Mod 2 0063to0192

Revised July 2000
MOD Personnel Manual

This publication forms part of the MOD Personnel Manual .
The manual is published in a series of volumes, each covering a personnel topic. They cover
terms and conditions and working practices for both industrial and non-industrial staff,
specialists and administrators.
The terms and conditions of employment which are set out in this manual and which govern
your service in the Ministry of Defence are subject to amendment following consultation
and/or negotiation, as appropriate, with the relevant Trades Unions . In accordance with the
Department's Consultation Agreement with the Trades Unions, the Unions will be consulted
on all management proposals likely to affect civilian staff.
Notification of changes to terms and conditions of service are made to staff through the
mechanism of Personnel Instructions or Defence Council Instructions, and/or by amendment
to the appropriate manual .
The titles in the series are as follows :
Volume Title Reference
1 Series Guide PM1
2 Recruitment PM2a an6PM2b'
3 Postings PM3
4 Promotion and Advancement PM4
5 Discipline PM5
6 Restoring Efficiency PM6
7 Conduct PM7
8 Attendance PM8
9 Lea\ring PM9
10 Training and Development PM10
11 Performance Appraisal PMII
12 Industrial Relations PM12
13 Equal Opportunities PM13
14 Welfare PM14
15 Apprentices PM15"
16 Miscellaneous PM16
17 Senior Civil Service in MOD PM17"'
PM2b is supplied to Recruitment Authorities only.

PM15 is supplied to Apprentice and Youth Training Establishment only.
PM17 is only supplied to members of the Senior Civil Service .
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Contents
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Contents
Foreword (viii)
Glossary (x)
Chapter 1 : Introduction
1 What this volume is about 1
2 Who is it for? 1
3 Overriding principles 1
4 Fair treatment 2
5 Codes of practice 2
6 Legal framework 2
7 Budgetary issues 2
Chapter 2: Disciplinary Rules and Procedures
Section 1 : General
1 ScoDe 3
1 .2 Access to rules and instructions 3
1 .3 Trades Union representation 3
1 .4 Timing 3
1 .5 Resignation 4
1 .6 Publicity 4
Section 2: Delegated powers

2.1 Delegation by PUS 5
2.2 Levels for awarding disciplinary penalties 5
Section 3: Minor offences

3.1 Examples 7
3.2 How to deal with minor offences 7
3.3 Minor breaches of security 7
Section 4: Major offences

4.1 Definition 9
4.2 Investigation 9
4.3 Police cautions 9
4.4 Criminal offences 9
4.5 Serious fraud 10
4.6 Gross misconduct 10
4.7 Trades Union representatives 11
Section 5: Suspension from duty as a precaution

5.1 When to suspend 13
5.2 Action to be taken on suspension 13
5 3 Restoration of pay withheld during suspension 14
5.4 Pay during legal detention 14
Section 6: The charge letter

6.1 Action following investigation 15
6.2 The charge letter 15
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Annex F-5 Letter - dismissal for repudiatory conduct

Annex G Police cautions
Annex G-1 Letter-following police caution
Annex H Decisions and penalties
Annex H-1 Letter- penalties less than dismissal
Annex H-2 Letter-dismissal
Annex H-3 Notification of Interview with Deciding Officer
Annex H-4 Interview by the Deciding Officer-guidance notes
Annex H-5 Disciplinary procedures key steps and target times
Annex[ Appeals
Annex I-1 Appeals stages and target time for completion
Annex I-2 Appeals to Civil Service Appeal Board
Annex J Apprentices
Annex K Welfare Services
Annex L Security offences
Annex M Report to CP ER Conduct Unit
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Volume 5 Discipline
Foreword
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Foreword
1 This volume is written in a 3 chapter layout:
Chapter 1 has an introduction which sets out key points and covers the
departmental framework for discipline .
Chapter 2 contains all the important rules and principles which must be
followed .
Chapter 3 contains detailed guidance on how to apply the rules and

procedures.
2 You will find references in the margin of the main text. For example :
LEAVING This points you to another volume of the MOD Personnel Manual or to other
THE MOD MOD publications .
Chapter i This is a reference to another part of this volume .

paragraph 8
3 An index to the entire Manual is in volume 1, the series guide .
4 Regulations previously in MOD Manual 11, Chapter 15, MOD Manual 9,

paragraphs 0551 to 0595 and the Guide to Handling Disciplinary Cases for
Industrial and Non-Industrial Staff are superseded by this volume (with effect
from 1 February 1997).
5 Those using this handbook will see that different terms are used with
descriptions of rules and standards . Terms tike 'it is obligatory', 'it is a
departmental requirement', 'managers must' are used to denote mandatory
rules. These are mainly (but not exclusively) to be found in Chapters 1
, and 2. Elsewhere, managers are advised that they 'should' adopt a certain
practice : generally the term 'should' should be taken as meaning 'strongly
advised'. In cases of doubt, users should consult their TLB personnel
manager.
6 The Headquarters division with responsibdrty for this volume is:
DCP ER Conduct Unit

Room 458
St Giles Court
1-13 St Giles High Street
London
WC2H 8LD Tel : 020 721 86215
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Glossary
ACAS Advisory, Conciliation and Arbitration Service
AWOL Absent without leave
CP ER CU Civilian Personnel-Employee Relations Conduct Unit
CPM2 IVT Personnel Division responsible for Apprentice and Youth Training
CPS Crown Prosecution Service
CSAB Civil Service Appeal Board
D Def Sy Directorate of Defence Security
DINFOD Defence Information Division
MDP Ministry of Defence Police
PCSPS Principal Civil Service Pension Scheme
PPA Pay & Personnel Agency
TLB Top level budget
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Introduction
Introduction
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Chapter 1 Introduction
1 What this volume is about
This volume sets out the rules and the procedures to be followed by line
managers when they have reason to believe that a civilian member of their
staff:
CONDUCT " has breached the Department's standards of conduct; e
" has been negligent in his or her duties, failed to obey a reasonable
instruction or has carried out other forms of misconduct;
" by his or her behaviour, action or inaction, has significantly disrupted or

damaged the performance or reputation of his or her organisation or unit.
2 Who is it for?
The volume is aimed at civilian and Service line managers who are
responsible for initiating action and taking decisions in disciplinary cases
involving civilian staff. It is also for personnel staff who are responsible for
advising line managers on the procedures to be followed and penalties
awarded . It must be made available to all civilian staff.
The rules apply to all industrial and non-Industrial grades, including casual
staff and fixed term appointees .
3 Overriding principles
" The purpose of the disciplinary procedures is to encourage good

behaviour and to correct offenders .
" The advice of the appropriate personnel officer must be sought before
taking disciplinary action and at each stage of the discipline and appeal
processes .
" Action should not be delayed without good reason.
" Warnings must, H unheeded, be followed by disciplinary action.
" Circumstances must be fully investigated and the line manager must give
the accused a fair chance to state his or her case .
" The accused must be allowed the assistance of a Trades Union

representative or colleague .
" The charge must be made in writing and the accused must be made fully
aware of the nature of the offence and of the evidence supporting the
charge.
" All warnings, actions, and notes of conversations must be recorded on

file.
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A breach of discipline, particularly where there has been a criminal

conviction, may cast a doubt on a person's suitability for access to
classified material. The appropriate security directorate must be advised
at the earliest opportunity in all cases in which formal disciplinary action
has been initiated .
" The reasons for the award of a penalty must be explained .
" Offenders must be allowed the right of appeal . Decisions on appeals

must be explained. >
" The advice of CP ER Conduct Unit may be sought orally or in writing on
any points of difficulty.
" The personnel officer must place all disciplinary papers on the offender's
discipline file.
4 Fair treatment
Managers must follow the procedures laid down and must treat staff equally
and fairly. Failure to do so may invalidate the proceedings .
Any discrimination on the grounds of sex, marital status, race, disability or, m
Northern Ireland, political opinion or religious belief, is unlawful and could
result in the Department being challenged in Court, at an Employment
Tribunal or, in Northern Ireland, a Fair Employment Tribunal. Any complaints
of direct or indirect sexual or racial discrimination from staff which arise from
the application of these rules should be considered carefully and, where
necessary, referred to Civilian Equality and Diversity Unit.
5 Codes of practice
The rules and procedures are derived from the Civil Service Management
Code and the ACAS Code of Practioe, Disciplinary Practice and Procedures
in Employment .
6 Legal framework
Relevant Acts:
" The Employment Rights Act 1996
" The Employment Rights (NI) Order 1996
" The Sex Discrimination Act 1975
" Race Relations Act 1976
. Disability Discrimination Act 1995.
7 - Budgetary issues
TLBs are responsible for the costs of defending appeals at the Civil Service
Appeal Board and at Employment Tribunals and for the payment of any
compensation awarded to the appellant .
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Disciplinary Rules and

Procedures
Chapter 2 Disciplinary Rules and
Procedures
Section 1 General
1 .1 Scope
This chapter sets out the rules and procedures to be followed when a line
manager has reason to believe that it may be necessary to take disciplinary
action against a member of his or her staff. The chapter covers:
" delegated powers (section 2) ;
" minor offences (section 3);
" major offences (section 4);
" suspension from duty as a precaution (section 5);
" the charge letter (section 6);
" the disciplinary hearing (section 7),
" decision on the disciplinary charge (section e);
" rights of appeal (section 9) ;
" cases where two or more people are involved (section 10) ;
" criminal convictions (section 11) ;
" monitoring (section 12) .
1 .2 Access to rules and instructions

It is important that all civilian employees have ready access to the rules
governing the conduct expected of them. It is the manager's responsibility to
CONDUCT ensure that volume 7 of the MOD Personnel Manual and this volume, are
available to staff and their representatives . Managers must also draw
attention to local standing orders, and instructions on conduct which are
issued from time to time.
Staff must make themselves fully aware of the regulations and of their rights
under them, since failure to observe these rules, or regulations in other
publications, may lead to disciplinary action being taken against them.
1 .3 Trades Union representation

Individuals must be granted the right throughout disciplinary proceedings to
the assistance of a Trades Union representative or colleague.
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1.4 Timing
It is important to deal with disciplinary cases promptly. As a guide, the period
between the issue of the charge letter and the award of a disciplinary penalty
should not normally exceed 2 months.
1 .5 Resignation
If an employee who is to appear on a charge in a criminal court, or is subject
to disciplinary action, voluntarily tenders his or her resignation, it should be
accepted. On no account should any attempt be made to persuade an
employee to resign.
1 .6 Publicity
The Defence Information Division (DINFOD) should be informed immediately
of any case likely to attract media attention.
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Section2
Delegated powers
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Section 2 Delegated powers
2.1 Delegation by PUS

The ultimate responsibility for the disciplinary control of civilian employees in
MOD rests with the Permanent Head of the Department. PUS has delegated
to TLB holders, and through them to line management, the power to award
disciplinary penalties and to decide appeals. ft is a condition of delegation
that personnel staff must be involved at each stage of the disciplinary and
appeal processes. If the offender is a member of the Seniqr Civil Service or
a grade or group managed centrally, the TLB personnel adviser must consult
the individual's grade manager at every stage, before offering advice .
2.2 Levels for awarding disciplinary penalties

Under the powers delegated by PUS :
" no penalty may be awarded by a line manager who is lower than pay
band B2, Captain (junior) RN, Colonel or Group Captain . The deciding
officer must take advice from a personnel officer at the minimum of pay
band C or equivalent level before reaching a decision (Chapter 2, Sec 8
and Chapter 3, Annex H);
the penalties of dismissal and downgrading may be awarded only by a

line manager who is a member of the Senior Civil Service or a Service
officer at one star level or above . The deciding officer must take advice
from a personnel officer at the minimum of pay band C or equivalent level
before reaching a decision ;
the deciding officer must be at least 2 pay bands/grades/ranks above that

of the offender. For the penalty of dismissal only, the deciding officer
must not be the immediate line manager ;
" CPM IVT must be consulted at an early stage on all apprentice cases
which could result in dismissal and must be consulted before any
decision to dismiss is taken (Chapter 3, Annex J);
cases which do not fall within the delegated powers of Chief Executives
of Agencies must be decided at the appropriate level in TLBs;
cases which do not fall within the delegated powers of TLB holders must
be referred to PUS for decision through the Director Civilian Personnel -
Employee Relations ;
decisions concerning the Chief Executives of Agencies must be taken by

PUS . Cases must be submitted to PUS through the Director Civilian
Personnel - Employee Relations ;
" decisions concerning Permanent Secretaries, including second

Permanent Secretaries and their equivalents, must be taken by the Head
of the Home Civil Service after consultation with the Secretary of State
and, as appropriate, the Prime Minister.
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Section 7 The eWipiinary hearing

7.1 Purpoaeaeicomposition of the disciplinary hearing
The puPwae(the disciplinary hearing Is to resolve any doubts about the
facts ardfuensure that a clear picture is presented of the employee's on
defencaVispersonnel officer will be responsible for appointing members of
the discililliisy hearing who must:
be inftendent of line management ;
havempersonal interest in the case or any involvement in the events in

ques*es
be Wllgtahearing officer of at least pay band D or equivalent level, who sss

is at tart 2 pay bands/grades/ranks above that of the offender, and igh
he
" includeacivilian personnel representative whose function is primarilyto
adviseon procedures.
A third offiter may also be present to assist with the note taking for the record
of the heaeiig.
7.2 The fiearirtg

The hearingmust be conducted in accordance with the guidance set out in
Chapter s Chapter3. Facilities must be made available for the accused and his or her
Annex E representa6ne to be able to confer in private either before or during the
hearing .
7 .3 Record of the disciplinary heating

After the disciplinary hearing, the hearing officer must:
+ pass the record of the hearing to the employee and to his or her Trades
Union representative or colleague, asking that it be signed as a fair and
accurate record of the proceedings ;
request that the signed record be returned within 10 working days;
. incorporate, if possible, any amendments suggested into the record of

the hearing .
.
The hearing officer must then prepare a report which must contain the record ng
of the hearing (either as agreed by the employee and his or her
representative or with their comments or alternative version attached) . The
report should include the hearing officer's and the personnel officer's joint r-
conGusions and recommendations . xa
The report must be passed to the line manager who issued the charge letter
within 10 working days of receiving the employee's comments.
Neither the record of the hearing, the recommendations or the subsequent

deliberations of the deciding officer should make any reference to any '-r,
unsubstantiated allegations, or suspicions of other offences .
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he purpose of the interview will be to provide the employee with the

,pportunity, in the knowledge that dismissal is a possible outcome, to make
tny representations direct to the Deciding Officer before the final decision is
aken . The interview shall be conducted in accordance with the guidance at
I
,hapter 3, Annex H-4.
Should the employee decline the opportunity of the interview this must be
recorded and a decision made on the basis of the Hearing Officer's
recommendations and the comments made by the Manager where
appropriate .
Awarding the penalty

If you are the line manager empowered to take the disciplinary decision (ie
the deciding officer), you must notify the employee of the finding and the
penalty awarded '(Chapter 3 Annex H). You must convey the decision orally
in the first instance or it may be done by the immediate line manager on your
behalf. (Note i). But you must:
" ,~prnfirm your decision in writing;
" ~wam the employee that any further offence may lead to more serious
consequences ;
" wam the employee if the penalty for the next offence is likely to be
dismissal ;
"` inform the employee of his or her right of appeal (Chapter 2, Section 9);
" inform, in confidence . the complainant in a harassment case of the

outcome of the disciplinary action and any penalty awarded.
You should avoid sending notification of your findings and the penalty to an
offending employee on sick leave without first seeking welfare or medical
- advice .
i Effective date of penalty

If the employee does not appeal against a penalty less than dismissal within
5 working days of the date of the penalty letter, the penalty must be made
active . In the case of gross misconduct, dismissal is effective on the day
e penalty is issued, d done in person, or 3 days from the date of the penalty
, letter which must be sent by recorded delivery . If dismissal is the result of an
escalation of penalties appropriate notice must be given (Note 2).
1. Draft letter to be used in the case of penatbes less than dumissal and in the case of d4siWssal
are atChapter 3, Annexes H7 endChapter3, Annex H2 respectively,
1 2. The nolioe to be glven in these cases rs:
Continuous service
for weekfypaidstaff monititypaid staff
up to 4 weeks up to 2 weeks)
4 weeks to 2 years
2 weeks) 5 weeks
2 to 3 year ; 3 weeks)
3 to 4 years 4 weeks)
over 4 years 1 weak plus 1 week for every year of continuous
. Max 13 weeks
service
a
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Section 3 Minor offences

3.1 Examples
Minor offences are offences which do not, in themselves, amount to serious
breaches of discipline but which, if permitted to go unchecked, could lead to
more serious consequences. Typical examples of minor offences include : t
" isolated infringements of regulations without serious consequences ;
" lateness ; ,
" discourtesy ;
EQUAL
opPOR7ueanES . minor forms of either harassment or bullying .
In some instances the line manager may consider it appropriate to speak in

private to the individual to remind them of the standards of conduct or
behaviour that are expected. No formal disciplinary warning would be
involved .
3.2 How to deal with minor offences

Where a more formal approach is warranted, minor offences must be dealt
with orally and promptly by the !me manager . The 4ine manager must:
Investigate
" establish the facts before interviewing the employee ;
Interview and warning action
" give prior notice of, and explain the purpose of the interview, inform the
individual that they may be accompanied by a Trades Union
representative or colleague at the interview;
" the employee must be given the opportunity to explain his or her actions
or omissions : guilt must not be assumed ;
" contact the Welfare Officer;
" if justified, leave the offender in no doubt that the Department does not
condone the offence ;
" inform the offender that what has been said is to be taken as a
disciplinary warning in accordance with this section of MOD Personnel
Manual;
inform the offender that any repetition of the offence within 6 months will
lead to more serious disciplinary action in accordance with the
procedures described in section 4 - Major Offences;
" make a record of the interview which must state that the offender has
been told that a disciplinary warning has been issued in accordance with
this section of MOD Personnel Manual ;
" pass copies of the record of the interview to the offender and to the
personneJ manager for retention on the offender's personal file;
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" in cases of harassment, inform the complainant of the outcome of the

complaint;
If the same offence is repeated more than once, but after the expiry of the
6 months warning period, an extended or indefinite warning may then be
given.
3.3 Minor breaches of security

Owrer3 Minor breaches of security must be handled in accordance with the
annex c procedures described in Chapter 3.
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Sectio*4 Major offences

41 Definition
These are offences for which an employee may be charged and may receive
cnapter3 a disciplinary penalty . They range from offences about which he or she has
AnnexA been previously warned to cases where the employee is suspected of, or
andAruma-r charged with, a criminal offence against the Department or its employees .
42 investigation and charge

When a line manager has reason to suspect that a disciplinary offence has
been committed he or she must:
Investigate
" carry out preliminary enquiries to establish the facts ;
Annex K . obtain medical and welfare reports if appropriate;
chapters " arrange to interview the person under investigation ;

Annex B
. give prior notice of the interview, explain the purpose of the interview and
inform the person under investigation of the right to .be accompanied at
the interview by a Trades Union representative or colleague ;
sc~tion s , after the interview, if satisfied that there is a case to answer, issue a
charge letter;
Chapter 3 . encourage the individual, in appropriate circumstances, to contact the

Annex K Welfare Officer;
" line managers are not to communicate their personal views of a case to
the accused or to any other person .
4.3 Harassment
EQUAL ~ Where an investigation is required into an alleged act of harassment, line
oPPORTUnprrEs managers should follow the procedures contained in Volume 13, Annex G. If
the harassment investigations find that there is a disciplinary case to answer,
the individual under investigation must be interviewed as part of the
disciplinary process before any decision is taken on whether or not to bring a
charge.
4 .4 Police cautions
cnapter3 When a police caution has been issued, the normal disciplinary procedures
Annex G should be followed. Chapter 3 provides more detail .
4.5 Criminal offences

If you have reason to believe that a criminal offence has been committed you
must decide whether to:
Chapter 3 " conduct an investigation in order to determine whether any internal

Annex B disciplinary charges should be raised ; or
place the matter in the hands of the MOD Police .
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It would be appropriate for you to conduct investigations in less serious cases

involving, for instance, the completion of personal claims, records and
certfficates, low value theft and minor cases of assault
You must call in the MOD Police and the Defence Fraud Analysis Unit in
cases of serious fraud or theft, or where there appears to be a real potential
for criminal charges. You may refer lass serious cases to the MOD Police R
you feel unable to conduct a comprehensive investigation or the initial
enquiries suggest that the case may be less straightforward than had at first
appeared. -
Once a matter has been referred to the MOD Police, you must take no
disciplinary action in relation to the offence without first obtaining the
agreement of the MDP. Normally, disciplinary action will not be possible until
criminal investigations are complete and any consequent court action is
concluded or the MDP have confirmed that there is no objection .
Alternatively, the case may be handed back to line management to be
handled under internal disciplinary procedures.
Criminal cases involving offences against the Department which result in

acquittal by a court may still warrant internal disciplinary action .
4.6 Serious fraud

Where there is prima facie evidence of serious fraud the senior line manager
must call in the MOD Police and DFAU. Decisions not to proceed with
disciplinary action in cases of serious fraud, other than where the individual is
being prosecuted, must be taken by the Head of Department after
consultation with the appropriate Minister .
4.7 Gross misconduct

An employee who:
. is convicted of a criminal offence against the Department ; or
. is found guilty of an offence as a result of internal disciplinary

proceedings will normally be dismissed, even for a first offence and
without prior warning, if the offence falls into the category of gross
misconduct. This is because such conduct destroys the essential trust
between employer and employee. Examples of the most common
disciplinary and criminal offences falling within this category, but which
should not be regarded as exhaustive, are covered in more detail at
Annex A-2 .
Further advice on how to proceed in Flexible Working Hours cases is

contained in Annex A-1 .
4.8 Trades Union representatives

Although normal disciplinary standards apply to members of staff who are
Trades Union representatives, disciplinary charges must not be brought
against a Trades Union representative until the senior line manager or
personnel officer has discussed the circumstances with a senior Trades
Union representative or full-time official .
Such early consultation may cause management to reconsider the need for
disciplinary action if there are special factors arising from the officer's Trades
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Union work. Managers must take care to ensure that disciplinary action is
not seen as an attack on the union's function.
Trades Union officials must be contacted again after the disciplinary hearing
to let them know what penalty the deciding officer is minded to award.
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Section 5 Suspension from duty as a precaution
5.1 When to suspend

Line managers may, after consulting personnel management, suspend an
Chapters employee from duty when they consider such a course would be in the
Annex C Department's interest. The circumstances in which this power may be
exercised are :
" when the MOD Police advise that suspension is necessary for the
conduct of their investigation ;
Note' " when criminal or departmental charges are pending which (if proven)
might lead to dismissal and where there is strong evidence against the
individual;
Note 2 " to allow a cooling-off period; for example after an act of serious
insubordination;
Note' " to remove an alleged harasser from the work environment of a

complainant until it is possible to identify a suitable alternative post.
An employee suspended from duty may seek alterrtatlve employment during

the period of suspension but must inform the line manager when taking up
paid employment.
5.2 Action to be taken on suspension

On suspending a member of staff, the line manager, after consulting the
personnel officer, must:
Chapter 3 " send a letter on the lines of Annex C-2 ;

Annex C-2
" allow the individual to have reasonable access to the place of work,
under suitable supervision, if they need to do so in order to prepare their
defence in any forthcoming disciplinary hearing ;
" inform the officer with power to dismiss if the suspension is to continue
for more than a day or two;
Chapter3 " ask the individual to complete a statement of income and expenditure
Annex C-3 and remind him or her that the services of the Welfare Officer are
sAnnex x available if required ;
. forward the statement of income and expenditure to the officer with

power to dismiss for a decision on any reduction to be made in the
individual's pay;
!n these circumstances it might sometimes be more appropnate to transfer the person to other
duties until the case is concluded, provided there would be no opportunity to commit further
offences In this case Annex C-i can be used.
2
In this case suspension should nomiaily be for no more than one day.
3
In these cases suspension will be on full pay.
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Section 5
Suspension
onapters . inform the individual and the paying authority of any reduction to be
Annex o-4 made. The individual must be given 2 months notice of the reduction ;
. forward any appeals against the decision to suspend or the reduction in

pay to the officer with the power to dismiss ;
. initiate a review of the decision to suspend and of the level of pay at

2 monthly intervals and make any recommendation for change to the
officer with the power to dismiss . Any change of financial circumstances,
welfare reports and appeals by the individual should be considered .
The officer with the power to dismiss must consider each case for withholding
pay on suspension on its merits, and any subsequent appeals against
suspension and reduction in pay. The factors to be taken into account in
determining whether, and if so how much, pay should be withheld are the
employee's financial commitments, whether the offence involved the loss of
public funds, and the hardship that might be caused to the employee or his or
her dependants . Where there exists good reason to withhold pay:
the part withheld should not normally exceed half pay;
it may be withheld in full where there are reasonable grounds to suppose

that the individual has contributed to an irrecoverable loss of public funds
amounting to £10,000 or more. The reduction should be made with
immediate effect in these circumstances and should not await the expiry
of 2 months .
Periods of suspension from duty as a precaution without pay will not reckon
for pension purposes and will result in a reduction of the employee's
superannuation benefits .
5.3 Restoring of pay withheld during suspension

If an employee who has had pay withheld in whole or in part during
suspension is cleared of all offences, pay must be restored in full.
if the ertmpk>yee is found guilty of any of the offences with which he or she has
Note ` been charged and he or she is not dismissed, the deciding officer must
decide whether pay should be restored in full or in part.
5.4 Pay during legal detention

When an employee is sentenced to a term of imprisonment, detained in legal
custody, or prevented from attending work by other legal restrictions, the line
manager and personnel officer must ensure that pay is entirely withdrawn. In
these circumstances, pay for the period of unavailability for work must not be
restored, whatever the outcome of the case.
See Annex C, para 11 .
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Section 6
The charge letter
Section 6 The charge letter

6.1 Action following investigation
Section a When the investigation has been completed, or the MOD Police hand a case
back to the Department and any further investigation that may be necessary
has been completed, and it has been decided that there is a case to answer,
the line manager must:
consult the personnel officer;
Chapter 3 " sign the charge letter, hand it to the individual and explain the
annex o implications and possible consequences .
6.2 The charge letter

Chapter 3 The charge letter must:
Annex o-t
" define the charge, set out the facts to support it and provide, and list, any
documentary evidence;
" inform the individual that a disciplinary hearing will be held and that the
details of the date, time and place, and of the hearing officers, wilt be
notified;
" inform the individual that he or she may accept the charge and request
that the matter is disposed of without a hearing ;
" inform the individual that he or she may be accompanied at the hearing
by a Trades Union representative or colleague ;
Chapter 3 " inform the individual that he or she may seek the assistance of the
Annex K welfare organisation .
If the case is one which could result in dismissal, the option to dispose of the
matter without a disciplinary hearing must not be offered .
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Section 7 The disciplinary hearing
7.1 Purpose and composition of the disciplinary hearing

The purpose of the disciplinary hearing is to resolve any doubts about the
facts and to ensure that a clear picture is presented of the employee's
defence. The personnel officer will be responsible for appointing members of
the disciplinary hearing who must:
" be independent of line management ;
" have no personal interest in the case or any involvement in the events in
question;
" be led by a hearing officer of at least pay band D or equivalent level, who
is at least 2 pay bands/grades/ranks above that of the offender; and
" include a civilian personnel representative whose function is primarily to

advise on procedures.
A third officer may also be present to assist with the note taking for the record
of the hearing.
7.2 The hearing

The hearing must be conducted in accordance with the guidance set out in
Chapter s Chapter 3. Facilities must be made available for the accused and his or her
annex e representative to be able to confer in private either before or during the
hearing .
7.3 Record of the disciplinary hearing

After the disciplinary hearing, the hearing officer must:
" pass the record of the hearing to the employee and to his or her Trades
Union representative or colleague, asking that it be signed as a fair and
, accurate record of the proceedings ;
" request that the signed record be returned within 10 working days;
" incorporate, if possible, any amendments suggested into the record of

the hearing.
The hearing officer must then prepare a report which must contain the record
of the hearing (either as agreed by the employee and his or her
representative or with their comments or alternative version attached) . The
report should include the hearing officers and the personnel off icei's joint
conclusions and recommendations .
The report must be passed to the line manager who issued the charge letter
within 10 working days of receiving the employee's comments .
Neither the record of the hearing, the recommendations or the subsequent

deliberations of the deciding officer should make any reference to any
unsubstantiated allegations, or suspicions of other offences.
volume 5 Discipline
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Section 8 Decision on the disciplinary charge
8.1 The line manager's decision

When you, as the line manager, receive the hearing officer's report and
recommendation, you must decide whether the charge has been proved on
the balance of probabilities.
If the appropriate penalty lies within your delegated powers, you must:
" dismiss the charge; or
" award the penalty in consultation with the personnel officer.
If the appropriate penalty lies outside your delegated powers, you must pass
all the papers with your recommendation on the two points above, through
the personnel officer to the senior line manager with the power to award the
penalty.
8.2 Personnel managed centrally

If the employee is in a grade which is managed centrally, the personnel
officer must consult with the grade manager before giving advice to the
deciding officer. ,
8.3 Disciplinary penalties

The penalties which may be imposed for disciplinary offences are as follows: '-
" dismissal ;
" downgrading, with a ban on promotion for (up to 3) years;
" loss of pay for one, five or ten days,
" restitution (a monetary payment recoverable by deduction from pay or

otherwise);
The penalty of restitution may be awarded in addition to another penalty.
" reprimand .
8.4 Interview by the Deciding Officer

The Deciding Officer must offer an interview to the employee in the following
circumstances :
s Cases where dismissal has been recommended by the Hearing Officer -

eg Gross Misconduct offences, where escalation of penalty imposed for a
previous offence or offences applies .
" Where the Deciding Officer is minded to dismiss despite a

recommendation of a lesser penalty by the Hearing Officer.
The employee will be invited to attend an interview with the Deciding Officer,
(Letter at Annex H-3), and is entitled to be accompanied by their Trades
Union representative or colleague .
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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 Deciding Officer before the final decision is
taken. The interview shall be conducted in accordance with the guidance at
Chapter 3, Annex H-4.
Should the employee decline the opportunity of the interview this must be
recorded and a decision made on the basis of the Hearing Officer's
recommendations and the comments made by the Manager where
appropriate .
8.5 Awarding the penalty

If you are the line manager empowered to take the disciplinary decision (ie
the deciding officer), you must notify the employee of the finding and the
penalty awarded (Chapter 3 Annex H). You must convey the decision orally
in the first instance or it may be done by the immediate line manager on your
behalf. (Note i). But you must:
" confirm your decision in writing;
" wam the employee that any further offence may lead to more serious
consequences ;
" warn the employee if the penalty for the next offence is likely to be
dismissal ;
" inform the employee of his or her right of appeal (Chapter 2, Section 9);
" inform, in confidence, the complainant in a harassment case of the

outcome of the disciplinary action and any penalty awarded .
You should avoid sending notification of your findings and the penalty to an
offending employee on sick leave without first seeking welfare or medical
advice .
8.6 Effective date of penalty

If the employee does not appeal against a penalty less than dismissal within
5 working days of the date of the penalty letter, the penalty must be made
effective. In the case of gross misconduct, dismissal is effective on the day
the penalty is issued, if done in person, or 3 days from the date of the penalty
letter which must be sent by recorded delivery . If dismissal is the result of an
escalation of penalties appropriate notice must be given (Note 2).
Note 1. Draft letter to be used um the case of penalties less lhan dsmissal and in the case of drsmissal
am at Chapter 3, Annexes H1 and Chapter 3, Annex H2 respedivety.
Note 2. The notice to be given in these cases is:
Continuous service weekly paidstaff monthly paid staff

for.
up to 4 weeks up to 2 weeks)
4 weeks to 2 years
2 weeks) 5 weeks
over 4 years 1 weak plus 1 week for every year of continuous
service. Max 13 weeks .
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Section 9 Rights of appeal
9.1 General
An employee who is awarded a disciplinary penalty short of dismissal or who
is dismissed but is ineligible to appeal to the Civil Service Appeal Board may
appeal through departmental appeals procedures . Appeals should be dealt
with as a matter or urgency and, if possible, within the timescales set in
Chapter 3, Annex I-1 . The initial appeal must be made within 5 working days
of the award of the penalty unless the employee can show good reasons for
failing to meet the time limit. Unless the employee makes it-clear that he or
she does not wish to appeal, implementation of a penalty short of dismissal is
to be deferred for 5 working days, and if the individual does appeal, pending
the outcome of the appeal .
9.2 Appeals against dismissal

In cases of dismissal, the penalty letter must inform the employee of their
Chapter s right of appeal to the Civil Service Appeal Board (CSAB) . A copy of
Annex I Chapter 3, Annex I-2 should be enclosed with the letter.
If the CSAB decide that the decision to dismiss was unfair and recommend
reinstatement, PUS will decide whether to take the appellant back into MOD
employment. If the CSAB reach a majority conclusion that dismissal was fair
(ie they did not reach a unanimous decision) they wall inform the appellant
that he or she has a further right of appeal to PUS .
If the employee is ineligible to appeal to the CSAB, the penalty letter must
advise that he or she may appeal against the dismissal decision through the
departmental appeals procedure (see paragraph 9.3 below) .
9.3 Departmental appeals procedure

An employee who wishes to appeal against a penalty less than dismissal, or
who is ineligible to appeal to the CSAB in a case of dismissal, must do so
within 5 working days of the date of the penalty letter. Chapter 3, Annex I-1 .
. Stage One
Departmental appeals against disciplinary decisions are to be submitted in

writing to the officer who awarded the penalty, that is, to the deciding officer .
The appellant should indicate whether he or she is appealing against the
finding or against the severity of the penalty or both . Arrangements are to be
made for the employee, who will be entitled to be accompanied by a Trades
Union representative or a colleague, to be interviewed by the deciding officer
accompanied by the personnel officer within 10 working days of receiving the
appeal . An agreed record of the interview is to be made in writing and a copy
handed to the appellant within 5 working days. They should be asked to
return it within 10 working days to confirm that it is a fair and accurate record
of the proceedings or offer comments.
The deciding officer may dismiss the charge. If he or she does not do so the
case must be referred to their immediate line manager for a decision . A full
explanation for the decision must be conveyed to the appellant in
writing, together with details, if necessary, of the further right of appeal
and the name and address of the officer to whom it should be
submitted .
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Stage Two I z
If the employee is not satisfied, he or she may appeal to their Chief Executive
(if they are employed in an agency) or TLB holder setting out clearly, in
writing, the grounds of appeal and the remedy desired . He or she may be
assisted by a Trades Union representative or a colleague to ensure the
adequate and proper presentation of the written appeal . There is no
interview at this stage.
The senior personnel adviser in the agency or TLB must ensure that all the
papers relating to the disciplinary proceedings and stage one of the appeal
are made available to the Chief Executive or TLB holder in order that they
may consider the appeal . The Chief Executive or TLB holder must provide
an explanation for their decision in writing and, if necessary, advise of the
further right of appeal to PUS .
Stage Three
If the individual does not accept the Chief Executive or TLB holder's decision,
he or she may appeal to PUS . He or she may be assisted by a Trades Union
representative or a colleague to ensure the adequate and proper
presentation of the written appeal . The written appeal should be submitted
through the TLB holder . The TLB should forward all the papers relating to
the appeal to PUS through CM(IRBC)CU . There will be no further interview
at this final stage of appeal . PUS' decision on the appeal will' be final and will
be explained to the appellant in writing . The aim will be to let the employee
have a reply as soon as possible.
9.4 Number of appeals

The procedure described above allows for 3 levels of appeal . Grade and line
management levels may make it impossible to accommodate that number of
levels . In these cases it may be necessary for the Chief Executive or TLB
holder to consider the appeal at the first level and PUS the second . In some
cases there may be a single right of appeal to PUS . When PUS has awarded
a disciplinary penalty, the individual will have a right of appeal to the Head of
the Home Civil Service .
9.5 Single route of appeal

Appeals against disciplinary findings and penalties must follow the
procedures described in this section . They are similar to those for handling
grievances and it is not intended that employees should have the right of
appeal through both avenues .
Note i : The guidance in Chapter 3, Annex E on conducting disciplinary hearings also applies to
first appeal hearings- An appellant is entitled to be accornpanied bya colleague or a TU
-representative at any interview conducted as part of ft formal appeal procedure. This is a
-statutory fight under the Employment Relations Act (1999).
It is not usual to recall witnesses at appeal hearings untess new evidence which has rot
previously been considered is presented by the employee. Second and subsequent appeals will
be in written form only.
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Note 'Section 10 Cases where two or more people are involved

10.1 Employees in the same TLB
Where investigations reveal that 2 or more employees, industrial or non-
industrial, are involved in irregularities and that disciplinary action must be
taken, their cases must be handled as follows:
" they must each receive charge letters from their own line manager,
" the disciplinary hearings must be conducted by the same hearing officer
and personnel officer,
" the hearing officer must be at least 2 pay bands/grades/ranks above that
of the most senior of the persons charged;
. there will be one deciding officer who must be a line manager of the most
senior of the persons charged. The deciding officer must be at least
Note 2 2 pay bands/grades/ranks above that of the most senior of the people
charged. The deciding officer must not be the immediate line manager of
the most senior person charged if the penalty awarded to that person is
likely to be dismissal : the decisions must be taken, in these
circumstances, at a higher level in the management chain;
" appeals against the finding or penalty must follow the procedures
described in section 9.
" if the employees are managed by different line or personnel officers, the
personnel officers must keep in touch to avoid unjustified disparity of
treatment. Particular attention may need to be paid when considering
downgrading two employees at different levels within a broader pay
band.
10.2 Employees in different TLBs "'

When employees in different TLBs are involved in the same offence, line
" managers must decide who should take the lead in conducting the
investigation . They should then consider whether charges should be raised .
If disciplinary action is necessary they must proceed as follows :
" issue charge letters to members of their own staff;
" ask personnel staffs to appoint a hearing officer, who must be at least
2 pay bands/grades/ranks above that of the most senior offender, and a
personnel representative, to conduct the disciplinary hearings ;
This section does not apply to aw6an staff if one aviLan and one or more Service men or women or
members of the MDP are involved The civilian case should be dealt with under the earfier sections
of this chapter. Service personnel and MDP under separate procedures.
2
See Section 2-2 regarding the minimum levels at which penalties may be awarded and at which
personnel advice must be given to deciding offixers .
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Arndt 4
Notez . consider the hearing officers reports and, in consultation with personnel
officers, award the appropriate penalties to their own staff;
. any appeal against the finding or penalty must be handled in the

appellant's TLB in accordance with the procedures described in
section 9, but personnel officers must keep in touch to avoid unjustified
disparity of treatment.
10.3 Appeals involving more than one person

Where more than one employee is involved in an offence or related offences,
appeals by individuals must not be held up so that all appeals may be dealt
with together. This is particularly important where one of the individuals has
the right of appeal to the Civil Service Appeal Board. Each appeal must be
dealt with separately and as quickly as possible. Where the employees are
managed by different personnel authorities, personnel officers must ensure
there is no unjustified disparity of treatment .
Volume 5 Discipline
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Section 11 Criminal convictions
11 .1 Arrests and court appearances

An employee who is arrested or is given a Police caution or is charged to
coniDUOr appear before a criminal court must report the facts to a senior line manager.
The line manager must arrange for an officer not below pay band D or
equivalent level to be present in court as an observer. The observer must
produce a report to provide background information for use in any
subsequent departmental proceedings .
If asked by anyone at the court to say what the effect of conviction would be
c:neprers on the accused person's employment with the MOD, the observer should
Annex F-t answer that it is not a matter they can comment on . The observer should
make it clear that he or she is unable to forecast the outcome of any
departmental action that may be taken.
11 .2 After the court appearance

Chapter a When an employee is found guilty of an offence by a criminal court, a senior
Annex F line manager (at least pay band B2 or equivalent level and at least 2 pay
bands/grades/ranks above that of the employee) must consider the court
observer's report . He or she must also ask the employee to report the
outcome of the court appearance, if the employee has not done so already.
The senior line manager must then decide whether the employee's conviction
should be regarded as:
" a p(vate-life conviction ; or
" a conviction which impinges on the employer/employee relationship.
11 .3 Private life convictions

If a conviction has no direct bearing on any aspect of the employee's
suitability for employment with the Department, the senior line manager must,
after consulting the personnel officer.
: inform the employee that the conviction has been noted on the personal
Chapter3 file and wam that, if he or she comes to notice again, the consequences
Annex F-2 are likely to be more serious ;
" copy this letter to the personnel officer for the employee's personal file
together with a copy of the employee's report on the conviction . Copy
the letter and attachments to the appropriate security directorate .
11 .4 Convictions which Impinge on employerlempfoyee relationship

These convictions may include :
" convictions for offences against the Department;
" offences committed against employees of the Department or contractors'

staff;
" offences which, either by their nature or by the fact that the individual has
offended on previous occasions, make the individual unsuited for
continued employment with the Department, or for continued employment
in his or her present grade or post;
" offences committed while on duty or on official premises;
Volume 5 Diseipiine
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" offences which result in custodial sentences.
When a senior line manager decides that the employee's conviction impinges
on the employer/employee relationship, he or she, after consulting the
personnel officer, must:
CAapler s , inform the employee that it is necessary to consider the effect of the
,annex F-s conviction on his or her service with the Department;
invite the employee to attend a hearing accompanied, if he or she

wishes, by a Trades Union representative or colleague. The hearing
must be constituted, and must conduct its proceedings, in accordance
with the rules set out in section 7 of this chapter.
The purpose of the hearing is not to reconsider guilt or innocence or to

impose additional penalties . These are judgements already made by the
court and it is important that the Department should not seem to be going
over the ground again and punishing the employee for the same offence .
The Department is concerned only with the effect of the conviction on the
employee's service . That is, whether the offence is such as to call into
question his or her fitness for the job and, If so, whether dismissal or removal
to other work is appropriate, or whether the offender should simply be
informed that a serious view is taken of the conviction, coupled with a
warning about future conduct. '
After considering the record of the hearing and the hearing officers
recommendation the senior line manager must consult the personnel officer.
The line manager may then dispose of the case but, if dismissal would be
appropriate and the power to dismiss does not fall within his or her delegated
powers, the papers must be submitted to the line manager with the power to
dismiss .
11 .5 Custodial sentences
G,aprer3 It is important to seek advice promptly from CP ER before action is taken on
annex F custodial sentences.
Volume 5 Discipline
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Section 12 Monitoring
12.1 So that the Department can monitor compliance with rules in this volume and
Cnepeers to achieve consistency through the MOD, personnel officers must report all
Annex M proven disciplinary cases and all criminal and private life offences to CP ER I
CU. The form at Annex M is designed for this.
The report must be sent as soon as the penalty has been awarded but
without the supporting case papers . CP ER CU will wish to know if the
penalty is quashed or reduced on appeal. '
Volume 5 Discipline
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Volume 5 Discipline
(Ào0 I /D- 10,0 q °)

Supporting Information
(Aa~, 12\o~00
Annex A
Major offences
Annex A Major offences

(To be read in conjunction with Chapter 2, Section 4)
1 Like many managers, you may never have to deal with a major offence in
your whole career. If you do, however, you must deal with it promptly and
carefully and involve the personnel officer throughout . You must ensure that
there is clear prima facie evidence that an offence has been committed
before you raise a charge and that the offender ought to have been aware
that the likely consequences of his or her conduct would be disciplinary
action . If there is room for doubt a more appropriate response to a first
offence may be a warning.
2 Remember that the alleged offender has the following rights. He or she:
" must be told exactly what the allegations are ;
" must be given details of the evidence on which the allegations are based ;
" must have an opportunity to state his or her view of the facts;
" must be allowed to bring evidence to the attention of an unbiased

assessor; :
" must be allowed to be accompanied and represented by a trades union

representative or a colleague ;
" must have any penalty imposed properly explained ;
" must be informed that he or she has the right of appeal .
3 Remember too that the deciding officer in a disciplinary case has to have
reasonable grounds, on the balance of probabilities, for believing the alleged
offender to be guilty. It is not for the offender to prove his or her innocence .
4 Whilst in a criminal trial guilt must be established beyond reasonable doubt,

in departmental disciplinary proceedings the deciding officer must only be
satisfied on the balance of probabilities that the offence has been committed
by the alleged offender.
5 Timing
Remember that it is important to deal with disciplinary cases promptly. This
is particularly so in cases of dismissal, where serious delay might persuade
an appeal body that dismissal was unfair. Line managers should normally
aim to award a penalty within 2 months of the issue of the charge letter .
AnngXA
Major, OTfP,f1Ce5
Vohme 5 DisoipWine
M01~I Z~ ~ I 0 Z
Annex A-1
Common types of offence
AmoY 7
Annex A-1 Offences relating to absence from work

1 These range from short periods away from the workplace without permission
to more serious cases of unauthorised absences of a day or more.
2 Local standing orders should give clear instructions about what members of
staff should do H unexpectedly unable to come to work. If a member of staff
is absent from work and does not call in, it is your responsibility as line
manager to try to find out why the person is absent . You should make every
effort to find out why, and do your best to see that the employee receives
your communications; you may need to involve the Welfare Officer.
3 On the second day of an unexpiainerUunauthorised absence you should send

a letter by recorded delivery setting out the efforts which are being made to
establish contact and telling the employee to make contact as soon as
possible and by no later than a specified date. A suggested draft is at
Chapter 3, Annex A1 a. If the employee does not make contact by the date
specified, a second recorded delivery letter should be sent giving a final
chance for the employee to provide an explanation and including a clear
warning that continued failure to reply or make contact by a further specified
date will lead to dismissal on that date. A suggested draft letter for this
purpose is at Chapter 3, Annex Alb . If the employee again fails to make
contact by the date required, a final recorded delivery letter should be sent on
that date confirming that dismissal has taken place. ~ A suggested draft letter
for this purpose is at Chapter 3, Annex Aic . It is most important that letters
at Chapter 3, Annex A1 b and Chapter 3, Annex A1 c should be signed by, or
clearly on behalf of, the line manager with the delegated authority to dismiss .
The officer with the authority to dismiss should be kept fully informed at all
stages. (Chapter 2, Section 2).
4 If the member of staff retums to work or otherwise makes contact during this
process but does not provide a satisfactory explanation, you should take
disciplinary action and charge the employee with the offence of being absent
without authorised leave. Where there are further instances of an employee
, failing to report absences correctly further disciplinary action should be taken,
on each occasion, which may ultimately result in dismissal.
5 In the case of an employee being away from the workplace for part of a day
without authorisation and giving no satisfactory explanation, you may take
disciplinary action and charge the offender with the offence of being absent
from their place of duty.
6 Poor timekeeping
A standard for timekeeping should be set which you should make known to
all employees . This should then be applied consistently . Whenever
someone does not comply you should investigate thoroughly and take into
account any mitigating circumstances . Poor timekeeping and absenteeism
are frequently attributable to domestic problems and you should involve the
Welfare Officer if someone persistently offends . Nevertheless, you should
take firm disciplinary action at an early stage, so that the member of staff is
left in no doubt that you do not condone the behaviour. Any warnings you
give should be followed by a disciplinary charge if there is further lateness
within 6 months .
(n.o~~Z S' C) ~ c) ~5
Vohane 5 Discipline
Annex A-1
Amdt 7
7 Offences arising from negligence

Negligence arises if an employee fails to take reasonable care at work. Only
it ft can be considered culpable negligence does it become a disciplinary
offence. For a disciplinary charge of culpable negligence to succeed it must
be proved that the negligence was :
" not due to lack of capability or training ;
" not due to medical or welfare factors;
" not due to working conditions outside the employee's control ;
" not due to unclear instructions for the work;
" not due to inadequate supervision .
8 If your initial investigations indicate that an incident has arisen from culpable
negligence, you may bring charges. However, if the alleged offender's reply
brings to light factors that contributed to the incident and which lead you to
conclude that it was not culpable negligence, charges should be dropped.
9 Refusal to obey a reasonable instruction

There must be an element of wilful disobedience for this to be, a disciplinary
offence. You must establish that the instruction was reasonable and, in
particular, that the required behaviour or action fell within the employee's
Performance Agreement or what is reasonable for the grade/pay band or, if
appropriate, what is within the realms of acceptable personal behaviour. You
should try to find out the reason for the refusal before bringing charges . You
will be able to avoid disciplinary action altogether if you can persuade the
alleged offender that it is not in his or her own interests to continue to refuse
to comply with the instruction . Nevertheless, any wamings you give in
section 3 accordance with the minor offences procedures, should be followed by
disciplinary action if the same offence is repeated within 6 months.
10 Insuborglination
If an employee no only refuses to obey an instruction but is also deliberately
disrespectful to a senior officer in the process, the employee may be guilty of
the offence of insubordination .
11 Drunkenness on duty
Being drunk on duty becomes an offence if it is clear that the employee is
unfit for duty as a result of the effects of alcohol . In some jobs, even a
modest level of inebriation will adversely affect safety and a disciplinary
charge would be appropriate, You should be sure that the employee's
behaviour does not result from a health condition or from medication. The
charge would be 'unfit for duty owing to the effects of alcohor.
12 You will normally send the person home on the day of the offence and start
disciplinary action the following day, However, ff it seems likely that the
offender will recover enough to be able to go back to work, it may be better to
allow some recovery time in a rest room,
Volume 5 Discipline
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Annex A-1
Arndt 7
13 You should call in the welfare service in cases of repeated drunkenness. The
Welfare Officer will advise if a medical opiniort would be appropriate . You will
find more guidance in volume 7 of this manual .'
14 Abuse of Flexible Working Hours scheme

It is important to distinguish between misuse and deliberate abuse of the
flexible working hours scheme . For instance, where employees accumulate
significant amounts of debit, disdplinary action is not appropriate . On the
other hand, any abuse which attempts to gain credit for time not worked is a
disciplinary offence for which the normal penalty would be dismissal . Some
examples of deliberate abuse of flexi time are :
" keying out for only part of the lunch break taken ;
" submitting a flexi working hours credit siip for annual leave when no
annual leave has been deducted from the annual leave form;
" remaining at work at the end of the day while reading magazines or
otherwise clearly not working, but still clocked in;
" keying in for colleagues who have not returned to work or keying out for
colleagues who have already left. .
15 To be able to charge someone with a disciplinary offence, you must be

satisfied that there has been some degree of deliberation . Normal social
communication during working hours is not abuse of flexi time; if this gets out
of hand you should take waming action, ultimately treating it as a refusal to
obey a reasonable instruction or, if appropriate, an unauthorised absence
from the place of duty.
See aJso AnnezC of Me CONDUCT voluaee regard'uig the action to be taken by a tine inanager when he or
she suspects dmt a member of staff is suHedng from drug misuse or rs Involved An bWng Or Selling 600
drtgs on MOD prenmises.
Volume 5 Discipline
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Annex A-1
Annex A-1a
AWOL- First letter
Amdt 4
Annex A-1 a Absence without leave for more than one day-
first letter ,
MOD CRESTED PAPER TO BE USED
By Recorded Delivery
1. I am writing concerning your continued unauthorised absence from'work since

(...date..] and, because you have not provided a satisfactory explanation for it, to inform you
that your pay has been stopped with effect from [...same date ..1.
2. Enquiries have been made in the branch, [..crvrnan Personnel ManagementAuthority...] and
with the Welfare Officer to check whether you have notified anyone as to the reason for your
absence . To date these enquiries have produced no evidence that you have tried to contact
us.
3. If you have a personal problem or other cause for worry with which you would like
help, you may telephone the Welfare Officer, [..name...], on ( ..terephone number.. ]. If you wish to
speak to me about any problem or other matter concerning your employment, please
telephone me on (...telephone number...]. ,
4. Whether you intend returning to work or not, will you please contact me without
further delay to explain the reason for your continued absence, and to let me know if and
when you expect to return .
5. You are reminded that failure to notify the reason for non-attendance is a disciplinary
offence .
6. Finally, I must warn you that, if you fail to return to work or provide a satisfactory
explanation for your absence by [ ..date 7 Calendar days from date of letter.. ], action will be taken
which could lead to your dismissal .
Copy to:
Personnel Office
Welfare Officer
(ADD ~ --z~ v~o-~

vaurne s Discipline
Annex A-ta
AWOL- First letter
" AnnexA-1b
AWOL-Second letter
Arndt 3
Annex A-1 b Absence without leave for more than one day -
second letter .
1. A letter dated [~~date...] was sent to you reminding you that failure to5iotify the reason
for your non-attendance is a disciplinary offence which may result in your dismissal .
2. Further enquiries within your branch and with the Welfare Officer have produced no
evidence that you have tried to contact us to give an explanation for your continued absence.
3. I would like to take this opportunity to reiterate that you may telephone the Welfare
Officer, 6. .name...A on [...telephone number..T your Grade Manager, (...name.. .I on (...rere,xnorre
number.. .r or myself on (...telephone number...], if you wish to discuss any matter concerning your
employment. I strongly advise you to do this.
4. Should you fail to return to work or provide a satisfactory explanation for your
absence by [..date 7calendar days hem date of letter...], you will be dismissed with effect from this
date. .
[The letter should be s0W by, or clearly on behalf of, the officer with the power to dismiss]
Copy to:
Personnel Office
Welfare Officer
volurne 5 Discipline
~cD ~
Annex A-1 b
AVNOL-Second letter
Annex A-1 c
AWOL-' Third letter
Amdt 4
Annex A-1 c Absence without leave for more than one day -
third letter .
i. You have been absent from work without authority since f...date...], and I wrote to you
on [...date offirst letter...] and r...date of second letter..], asking you to return to work or to provide a
satisfactory explanation for your absence . You have been offered the assistance of both the
Department and the Welfare Officer in helping you to return to work.
2. Despite these efforts and warnings, you have still failed to report for duty or to provide
an explanation for your continued absence . You are therefore dismissed with effect from
.-date of todays letter...].
f
either For employees with less than one year's service, or who have reached
minimum pensionable age':
3. As you have been employed for less than one year'/reached the minimum
pensionable age', you do not have the right of appeal to the Civil Service Appeal Board. You
do, however, have the right of appeal to (.. details of the appointment of Me person above the one who
made the decision to dismiss...], who will make a decision on it . If you wish to make such an
appeal, you should do so within 5 working days of the date of this letter . You should submit
your appeal to (...person who made tbe decision to dismiss...). 1 enclose Section 9 from Volume 5 of
the MOD Personnel Manual which sets out the procedure which you should follow in lodging
an appeal .
or For employees with at least one year's service and under minimum
pensionable age':
3. You have the right to appeal to the Civil Service Appeal Board against the decision to
dismiss you. If you wish to make an appeal, you should do so within three months of the date
of this letter. I enclose Annex I-2 from Volume 5 of the MOD Personnel Manual, which sets
out in detail the procedure which you should follow in lodging an appeal . I recommend that
you read this.
[The letter should be signed by, or cfeady on behaNof, the officer witb Me power to dsmiss]
Enclosure:
MOD Personnel Manual, Volume 5, Section 9
Annex I-2"
Annex A-1 c
AW OL-Third letter
Amdt 4
Copy to:
Personnel Office
(' Select which is appropifate]
("tnelude if appmpfrate)
Gross Misconduct
Amdt 7
Annex A-2 Gross Misconduct

(To be read in conjunction with Chapter 2, Section 4, paragraph 4 6)
1 A gross misconduct offence is, by its nature, one which is so serious as to

destroy the trust and confidence which the Department places in an
employee thus making any further working relationship impossible. An
employee found guitty of an offence which amounts to gross
misconduct is liable to be dismissed without notice, even for a first
offence and without prior waming . :
2 Examples of the most common disciplinary and criminal offences falling

within this category, but which should not be regarded as exhaustive, are :
" theft from a colleague ;
" assault on a colleague;
" serious cases of harassment;
" serious cases of discrimination on the grounds of sex or race,
" submission of false claims for travel, subsistence, overtime and other
allowances with intent to defraud,
" submission of false applications for advances of salary for the purchase
of season tickets, or the deliberate failure to comply with the conditions of
such applications;
deliberate abuse of attendance recording or flexible working hours

systems ;
" theft of MOD property or of the property of MOD's contractors, including

materials, office equipment, tools, scrap etc;
" unauthorised borrowing or possession of public money or other public

property,
" deliberate malpractice, deception, or falsification of documents,
" serious deliberate misuse or abuse of official IT equipment or facilities.
3 Whether or not a particular offence is deemed to be gross misconduct will

depend on the circumstances of the case and the extent to which an
employee has forfeited the trust and confidence of the Department.
4 Consistency and proportionality of treatment

Given the severity of the penalty for gross misconduct and the substantial
compensation which might be awarded if the Department is found to have
unfairly dismissed an employee, it is important that the treatment of gross
misconduct is consistent throughout the MOD . Line managers and their
personnel management advisers should have particular regard to the .
following points when considering how to approach a suspected gross
misconduct offence :
Volume 5 Discipline
cm-POUU,ors/Fraer57rv .incM
Gross Misconduct
Amdf 7
All suspected offences must be thoroughly, but urgently, investigated to

enable the line manager to reach a properly informed decision on
whether or not to bring formal disciplinary charges
Consideration should be given to suspension as a precaution in

accordance with Annex C.
Careful consideration must be given, in the light of the investigation, to

the gravity of an offence and whether it constitutes gross misconduct (ie
mightwarrant dismissal without notice even for a first offence).
Where abuse of attendance or flexftime systems is suspected or there

has been an abuse of the facility for an advance of salary for the
purchase of a season ticket, particular attention must be paid to
identifying whether there has been an intent to defraud the Department
Guidance on the approach to be adopted to all disciplinary investigations

and on the involvement of the Ministry of Defence Police (MDP) is set out
in Annex B. Where appropriate (eg in cases concerning the abuse of IT
systems, deliberate deception, malpractice or falsification of documents),
a line manager may wish to appoint an independent officer with relevant
background and experience to investigate the suspected offence .
5 A disciplinary charge of gross misconduct should not be brought lightly and

certainly not without a proper investigation of the facts. Before bringing such
a charge, line managers must satisfy themselves that should the alleged be
proven, its gravity would be sufficient to warrant dismissal.
6 Treatment of mitigating factors

At any stage of the disciplinary process it is possible that an employee who is
suspected of, or has been charged with, a gross misconduct or major offence
might put forward mitigating factors Line managers, Hearing Officers and
Deciding Officers must examine any such factors very carefully since they
may justify continuing to place trust and confidence in the employee and thus
consideration of a penalty short of dismissal, or in the case of a major
offence, a lesser penalty. Monitoring of disciplinary cases reveals that there
are a number of factors that are likely to be presented as grounds for more
lenient treatment in cases of gross misconduct These are outlined below .
Previous long and good service- While it is necessary to consider the

extent to which an employee, in committing a disciplinary offence, may
have acted entirely out of character and be unlikely to re-offend, it does
not follow that previous good service should, automatically, be accepted
as justifying a lesser penalty . It is reasonable to expect that employees
with long service should be very aware of the trust placed in them and the
standards of behaviour required of them. Where gross misconduct is
proven, any trust which may hitherto been placed in the offender by the
Department, may be irrevocably undermined . Again, the proportionality
of the penalty should be carefully considered against all the
circumstances of the offence .
Ignorance of the regulations - It is frequently contended that

employees (some of them senior and long-serving staff) have
inadvertently committed serious disciplinary offences because they were
unaware of the relevant regulations or procedures . Such ignorance of the
rules or correct procedures should not be readily accepted as a defence,
except perhaps for a recent recruit to the Department It is reasonable to
volume 5 Discipline
CM-POUOhotsIFMBl57N .7IKM
f Y l lJ~ ~ c~ ~ o q `
-~-Gross Misconduct
Amdt 7
expect all employees, at whatever level, to know right from wrong and to
acquaint themselves fully with regulations or procedures . This is
particularly the case where public funds and other resources are involved
(eg the submission of claims for allowanc,es). Where there is doubt, it is
reasonable to expect employees to seek advice from superiors,
countersigning officers, or the appropriate policy branch .
Custom and practice-An employee facing disciplinary action may

assert that everyone in a particular branch, unit or area has, for years,
been behaving in the same way as he or she has Evidence of
widespread and long-standing misconduct should not, of itself, be seen
as lessening the seriousness of a particular offence . In some
circumstances such evidence may deepen the gravity of the matter since
the harm caused (eg by the harassment of a member of staff or through a
loss to public funds) may have been substantial if it has involved several
people and has taken place over a long period . Where such evidence
comes to light line managers must investigate and, if the allegations are
substantiated, take firm action against all offenders, including managers
or supervisors if they are also culpable
Low value of fraud or theft- Where the amount of money or the value
of stolen gems involved in cases of fraud or theft is small, this should not
automatically be accepted as justifying a lesser penalty than dismissal .
Hearing Officers and Deciding Officers should, nevertheless, carefully
consider the proportionality and reasonableness of any penalty and
whether this will stand up to later scrutiny . An bct of fraud or theft,
irrespective of the actual loss suffered, may however indicate that the
offender, through his or her dishonesty, can no longer be trusted This
aspect of the offence requires very careful examination since d may be
the decisive factor in determining the reasonableness of the penalty.
Duress, coercion or diminished mental competence- Very

exceptionally disciplinary action may reveal evidence that an employee
has committed a serious offence as a result of being placed under duress
or being coerced by another person Such evidence must be thoroughly
examined by the line manager, Hearing Officer or Deciding Officer to
determine whether a lesser charge or penalty is warranted . The same
approach should be adopted where there is evidence that an offence has
been committed as a result of diminished mental competence or any
similar incapacitating condition . Medical advice must be sought in all
such cases.
7 Having first sought personnel advice, line managers, Hearing Officers and
Deciding Officers must very carefully weigh all factors offered in mitigation.
The conclusions reached and the reasons for them should be recorded in the
disciplinary file
Volume 5 Discipline
CM-aovChocsrFneer57nro VaM
V^\Ao~~ z~~ ~ 1S
Gross Misconduct
Amdt 7
Volume 5 Discipline
CM-P011cholslFM&57A/ .11KM
rnoj, ~ z.~o~ib
Investigations
Amdt 4
Annex B Investigations
(To be read in conjunction with Chapter 2, Section 4, paras 4 .2 and 4.4)
1 It is essential that the facts are established before proceeding with

taote' disciplinary action . This means that an investigation must be conducted .
The line manager must explain the reason for the enquiry to those he or she
intend to interview and inform them that they may be accompanied by a
Trades Union representative or colleague at the interview . Written
statements should be obtained where appropriate . If a serious offence
comes to light while the suspected offender is on leave, he'or she may be
recalled at the discretion of a senior line manager or an explanation
requested by post If the person is on sick leave, an explanation may be
requested by post. Care should be taken to ensure that the individual's
health is not adversely affected by such action ; consideration should be given
to consulting either his or her GP through the Occupational Health Service, or
the Welfare Officer .
2 When there is reason to suspect that a criminal offence has been committed,
line managers have discretion to decide whether to conduct investigations
into these cases and proceed with disciplinary action on the evidence
obtained or whether to place the matter in the hands of the MDP. MDP
investigations may result in prosecution and they must be conducted very
thoroughly . They inevitably take tune to complete and disciplinary action, if
justified, may not be taken until court action is complete or the MDP hand the
case back to line management . Until that happens, the employee may be
suspended, possibly on a reduced level of pay, and the unit is required to
provide cover for the vacant post.
3 There is a significant management advantage to the Department in dealing

with cases through departmental disciplinary procedures rather than through
the criminal courts. This is because departmental proceedings can be very
much shorter than criminal ones and the burden of proof ("reasonable
grounds for supposing on the balance of probabilities" instead of "proof
beyond reasonable doubt") is different. If a departmental case is based on
admissions or witnesses' statements obtained by the MDP, the agreement of
the witness must be obtained before using such documents as evidence.
Similarly, MDP agreement is needed for the release of any part of a police
report.
4 There is no legal requirement to call in the MDP to conduct investigations .

Many of the cases referred to them are within the competence of line
managers to investigate . Examples of the most common offences falling
within this category are:
" deliberate abuse of the Flexible Working Hours Scheme;
" false application for a season ticket advance, or failing to notify changes
to an application ;
" false claims, including :
lnvesBgaUons into formal compfeints of tiaressrnent are deaft with under the procedures described
in Volume 73, Annex G.
Volume 5 Discipline
<
Investigations
Arndt 4
travel and subsistence ;

overtime ;
lodging allowance;
application for excess fares;
" submission of false sick certificates ;
" dishonestly clocking on and off (including false information on a time

card/attendance record);
" falsification of annual leave record; ,
" misuse of official facilities (eg running a business on a MOD computer);
" unauthorised use of MOD property (eg 'borrowing' of tools) ;
" unautho(ksed use of an official hire vehicle ;
" false accounting (eg falsification of entries to keep a book straight;

forging a senior officers signature to destroy documents) ;
minor and low value theft of MOD property,
. minor cases of assault (the MDP must be consulted in all other cases) .
It is not intended that the MDP should be completely excluded from

conducting investigations into these categories of offence. Line managers
may call in the police if they feel unable to conduct an investigation, and
should do so if initial enquiries suggest that the case may be less
straightforward than had a first appeared . They must call in the MDP in
cases of serious fraud or theft, or where there appears to be a real potential
for criminal charges. Some disciplinary offences may be evidence of
systematic or more persistent criminal misconduct, which may not be readily
apparent. It is, therefore, essential that line managers inform the MDP
whenever they conduct an investigation into any one of the offences listed
above . `
5 Once a police investigation has been initiated, whether by line management

or by or on behalf of an individual complainant, no further investigation should
be carried out by an officer other than a police officer. The line manager
should, however, check with the MDP at monthly intervals on the progress of
police enquirieslnvestigations . Until the police investigation is completed
and any resulting court case concluded, disciplinary action should not be
considered without the agreement of the police .
6 With the agreement of the police, rf their investigation is incomplete,

disciplinary action may be taken on charges related to, but not dependent
upon, those which may be the subject of court proceedings. For example, an
individual who is accused of stealing funds and absenting himself from duty
without leave (AWOL) may be the subject of an internal disciplinary charge
on the AWOL offence while he or she awaits the outcome of the
investigations into the theft, as long as it is absolutely clear that disciplinary
action taken by the Department can in no way be interpreted as prejudging
the issue before the court. In the case quoted, for example, the defence
against the theft charge might be that she or he was at work at the time in
question .
Volume 5 otsotWtne
M~1~L2~~~,$
Investigations
Amdr 4
7 Some incidents which have led to criminal proceedings may have exposed
obvious weaknesses in departmental procedures which, in the interests of
safety, security, or accountability for public funds or materials, need to be
remedied as quickly as possible . In these circumstances line management
may initiate an investigation with a view to revising the rules and/or
procedures before any court verdict is known provided that the police are
consulted beforehand to ensure that such an investigation will not prejudice
their case in any way. Any investigation conducted before the outcome of
criminal or disciplinary proceedings is known must confine itself to rules and
procedures and avoid any consideration of the involvement of individual
employees . .
8 After investigating the suspected offence, the MDP will report to line
management that:
" there is a prima facie case for prosecution and they will consult the CPS ;
or
although there is a prima facie case for prosecution, it is considered that

the matter is one which should be handled departmentally. Line
management should then arrange for departmental disciplinary action to
be taken without delay; or
" there is insufficient evidence for prosecution . The poke evidence and
any internal evidence should then be carefully considered and a decision
taken on whether to proceed with departmental action ; or ,
" they have issued a formal 'Police Caution'. This is not a conviction and,
for departmental purposes, it can be treated as prima facie evidence
leading to internal disciplinary action . Departmental action should always
follow an MDP Police Caution, and must follow the normal disciplinary
procedures (see Annex G).
9 In cases where the MDP proceed with prosecution, line management must
ensure that MOD has an observer m court . "
Voliene 5 Discipline
~nno~ ~ Z~ 011 ~
Investigations
Annex C
Suspension
Amdt 8
Annex C Suspension from duty as a precaution

1 The Department's case at CSAB or Employment Tribunal in support of

dismissal may be undermined if it is based on the breakdown of the position
of trust between the employer and employee and yet, while charges are
pending, the employee were to continue his or her normal work. Continuing
to employ any individual on his or her normal duties, might be taken, at a
subsequent appeal against dismissal, to demonstrate that the position of trust
had not broken down to the point where dismissal was the only reasonable
disciplinary response. In all cases where dismissal may be the appropriate
penalty, therefore, and as soon as prima facie evidence emerges, employees
should be suspended .
2 The main circumstances in which suspension as a precaution should be used

are:
a. where it is essential to the investigation of the offences (see paragraph 3

below) ; or
b. where there is strong prima facie evidence that the position of trust
between employer and employee has broken down to such an extent that
it would plainly be against the Department's interest to keep him or her at
work in any capacity.
3 If MDP are investigating the case their advice should be sought . Should they
consider that an employee's presence is detrimental to the pursuance of their
enquiries he or she should be suspended They should however be asked
whether this restriction would apply to employment in another area of the
establishment and to advise should a stage in their investigations be reached
when the employee's presence at work would not impede the case. If they
do so advise, the personnel officer should consider whether paragraph 2b
above applies .
4 In exceptional circumstances it might be more appropriate to restrict the

employee's duties (eg remove countersigning duties), or move the employee
to another post, if necessary in a lower grade at mark-time pay and with close
supervision . In this way the Department can show that the employee had not
been allowed the same degree of trust as hitherto but had been employed
temporarily on tasks which did not allow the freedom to commit like offences.
Where it is decided not to suspend in these circumstances, a letter along the
lines of Annex G7 should be send to the employee.
5 When a decision is made to suspend an employee, the line manager must

inform the individual at once. A suggested letter is at Annex C-2. Where the
individual involved is on sick leave suspension action should always be
postponed until the employee returns to duty. A period of suspension, once
started, cannot subsequently be altered to sick leave. The Welfare Officer
should be notified of each case of suspension by receiving a copy of the
suspension letter . if the period of suspension is likely to be lengthy (this
should only be necessary due to a continuing police investigation) the line
manager, if not directly involved in the investigation, may wish to keep in
touch with the employee . The Welfare Officer should be asked to maintain
regular contact with the employee and report any changes in personal
circumstances, domestic or financial. The employee should noffeel cut off
from the Department whilst suspended as a precaution and he or she should
Volurne 5 Discipline
NVO~\) ~ 2! CD ` Z 1
Annex c
Suspension
Arndt 8
be allowed reasonable access to his or her place of work, under suitable

supervision, in order to prepare for his or her defence in a disciplinary
hearing .
6 Withholding pay on suspension

The letter of suspension should require the employee to provide a statement
of expenditure and income from all sources. The assistance of the Welfare
Officer in preparing the statement (Annex C-3) should be offered. The
financial statement should be submitted to the officer who has the power to
dismiss, together with any comments the line manager may wish to make,
and an outline of the case. The level of pay on suspension should be
decided by the officer with the power to dismiss.
7 The Department should normally maintain an employee's pay during

suspension at a level which will avoid undue hardship . Suspension should
initially be on full pay and, thereafter, the maximum by which pay is generally
reduced is 50%. However, as soon as it becomes clear that the offence
involves a major, irrecoverable loss to public funds (in excess of £10,000),
pay should be reduced to NIL
8 When a reduction to NIL pay is not applicable the factors to be considered

when assessing a reduction in pay are :
" the total family income, including savings ;
Note ' " essential outgoings (food, accommodation, heating, lighting, etc) for the
employee and his or her dependants;
" mortgage payments and essential insurance payments. Other loan

repayments are normally restricted to the minimum repayment figure;
" the reduction in pay should not give rise to any knock-on effects (eg
telephone rental is allowable to avoid disconnection and later
reconnection fee);
" nonnally alt allowances which are not dependent on actual attendance at
place of work (eg Additional Housing Cost Allowance) would be paid, but
taken into account when assessing the reduction to be applied to salary
or wages . CP PA should be consulted about overseas allowances .
Overtime payments would only be applicable if part of, and written into,
conditions of service .
9 The decision on pay will be conveyed to the employee giving 2 clear months
notice of the reduction to be imposed (but see para 7 above, last sentence) .
The letter should point out that the level of pay on suspension is subject to
review and that any change in circumstances should be reported . Reviews of
the decision to suspend and of the level of pay should be initiated by the line
,manager at 2 monthly intervals and any recommendation for change or
representation from the employee passed to the officer with the power to
dismiss for decision. The employee should also be informed that he or she
may be eligible to claim state benefits and that H he or she wishes he or she
may obtain other employment pending consideration of his or her case, but
that if he or she does, any pay in issue from the Department may be
withdrawn . A draft is at Annex C-4.
Allow etso per adult and E100 per aluld under iz for food, cao8ung and roderrtes .
Volume s DIse3pqine
('~&a1) ~ 2 ` 0 12Z
Annex C
Suspension
Amdt 8
10 When, after a reasonable period, an employee refuses to provide a financial

statement, he or she should be Wormed in writing that his or her pay will be
reduced by half on a certain date- lie at least 2 months notice of reduction is
to be given) and will remain at that level until he or she provides sufficient
financial evidence to indicate that this decision is causing undue hardship,
whereupon consideration will be given to adjusting the level of pay in issue.
11 As soon as it appears that suspension is no longer warranted, the employee

should be returned to work on full pay, although if pay has been withheld on
suspension, no decision on refunding it can be taken until the case is
concluded . If the employee is cleared of all offences, all pay withheld in
respect of a period of suspension from duly as a precaution may be paid on
return to normal duties. If an employee is found guilty of the offence and the
penalty of dismissal is imposed any pay withheld during suspension will be
forfeited . However, where an individual is found guilty of the offence, and
dismissal does not result, the deciding officer has discretion to restore all or
part of the pay withheld during the period of suspension having taken account
of any state benefits received, or pay earned from other employment, during
the period of suspension. The appropriate PPA branch should be notified so
that they may take the necessary action .
12 Withdrawal of pay during imprisonment, detention or remand in

custody : The procedures described above do not .apply where the
employee is sentenced to a term of imprisonment or detention, or has been
charged and remanded in custody awaiting trial, or is prevented for any legal
reason from attending work leg specific conditions of bail) . In these cases
pay should be withdrawn entirely by the personnel officer as soon as the
circumstances are known, and he or she should be informed in writing that
this action is being taken.
~oJI21o~23
Vohrne 5 Discipline
Annex C
Suspension
Suspension considered
Annex C-1 When suspension has been considered
1. In the light of ....... .................... ...... .... ........ .. ... . . ... .. ........ ....... ........ ........ ... ..... .... ..... .........
consideration has been given to suspending you from duty in accordance with Section 5 of
Chapter 2 of MOD Personnel Manual, volume 5.
It has however been decided that you may remain at work subject to the following restrictions :
. . ........ .. .... ... . .. ........ . . . . . .... .... .. .......... ... ......... . .. . . .... ....... . .. . .... ................. ... ........ ..... . . .... .. . .... .... .......
. .......... .............. .. . . . . .. . ...... ..... ... . ... . ... .......... .... . . . ........ ........ .......... ... .... ........ ... ..... .. .. . . .. ... .. .... . ........
2. These restrictions are considered necessary in the light of the serious allegations that
have been made against you and the known facts of the case.
Copy to:
Personnel Office
Parents/Guardian of Apprentice
Security
Welfare Officer
Volume 5 Discipline
rAOJ`Z ~ O t 2-S
Suspension considered
Annex t,-z
Suspension letter
Arndt 8
Annex C-2 Suspension letter
1. In the light of (.. .insert briefderaa7.s of Mhe eventleao9ng to the dedsion to suspend. .11 have decided
to suspend you from duty in accordance with section 5 of Chapter 2 of MOD Personnel
Manual, volume 5. A copy of this section is attached .
2. Suspension will take effect from the date of this letter and will continue until this
matter is resolved. (...Minisfryof Detence Poiice-IlDeparo-nentar "...] enquiries are currently under way.
I will tell you when they are complete and what action will be taken as a result. You are
required to relinquish your MOD pass but if you need access to the site (eg to prepare your
defence) you may contact me to make arrangements.
3. Suspension will initially be on full pay but the Department will thereafter consider
whether pay should be withheld in full or in part. In order that the decision on this may be
made in full knowledge of your personal circumstances you are requested to submit to me by
(...auow to working days...] a full statement of f ..your,yourtarmy ..]expenditure and income from all
sources, and I enclose a proforma which you should complete and return to me.
4. You may wish to ask the Welfare Officer, who is familiar with, what is required, to help
you in preparing this statement. Your Welfare Officer is: .
[ ..Name, address, teiephone number. . .]
5. You must inform me of any change in your circumstances while you are suspended ;
particularly if you take temporary employment. You should continue to apply for annual leave
in the formal way .
6. Throughout the period of suspension the services of the Welfare Officer are available
to you and you are encouraged to contact the Welfare Officer if you feel that suspension is
causing you personal or domestic problems.
Copy to:
Personnel Office
Welfare Officer
SecurPty
Pay Section
' Select which is appropriate

Annex C-2
Suspension letter
Amdt 8
Volume 5 Discipline
NoJ~z ~o1ZB
AnneX,C-3
Financial statement
Annex C-3 Financial statement
Name .... ............... . . . ... . ... ... .................... .. . .. . . ... .......... .. .......... .... ... ....... .. .. . ... ....... . ............ .......... ..
Grade ........................ ...... ........ ... .. . . ... ............ ....... ........... .... . .. ...... .... . ..... ... ..... ..... . .... ... .. ... ... .. . . ... .
Net monthly pay Rndicate overtime] - self £

Net monthly pay -spouse £
[before any rleductlons for travel bans or housing] ,
Family Allowance Lowmonth] [state number and age ofchildreril
Other Income leg Interest and dividends from savings are regarded as 7ncome] £
Total monthly
expenditure: Mortgage £
Rent £
Council Tax £
Water £
Gas £
Electricity £
Solid FueVOd £
Telephone (Rental charge only) £
Food, clothing and toiletries £
Insurances : Car Insurance

Building Insurance £
Mortgage Protection £
House Contents £
Other-please specrfy
Debts: [List all credtors as m example]
Creditor Total Debt Minimum monthly repayment
eg Barclayoard £500 £25
Comments:
If there are any other expenses or special factors which you feel should be taken into
consideration in determining the level of pay in issue during suspension, please state here.
The Welfare Officer is available to assist you as necessary.
.... ... ....... ..... . .. . . .................. ........ .................... ...... . . ....... ........ ..... ........ . .. ..... ................ .... . .......... ....
... . ......... ...... ... ................. .. . . ....................................... ...... .. . .. . .... ................ .. . ....................... .. . ......
.... ... ............ . .. ..... ........ ....... ........ ................. ........ . .. ..... ................ . . . .......... .... . ........ . . . .. . ..................
.... .... ... .. . ..... .... .... ............... .. . .. ............. ............... ..... ... ........ .. ... ..... ........... ..... . . ...... . .. ..........._... ......
Signature .... .. ........ . . . .......... ........... .... ....... ... ..... ... . . ...... .... . ...
Date .. .... ........... ..... ........ ... ..... .................... . . ........... .... ........ .
Volume 5 Discipline l
M~.~ 12- I ~ ~ 2--~)
Annex C-3
Financial statement
'Annex (°.4
Pay on suspension
Amdr 1
Annex C-4 Pay on suspension
1. Thank you for providing a financial statement in your letter of [ ..date.. 1.
2. Your statement has been carefully considered and I have decided that I ..%...] of your
gross pay should be withheld with effect from [ ..date 2months from the date otlette'runless pay is
wrrtreerdin turc..). You are reminded that your pay on suspension will be reviewed periodically
and, as a result of those reviews, may be subject to further variation. You should keep the
Department informed of any change in your circumstances that may have a bearing on these
reviews .
3. If you find that this reduced rate of pay is insufficient for your essential needs you
may be eligible for state benefits. Also, if you wish to claim that this decision will cause you
severe hardship, I would strongly advise you to seek the assistance of the Welfare Officer in
preparing a more detailed financial statement . Your Welfare Officer is
(. . .Name, address, telephone number ..I
4. Should you obtain temporary employment during your suspedsion you must inform
the Department so that your pay can be reassessed .
Copy to:
Personnel Office
Welfare Officer
Pay Section '
Volume 5 Discipline
mc,)\ `-2-~ o ~ 31
. Arlnex C-4
Ray on, suspension
Amd[ 1
Vokrne 5 Disoipline
fnoJ~~~0 13Z
Annex D
Disciplinary charges
Amdt 7
Annex D Drafting disciplinary charges

1 No attempt should be made to use legal language or form. A suggested draft

is at Annex D-1 . The charge should :
" state clearly and concisely the facts relied upon to support the charge but
avoid direct quotation from privileged documents . Vague terms such as
"fraud" and "false accounting" should be avoided : specific instances
giving details should be included where possible;
state the evidence which illustrates that an offence has been committed
and attach copies of that evidence . Statements made by witnesses and
statements or signed confessions by the accused must be attached. In
cases which have been investigated by a Harassment Investigating
Officer, the Officers report should not be made available to the employee
although signed records of interviews and other documentary material
may be used as evidence . If a departmental case is based on
admissions or witnesses' statements obtained by the MDP, the
agreement of the witness must be obtained before using such documents
as evidence . Similarly, MDP agreement is needed for the release of any
part of a police report .
" refer, where possible, to any regulation alleged to have been broken,
quoting a reference or providing a copy of the text;
" avoid any presumption of guilt, however strong the ewdence; let the
evidence speak for itself .
2 If the employee has not been warned on a previous occasion that further
disciplinary action may result in dismissal, and if he or she is not being
charged with a gross misconduct offence, the individual may be offered the
option of accepting the charge and concluding the matter without the
formality of a disciplinary hearing . An optional paragraph is included in the
draft letter at Annex D-1 .
3 In cases where, following an MOP enquiry, the police decide not to prosecute
but it is decided nevertheless to bring departmental charges, the position
should be made clear to the alleged offender by adding the optional
paragraph at Annex D-1 .
4 When the charge letter is given to the employee the line manager should be
satisfied that the gravity of the position is fully understood by the employee.
The employee should be interviewed and informed of the seriousness of the
charges and the possible consequences expiained to him or her in full.
33
vwme 5 Discipline
,n A O \, Z ~ O ~
Annex D
Disciplinary charges
Annex D-1
Departmental charge letter
Amdt 6
Annex D-1 Departmental charge letter

.
1. On [..date...1 you [ ..offence...]. I am required therefore to charge you with the disciplinary
offence(s) of .. .......... ... .. ... .......... .. ... . ..... ... . .................... . . ...... .... . .......... . [`This offence falls into
the category of gross misconduct] . Evidence supporting the charge is attached.
2. You are required to attend a disciplinary hearing and details of the date, time and
place will be sent to you shortly together with the names of the hearing officer and the
personnel representative.
3. You are entitled to be accompanied and assisted at the hearing by a Trades Union
representative or colleague and to call witnesses . Would you please let me have the details
of any person who will accompany you at the hearing and of any witnesses you intend to call.
To be included when the nature of the offence or the offender's disciplinary record
makes it unlikely that dismissal will resuft from the charge.
[4. 'If you accept the charge and do not wish to make representations it may be possible,
under the terms of para 6.2 of Chapter 2 of MOD Personnel Manual, volume 5, to conclude
this matter without the formality of a disciplinary hearing . Please let me know by (.. .date: anow, 5
working days...J if you wish to adopt this course .]
To be included in cases of Gross Misconduct or where escalation of previous penalties

would normally result in dismissal.
[4!5' If the Deciding Officer is considering dismissal you will be offered an interview
after he/she has received the Hearing Officer's recommendation and before he/she
makes their final decision . The interview will give you the opportunity to make any
further representations directly to the Deciding Officer . You may be accompanied at
the interview by your Trades Union representative or colleague. You do not have to
accept the offer of an interview. (See Personnel Manual Volume 5, Section 8.4J
Chapter 3, Annex H-4) .]
To be included where, following an MDP enquiry, It has been decided not to prosecute.
[415`. You are informed that in deciding that this matter will be dealt with through the
departmental disciplinary procedures the question of bringing criminal charges in the Courts
has been considered in conjunction with the police authorities. It has, however, been agreed
that there will be no criminal prosecution in the Courts in respect of the offence which is the
subject of this letter.]
4J516 . The services of the welfare organisation are available to you and you may wish to
contact the Welfare Officer, f ..narne, address, reieprwnernwnber...J.
Enclosures
iJist all evidence attachedJ
Annex D-1
Departmental charge letter
copy to:
Personnel Office
Security
Welfare Officer
' Include ff appropriate

Annex E
Disciplinary hearing
Arrrdt 7
Annex E The disciplinary hearing

1 If the employee responds to the charge letter stating that he or she accepts
the charge and does not wish to attend a hearing, and if the penalty would
not be dismissal, the line manager and the personnel officer should consider
what penalty should be awarded . Otherwise, the employee should be
provided with details of the date, time and place of the hearing together with
the names of the hearing officer and the personnel representative . If the
employee refuses to attend a hearing the personnel officer should
emphasise, in writing, that a hearing is in the employee's interests and
encourage him or her to attend. If the employee is determined not to attend,
a decision will, in the last resort, have to be made by the line manager and
the personnel officer without the person's attendance; this should be made
plain to the individual.
2 The purpose of the hearing is not to carry out a second investigation but to:
" assess the evidence to ensure that it supports the disciplinary charges;
" resolve any doubts or conflicts about the facts ; and
" ensure that a full and clear picture is presented of both line
management's and the employee's case so that the full facts are
available to the deciding officer .
3 Before the Hearing

When a hearing is required it should be held as soon as possible after the
issue of the charge letter . The officer conducting the hearing should be at
least 2 pay bands/grades/ranks senior to the accused and should have had
no previous involvement in the case. A civilian personnel representative
should be appointed to assist the officer conducting the hearing and to take a
record of the hearing . A third officer may also be present to take notes of the
proceedings if the personnel representative is expected to take a more active
role in the hearing. It may, on occasions, be necessary for a technical officer
to be present.
4 The personnel officer will brief MOD witnesses and the hearing officer on the
procedures to be followed and will make the necessary administrative
arrangements for the hearing . The hearing officer should be provided with a
copy of all the documentation relevant to the consideration of the case and a
copy of this Annex . The hearing officer should ensure that the employee has
been provided with copies of all documentary evidence (eg statements made
by the accused and witnesses, copies of claim forms etc) with the charge
letter.
5 The employee is required by the charge letter to advise whether he or she

will be accompanied at the hearing by a Trades Union representative or a
colleague. In some cases the employee may insist on being accompanied by
a solicitor . While this practice is not encouraged (a solicitor is not usually
familiar with the Department's disciplinary regulations or procedures) such a
request will rarely be denied . If a solicitor does attend, it must be made clear
to him or her that the hearing is an informal process and the legal
representative is there only as the employee's friend . The solicitor must not
be allowed to turn the hearing into a legal proceeding and any questions to
witnesses should be addressed through the officer conducting the hearing .
Vol=e s Discipline ~O
~O -~) -1
Annex E
Amdr 7
6 Sometimes an employee may advise that he or she is unfit to attend a

hearing on a particular date. Employees should not be pressed to attend
hearings when they are not fit to do so and alternative dates should be
proposed. Where necessary, however, personnel managers should consult
the Occupational Heafth Service to establish whether an employee might be
fit to attend a hearing despite being unfit to attend for his or her normal
duties . For example, a broken bone may warrant postponing a hearing
initially but should not be allowed to lead to a longer term delay. In such
cases suitable transport or other facilities may be arranged to enable
employees to attend.
7 Personnel managers are sometimes reluctant to arrange interviews or

hearings with staffwho are suffering from stress or similar disorders . In such
cases careful consideration wilt need to be given to whether a long term
delay to the disciplinary process may, by leaving the employee's position
unresolved, actually increase the stress . Again, personnel managers should
seek the advice of the Occupational Health Service to establish whether the
stress or related condition might be alleviated by a timely resolution of the
disciplinary case. If medical advice suggests that rt would be appropriate to
do so, arrangements should be made to proceed with a hearing . In
exceptional cases, where there is no prospect of convening a hearing in a
reasonabfe time, arrangements may be made, with the employee's
agreement, for a representative to attend the hearing on the employee's
behalf. This would, however, be very much a last resort.
8 In a small number of cases, delays have arisen because the employee's

representative or friend has not been able to attend on the proposed date for
the disciplinary hearing . While every effort should be made to find a mutually
acceptable date, where necessary, the employee should be asked to find an
alternative representative,
9 Witnesses
The hearing officer must tell the employee the names of the witnesses who
will be called .
Both management and the employee should ensure that their witnesses will
be available to attend. The hearing officer should not refuse to hear any
witnesses with" good reason but he or she has the discretion to decide
whether the mitnesses it is proposed to call can provide information relevant
to either management's or the employee's case within the following
guidelines:
Non-MOD witnesses cannot be compelled to attend but their written evidence

may be considered. H the employee insists that the attendance of a non-
MOD witness is vital to his or her case then the employes will be responsible
forobtaining the agreement of the witness to attend, making any travelling
arrangements and meeting any expenses incurred.
Any IItOD wifnesses should be made available to attend the hearing as a

duty if required by line management, the employee or the hearing officer .
Where the MOD witness cannot attend (eg the person has since been posted
overseas or is absent on long term sick leave) a written statement would be
acceptable.
Evidence of good character may be submitted by the employee, normally in

the form of a written statement. However, ff the hearing officer considers it
appropriate to allow character witnesses to attend, there should be no more
than 2. Any additional references can be submitted in writing.
Volume s ofsctptine
uv%ol I z ~bi38
Annex E
Arndt 7
Character references from a current or previous line manager are not

appropriate .
10 Conduct of the Hearing

The hearing should not be adversarial in approach and it should be
conducted in an informal atmosphere. A disciplinary hearing can
undoubtedly be a stressful situatfon for the employee, and the hearing officer
should make every effort to put him or her at ease. It is recommended that
the hearing is conducted as follows :
" Introduce those present and briefly explain the purpose of the hearing,
setting out the proposed format .
" Confirm that the employee has received a copy of all documentary
evidence .
" Read out the charges and establish whether the employee understands
them.
" Ask the employee whether he or she admits to each charge.
Note' " Invite the employee's comments on each separate charge and the
evidence which supports d.
" Hear any witnesses called to give new or supporting evidence . Any
questions which the employee or his or her representative wish to put to
the witnesses should be addressed through the hearing officer. -'
Exceptionally- for example in sexual harassment cases -the hearing
officer may agree that a witness may give evidence in a different room.
The latter's representative, or the hearing officer should put any "
questions to the witness on behalf of the accused and relay the answers, k
ensuring that all questions are answered before the witness is stood
down.
. Summarise the evidence given by each witness before they leave.
Make every effort to resolve conflicts of evidence by asking questions at

the time_ Points of contention which remain unresolved should be clearly
recorded.
Surnmarise the proceedings before asking the employee if he or she has

any final comments.
. Close the hearing by thanking the employee for attending_ Advise that a
record summarising the relevant points discussed at the hearing will be
sent for agreement to him or her and to his or her representative before a
recornmendation is submitted to the deciding officer. No indication of the
recommendation should be given to the employee or the representative.
" Avoid the use of tape recorders . They give the hearing undue formality
and do not always record everything clearly. A written record is more
reliable and even in complicated cases a summary record of the hearing
will suffice .
Re employea shouM remain at Um heaAng througlwrn to hear aN the ewdence Pat to the hearirg
orriaer. Tlus wdl derronshate r6at ft employee tied tuff opportwrRy to ques6m all the wBnesses
and ft evNerxe put to the hearing Dffixer.
vow"M 5 oisaat"a
Annex E
DiscipNnary hearing
Amrlt 7
11 If the employee produces fresh documentary evidence in support of his or her

case, the hearing officer should ask for the original papers to be handed over
to be attached to the record . Statements made by witnesses which contain
new material not recorded in previous written statements are to be recorded
in writing and signed by the persons concerned .
12 The hearing may be adjourned for refreshment breaks (and should be if it is

likely to be lengthy) or if there is a need for either the employee or the
hearing officer to confer. Facilities should be made available rf an employee
and his or her representative wish to confer in private . An adjournment may
be appropriate if new evidence suggests additional witnesses need to be
called or further investigation of the facts is required . The hearing should
then be reconvened as soon as possible .
13 If the employee becomes rude or aggressive during the hearing the

proceedings should be suspended for a 'cooling off' period . Should an
employee report for a hearing apparently unwell or under the influence of
drugs or alcohol, the hearing should be postponed and reconvened as soon
as possible . The record of the hearing should state the reasons for the
postponement.
14 After the hearing

The personnel representative or notetaker will be responsible for preparing a
summary record of the hearing. The hearing officer should be sure it
includes all the relevant points made during the hearing by alf parties . A copy
of this record will be sent to the employee and to his or her representative for
agreement that d is a fair and accurate record of the hearing and that it is
signed to that effect . A reply within 10 working days should be requested .
15 If the employee is unable to agree the record, effort should be made to

include any reasonable suggested amendments and to resolve any
remaining points of difference . If areas of conflict remain, the employee
should be informed that the deciding officer will be told that there has been a
failure to agree. The proposed amendments will in this case be attached to,
and submitted with, the record of the hearing so that they can be taken into
accounf by the deciding officer before a decision is made.
16 Recommendation (
When the record of the hearing has been agreed or otherwise, the hearing
officer and the personnel representative should produce a written summary of
their findings for consideration by the deciding officer . This should comprise:
" an assessment of all the evidence considered at the hearing, including

any points that have been raised in mitigation;
(rf the employee has refuted the charge) a conclusion as to whether on

the balance of probabilities the charge is considered proven (ie on the
basis of the presented evidence it is more likely than not that the charge
is proven) with reasons for this conclusion ;
s a recommendation as to the appropriate disciplinary penalty where the ,

charge is considered proven or the employee has accepted the charge .
This should take account of any previous disciplinary record (details of
which should be obtained from the personnel officer at this stage); any
mitigating factors put forward by the employee, and the personnel
officer's advice on the penalty which would be consistent with MOD's
practice in similar cases .
vdime 5 DIscipnne
CA 0 b ~ z ~ o ~ 4-0
Annex E
Amdr 7
17 The hearing officer's conclusion and recommendation should be objective

and factual and consideration given only to the-subject matter of the charge .
Any allegations which are not directly concerned with the charge itself, or
unproven suspicions of other offences, must not be taken into account.
Similarly, when considering the effects of a criminal conviction on an
employee's career, no other allegations or suspicions of other offences
should be considered. If new evidence comes to light which the employee
has not seen, even after the hearing, copies should be sent to the employee
and his or her representative for comment and the hearing reconvened if
necessary. Where dismissal is the outcome, the hearing officer's conclusion
and recommendation will form part of the MOD's case should there be an
appeal to the Civil Service Appeal Board or an Industrial Tribunal .
18 At no time should the hearing officet's recommendations be disclosed to the

employee or his or her representative . If the recommendation of the hearing
is that dismissal may be appropriate, a copy of the hearing officers findings
will be given to the employee with the letter notifying the employee of the
interview with the Deciding Officer. (Annex H-3 and H-4 refer) .
Note 1 The employee should remain at the hearing throughout to bear ail the evkfence put AD Me
headng officer. This wiN demonstrate that the empbyee had full opportunity to quesbon ap the
witnesses and the ewdence put to the hearing otficer.
Annex E
Disciplinary heanng
Annex F
Criminal convictions
Amdt 8
Annex F Criminal convictions

1 Convictions for a criminal offence whether committed on or off duty can have
security implications . It is important therefore that any arrest, charge or
outcome of court proceedings is reported immediately to the appropriate
Security Directorate, in addition to the personnel officer . Cases where return
to work is being considered following suspension must be referred to the
appropriate Security Directorate whether the individual has-been found guilty
or not guilty of the offence for which he or she has been charged . Action
must be taken promptly so that the individual may return to duty with the
minimum of delay.
2 Employees are required to inform line management if they are cautioned or

CONDUCT charged by the police (involvement in minor traffic offences is the only
section 2 exception to this rule) . Failure to do so can result in disciplinary action.
When a line manager learns that a case against an employee is being heard
in a criminal court he or she should arrange for an officer, usually a personnel
officer, not below pay band D or equivalent level, to be present in court as an
observer, so that he or she can produce a report for use in any subsequent
disciplinary proceedings (see Annex F-1) . Where a minor is being tried in a
juvenile court, however, it may not be possible for observers to attend. If the
observer is asked by anyone at the court or connected with the case what the
effect of conviction would be on the accused person's employment in the
MOD, he or she should say that it is not a matter for him or her and that the
outcome of any departmental action cannot be foreseen .
3 Where an employee is found guilty by a criminal court of an offence, a

distinction will be drawn between private-life convictions and convictions
which impinge upon the employer/employee relationship . The former may be
defined as any conviction which has no direct hearing on any aspect of the
offender's continued suitability for employment with MOD . The latter
embrace convictions arising from offences against the Department, offences
. committed against colleagues or contractors' staff; offences (either by their
nature or by the fact that the individual has offended on previous occasions)
making the offender unsuited for continued employment with the Department
or for continued employment in his or her present pay band/grade or post,
offences committed while on duty or on official premises, and offences which
result in a custodial sentence .
4 Private-life convictions may be dealt with by line management after

consulting the personnel officer. If the line manager is satisfied that it is a
private-life conviction, he or she should reply to the individual, along the lines
of the draft at Annex F-2 informing him or her that the conviction has been
noted on his or her file and warning that, should he or she come to notice
again, the consequences are likely to be more serious . The line manager
should copy this letter, together with a copy of the individual's report of the
conviction to the personnel officer and the appropriate Security Directorate .
The conviction and departmental response is to be reported to CP ER CU by
the personnel officer in the format shown at Annex M.
5 Convictions which impinge upon the employer/employee relationship must

result in disciplinary action . The object of disciplinary action in these
circumstances is not to reconsider guilt or innocence or to impose additional
penalties ; these are judgements already made by the court, and it is
important that the Department should not seem to be going over the ground
volume 5 Discipline
~oJ `z` o ~ 9~ 3
Annex f'
Amdt 8
again and punishing the employee twice for the same offence. The
Department is concerned only with the effect of the conviction on the
offendel's service, ie primarily whether the offence is such as to call into
question his or her fitness for his or her job and ff so, whether he or she ought
to be dismissed, or removed to other work, or downgraded if no suitable
alternative post is available and dismissal would otherwise result, or simply
be informed that a serious view is taken of the conviction, coupled with a
warning about future conduct.
6 The line manager is to inform the employee in writing that it is necessary to

consider the effect of the conviction upon his or her service with the
Department - draft letter is at Annex F-3. Normally, the facts of the case will
not be in dispute, having been decided by the court . However, the employee
is to be offered the opportunity to make representations and told that he or
she may have the assistance of a Trades Union representative or colleague
in support at the hearing . The employee should also be invited to seek an
interview with the W elfare officer.
7 After considering the employee's representations, the line manager, having

consulted the personnel officer, may dispose of the case d he or she can do
so under delegated powers or otherwise forward R to the appropriate
authority, with further recommendations for decision .
8 When considering the effect of a conviction the only availabie-penalties are

reprimand, when the Department needs to register its displeasure, dismissal,
when the employee can no longer be employed or trusted, or, exceptionally,
downgrading, where it is only in his or her present pay band/grade (or post-
see para 5) that the employee can no longer be trusted and there are
alternative posts available in a lower pay band/grade . For example, unless
there is aRematlve and suitable work available, the Department has no option
but to dismiss a driver who loses his or her licence as the result of a
conviction.
9 In some cases involving criminal conviction consideration may need to be

given to bringing departmental charges in addition but only where they refer
to discipfinary matters not dealt with by the court.
10 Imprisonment
As soon as it is known that an employee has received a custodial sentence,
the Personnel Manager must contact CP ER Conduct Unit immediately to
discuss whether the contract of employment may have been frustrated or
repudiated . The Conduct Unit will seek the views of the Legal Adviser as
appropriate .
11 If frustration of contract is ruled out, the normal procedures for considering

the effect of a conviction should be followed. Before any letters are sent to
the employee the personnel officer should contact the prison governor to
explain the Departments position and to establish whether the prisoner could
attend a departmental hearing outside the prison or, if suitable facilities could
be provided, inside the prison . The personnel officer should also ask whether
it would be possible for a Trades Union representative or colleague to visit
the prisoner to help with the preparation of the prisoner's defence, and
explain that the Welfare Officer (who should be contacted before the
approach to the governor and named in the contact with the governor) will be
in touch separately to arrange a mutually convenient time to visit the
employee .
Volume 6 Discipline
w~ ~~ 12 à 14 ~---
Annex F
Arndr 8
12 If the prison governor will not allow the employee to attend a departmental
hearing, the employee should be invited to forward any representations which
he or she wishes to make in writing. He or she may also nominate a Trades
Union representative or colleague to present any points he or she wishes to
make at the hearing .
13 A draft letter from the line manager to the employee is at Annex F-4. The
prison governor should be asked to ensure that this letter is given priority .
14 A draft letter to be used in cases of dismissal for repudiatory conduct is at

Annex F-5 . °
Annex F
Annex F-1
Court observer's role
Amdt 4
Annex F-1 Court observer's role

a
1 An employee charged to appear before a criminal court must inform the line
CONDUCT manager . The line manager must arrange for a suitable officer (not below
pay band D or equivalent level and normally from the personnel staff) to
attend the court hearing as an observer. This annex explains the role of the
observer.
2 What to say in court '

The observer is neither a witness nor a representative of the Ministry of
Defence. Although not called upon to give evidence, the observer may,
exceptionally, be called upon in court. If that happens, these are the
responses that should be made:
" If the court enquires whether anyone is present from the MOD, the
observer should say'Yes'. If asked why, the response is'f am here to
make a report to my Department' .
" If the court asks about the Department's attitude to the case or to the
accused, the reply is: 'I have no authority to make any statement on
behalf of the Ministry of Defence'.
If the court presses, the observer should truthfully answer any questions
answer any questions, emphasising that he or she is answering a personal
capacity with no authority to comment on behalf of the Department.
" If asked to give evidence in the witness box the observer should respond
only as above. Since it would be irregular to 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.
3 Taking notes 11
Taking notes before the verdict may be prohibited by the court. The observer
should consult the derk of the court if he or she decides that such notes need
to be taken . The observer may not be allowed to take notes out of the court
room until the case is complete .
4 The press
Under no circumstances should the court observer speak to the media either
inside or outside the court.
Vo0.rne 5 Discipline
V'V~ ob ~ z~ 0 I4--]
Anrrex F1
Court observer's role
Annex F-2
Private life conviction
Annex F-2 Private life conviction rwe~
' Either
1. On( ..date.. .]youreported your conviction atf . .nameorcoud ...) onf ..data ofoonvrcuon..jfor
[_offence...]. °
' Or
1. I have been informed that on r. .date ...) you were convicted of [ . .offence ..I.
2. Your conviction falls into the category of private-Iife convictions for which the
Department may exercise its discretion not to award a formal disciplinary penalty. In this case
the facts of your conviction will only be noted on your personal file but you are warned that
should you come to notice again the consequences are likely to be more serious.
Copy to:
Personnel Office
Security
' select which is appropriate
ro be used IoAOwing a first Nme convicBon whlch does nor fmpinge on dre employer/ennpfoyee
refafionship.
Volume 5 Disdpiine
Annex F-2
Private Irfe conviction
Annex F-3
Conviction/hearing
Annex F-3 Conviction - notification of hearing nrote ~
' Either
1. Thank you for your letter [ ..dated ..1 reporting your conviction for r ..onence..j.
' Or
1. I have been informed that on (...dare...)you were convicted of r...offerze...).
2. In accordance with paragraph 11.4 of Chapter 2 of MOD Personnel Manual,

volume 5, 1 am required to inform you that it is necessary for the Ministry of Defence to
consider the effect of this conviction upon your career. I should emphasise that the object of
this action is not to reconsider guilt or innocence, about which a judgement has already been
made by the Court .
3. You may wish to make representations before the MOD considers your conviction . A
hearing has been arranged for (.. .dera~sofdate, urne, focanon, hearing ofrncerandpersonner
representatives...j. It is in your interest to attend . At the hearing you are entitled to the
assistance of a recognised Trades Union representative or a colleague. You may consult the
Welfare Officer who is (.. name, address, telephone number...].
Copy to:
Personnel Office
Security
Welfare OfficeF
To be used folbwing a first Nme comicllm whwh Impinges on the employer/empbyee re7aGonalvp.
~~JIZ~a~~ 1
Volume 5 Discipline
Annex F-3
Conviction/hearing
Annex F-4
Custodial sentence
Annex F-4 Criminal conviction - custodial sentence
1. I have been informed that on (...dare...] at (_.name olCourt ..] you were convicted
of . ] and sentenced to f.senrenoe...).
.offence
(
.
2. In accordance with paragraph 11 .4 of Chapter 2 of MOD Pprsonnel Manual,

volume 5 (copy attached) I am required to inform you that it is necessary for the
Ministry of Defence to consider the effect of this conviction upon your career . I
should emphasise that the object of this action is not to reconsider guilt or innocence,
about which a judgement has already been made by the Court.
' Either, if the prison governor will allow attendance at a hearing .
3. You may make such representations as you wish and you have 15 working
days in which to submit them to me in writing. [You may have the help of a colleague
Note' or representative of a recognised Trades Union when preparing your reply and you
will be afforded the facilities for doing so] . Alternatively, as the prison governor has
agreed that you may attend a hearing you may, if you wish, present your case orally .
Should you require a hearing you should make your request within 10 days, in reply
Note' to this letter. [In such a hearing you will be entitled to the assistance of a colleague or
representative of a recognised Trades Union]
' Or, if the Prison Govemor will NOT allow attendance at a hearing .
3. You are now given the opportunity of putting forward any representations
which you wish to make and you are required to submit them to me in writing by
r..dare, allow te worlctng days...]. [You may have the help of a colleague or representative
Note' of a recognised Trades Union when preparing your reply and will be afforded facilities
for this] . Alternatively, or in addition to submitting written representations, you may
appoint a colleague or representative of a recognised Trades Union to present any
points you wish to make at a hearing . Would you please let me have the details of
any person who will act as your representatives .
4. I am arranging for the Welfare Officer [..name, address, telephone numner.. .J to visit
you.
Copy to:
Personnel Office
Security
Welfare Officer
Inolude the senfences m square brackets d Cw prison morwill allow dws activity
~ L-.
Volisne 5 Discipline
M a)\
Annex F4
Custodial sentence
Annex F-5
Repudiatory conduct
Arrrdt 4
Annex F-5 Dismissal letter - repudiatory conduct Note
1. On [...date.. .I I wrote to you informing you that it would be necessary for the
Department to consider the effect on your career of your conviction and imprisonment
for [... .... ...].
2. 'All aspects of the case including your reply dated f . .date ...f "The evidence put
forward at the oral hearing on f...date...] have/has been given very careful consideration
but it is clear that your conduct has fallen well short of the standards expected of a
Civil Servant and that you can no longer be trusted as an employee . Therefore you
are dismissed with effect from the date of this letter due to your repudiatory conduct.
(For employees with at least one year's service, and under pensionable age)
3. You have a right of appeal to the Civil Service Appeal Board . You must
lodge your appeal within 3 months of the date of your dismissal. I enclose a copy of
Annex 1-2 of MOD Personnel Manual, volume 5 setting out in detail the procedures
which should be followed . I recommend that you should read this Annex .
or
(For employees with less than one year's service)
3. As you have been employed for less than one year you do not have the right
of appeal to the Civil Service Appeal Board. You do, however, have the right of
appeal under the procedures set out in the attached copy of Section 9 of the MOD
Personnel Manual, volume 5. If you wish to make such an appeal you should forward
nbte 2 it to me within 10 working days.
Copy to :
Personnel Office
Security
Welfare Officer
i
Personnel Often; are to consult CM(lRBC) CU where there is a duttodal sentence.
2
This period mey be extended r7 the prfsaWetentim centre only allows dmded correspatdence .
Volume 5 Discipline
rj~ OJ'Z.. .~~I~~

Anraex G
Police cautiorts
Annex G-1
Police caution
Annex G-1 Report of a police caution rvote ~ ane=
* Either
1. On f. .date..]you reported your police caution for [ . .onence.. ].

* pr
1. I have been informed that on . ] you received a police caution for [ .........].
.-date
f
.
2. Your caution falls into the category of private-Iffe offences for which the Department
may exercise its discretion not to award a formal disciplinary penalty. In this case the facts of
your police caution will only be noted on your personal file but you are warned that should you
come to notice again the consequences are likely to be more serious.
Copy to:
Personnel Office
Security
This draft is appropnate arty for a poke caution whlch does not unpinge upon the
ernployer/employee relatronship.
2
Where a police caution was for an offence againat the MOD fhe disciplinary procedurrns are to be
used.
Volume 5 Discipline
wAob1Z~ 0 k 5 -~
Annex Gi
Police caution
Annex H
Decisions and penalties
Amdt 7
Annex H Decisions and penalties

1 Section 8 describes the procedure to be followed when the hearing officer

has submitted a report and recommendations to the manager who issued the
charge letter . The person who takes the decision whether the case is proven
and who awards the penalty is the deciding officer. This annex sets out the
level of decision making which is appropriate for certain penalties and offers
more guidance on the award of suitable penalties.
2 Level of decision making

The deciding officer:
" must be at least 2 pay bands/grades/ranks above that of the offender,
" must not be the immediate line manager in cases of dismissal .
Members of the Senior Civil Service, Service officers no lower than Captain
(Snr) RN, Brigadier and Air Commodore may award the full range of
penalties . They must also decide in cases where the normal penalty is
disrnissal or downgrading even where there are mitigating circumstances a
lesser penalty has been recommended . Deciding Officers must take advice
from a personnel officer at pay band C or equivalent level or above before
awarding the penalties of dismissal or downgrading .
Penalties less than dismissal and downgrading may be awarded by a civilian

or Service line manager at pay band 82 or equivalent level and above having
taken advice from a personnel officer at pay band C or equivalent level or
above .
3 Penalties
The circumstances in which each penalty may be appropriate are set out
below. A letter along the lines of those at Chapter 3, Annex H-1 or
Chapter 3, Annex H-2, should be used to inform the offender of the penalty
and the right of appeal . In reaching their decision, deciding officers should
consider each case on its merits, taking due account of precedents . The
treatment of disciplinary offences may be affected by a number of factors,
including mitigating circumstances and the previous disciplinary record of the
individual . Except for very serious offences where a final warning would
normally be given, no account will be taken of an earlier offence after a lapse
of 3 years from the award of the last penalty .
4 The penalties described below should be escalated when an individual

continues to commit disciplinary offences, even where these are of a different
type . The essential point is to give clear warnings on each occasion of the
consequences of coming to disciplinary notice in future . This is of particular
importance when a penalty of 10 days loss of pay is awarded and dismissal
is likely to be the next penalty on escalation .
5 The penalties are:
Reprimand. A reprimand, as well as being the first penalty on the

disciplinary ladder, is a sharp rebuke . In order to convey the
DepartmenYs displeasure, the written reprimand should be handed to the
individual at the interview during which the severity of the penalty must
be emphasised_
vawie s oiseiptme
rno~~A 2~~O is 5
Arinex H
bbcisibns and penalties
Arndt 7
" Restitution . A monetary payment by way of restitution in whole or in part,

for culpable loss of or damage caused by the offender to public funds or
property (including where this has resulted from acts of fraud or making
false claims) . Such restitution may be effected by the Department by
means of deductions from the employee's pay. The employee must be
consulted with regard to the method of payment. Restitution should not
be awarded as a stand-alone penalty . It should be awarded, where
appropriate, in addition to any other penalty.
" Loss ofpayfor one, five or ten days. It would be appropriate to award a
loss of pay penalty when an individual continues to commit disciplinary
offences. One days loss of pay would be appropriate on the first
occasion, escalating to 5 days on a second occasion, even for a different
offence, and 10 days on the third. On each occasion it is essential to
give a clear warning of the consequences of coming to disciplinary notice
in future . When a penalty of 10 days loss of pay is awarded, this must be
accompanied by a final warning that any further offence is likely to result
in dismissal. Where the first offence is particularly grave, a loss of pay
for 5 or 10 days may be appropriate .
Downgrading, with a ban on promotion for X' years. The period of the
ban on promotion should not exceed 3 years. There will be no automatic
right to promotion at the end of the period of the ban. This penalty would
be appropriate for offences which have shown the offender to be
unsuitable for continued employment in his or her present grade while the
offence is not sufficiently serious to warrant dismissal . For example, he
or she may have been found to be unreliable or untrustworthy for the
higher grade or have shown that he or she is unfitted to exercise
satisfactory supervisory control over subordinates . Downgrading shall be
by one pay band only. Those within a broader banded group shall
downgrade to the lower pay band within that group, eg in group C, C1
would downgrade to C2. A C2 would downgrade to D. In general
disciplinary downgrading may always be carried out even where the
individual has not previously served in the lower pay band/grade - eg a
direct entry pay band D or equivalent level may be downgraded to pay
band Et or equivalent level. Downgrading into an industrial grade is not
an available penalty for a non-industrial grade, unless the individual
previously served as an industrial. Before the penalty of downgrading is
awarded the personnel officer must confirm that a suitable post is
available.
Dismissal
Gross Misconduct. Dismissal is an appropriate penalty where the

employee has, by his or her actions, broken the trust necessary in an
employer/employee relationship . Some offences are so serious that,
although each case must be considered on its merits, dismissal will
nearly always be the appropriate penalty, even without previous warning
for a first offence. Examples of some of the most common disciplinary
and criminal offences which come within the gross misconduct category
are listed in pare 2.6 of Chapter 3, Annex A-2 of this volume.
It is important that the policy on gross misconduct should be applied

consistently throughout the Department. Only very exceptional factors,
such as duress or coercion or diminished mental competence, should be
entertained as possibly justifying a lesser penalty than dismissal .
Ignorance of the regulations, custom and practice, low value of fraud and
Volume 5 Discipline
N,Vt,~~ G.ii 01b

Annex H
stmdt 7
a record of long and good service should not be accepted as mitigating

factors to justify a penalty less than dismissal .
" Criminal Convictions . Where an employee is convicted and

imprisoned, this may lead to dismissal depending on the nature of the
offence . See Chapter 3, Annex F, paras 10 to 13.
Escalation of Disciplinary Penalties . Where an offence does not fall

into the category meriting dismissal for a first offence, dismissal may be
justified by the previously disciplinary record, following escalation of the
disciplinary penalties . Dismissal will only be regarded as fair if the
Department can demonstrate that the employee was given a clear and
final warning of the consequences of coming to further disciplinary notice.
The penalty of 10 days loss of pay, immediately preceding the offence for
which dismissal is being considered must, therefore, be accompanied by
an unequivocal final waming that any further offence is likely to result in
dismissal . The periods of notice to be given in such cases of dismissal,
following an escalation of penalties, is contained in Annex H-2.
6 Loss of superannuation benefits

The Treasury exercises the power under rule 8.2 of the Principal Civil Service
Pension Scheme, to withhold the superannuation benefits in whole or part if a
civil servant or former civil servant is convicted of:
" one or more offences under the Official Secrets Act 1989 for which the
person concerned has been sentenced to a term of imprisonment of at
least 10 years or has been sentenced on the same occasion to 2 or more
consecutive terms amounting in aggregate to at least 10 years; or
" an offence in connection with any employment to which the PCSPS

applies, being an offence which is certified by a Minister of the Crown
either to have been gravely injurious to the State or to be liable to lead to
serious loss of confidence in the public service .
Further details are contained in Annex 4.5A of the Civil Service Management
-Code .
Annex H
Annex H-1
Penalty letter
Amdt 8
Annex H-1 Penalties less than dismissal
Note ' 1. On f._date...) I/Mr or Mrs f...name...) wrote to you 'charging you with the
disciplinary offence of (..........]'informing you that it would be necessary for the
Department to consider the effect of your conviction for 1........ Ion your career.
(Departmental disciplinary offence paragraph)
2'. All aspects of the case [including the evidence you put forward at the
Note ' oral hearing on I..date.. .1] have been given very careful consideration but you have
been found guilty as charged . I have therefore decided that you should be awarded a
penalty of I ........1.
OR
(Criminal court conviction paragraph)
2'. All aspects of the case including the evidence you put forward at the oral
hearing on (...date...] have been given very careful consideration but it is clear that your
conduct has fallen short of the standards expected of a Civil Servant . It has
Note ' therefore been decided that a penalty of ( . .....)be imposed .
3. You are warned that should you come to disciplinary notice again, regardless
of the type of offence, the consequences may be more serious .
OR
Note 4 3. You are given a final unequivocal warning that should you come to
disciplinary notice again, regardless of the type of offence, the consequences will be
more serious and is likely to result in your dismissal.
4. You have a right of appeal against this decision and/or the penalty awarded
in accordance with Section 9 of Chapter 2 of MOD Personnel Manual, volume 5. If
you wish to appeal you should forward it to me within 5 working days of receiving this
letter.
To be used for drsaplinary offences and crirrdnal court cnrrvwMons which Impinge on
employer/enployee relationships
.
2
Inappropnate if the offender has accepted the charge and requested that the case should be
disposed of without a heaAng.
3
See Chapter 3, Annez F, para 8 for guidance on an appropriate peialiy.
4
This waming should be included oniy where a penalty of 10 days loss ofpay has been awarded
and, as a result of escalation, any subsequent offence is Way to result in dismIsSat
Volumes Discip"ne
(noi~ ~ z~ `~ ~ b 3
Annex H-1
Penalty letter
Arndf 8
5. Please sign the attached copy of this letter as acknowledgement of receipt

and return it to me. A copy of this letter will be placed on your personal file.
Copy to:
Personnel Office
Security
W elfare Officer
` select which is appropriate
volwne 5 Discipline
VIA 0b [ 2~bI6 4
Annex H-2
Disrnissa[ letter hnex HJ
19 Officer
Amdt 6
AV ,ex H-2 Dismissal letter
Note i
1. 'On f.. date...] Mr or Mrs f...narne...]wrote to you *charging you with the le of
disciplinary offence of (......... .]'informing you that it would be necessary for the
Department to consider the effect of your conviction for (.........] on your career. '
ficers
(Departmental disciplinary offence paragraph) o
2. All aspects of the case including the representations you made at the oral I ntations
hearing on (...date...] and at your interview with me on (..dare...] have been given very
careful consideration but you have been found guilty as charged. I have decided that
your conduct has fallen well short of the standards expected of a Civil Servant and w you
that you can no longer be trusted as an employee . You are therefore dismissed from igue
(...date ..]. Note 2 and 3. t me and
or ing for
(Criminal court conviction paragraph)

hearing
2. All aspects of the case including the representations you made at the oral I ince with
hearing on . .date
[
. ] have been given very careful consideration . I have decided that you.
your conduct has fallen well short of the standards expected of a Civil Servant and
that you can no longer be trusted as an employee. You are therefore dismissed with me to
effect from (. date...]. Notes 2 and 3.
(For employees with at least one year's service, and under penslonable age)
3. You have a right of appeal to the Civil Service Appeal Board. If you wish to
appeal you must register your appeal within 3 months of the date of your dismissal .
I enclose a copy of Chapter 3, Annex I-2 of MOD Personnel Manual, Volume 5 setting
out the procedures which should be followed . I recommend that you read this
carefully.
ING or
(For employees ineligible to appeal to the CSAB)
'Select which is appropriate .
3. As you have been employed for less than one year you do not have the right
of appeal to the Civil Service Appeal Board. You do, however, have the right of
appeal under the departmental appeals procedure set out in the attached copy of
Section 9 of MOD Personnel Manual, Volume 5. I'recommend that you read this
carefully . If you wish to make such an appeal you should forward it to me within
5 working days .
nvictions
he date ofthe
d is awarded
on of
AnnexH-4
Guidance Notes
Amdt 6
Annex H-4 Interview by the Deciding Officer - Guidance Notes

Reason for Interview
1 Before deciding whether to dismiss an employee, the Deciding Officer must
be satisfied that the Departments 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 or she wishes, to make
final representations in person to the Deciding Officer before any decision is
reached .
When should an interview be offered?

2 The Deciding Officer 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 Officer .
" Disciplinary cases in which the Deciding Officer is minded to dismiss,

contrary to the recommendation of the Hearing Officer.
3 An employee is not obliged to accept the offer of an interview, but if he or she

chooses to they may be accompanied by their Trad6s Union representative
or a colleague .
4 The interview should be offered as soon as the Deciding Officer has received
and initially considered the Hearing Officer's recommendation, but before he
or 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 .
5 At the same time as the offer of an interview is made, the Deciding Officer
should also provide the employee with a copy of the Hearing Officer's
findings and any comments on these by the line manager. In this way the
employee will be able to make properly informed representations to the
-Deciding Officer .
Those present at the interview

6 - Deciding Officer
- Employee
- Personnel Manager (at least Band C level)
- Employee's Trades Union representative or colleague (if requested)
- Notetaker .
Conduct of the Interview

7 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 Deciding Officer and the
Personnel Manager to ensure they are maintained.
8 A record of the interview will be taken (by a notetaker rf 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 .
Mvb ~ Zlo~b-1
Volume 5 Diseipiine
Annex H-t
Guidance Notes
Amdt 6
9 The Deciding Officer should confirm that the employee has seen a copy of
the Hearing Officer's findings .
10 The Deciding Officer should make clear that he or she has considered all the
details of the disciplinary case, including the record of the hearing, the
Hearing Officer's findings, and any comments on these by the line manager
but has yet to make a final decision. The interview is therefore the last
opportunity for the employee to make any final representations.
11 If new evidence is put forward by the employee, it should be taken into

account as appropriate by the Deciding Officer. If the Deciding Officer
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 Deciding Officer considers ft
necessary, the disciplinary hearing should be reconvened, particularly if it
becomes clear that further witnesses need to be called .
Decision
12 The Deciding Officer should make his or 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 . .
13 In reaching a decision the Deciding Officer must also take advice from the
Personnel Manager . The Deciding Officer should record, in writing, the
reasons for his or her decision . These will need to be disclosed by the
Department in the event that a decision to dismiss is the subject of an appeal.
The Deciding Officer will be expected to defend their decision in person at
any resulting CSAB or ET.
14 The Deciding Officer should, wherever possible, convey his or her decision to
the employee in person and at the same time confirm it in writing and if
dismissal is appropriate, should use the model letter at Annex H-2 .
voHrne 5 Discipline
ol)l z ~01(3 2
Annex H-5
Disciplinary Procedures
Arndt 6
Annex H-5 Disciplinary Procedures - Key steps and target

times
Key Steps Target
1. Issue of charge letter .
2. Complete disciplinary hearing . Within 20 working days of date

of charge letter.
3. Record of Hearing completed. Within 15 working days of

Hearing.
4. Hearing Officer's findings submitted to Within 5 working days of

Deciding Officer. agreement to record of Hearing .
5. Deciding Officer's interview (cases Within 10 working days of

where dismissal is being considered) . receipt of Hearing Officer's
f'indings.
6. Decision made and notified . Within 10 working days of

Deciding Officer's interview or
receipt of Hearing Officers
findings .
Annex H-5
Disciplinary Procedures
Annex l
Appeals
Amdf 8
Annex I Appeals to the Civil Service Appeal Board (CSAB)

and Employment Tribunal
1 Appeals to the Civil Service Appeal Board (CSAB)

An employee is eligible to appeal to the CSAB ff they have been employed
continuously in the Civil Service for at least one year and meet the qualifying
criteria set out in Chapter 3, Annex I-2 . They must be told of this right in the
letter giving formal notification of their dismissal . A copy of Chapter 3,
Annex I-2 must be given to the employee with the letter of dismissal. An
appeal to the CSAB must be submitted within 3 months of the effective date
of dismissal .
2 The officer who made the decision to dismiss and the personnel officer
responsible for advising this officer will be responsible for defending the
Department's position at CSAB (see paragraph 7 below) .
3 On receiving notice of an appeal, the Secretary of the CSAB will

acknowledge receipt to the appellant and will inform the Department of the
appeal . The CSAB w! contact the TLB concerned, forwarding a copy of the
appellant's initial statement, a proforma for completion with the appellant's
personal details and a Guidance Note for Departments . Much of the
following is in amplification of the Guidance Note.
4 The CSAB will subsequently forward a copy of the appellant' s statement (or
advise that he or she does not wish to add to the initial statement) and ask for
the Department's statement to be submitted within 21 days. Failure to meet
this timescale without reasonable cause is unacceptable ; it is not only unfair
to the appellant but also reflects badly on the competence of the Department.
In preparing the Department's statement the following points must be taken
into account, as the result of the appeal could turn on any one of them :
" The departmental submission should cover all the relevant points - if the
' Department, for example, fails to say that it took an illness, or a
bereavement, into account, the CSAB may well assume that it did not,
and that this failure rendered the decision to dismiss unfair.
" The Department must be careful not to cover up technical or procedural

flaws or omissions in a case or to withhold any relevant documentation .
" The departmental submission must be factually correct-supported by

documentary evidence wherever possible -succinct and unambiguous .
" A well-presented statement speaks for itself; it not only creates a

favourable first impression with the Board but eliminates the need to
rehearse orally before the Board the disciplinary and administrative
measures taken.
All papers, including, normally, Internal submissions, the disciplinary hearing

report and the hearing officer's recommendations, have to be submitted by
the Department in support of its statement, (but see paragraphs 5 and 6
below regarding the disclosure of medical and welfare reports) and will be
made available to the appellant. The CSAB is entitled, subject to constraints
vohme 5 Discipline
~o~~Z .~ C~1~1 1
~Annex 1
Appeals
Arndt B
of security, to demand to see any management documents which it considers

relevant and the appellant or his or her representative can ask to see any
such document, including a medical or welfare report, which has been made
available to management. Police-in-Confidence reports may not be disclosed
without prior authority of the MDP .
5 A copy of any communication between a medical adviser or welfare officer

and the employing department which has been taken into account in reaching
a decision which is the subject of an appeal should accompany the
Department's statement and will thus be given to the appellant . Confidential
medical and welfare documents which have been communicated to the
Department but have not had a direct bearing on the decision should not be
referred to in the Department's statement but if, as background information,
they may be useful to the Board, copies should be sent to the Board in a
separate folder indicating that they are for the Board's information only.
6 Medical and welfare notes and persona) records which have been kept
exclusively for medical or welfare purposes and have not been
communicated to management should not be sent to the Board . It there are
special circumstances rendering it undesirable to disclose documents to the
appellant which would usually be disclosed, the Board should be consulted .
If an appellant has asked for a document which the Department refuses to
disclose, the reason for the rejection should be given to the Board by letter.
7 After receiving the Departmenfs statement, the CSAB will fix a convenient
date for the hearing . The appellant may decide not to appear in person, in
which case the CSAB will consider the appeal on the basis of the written
evidence and no representative of the Department will attend. Otherwise the
Department must be represented by 2 officers. One must be the deciding
officer or, exceptionally, a senior fine manager with an Intimate
knowledge of the working environment of the appellant and the events
leading to the dismissal. The other must be the personnel officer at not
less than Band Cl from the Personnel Management Authority which advised
the deciding officer. The personnel officer will be responsible for preparing
the Department's statement . The secretary of the CSAB will need to know in
advanc8 the names of the Departmental representatives.
8 In making their oral submission to the Board, the Department's

representatives are advised to keep the following points in mind:
+ OveraH summary. The Board already has the substance of the

DepartmenPs case before it in the written submission ; what is needed Is
a brief overall summary of the Departments position .
" Straightforward approach. Experience suggests that it is best to adopt a

straightforward approach before the hearing and to stick to ii ; in general
all the Department needs to show is that it acted as a reasonable
employer towards the individual whom it could no longer employ because
he or she had destroyed the position of trust necessary between
employer and employee or had made him or herself otherwise
unemployable.
" Focus on main issue. Avoid undue discussion or over-lengthy rebuttal of

side-issues raised by the appellant (eg a)legations of past victimisation,
or detailed discussions of medical factors, or long and meritorious
service, or other disciplinary cases) which may serve only to obscure the
main issue ; the Department's position should be that it can demonstrate
Vodxne 5 Discipline
VIA 61) 1 Z, ~ o I -~ Z
Annex l
Appeals
Amdt 8
as far as possible that these factors were taken into account at the time
of the decision or, if they have been raised since that time, that they have
been carefully examined and considered arid, had they been raised at
the time, they would not have led the Department to after its position .
" Honesty. If there have been technical omissions or procedural flaws (for
example, the documentation of warnings has been poor, or the case has
been the subject of undue administrative delay) no attempt should be
made to hide these; they will more than likely be spotted and could put
the Department unnecessarily on the defensive . They should briefly be
discussed or mentioned (for example "1 am afraid there are some minor
technical omissions/procedural flaws on the part of the Department in this
case and these are very much regretted") and it should be made clear
that they were taken into account at the time of the dismissal decision
and were considered not to be sufficient, in themselves, to make the
dismissal unfair .
" Awareness of Service involvement. The Department's representatives

should be aware of the action taken against Service offenders involved in
the same disciplinary offence as the appellant in the event of this issue
being raised during the proceedings .
9 The Chairman and the other Board members will then question the
Department's representatives . Before drawing the hearing to a close, the.
Chairman will give the appellant or his or her representative another
opportunity to speak . Soon after the hearing, the CSAB will send the
appellant a letter notifying the outcome of the case. It will be copied to CP
ER CU and to the Department's representative . Copies of the CSAB's report
will follow as soon as it has been completed - usually within 2 or 3 weeks.
10 If the CSAB decide that dismissal was unfair they may recommend to the
Head of Department (PUS) that the appellant should be reinstated, re-
employed from a current date or that compensation should be paid . In some
cases the CSAB may conclude by a majority that the decision to dismiss was
fair. In these cases the appellant will be advised that he or she has 2 weeks
from the date of receipt of the Board's report to make a final appeal to the
Head of the Department before a final decision is made. In all of these cases,
CP ER CU will consult the TLB or agency before preparing advice for PUS on
the merits of the case and recommending the Department's response . The
TLB or agency must not take any action to reinstate or re-employ the
individual unless and until approval is given by PUS .
11 If PUS does not accept the CSAB's recommendation of reinstatement or re-

employment, the question of compensation and the amount awarded, if any,
will be decided by CSAB having taken account of the Department's views on
the degree of the appellant's culpability. Once notified, the TLB will be
required to make payment . No compensation will be paid where a dismissal is
fair by majority and PUS declines to uphold a final appeal to him .
12 Costs
The following costs will be paid by the Department for attendance at a Board
hearing :
" Travelling and subsistence expenses of the appellant, of any civil servant
assisting the appellant, and any non-civil servant (other than a full-time
Annex l
Appeals
Arndt 8
Trades Union representative or solicitor or barrister) who, with the

Board's agreement, attends with the appellant.
" Loss of earnings incurred by the appellant and by any non-civil servant
(other than a full time Trades Union representative or solicitor or
barrister) who, with the Board's agreement, attends with the appellant .
13 Complaint to an Employment Tribunal

The Employment Rights Act 1996 and the Employment Rights (NI) Order
1996 prescribe the right not to be unfairly dismissed, the meaning of unfair
dismissal and those excluded from its provisions because of age or length of
service, the remedies for unfair dismissal, the amount of compensation and
interim relief available to a complainant Booklets dealing with unfair
dismissal (and other aspects of this employment legislation) are available
free from the Department of Trade and Industry; they provide a useful insight
to the Act.
14 Provided that an employee satisfies any statutory prescribed qualifications

about age and length of service and meets the time limit similarly imposed
(3 months from the date of dismissal), he or she may, in the event of his or
her employment being terminated, complain to an Employment Tribunal that
he or she has been unfairly dismissed. In determining this, it is for the
employer to show the reason for the dismissal and that the reason was one
of the five 'potentially fair' reasons set out in the Employment-Rights Act
1996. These potentially fair reasons are capability/qualfifications for the job,
conduct, redundancy, that to continue in the employment would be in
contravention of a duty/restriction imposed by statute, or 'some other
substantial reason' . Only conduct is relevant to the context of this Annex.
The employer must also show that it acted fairly in all the circumstances of
the case .
15 The complainant will have contacted the Employment Tribunal direct and the
Tribunal will subsequently contact the employer sending Forms IT 1 (the
'Originating Application' made to the Tribunal by the complainant), 2 and 3
(the 'Notice of Appearance') and a booklet on Employment Tribunal
procedures. The papers must be passed immediately to the personnel officer
responsible for dealing with the case. The booklet may be retained for use
locally. However the Form IT 3 should not be completed but should be
forwarded as a matter or urgency together with Forms IT 1 and 2 to the
Department's solicitor . In these circumstances, the relevant point of contact
will be the Treasury Solicitor, Queen Anne's Chambers, 28 Broadway,
London, SW1 H 9JL, for cases in England and Wales ; the Crown Solicitor,
Royal Courts of Justice, Belfast, 8T1 3JY, in Northern Ireland ; the firm of
Robson McLean, 28 Abercromby Place, Edinburgh, EH3 6QF, in Scotland .
The solicitor will prepare and file the Form IT3 (the 'Notice of Appearance' -
which contains the Department's defence) with the Tribunal. Personnel
Officers should note that once an Originating Application has been lodged
with an Employment Tribunal, papers should only be sent to the MOD Legal
Adviser if the case raises a matter of policy, or Departmental-wide concern .
If this is the case, a copy of the papers sent to the Treasury Solicitor (or the
Crown Solicitor or Robson McLean) should also be sent to MOD Legal
Adviser.
16 The Department has 21 days from receipt of an Originating Application in

which to file its Notice of Appearance . Although it may be possible to apply
for an extension of time to file the Notice of Appearance, this may not be
granted . Even if an extension is granted the Respondent may be liable to
volume 5 Discipline
rln O,b ~ z, ~ 01--I 4-

Annex l
Appeals
Amdt 8
costs d the Tribunal considers that the Notice of Appearance could have
been filed on time. The solicitor will advise whether such an application will
be appropriate, and if so, will write to the Tribunal requesting an extension of
time. Mere inactivity on the part of the Department will not be a sufficient
reason to apply to an extension. There must be a real reason why the Notice
of Appearance cannot be properly prepared within the 21 day period allowed .
On receipt of Forms IT 1, 2 and 3, it is essential therefore that the personnel
officer should immediately:
" Record the date of the IT1 and the date it was received .
" Collect together all of the papers relevant to the claim including the
personal files (or extracts from the files containing all of the relevant
papers), any internal investigation, disciplinary or grievance papers, any
contractual documents, any CSAB papers, and any advice given in the
case by the MOD Legal Adviser prior to the submission of the Originating
Application to the Employment Tribunal .
Provide a summary of the facts.
. Send all of this information to the appropriate solicitor, together with

details of the person who will be the contact (including name, address,
BT telephone and fax numbers) .
Ask the solicitor whether it is appropriate for the ACAS Arbitration

Scheme to be considered. (See paragraphs 27-30) .
17 The personnel officer of the complainant is the authority responsible for

instructing the solicitor to act on behalf of the Department and will have to
provide details of the complainant and his or her record of service together
with an accurate and cogent account of the circumstances which led to the
complainant's employment being terminated; each case will have to be dealt
with on its particular merits and circumstances . The relationship with the
solicitor requires a full disclosure of the facts regardless of whether they
support or otherwise the Departments case. The submission may or may
` not contain managemenYs lay view of the merits or otherwise of the case and
should normally conclude by asking the solicitor to consider the papers and
take steps to protect the Department's interests.
The Department's solicitor will then:
" Draft an IT3 (in respect to the IT1) and forward this to the Personnel
Officer for approval .
" If necessary, write to the Employment Tribunal asking for an extension of

time to file the IT3 .
" On receipt of the (amended) IT3 from the Personnel Officer, send it to the
Tribunal. The solicitor is dependent on the Personnel Officer returning
the draft IT3 with comments and any amendments of factual inaccuracies
in time to submit it to the Tribunal within the 21 day (or extended) time
limit
" In more complex cases the solicitor may ask Counsel to draft the IT3 .
Amdf 8
The solicitor should be asked to provide for departmental records a copy of

the appearance which he or she enters.
18 If the solicitor considers that the Department's case is unlikely to persuade

the Tribunal that the action taken against the complainant was fair he or she
will nevertheless usually enter the Notice of Appearance to protect the
Department's position should the case eventually go to a full hearing of the
Tribunal . He or she will, at the same time, discuss the matter with the
personnel officer explaining the options available, including the possibility of
settling the case, and seeking instructions on how the Department wishes
him or her to proceed. As a general guideline, the Department usually
accepts the legal advice given, but should not usually agree to settle out of
court where there is a reasonable chance of success in an individual case or
where the case has been considered by the CSAB and the Board decided
that dismissal was not unfair. There may also be particular cases where
policy decisions/wider Departmental concerns may mean that it would be
inappropriate to settle a particular case, or even to fight a case where, on the
facts of the individual case, there is a reasonable chance of success. In
cases where such policy concerns are at issue, MOD Legal Adviser and the
relevant central policy branch should be involved in the decision to settle or
fight the claim .
19 If instructed to negotiate a settlement the solicitor will usually do this through

the ACAS Conciliation Officer (see paragraph 20 below) . In ft event of an
'out of cout settlement being pursued, the legal advisers will liaise with the
Department as to the amount considered reasonable by way of settlement.
The solicitor will then attempt to negotiate a settlement (usually through the
ACAS Conciliation Officer) within the sum advised . When informed by the
solicitor that such negotiations have been successful, the personnel officer
should arrange for his or her TLB to make payment .
20 Shortly after the employing unit receives Forms IT 1, 2 and 3 they may
receive a telephone call from the ACAS Conciliation Officer enquiring
whether the Department wishes to use their services in reaching a
settlement. ACAS is required by the Employment Rights Act 1996 and the
Employment Rights (NI) Order 1996 to approach both parties in this way and
invariably should be referred to the personnel officer, who should advise that
the case is being/has been referred to the Department's solicitor and that if it
should subsequently transpire that we have need of their services, the
solicitor will contact them. If they ask for the name of our solicitor the
information should be given. The solicitor should also be provided with the
details of the ACAS Conciliation Officer. The Conciliation Officer has a useful
role to play in 'out of court settlements in that he or she will draw up a form of
agreement to settle and, perhaps more importantly, get the agreement
entered on the register at the Tribunal. Without such registration the
applicant's complaint is not necessarily legally settled. ACAS may also ask
whether the Arbitration Scheme has been considered
.
21 It the solicitor considers the Department has a reasonably good case he or

she will, in due course, liaise with the personnel officer, advise as to the date,
time and place of the Tribunal hearing and whom he or she wishes to call as
witnesses. This may be as soon as 6 weeks after the Notice of Appearance
has been lodged with the Tribunal. He or she will have to prepare witness
statements for use at the hearing and may visit the unit and take statements
from the witnesses prior to the hearing, or will need to be able to contact
v,n7nesses prior to the hearing, or will need to be able to contact witnesses by
telephone. The solicitor will also advise whether the Department should
apply for costs. The solicitor will usually instruct a barrister (Counsel) to put
Volume 5 Discipline
V~ÀoJ~z~or~(o
~(o
Annex l
Appeals
Arndt 8
the Department's case to the hearing . In some instances, it will be necessary

for the personnel officer and witnesses to attend a 'conference' with Counsel
prior to the hearing so that he or she can discuss the finer points of the case.
22 After the Tribunal has announced its decision and the reasons therefore (the
Department's solicitor will provide a copy of the Tribunal's written decision),
administrative considerations of any consequence will arise only if the
Tribunal has found that the dismissal was unfair. Either party can appeal to
the Employment Appeal Tribunal against the Employment Tribunal's decision
but only on a point of law. The Department's solicitor will advise about this.
23 If the Employment Tribunal finds that the complainant was unfairly dismissed
it is required to ask the complainant whether he or she wishes the Tribunal to
make an order for his or her reinstatement (ie in his or her formerjob) or re-
engagement (ie in a broadly comparable job). If no such order is made, the
Tribunal may award compensation as follows :
Basic Award - this is calculated on the same basis as that used for
statutory redundancy payments and provides for a maximum of 30 weeks
pay (subject to prescribed maxima) depending on length of service and
age .
Compensatory Award - briefly this is of such amount as the Tribunal

considers just and equitable in all the circumstances having regard to the
loss sustained by the complainant in consequence of the dismissal
insofar as the loss is attributable to action taken by the employer . The
loss is taken to include any expenses incurred by the complainant and "
the loss of any benefit which he or she might reasonably be expected to
have had but for the dismissal . The compensatory award is currently
capped at £50,000 .
24 If the Tribunal makes an order for reinstatement or re-engagement and the

employer refuses to comply there will be a further hearing at which the "
employer will have to explain the reason for refusal . If that reason is not
accepted, the Tribunal may award, in addition to the Basic and
~ Compensatory awards, an additional amount of compensation of between 26
and 52 weeks pay, plus any loss of wages arising during the period of non-
employment prior to the making of the reinstatement order.
25 The TLB may, on the advice of the solicitor, approve settlement of the case
within the financial limits currently specified in the Employment Rights Act
1996 and the Employment Rights (NI) Order 1996 . It is usual in these
circumstances for the Department's cheque drawn in favour of the
complainant to be forwarded to the solicitor for onward transmission to the
complainant or his or her legal adviser as appropriate .
26 If a complaint to the Employment Tribunal which involves the MOD seems

likely to attract the attention of the national press, details of the case and the
date and place of the Tribunal hearing should be forwarded to Director
General of Corporate Communications .
27 ACAS Arbitration Scheme

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 .
Volume 5 Discipline
~MO~ ~ 2- Ò 1 ~l 1
Annex l
Appeals
Amdt 8
28 The ACAS publications relating to the new Arbitration Scheme can be found
at the ACAS web site www .acas ora .uk and copies can also be obtained
from:
The Arbitration Section ACAS Reader Ltd

ACAS Head Office PO Box 16
Brandon House Ead Shilton
180 Borough High Street Leicester
London SE1 1 LW LE9 8ZZ
Tel : 020 7210 3742 Tel : 01455 852225
29 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 PMA must contact Treasury Solicitor for advice on whether the ACAS
Arbitration Scheme is applicable and appropriate.
30 Where Treasury Solicitor considers that arbitration should be used, the PMA
will assist in obtaining the necessary signatures from the Deciding Officer and
the individual on the Arbitration Agreement and Waiver of Rights as required
under the Scheme. As for employment tribunals, the PMA shall be guided by
the Treasury Solicitor.
31 PMAs should advise the Conduct Unit of any cases where the ACAS
Arbitration Scheme has been used.
Annex I-1
Appeals -time targets
Amdt 8
Annex 1-1 Appeals stages and target times for their

completion
Penalty letter issued: Employee must appeal within 5 days
Appeal hearing arranged 10 days
Record of hearing drawn up 5 days
Employee given time to agree record 10 days
Hearing officer draws up recommendations for deciding officer 10 days
Deciding officer considers appeal and replies to employee 10 days
Employee submits appeal to TLB holder 10 days
TLB holder briefed by staff and replies 10 days
Employee submits final appeal to PUS 5 days
PUS briefed by CP ER CU and replies ; 15 days
Volume 5 Discipline
PA (3) 0 t^l5
Annex t-1
Appeals-time targets
Annex Ih2
CSAB appeals
Arndt 8
Annex I-2 Appeals to the Civil Service Appeal Board (CSAB)

1 The Civil Service Appeal Board (CSAB) is an independent appeals body. It
hears appeals against:
" dismissal for misconduct, inefficiency or on grounds of redundancy;
" early retirement;
" non-payment of discretionary compensation to civil servants dismissed

on inefficiency grounds;
" iefusal to allow participation in political activities ;
" forfeiture of superannuation .
2 An appeal to the CSAB will not preclude an employee from exercising the
right to appeal against unfair dismissal to an employment tribunal.
3 The Appeal Board consists of a permanent Chairman, or alternatively a

Deputy Chairman, and 2 members, one drawn from the official side panel
and one from the Trades Union panel.
All communicabons are to be addressed to:
The Secretary
Civil Service Appeal Board
11 Belgrave Road
LONDON
SW1V 1RB
(Telephone : 0171-273-6500) .
4 Who may appeal?

You may appeal to the CSAB if, at the date of termination of your
employment:
" you are UK-based ;
" the dismissal is not on medical grounds;
" you have been continuously employed in the Civil Service for at least one
year,
" you have not reached the minimum pensionable age;
" your employment is not being terminated at the expiry of a fixed-term

appointment in respect of which you have already agreed in writing that
you have no right of appeal ;
" you were not taking part in industrial action in respect of which: the
Department has dismissed all employees who were taking part in the
action at the same establishment at the date of dismissal ; and none of
those dismissed has been offered re-engagement within 3 months of the
date of dismissal ;
Volume 5 Discipline
~M o~ `2- ` C~ ! 8 i
Annex 1-2
CSAB appeals
Amdt 8
" you were not taking part in unofficial industrial action at the time of the
dismissal.
5 For the purpose of calculating length of service, to establish eligibility to

appeal to the CSAB, the period of continuous employment will end with the
effective date of termination of service, ie the day on which notice of
tennination expires except where the employment is terminated with less
than the agreed minimum period of notice (ie with pay in lieu of notice), in
which case the effective date of termination will be calculated as if the
minimum period of notice has been given.
6 Appeal procedure
If you intend to appeal you should write to the Secretary of the Board about
the intention to appeal either before the effective date of termination of
service, or within 3 months of that date. You should send a full written case
to the Board within 21 days of giving notice of the intention to appeal .
7 You are entitled, if you wish, to appear before the Board in person and to be
accompanied by a friend, colleague, or representative of your Trades Union
who may submit evidence on your behalf . If you exercise your right to
appear before the CSAB, the Department will also be invited to be
represented .
8 Proceedings are informal. The Chairman will explain the purpose of the
Board and at some point invariably make it clear that the Board is a
recommending body only and that it is a matter for the Permanent Head of
Department (PUS) to decide whether or not to accept the Board's findings
and recommendation . If this is not accepted, the Board will decide whether
or not to award compensation . The Chairmen will explain that the Board has
already studied the written submissions and will invite you or your
representative to state your case . The Board will then question you or your
representative . The Chairman will then invite the Department's
representatives to speak. You or your representative will then have another
opportunity to speak.
9 The Boafd will send you and the Department the result of the Board, and
later a Board report giving reasons for the decision. If they decide that the
decision to dismiss you was unfair, PUS will decide whether to take you back
into MOD employment. If they decide by a majority that dismissal was fair
you will have a further right to appeal to PUS . If the Board's recommendation
to re-instate or re-employ is rejected, the Board will award compensation . If
the Board find the dismissal unfair but do not recommend re-instatement or
re-engagement, they will award compensation . In all cases where
compensation is paid, the Board will invite you and the Department to make
representations if they consider that you contributed to your dismissal .
10 Non-award of discretionary compensation

If you are dismissed for inefficiency,
ency, but are not paid compensation under the
Principal Civil Service Pension Scheme (PCSPS), you may appeal separately
and subsequently to the Board against the decision on compensation. You _
must tell the Board of your intention to appeal:
" either within 21 days of the Board's report that dismissal was fair; or
" if not contesting dismissal, within 21 days of the effective date of

termination of service .
volurne 6 Discipline
'M0~~Z~o(8Z
Annex I-2
GSAB appeals
Amdt 8
If the Board decides that the decision not to pay compensation was
unjustified, the Department will arrange for payment to be made under the
provisions of the PCSPS.
11 Costs
The following costs will be paid by the Department for attendance at a Board
hearing :
Your travel and subsistence expenses and those of any civil servant or
non-civil servant (other than a full-time Trades Union representative or
solicitor or barrister) who attends the hearing with the Board's agreement .
" Your loss of earnings and those of any non-civil servant (other than a full-
time Trades Union representative or solicitor or barrister) who attends the
hearing with the Board's agreement .
{UfI18X I-2
GSAB appeals
Amdt 8
vaune 5 Discipline
rn ol` ?,~o 12+-

-Annex J
ApprenUces
Amdt 8
Annex J Apprentices
1 Apprentices enjoy a different position in employment law, and in the
ApaaENrncES Department, from other employees . This is because they are employed on a
contract of training and employment, the conditions of which depend on the
express terms of the "Deed/indenture of Apprenticeship" .
2 The Department's policy is that apprentices are subject to the same

disciplinary procedures as other employees . However, in the case of
apprentices :
" CPM IVT must be consulted at an early stage in cases which might result
in dismissal, and
CPM IVT must be consulted before a decision is reached to dismiss an

apprentice, and
" the parents or guardian of an apprentice, as co-signatory of the Deed/

Indenture of Apprenticeship, should be given copies of all formal
disciplinary action taken against an apprentice (warnings, outcome of
warnings, charge letters and penalty letters) and made aware of the
potential consequences of such action .
3 Although there is no probationary period as such, apprentices are in effect

regarded as being on probation for the first 50 week of their apprenticeship .
Line managers of the appropriate rank or grade have the authority to dismiss
apprentices who have served less than 50 weeks. Apprentices' rights of
appeal against disciplinary penalties are the same as those for other Civil
Servants .
Annex J
Appren8ces
Annex K
Welfare Services
Annex K Welfare Services

1 Experience in dealing with discipline cases suggests that there may often be
some connection between offences committed and the private life
circumstances of the offender (eg ill health, domestic strain or worry) and the
Department would be failing in its duty as a good employer if it did not seek to
establish as much as possible about the circumstances before taking
disciplinary decisions .
2 If the alleged offender claims that there are personal or health factors which
should be taken into account in mitigation he or she should be invited to seek
an interview with a welfare officer. If he or she has not approached the
welfare services the personnel officer is to call for a welfare officer's report in
all serious disciplinary cases, particularly those which seem likely to lead to
dismissal or downgrading, and in all disciplinary cases where the member of
staff pleads ill health or difficult domestic circumstances in mitigation.
Welfare reports should also be requested where there is any suspicion that
the individual may have an alcohol or substance problem. In cases of doubt
it is recommended that a welfare report should be called for. It should be
emphasised that the role of the welfare services is in all cases a purely
advisory one . The intention is to ensure that as much relevant information as
possible is known to management, so that the decision-making process may
be conducted from as well-informed a standpoint as, possible. It is also
important that welfare assistance is given as soon as possible, where an
employee's circumstances could be helped .
3 Where it is clear that a welfare report or a medical report will be necessary

before a disciplinary case can be considered, early action should be taken to
obtain the report, to avoid delaying consideration of the case later.
Annex K
WeNare Services
VoArne 5 Discipline
V1n d,~ 1 2~ 0 ~ '? B

Annex L
Secunty offences
Amdr 2
Annex L Security offences

(To be read in conjunction with Chapter 2, Sections 3 and 4)
1 There are three categories of offence relating to protectively marked assets :
Breaches - where security requirements have been disregarded, or

circumvented such that there has been actual loss and/or a high
probability of the compromise of sensitive material .
Contraventions - where security requirements have been disregarded,

or circumvented such as to place sensitive material in increased
jeopardy .
Lapses - where a security requirement has not been fully complied with
but this has not been such as to place CONFIDENTIAL or higher material
in increased jeopardy.
2 All apparent breaches and contraventions must be reported to the

appropriate Security Authority for investigation and assessment of their
seriousness . If the investigation identifies a culpable action by a member of
staff as a contributory cause, the Security Authority will inform the line
management concerned and give advice as to the apparent seriousness of
that action . On the basis of this advice, in conjunction with advice from the
appropriate grade or personnel management branch, line management will
take action in accordance with Chapter 2 of this volume . The personnel
management authority will advise the Security Authority of line
management's decision and action .
3 Lapses will usually concern only RESTRICTED material and will be dealt
with locally by BSOs and line management in accordance with JSP 440 .
4 Where there is any doubt about the category of the offence, the appropriate
security authority must be consulted .
Annex L
Security offences
Volume 5 Discipi"u*
Annex M
Report to CU
Amdt 8
Annex M Report to CP ER CU of disciplinary action taken

(including civil conviction action)
This report must be forwarded when the penalty letter or civil conviction notation letter has
been issued and should not be delayed pending the result of any appeal. The outcome of
each appeal should be notified in a short memo as soon as it is known.
2. Honours,
1. Mr/Mrs/Miss/Ms initials & surname awards, medals 3. Grade
4. Staff/
Pa Number 5. Establishment/Division 6. TLB
7. Descri ption of disciplinary offence include value of any loss)
8. Datepassed to MDP (if appropriate) 9. Date back from MDP
10. Date of charge letter 11 . Date of penalt y letter
12. Reasons if more than 2 months between dates in 10 and 11 above
13. Penalty awarded (tick box)
Dismissal Downgrading with ban on promotion for years

F] F]
Loss of pay for: days
Restitution Reprimand
FJ
Annex M
Report to cu
Amdt 8
14 . Factors taken into account indeciding penalties (eavielfare/medicaj)
15. Previous disciplinarylcivil conviction record (last 3 years only)
a. Offence b. Penalty c. Date of penalty
(continue on a separate sheet
16. Criminal convictions
a. Offence c. Sentence
b. Date of conviction
d- Departmental action taken
Name: ... . ...... ... . . .. .... ................. ...... . . ....... .. ...... ..... ..
Branch : ........ .... ...... . ...... ... .. . ...... ... ................ .... .. .. ..
Tel No: ... ........ ..... ..... ... . .... ..... . . . ..... ........ .... . ... .... . . ..
Date: ....... ... . ......... ............... .... . ..... . ... . ........... . . . .. . ..

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Revised July 2000

MOD Personnel Manual

The titles in the series are as follows :

Volume Title Reference

1 Series Guide PM1

2 Recruitment PM2a an6PM2b'

4 Promotion and Advancement PM4

6 Restoring Efficiency PM6

10 Training and Development PM10

11 Performance Appraisal PMII

12 Industrial Relations PM12

13 Equal Opportunities PM13

17 Senior Civil Service in MOD PM17"'

PM2b is supplied to Recruitment Authorities only.

Vol une 5 Discipline t;

Chapter 2: Disciplinary Rules and Procedures

Section 2: Delegated powers

Section 3: Minor offences

Section 4: Major offences

Section 5: Suspension from duty as a precaution

Section 6: The charge letter

Annex F-5 Letter - dismissal for repudiatory conduct

Chapter 3 contains detailed guidance on how to apply the rules and

Chapter i This is a reference to another part of this volume .

3 An index to the entire Manual is in volume 1, the series guide .

4 Regulations previously in MOD Manual 11, Chapter 15, MOD Manual 9,

6 The Headquarters division with responsibdrty for this volume is:

DCP ER Conduct Unit

AWOL Absent without leave

CP ER CU Civilian Personnel-Employee Relations Conduct Unit

CPS Crown Prosecution Service

CSAB Civil Service Appeal Board

D Def Sy Directorate of Defence Security

DINFOD Defence Information Division

MDP Ministry of Defence Police

PCSPS Principal Civil Service Pension Scheme

PPA Pay & Personnel Agency

TLB Top level budget

Volume 5 Discipline I ,-~ ' O ,^ .~

CONDUCT " has breached the Department's standards of conduct; e

" by his or her behaviour, action or inaction, has significantly disrupted or

" The purpose of the disciplinary procedures is to encourage good

" Action should not be delayed without good reason.

" Warnings must, H unheeded, be followed by disciplinary action.

" The accused must be allowed the assistance of a Trades Union

" All warnings, actions, and notes of conversations must be recorded on

volume 5 Discipline M ~ O ( '

A breach of discipline, particularly where there has been a criminal

" The reasons for the award of a penalty must be explained .

" Offenders must be allowed the right of appeal . Decisions on appeals

" The Employment Rights Act 1996

" The Employment Rights (NI) Order 1996

" The Sex Discrimination Act 1975

" Race Relations Act 1976

. Disability Discrimination Act 1995.

' ` OD) O°, i O O

Disciplinary Rules and

" delegated powers (section 2) ;

" minor offences (section 3);

" major offences (section 4);

" suspension from duty as a precaution (section 5);

" the charge letter (section 6);