises or while
on duty, or against Dstl or the state, or where the offence, though committed in
private life, is so serious that disciplinary action might have to be considered either
because of the nature of the offence or because a custodial sentence is likely.
B .3 , The observer is not a Dstl representative nor is he/she a witness : he/she should not
be called to give evidence . Exceptionally, however, the court may call upon him/her
if his presence becomes known. If so, he/she should respond as follows :
" if the court enquires whether anyone is present from Dstl, he/she should say:
"Yes" ;
" and if asked why, he/she should say : "I am here to make a report to my
Department" ;
" If the court asks about the attitude of Dstl to the case or the accused, he/she
should reply:
" "1 have no authority to make any statement on behalf of the Defence
Science and Technology Laboratory" ;
" If the court presses, he/she should truthfully answer any questions put to
him/her (unless one of the recognised grounds of privilege is available e.g.
self-incrimination) . However he/she should emphasise that he/she is
answering in a personal capacity and that he/she has no authority to reply or
comment on behalf of Dstl .
B .4 If asked to give evidence in the witness box, the court observer should speak as at
the bullet points above . Since it would be irregular for anyone who was not a
witness or a party to the case to be called without notice, it is unlikely that an
observer would be under an obligation to say anything further .
B .5 The taking of notes before the verdict in certain cases may be prohibited by the
court. In some cases where the observer decides that such notes need to be taken
he/she should consult the clerk of the court . The observer may not be allowed to
take his/her notes out of the courtroom until the case is completed .

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Annex C Penalties and levels of approving authority

C.1 Penalties
The disciplinary penalties available to Approving Authorities (see C .2) are :
" reprimand;
" loss of pay for one, five or ten days;
" monetary payments by way of restitution for culpable loss or damage caused
by the offender (which may be awarded in addition to another penalty) ;
" transfer to other duties on the same site - which may involve a reduction in
pay but not as a penalty in itself;
" dismissal .
C .2 Levels of Approving Authority
" C .2 .1 The person awarding the penalty must be senior to the line manager of the
offender .
C.2.2 The levels of Dstl managers who have disciplinary powers and have the authority to
award disciplinary
ry penalties are as follows :
Chief Executive for awarding penalties to Board Members, Department
Managers, Heads of Function, Dstl Fellows and Dstl Senior I
Fellows
Department Managers/ for awarding penalties to all employees except where the
Board Members authority rests with the Chief Executive

C.2.3 The authority to award disciplinary penalties other than dismissal can be delegated
subject to paragraph C.2.1 .
C .2.4 The appropriate approving authority must offer an interview to the employee in all
cases where dismissal is recommended or is a possible outcome (see paragraph
7.11 - step 10) .

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Annex D Guide to the interview with the approving authority

D.1 Reason for interview
Before deciding whether to dismiss an employee, the approving authority must be
satisfied that Dstl's disciplinary procedures have been followed correctly and that all
aspects of the employee's case have been thoroughly considered . To this end, and
in the interest of natural justice, it is important that an employee should have the
opportunity, if he/she wishes, to make final representations in person to the
approving authority before any decision is reached.
D.2 When should an interview be offered?
D .2.1 ~ The approving authority must offer an interview to an employee who is the subject
of disciplinary action in the following circumstances :
" disciplinary cases in which dismissal has been recommended by the hearing
chairperson .
" " disciplinary cases in which the approving authority is minded to dismiss,
contrary to the recommendation of the hearing chairperson .
D.2.2 An employee is not obliged to accept the offer of an interview, but if he/she
chooses to they may be accompanied by their TU representative or a colleague .
D .2 .3 The interview should be offered as soon as the approving authority has received
and initially considered the hearing chairperson's recommendation, but before
he/she has taken the final decision on whether or not to dismiss . If the offer is
accepted, the interview should take place within 10 days.
D .2 .4 At the same time as the offer of an interview is made, the approving authority
should also provide the employee with a copy of the hearing chairperson's findings.
In this way the employee will be able to make properly informed representations to
the approving authority .
D.3 Those present at the interview
The following should be present at the interview :
" approving authority
" employee
" HR manager (or delegated HR representative)
" employee's TU representative or colleague (if requested)
" notetaker.
D.4 Conduct of the interview
D .4.1 It is important that the interview should not become a re-run of the hearing nor be
used by the employee to continue any dispute about the record of the hearing . No
witnesses may be called. These conditions should be clearly explained to the
employee at the outset and the conduct of the interview should be carefully and
firmly managed by the approving authority and the HR manager to ensure they are
maintained .

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D.4.2 A record of the interview will be taken (by a notetaker if preferred) and provided to
the employee within 3 working days of the interview. It is not necessary for the
record of the interview to be agreed.
D.4.3 The approving authority should confirm that the employee has seen a copy of the
hearing chairperson's findings .
D .4.4 The approving authority should make clear that he/she has considered all the
details of the disciplinary case, including the record of the hearing and the hearing
chairperson's findings but has yet to make a final decision . The interview is
therefore the last opportunity for the employee to make any final representations.
D.4.5 If new evidence is put forward by the employee, it should be taken into account as
appropriate by the approving authority. If the approving authority considers it
necessary for new evidence to be examined, a further investigation should take
place. The employee will need to be informed of the outcome of any such
investigation and given the opportunity to make further representations in writing . If
the approving authority considers it necessary, the disciplinary hearing should be
reconvened, particularly if it becomes clear that further witnesses need to be called .
D.5 Decision
D .5 .1 The approving authority should make his/her final decision on the case only after
careful examination of all the facts and having considered any representations
made by the employee . The decision should, however, be made and
communicated to the employee with 10 days of the interview. No decision will be
given at the interview .
D .5.2 In reaching a decision the approving authority must also take advice from the HR
manager . The approving authority should record, in writing, the reasons for his/her
decision . These will need to be disclosed by Dstl in the event that a decision to
dismiss is the subject of an appeal . The approving authority will be expected to
defend their decision in person at any resulting CSAB or ET.
D .5 .3 The approving authority should, wherever possible, convey his/her decision to the
r employee in person and at the same time confirm it in writing and, if dismissal is
i appropriate, should use the model letter for dismissal (reference 12).

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Annex E Guide on how appeals against dismissal are handled

E.1 Responsibility for dealing with appeals
The decision to dismiss an employee on disciplinary grounds is taken under
delegated powers . The responsibility is similarly delegated for dealing with any
appeals to the Civil Service Appeal Board (CSAB) and for instructing Dstl's legal
advisers in the event of any appeals to an Employment Tribunal or Employment
Appeals Tribunal, arising from the decision to dismiss. All costs fall to the relevant
department .
E.2 Appeals to the Civil Service Appeal Board (CSAB)
E.2.1 ~ A dsmissed employee must be informed of his/her right to appeal to CSAB in his
letter of dismissal, and it is his responsibility to appeal direct to CSAB within the
prescribed period . It is for the CSAB to decide if the appeal is out of time .
" E .2 .2 On receipt of an appeal, the CSAB will contact the employing department, and will
give clear guidance on what is required and by when . Failure by the department to
submit the documentation by the prescribed deadline (normally 21 days) is
inexcusable ; it is not only unfair to the appellant but badly reflects on Dstl .
E .2 .3 Submissions to CSAB must be properly prepared, and be factually correct. No
attempt must be made to cover up technical omissions or withhold any relevant
documentation . Ministry of Defence Police (MDP) reports may not be disclosed
without prior authority of the MDP. On receipt of Dstl's submission, CSAB will
forward a copy to the appellant .
E.2.4 If a CSAB hearing is to be held, Dstl should normally be represented by a
Department Manager/line manager or above . All relevant documentation should be
taken to the hearing, including the ex-employee's personal files.
E .2.5 It is a matter for the Chief Executive of Dstl to decide whether or not to accept the
CSAB's finding and recommendation . Unless there are persuasive reasons to the
contrary Dstl usually accepts the Board's recommendation . If Chief Executive does
not accept the CSAB findings, the Board will decide whether or not to award
' compensation .- The department must not take any action to reinstate or reemploy
the individual until approval is sought and given by Chief Executive .
E.3 Appeal to an Employment Tribunal
E .3.1 Complainants appeal direct to an Employment Tribunal . The Tribunal will contact
the relevant department, forwarding an explanatory booklet and Forms IT1, 2 and
3, The Form IT3 should not, repeat not, be completed by the department, but
forwarded immediately with the Forms IT1 and 2 to the Dstl legal adviser for
completion, along with instructions for the legal adviser to act on Dstl's behalf . The
Dstl legal adviser should be asked whether it is appropriate for the ACAS Arbitration
Scheme to be considered (see paragraphs E .4 .1 - E.4.5) . Time is of the essence,
and failure to submit the forms within the required timescales (usually 14-21 days)
may result in Dstl not being allowed to take part in the Tribunal's proceedings .

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E.3.2 Normally the legal advisers used by Dstl in Employment Tribunal cases are :
England and Wales: Scotland:
Treasury Solicitor's Solicitor to the Secretary of State for
Department Scotland
Litigation Division Room 3/50
Queen Anne's Chambers New St Andrew's House
28 Broadway St James Centre
London SW 1 H 9JS Edinburgh EH1 3TE
Tel : 0207-210-3000 Tel : 0131-556-8400

E .3.3 Once the department has instructed the legal adviser to act for Dstl, the normal
standards of solicitor/client relationship apply, and until the case is settled, no
further communication direct with the complainant or his representative may be
made without first consulting the legal adviser.
E .3.4 Under employment law, the ACAS Conciliation Officer is obliged to contact both
parties to use his/her services in reaching a settlement . When contact is made with
the department, the ACAS Conciliation Officer, who may also ask whether the
Arbitration Scheme has been considered, should be referred to the legal adviser
handling the case
E.3 .5 If a complaint to an Employment Tribunal seems likely to attract the attention of the
media, details of the case and date and place of the Tribunal hearing should be
forwarded to the Dstl Corporate Affairs Office .
E.4 ACAS Arbitration Scheme
E.4 1 The ACAS Arbitration Scheme was introduced with effect from 21 May 2001, and is
to be considered in all cases of unfair dismissal as an alternative to employment
tribunal hearings . The Scheme will operate in England and Wales and it is being
considered for use in Scotland .
_ E .4 .2 The ACAS publications relating to the new Arbitration Scheme can be found at the
s ACAS web site www.acas .org .uk and copies can be obtained from:

The Arbitration Section ACAS Reader Ltd

ACAS Head Office PO Box 16
Brandon House Earl Shilton
180 Borough High Street Leicester
London SE1 1 LW LE9 8ZZ
Tel: 020 7210 3742 Tel: 01455 852225
E .4 .3 When an individual has made an application to the employment tribunal, or applies
direct to the employer to have their case considered by arbitration, the department
must contact the Dstl legal adviser for advice on whether the ACAS Arbitration
Scheme is applicable and appropriate .

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E.4.4 Where the Dstl legal adviser considers that arbitration should be used, the
department will assist in obtaining the necessary signatures from the Approving
Authority and the individual on the Arbitration Agreemetit and Waiver of Rights as
required under the Scheme. As for employment tribunals, the department shall be
guided by the Dstl legal adviser.
E.4.5 Departments should advise the HR Corporate Team of any cases where the ACAS
Arbitration Scheme has been used .

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