Disciplinary Procedure -Levels of Misconduct

Examples of gross misconduct

Gross misconduct, which will result in the immediate referral of an adverse report to a Disciplinary Panel and may result in dismissal, is regarded as misconduct of such a nature that it fundamentally breaches the contractual relationship between the employee and the employer.

Examples of gross misconduct all of which may result in dismissal include:-

  • Stealing from the employer, members of staff, clients or the public, other offences of dishonesty;
  • Sexual misconduct at work;
  • Racial harassment of other employees, clients or members;
  • Actions which harm, or place at risk of harm, a child, young person or vulnerable adult
  • Fighting, physical assault;
  • Serious violation of the County Council's policies relating to conduct at work, e.g. anti-bullying policy, computer security policy, etc;
  • Falsification of a qualification which is a stated requirement of employment or which results in financial gain;
  • Deliberate damage to or misuse of the employers property;

Drunkenness or being under the influence of drugs at work, (note - the County Council's Policy Statement in respect of Drinking/Drug Abuse needs to be considered in these cases);

  • Serious and/or persistent infringement of the County Council's Smoke-free Policy;
  • Falsification of records or claims for personal gain etc;
  • Wilful disregard of health and safety regulations;
  • Serious negligence which causes unacceptable loss damage or injury;
  • Serious violation of catering hygiene regulations;
  • Intimidation of whistleblowers or witnesses to Hearings;
  • Other similar acts of misconduct may come within the general definition of gross misconduct.

It should also be noted that disciplinary action may be considered in relation to acts of misconduct which take place outside of work hours, for example, in instances of criminal prosecution and/or conviction/caution for such actions. The main considerations should be the relevance of the offence to the employee's duties and/or the effect on the contractual relationship with the employer and on clients/colleagues. Disciplinary measures will not automatically be appropriate in these instances.

County Council Code of Conduct (CCAP)

5. General Requirements as an Employee of LancashireCounty Council

As an employee of Lancashire County Council you must and you are required to:-

8. Maintain the confidentiality of confidential information obtained in the course of your employment. You must also not use any information obtained in the course of your employment for personal gain or benefit, nor should you pass it on to others who might use it in the same way. Guidance on the management of confidential information is available from your Senior Officer.

You should note that a breach of certain standards will be regarded as gross misconduct and could result in your dismissal from employment for a first offence.

Examples of gross misconduct include:-

Serious Violation of the County Council’s policies relating to conduct at work, e.g. anti-bullying policy, computer security policy, etc

Appendix 1 - Code of Conduct - Appendix on General Guidance, Legislative and Other Sources

(NOTE: This general guidance document is a supplement designed to aid implementation of the Code and the contents should be regarded as part of the Code)

2. Disclosure of Information

In certain circumstances employees may have a legal or professional duty to disclose information to a third party (for example, in the course of legal proceedings). Otherwise no officer shall communicate to the public confidential information obtained in the course of employment unless is categorised as public information required by law or expressly authorised to do so.

The Local Government (Access to Information) Act 1985, the Data Protection Acts of 1984 and 1998, and the Freedom of Information Act 2000, govern the basis on which members of the public may request access to information and documents and the basis on which information may be transferred between organisations. Employees should seek advice from senior officers if there is any doubt as to whether information should, or should not, be disclosed.
The Computer Misuse Act 1990 provides that it is an offence to gain unauthorised access to information stored on the computer. The County Council computer security policy can be found on the intranet.

Some aspects of media relations are now governed by legislation. In addition, reference should be made to the Code of Recommended Practice on Local Authority Publicity.

In general, employees acting in a personal capacity should not comment publicly on the council’s policy or a specific decision. In any circumstances where employees find it necessary to make public comment they should exercise prudence, discretion and properly recognise the fact that the Council is their employer. There will be grounds however for such comment in exceptional cases, eg. employees who are also recognised trade union officials, ie. branch officers and stewards, will from time to time be required to issue statements on behalf of their trade union commenting on any matter relating to the County Council.

Computer Security Policy (CCAP)

1 Introduction

1.1-The County Council expends a considerable investment in collecting and processing data which becomes an essential strategic resource. As more of the council's data is held on computers, these systems assume an increasingly vital role. Loss of such data can have a disastrous effect on the level of service provided by the council. The preservation and integrity of data, software and hardware therefore becomes crucial, and prudent computer users will wish to see that such loss or damage is prevented: that is the essence of computer security.

1.2 - Secure data processing is required for compliance with the following:

  • Data Protection Act 1998
  • Computer misuse Act 1990
  • Copyright, Designs and Patents Act 1989
  • Health and Safety at work Act 1974/Regulations
  • County Council Regulations
  • Insurance requirements
  • specific legislation covering departmental systems
  • EC Regulations

2 The Computer Security Policy

2.1 -The provisions of the Security Policy apply to all employees of the County Council as appropriate to their use of information technology.

2.2 -Line management is responsible for implementing and monitoring the security procedures contained in this statement. Staff who are responsible for and/or use computer equipment should be provided with detailed guidance on their responsibilities within this policy, in the form of written Departmental standards and Procedures for the secure use of computer systems.

2.3 -Directorates should have security procedures, which prevent or correct any interruptions in the proper functioning and availability of the computer systems. In particular, they should seek to prevent the loss of and unauthorised interference with:

  • Data
  • Software
  • Communications
  • Equipment
  • Confidentiality

These procedures should be documented and implemented.

NB Issues related to loss of HEALTH, LIFE AND BUILDINGS are addressed separately under the appropriate HEALTH AND SAFETY legislation and related County Council Policies.

Where there is uncertainty about application of the County Council's security policy in a particular situation, reference should be made to the Directorate Chief Officer or another officer nominated by him/her who will seek specialist advice if necessary.

3 Implementation

Successful implementation of the policy will be achieved through Chief Officers.

4 Operational responsibility for computer security policy

Chief officers will be responsible for ensuring that the policy is operated. Paragraphs 2.3 and the Appendix define the minimum requirements.

5 Monitoring and review

5.1 New Technology Working Party - New Technology Working Party will act as the forum for the monitoring and review of the policy and make recommendations as appropriate to standing Conference of Deputy Chief Officers and Management Team.

5.2 Director of Resources IT Services - The Director of Resources' IT Services can provide a service as necessary to assist any directorate in developing an appropriate detailed computer security procedure.

5.3 Internal Audit - The role of Internal Audit as determined by CountyPolicy, is to independently review financial and other management controls, compliance with established policy and the custody of assets. Because the computer security Policy is a key management control, affecting financial systems and the custody of assets, Internal Audit are responsible for reviewing and reporting on compliance with it.

6 Violation

Any officer failing to comply with the rules or procedures contained within this Policy may be subject to the County Council's disciplinary procedure.

7 Consultation

This statement of security policy which has been prepared in consultation with the trade union side may be modified from time to time to respond to changes in operational and legislative requirements.

Appendix 1: Computer Security Policy Guidelines

1 Introduction

1.1- Computer security encompasses a wide range of complex technical and management issues as follows:

  • Logical and physical access controls
  • Protection against physical damage
  • Protection of software and computer held data
  • Contingency Planning
  • Insurance

1.2 - The protection of data and software in compliance with the requirements of the Data Protection Act 1984, the Computer Misuse Act 1990, and The Copyright, Designs and Patents Act 1985 is the subject of a separate Code of Practice which is issued to all computer users.

5 Protection of software and computer held data

5.1 -The ownership of computer software developed by employees of Lancashire County Council either as part of their duties, or during working hours, or on County Council computer equipment is vested in the County Council. Where software is produced on behalf of the council by a commercial vendor, ownership of copyright should be evidenced in writing.

5.2 - Computer systems should be developed, implemented and modified in accordance with documented procedures and standards as appropriate, and should only be put into use after thorough testing and formal user and, where applicable, operations management acceptance.

5.3 - Where systems are changed back up copies of software and data should be taken to allow regression to the earlier position.

5.4 - Supplied software should be maintained only by authorised personnel

5.5 - Systems should be developed and/or implemented with adequate controls to maintain completeness and integrity of the information contained within them. The controls should reject, as far as possible, incorrect input and check for consistency of the data held on the system. Any reports produced as a result of these controls should be checked.

5.6 - Unauthorised copying of computer programs is forbidden under the Copyright Designs and Patents Act 1989. software package licence agreements must be complied with.

5.7 -All software must incorporate appropriate facilities to maintain accountability for financial and other critical transactions.

5.8 -Deliberate unauthorised attempts at gaining access to, copying of. destruction of, alteration to, interference with or disclosure of computer programs or data is forbidden.

5.9 -Unauthorised disclosure of information from computer input or output is forbidden. Any breach may result in a criminal action under the Data Protection Act and/or disciplinary action.

5.10 -Magnetic media and hard copies of sensitive computer produced data and software should be physically protected from unauthorised access.

5.11 -Waste computer printed output must be disposed of with due regard to its sensitivity. Data must be erased from all disks and tapes before they are disposed of.

Data Protection (CCAP)

In handling information about its employees, and in its dealing with employees generally, the County Council is committed to following the principles of the Data Protection Act 1998 where this is relevant. The Information Commissioner's Code of Practice for the use of personal data in the employer/employee relationship will inform this process.

Under the Data Protection Act 1998 all individuals are entitled, subject to some qualifications, to copies of information held about them by any organisation. An employee who wishes to access the information held about themselves should make a request in writing to their manager, their Personnel Section or to the Data Protection Officer, PO Box 100, County Hall, Preston PR1 0LD.

The Data Protection Team may be contacted by:

  • Telephone: 01772 - 533997 / 533974
  • Email

Statement of Particulars

15. CONFIDENTIALITY

All personal information of service users or employees of Lancashire County Council must be treated as confidential. The duty of confidentiality is imposed on all staff no matter what their function or capacity within the Authority.

Although breaching confidence can be a serious disciplinary offence, all staff have a right and a duty to raise concerns about service issues with their managers. Under no circumstances will staff who express their concerns in accordance with the current guidance be penalised. The duty of confidence staff have to clients and colleagues may be overridden where there is a strong case for disclosure in the public interest. As such, all staff should familiarise themselves with the Authority's policy in relation to “Whistleblowing”.