Publication - FOI/EIR release

Disciplinary action process – various questions: FOI release

Published: 12 Nov 2019
Directorate:
People Directorate
Part of:
Public sector

Information request and response under the Freedom of Information (Scotland) Act 2002

Published:
12 Nov 2019
Disciplinary action process – various questions: FOI release
FOI reference: FOI/19/02276
Date received: 7 Oct 2019
Date responded: 4 Nov 2019
Information requested

I'd be grateful for the following information from your records from January 2017 to present:
My questions relate to permanent members of staff employed in SG MAIN.

  1. how many disciplinary penalties were issued to members of staff? 
  2. how many disciplinary penalties were issued for breaches of security? 
  3. how many disciplinary penalties were issued for serious insubordination? 
  4. how many disciplinary cases were for misconduct? 
  5. how many disciplinary penalties were issued following a parking infringement? 
  6. how many members of staff received a first written warning? 
  7. how many members of staff had parking privileges revoked?
  8. how many final written warnings were issued with the note that they would remain on the employees personnel record for 5 years?
  9. how may final written warnings were issued?
  10. how many cases were for serious misconduct?
  11. how many final written warnings were issued for serious misconduct?
  12. how many disciplinary penalties were issued to employees with a disability as defined by the Equality Act 2010?
Response

In your request, you asked for information about permanent staff employed in SG Main.  Our response therefore covers 9,100 (1) permanent staff employed in the business areas shown at Annex A.
You have also asked for information about disciplinary penalties.  The Scottish Government has clear expected standards of behaviour which apply to all staff.  The SG also has robust policies and procedures which apply when these standards are not met.  A copy of the discipline policy can be found on http://saltire/my-workplace/conduct-and-discipline/disciplinary-procedures-and-penalties/Pages/disciplinary-procedures--printable-version.aspx.

While our aim is to provide information wherever possible, I am unable to provide all the information you have requested because an exemption under section 38(1)(b) of FOISA applies.  That exemption applies because the information is personal data of a third party/parties, and disclosing it would contravene the data protection principles set out in the General Data Protection Regulation (GDPR), Regulation 2016/679 and section 34(1) of the Data Protection Act 2018.
Permanent headcount at 30 June 2019, eHR Management Information

Annex A

SCOTTISH GOVERNMENT MAIN BARGAINING UNIT

SGM comprises:

Scottish Government Core Directorates

Agencies

Non Ministerial Departments (NMDs) and NDPBs

Constitution and External Affairs

Accountancy in Bankruptcy

National Records of Scotland

Economy

Disclosure Scotland

Office of the Scottish Charity Regulator

Education, Communities & Justice

Education Scotland

Scottish Housing Regulator

Health & Social Care

Scottish Public Pensions Agency

Revenue Scotland

Organisational Development  & Operations

Student Awards Agency for Scotland

Food Standards Scotland

Scottish Exchequer

Transport Scotland

Scottish Fiscal Commission

Permanent Secretary

 

Social Security Agency

Community Justice Scotland

ANNEX B

OUR RESPONSE TO YOUR QUESTIONS

Question 1:  How many disciplinary penalties were issued to members of staff?
Answer:         Since 1 January 2017, 81 disciplinary penalties have been issued to members of staff.
As part of the disciplinary policy, managers deal with instances of minor misconduct as part of their day-to-day responsibilities.  There is no requirement for managers to report verbal warnings to HR.  Our reply does not therefore include instances where managers have issued a verbal warning following minor misconduct.

Question 2:  How many disciplinary penalties were issued for breaches of security?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases.  Since 1 January 2017, there have been fewer than 5 disciplinary penalties issued for breaches of security.

Question 3:  How many disciplinary penalties were issued for serious insubordination?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases.  Since 1 January 2017, there have been fewer than 5 disciplinary penalties issued for serious insubordination.

Question 4:  How many disciplinary cases were for misconduct?
Answer:         Since 1 January 2017, there have been 85 disciplinary cases of misconduct.  This figure does not include minor misconduct cases where the line manager has issued a verbal warning.

Question 5:  How many disciplinary penalties were issued following a parking infringement?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases.  There were fewer than 5 disciplinary penalties issued following a parking infringement.

Question 6:  How many members of staff received a first written warning?
Answer:         37 members of staff received a written warning for the first time.

Question 7:  How many members of staff had parking privileges revoked?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases.  Since 1 January 2017, there have been fewer than 5 occasions where parking privileges have been revoked.

Question 8:  How many final written warnings were issued with the note that they would remain on the employees personnel record for 5 years?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases. There were fewer than 5 final written warnings issued with a note that they would remain on the employee’s personnel record for 5 years.

Question 9:  How may final written warnings were issued?
Answer:         Since 1 January 2017, 10 final written warnings have been issued.

Question 10: How many cases were for serious misconduct?
Answer:         Since 1 January 2017, there have been 24 cases of serious misconduct.

Question 11: How many final written warnings were issued for serious misconduct?
Answer:         In order to protect the identity of individuals information is not provided where there are fewer than 5 cases.  Since 1 January 2017, there have been fewer than 5 final warnings issued for serious misconduct.

Question 12: How many disciplinary penalties were issued to employees with a   disability as defined by the Equality Act 2010?
Answer:         Members of staff self-report their disability status on our eHR system. This may not necessarily correspond to the definition of disability used in the Equality Act.  Since 1 January 2017, our records show that there have been 5 disciplinary penalties issued to employees who had self-declared a disability.

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