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CAIRNGORMS NATIONAL PARK AUTHORITY
DISCIPLINARY POLICY

1.0 PURPOSE AND SCOPE

1.1 The Cairngorms National Park Authority aims to ensure that, in undertaking
their role, all staff contribute as intended to the successful delivery of the
aims and objectives of the National Park Authority. Most staff will perform
all their duties satisfactorily and to a high standard. However, a minority of
staff may not conform to the behaviour of standards expected. The National
Park Authority is committed to addressing these concerns when they arise,
and this procedure is primarily to help and encourage staff to improve rather
than just as a way of imposing punishment. However, the National Park
Authority also wants to take care that the services of the National Park
Authority are not compromised. Therefore this policy and procedure
ensures consistent and equitable treatment of employees that are considered
not to be complying with acceptable standards.

1.2 This policy and procedure aims to ensure good practice by applying the
standards set out in the relevant sections of the ACAS Code of Practice on
Disciplinary and Grievance Procedures. The principles of natural justice will
be applied when dealing with disciplinary issues.

1.3 This policy and procedure applies to all employees of the National Park
Authority.

2.0 PRINCIPLES

2.1 All line managers are responsible for promptly identifying any deficiencies in
conduct or performance, discussing the matter with the individual member of
staff and assisting him/her to improve. It is anticipated that minor matters
will normally be dealt with informally through standard line management
practices in the first instance.

2.2 No formal disciplinary action will be taken unless there is sufficient evidence
to warrant such action and the case has been carefully investigated.
2.3 At each stage of the procedure, individuals will be informed in writing of the
nature of the complaint(s) and/or allegation(s) against them and will be given
the opportunity to state their case at a disciplinary meeting before any
disciplinary decision is made.

2.4 An employee has the right to be accompanied at a disciplinary meeting by a
trade union representative or work colleague of their choice. Individuals may
not be accompanied by anyone acting as a legal representative at any stage of
the procedure.

2.5 The disciplinary procedure may be entered at any stage depending on the
nature and seriousness of the issue.

2.6 Employees will not normally be dismissed for a first breach of discipline,
except in the case of gross misconduct. The decision in regards to the
penalty will be subject to the merits of each individual case and the relevance
of the circumstances at the time.

2.7 Arrangements will be made to take written records, agreed by both parties
at each phase. All written records will be destroyed should the process find
no grounds for disciplinary proceedings.

2.8 A criminal offence committed outside of employment will not necessarily be
treated as an automatic reason for disciplinary action, unless it is relevant to
the duties of the employee.

2.9 Individuals have the right of appeal against any formal disciplinary action
taken.

3.0 PROCEDURE

3.1 INFORMAL DISCUSSIONS

3.1.1 In many circumstances it will not be appropriate to proceed
immediately to formal disciplinary procedures. Minor cases of
misconduct may best be dealt with by informal advice, coaching and
support from the line manager in the first instance, rather than
through the formal disciplinary procedure.

3.1.2 Line managers should discuss problems with individuals with the
objective of encouraging and helping them to improve their conduct
or performance. It is important that staff understand what needs to be
done, how conduct will be reviewed and over what period. Staff
should also be made aware of what action may be taken if they fail to
improve their conduct. Informal counselling is not part of the formal
disciplinary procedure and the member of staff should be informed of
this.

3.1.3 Where informal procedures have been invoked, and either there is no
satisfactory improvement within the agreed time period or the
individual relapses over time, then the line manager should consider
entering the formal disciplinary procedure.

3.2 INVESTIGATION

3.2.1 Before contemplating disciplinary action, a manager should satisfy
him/herself of the facts. To do this, it may be necessary to hold a
preliminary investigation. In all circumstances, the individual will be
informed of any investigation of which they are the subject at the
outset.

3.2.2 The manager appointed by HR to conduct the investigation will be
impartial and not immediately involved in the case. This manager will
seek to establish the facts by carrying out investigatory interviews
with relevant persons, including the individual concerned as soon as
possible and where possible shall obtain written signed statements
from witnesses who will be advised that they may be requested to
appear at any subsequent disciplinary meeting.

3.3 SUSPENSION

3.3.1 In exceptional circumstances a period of suspension may be deemed
necessary in order to fully investigate the facts, but this will not
normally be imposed unless it is felt necessary to protect the interests
of the National Park Authority, the employee concerned or other
employees.

3.3.2 Any period of suspension should be as short as possible and will be
kept under review to ensure it is not unnecessarily protracted.

3.3.3 Any period of suspension will be confirmed in writing and the
employee will be entitled to full pay for the duration of the period of
suspension.

3.3.4 It should be made clear to the employee that the suspension is not
disciplinary action in itself and does not involve any prejudgement.

3.4 CONVENING A DISCIPLINARY MEETING

3.4.1 If, after fully investigating the allegations, there is reasonable belief that
there is a disciplinary case for the employee to answer, in terms of his
or her standard of behaviour, attendance or performance, a
disciplinary interview will be held.

3.4.2 Once a decision has been reached to instigate the disciplinary
procedure, a letter will be sent to the employee (normally 5 working
days before the disciplinary interview), informing him/her of:

a) the nature of the allegations and the fact that the interview is to
be a disciplinary one;

b) the date, time and location of the interview;

c) the right to be accompanied by a single companion, (who will be
another employee of the CNPA, or a full-time officer employed by
a trade union);

d) the names and roles of the people who will be present at the
interview;

e) the names of any witnesses to be called by management;

f) the need to inform management prior to the disciplinary interview
of their intentions regarding calling witnesses or whether they
wish to be accompanied;

g) where appropriate, the need for written statements of case from
both parties to be presented to the HR Manager for circulation at
least 3 working days before the interview;

h) Provision of the investigation report.

3.4.3 The employee’s companion should be allowed to address the hearing
to put and sum up the employee’s case, and confer with the employee
during the hearing. The companion does not, however, have the right
to answer questions on the worker’s behalf.

3.5 CONDUCTING A DISCIPLINARY MEETING

3.5.1 Normally the disciplinary interview will be conducted by the
employee’s Group Director, advised by the HR Manager, with the
allegations against the employee being presented by the relevant
manager.

3.5.2 The Director will introduce those present and explain the reason for
their attendance, the purpose of the disciplinary hearing, the nature of
the allegations and the format of the interview.

3.5.3 The case against the employee will be outlined by the relevant
supervisor or manager, by way of presentation of evidence and/or the
calling of witnesses. A colleague may assist the supervisor or manager
in this task.

3.5.4 The employee will be allowed to present his or her case and respond
to the allegations, calling their witnesses as required.

3.5.5 Both sides may question each other and any witness called. The
Director and the HR Manager may also question both parties and
their witnesses.

3.5.6 If at any time, evidence arises which needs further investigation then
the interview will be adjourned and reconvened later.

3.5.7 Both sides will then be asked to summarise their cases and then leave
the hearing.

3.5.8 The Director, advised by the HR Manager will consider the case. The
Director will decide if the allegations are well-founded, on the balance
of probability and, if so, what level of disciplinary action, if any, should
be taken.

3.5.9 The Director will reconvene the interview and inform the employee
of his or her decision.

3.5.10 The factors to be taken into consideration by the Director hearing
the disciplinary when making such a decision are:

a) The gravity of the case - is disciplinary action warranted - if so, at
what level – initial of final written warning?

b) Any guidance offered by the Disciplinary Procedure;

c) Any precedents;

d) The employee/worker's disciplinary and service record;

e) Any mitigating circumstances.

3.6 OUTCOME OF DISCIPLINARY MEETING

3.6.1 Where a disciplinary warning is given, the employee will be informed
as soon as possible after the hearing of the outcome of the hearing.
This should include details of the required improvement(s), the time
span and consequence of failure to improve and the right to appeal
against the decision.

3.6.2 Where a disciplinary warning has been given, the employee will be
formally notified in writing within five working days of the disciplinary
interview.

3.6.3 The letter will be delivered to the employee either by hand, in the
presence of a witness, or by recorded post to his or her home
address. A certificate of recorded delivery shall be deemed to
constitute evidence of receipt.

3.6.4 A record of the disciplinary interview and any disciplinary action taken
will be held by the HR Manager.
The following warnings can be issued:-

3.6.5 WRITTEN WARNING

A Written Warning will give details of the misconduct, the
improvement required and the timescale within which improvement
should be achieved. It will warn that further disciplinary action will be
considered if there is no satisfactory improvement. It will also advise
of the right of appeal. A record of the warning should be kept, but it
should be disregarded for disciplinary purposes after 6 months.

3.6.6 FINAL WRITTEN WARNING
If the employee has a current warning about conduct and there is still
a failure to improve and conduct or performance remain
unsatisfactory, or if the misconduct is sufficiently serious to warrant
only one written warning but not to justify dismissal, a Final Written
Warning notice will normally be issued.

A Final Written Warning will give details of the misconduct and will
warn that dismissal is likely to result if there is insufficient
improvement and will advise of the right to appeal. Such a warning
should normally remain current for 12 months.

3.6.3 DISMISSAL & ACTION SHORT OF DISMISSAL
If conduct or performance is still unsatisfactory and the employee
continues to fail to reach the standards required following a Final
Written Warning, dismissal may result or some other penalty such as
demotion or transfer to another location.
Prior to reaching the decision to dismiss, action short of dismissal
should be considered. Dismissal should only occur if it is judged to
reasonable in all the circumstances of the case.
Except in cases of gross misconduct, dismissal will be with notice or
with pay in lieu of notice. The member of staff will be provided with
written reasons for dismissal, the date on which employment will
terminate and details of the right of appeal.

3.7 GROSS MISCONDUCT

3.7.1 If, on completion of an investigation and at a disciplinary meeting the
manager is satisfied that gross misconduct has occurred and the
recommendation is that the individual should be dismissed this may be
done, (a) with notice, (b) with a payment in lieu of notice, or (c)
summarily, without notice or payment in lieu of notice. In such cases,
the employee will be provided with written reasons for dismissal,
confirmation of the date on which employment terminated and details
of the right of appeal.

3.7.2 If, on the other hand, it is decided that the circumstances do not
warrant dismissal, some lesser penalty may be imposed, including the
employee being given a written warning. The employee shall be
informed immediately of the decision taken. In this case also, a
certificate of recorded delivery shall be deemed to constitute
evidence of receipt
Examples of offences which are normally regarded as gross
misconduct are given in Appendix 1.

4.0 APPEALS

4.1 APPEALS AGAINST DISCIPLINARY ACTION

4.1.1 The employee against whom formal disciplinary action has been taken
may appeal in writing within five working days of receiving notification
of the decision. An appeal shall be heard as soon as practicable,
normally within ten working days of receipt of notice of appeal

4.1.2 Written grounds explaining the reason for appeal must be submitted
to the HR Manager.

4.1.3 An appeal meeting is not a re-run of the disciplinary meeting. The
purpose of the appeal is to establish whether the finding of the
disciplinary interview was appropriate and procedurally correct

4.1.4 The HR Manager will write to the parties and members notifying them
of the time and date of the hearing. This notification will include a
reminder to the parties of their rights and responsibilities for
documents and witnesses.

4.1.5 At least three days prior to the hearing, the parties will send to the
HR Manager the names of any witnesses and the written submissions
(i.e. the grounds for appeal and any new evidence) they wish to have
considered, together with a copy of any documentary evidence they
intend to rely on at the hearing.

4.1.6 The HR Manager will send the names of witnesses and copies of any
written submissions and documentary evidence to all parties prior to
the hearing date.

4.1.7 Appeal Against Written Warnings
An appeal against a Written Warning will be considered by a
committee of 3 members who have not previously been involved in
the case. The committee will be made up of a Director, a Board
member and the CEO.

4.1.8 Appeal Against Dismissal (including Summary Dismissal)
An appeal against dismissal will be considered by the CEO and 2
Board members and the decision will normally be issued in writing
within five working days of receiving the appeal and the decision will
be final.

4.1.9 Where the dismissing manager was the CEO, the appeal will be heard
by a nominee of the Chair of the Staffing and Recruitment
Committee.

4.2 CONDUCTING AN APPEAL

4.2.1 At the Appeal hearing the appellant shall have the right to be
accompanied by a single companion, who will be another employee or
a trade union representative. The companion may assist in the
preparation and presentation of his/her case, but may not answer for
the appellant.

4.2.2 The appellant will be invited to present his/her case to the Appeals
Committee, either personally or in writing, and will have the
opportunity to call witnesses and submit additional documents

4.2.3 Members of the Committee may put questions to the appellant and
they, and the appellant and/or his/her companion, may put questions
to any witness.

4.2.4 Members of the Appeal Committee have the right to call other
witnesses. Normally these arrangements are made before the meeting
of the Appeal Committee to hear evidence. However, a member of
the Committee may wish to seek further evidence during the meeting,
in the event of which all members of the Committee must agree
before further evidence is called.

4.2.5 If a witness is called by one of the parties, he/she will be invited by the
Appeal Committee to join the hearing at an appropriate time. After
the witness has made a statement and/or answered any questions,
he/she will be asked to leave the hearing.

4.2.6 The appellant, or his/her companion, will make a final submission to
the Committee.

4.2.7 The Committee will consider its decision after all the other parties
have withdrawn.

4.2.8 The Chair of the Committee will inform the appellant of the decision
of the Appeal Committee as soon as possible. The HR Manager will
then confirm the decision to the appellant in writing. The letter will
be delivered to the employee either by hand and the employee will be
required to sign a form to acknowledge receipt, or by recorded post
to his/her home address. A certificate of recorded delivery shall be
deemed to constitute evidence of receipt.

4.2.9 Where an appeal against disciplinary action is upheld, and the Appeal
Committee finds there should be no disciplinary penalty imposed, all
reference to the disciplinary action concerned shall be removed from
the employee's file and the employee shall be notified accordingly in
writing.

Appendix 1

EXAMPLES OF GROSS MISCONDUCT

1. This list provides examples of offences which are normally regarded as gross
misconduct and likely to result in consideration of dismissal with immediate effect
(Summary Dismissal) include:

a. theft, misappropriation or unauthorised possession of the assets, funds,
equipment and/or property of the National Park Authority, its employees and
visitors,

b. fraud, including any deliberate attempt to defraud the National Park Authority,
staff, visitors or other persons or organisations in the course of duties and
responsibilities,

c. corruption, including the acceptance of money, goods, favours or excessive
hospitality from outside parties in respect of acts or service(s) rendered which
are contrary to the interests of the National Park Authority,

d. deliberate falsification or misrepresentation of records or claims made,

e. serious harassment or bullying of another employee or visitor to the CNPA,

f. physical violence towards fellow members of staff or visitors,

g. deliberate damage to property belonging to the National Park Authority, staff or
visitors

h. serious negligence or breach of safety rules potentially causing unacceptable loss,
damage or injury,

i. disregard of National Park Authority policies, procedures, regulations or rules in
force from time to time.

j. serious incapability at work or on duty through alcohol, the use of illegal drugs
or other substances,

k. serious acts of insubordination or refusal to carry out a legitimate instruction,
the consequences of such a refusal being that there is a clear breach of contract
between the staff member and the CNPA

l. serious misuse of the National Park Authority property, facilities or name,

m. Acts or omissions which might damage the National Park Authority operations
and/or which bring the National Park Authority into serious disrepute,

n. A serious breach of confidence.

2. This list is neither exclusive nor exhaustive. Dismissal on the grounds of gross
misconduct could, therefore, occur for offences not mentioned above which are of
similar gravity, or where the contractual relationship between the CNPA and the
employee has broken down. In cases of alleged gross misconduct, the employee may
be suspended without prejudice to his/her pay, pending a full investigation.

June 2010