The National Agency of Ukraine on Civil Service (NAUCS) has approved Guidelines on the Conduct of Disciplinary Proceedings against Local Government Officials. The document has been drawn up to implement the provisions of the new Law of Ukraine ‘On Service in Local Governments’ (No. 3077-IX) and is intended to assist heads of units and human resources departments in communities in correctly applying the rules of disciplinary law.

The guidelines are advisory in nature and provide a detailed explanation of the procedure for holding officials accountable – from the moment an offence is detected to the issuance of an order imposing a penalty or closing the case. They contain a step-by-step procedure, templates for the necessary administrative documents, and explanations of key terms.

Main stages of disciplinary proceedings

The document identifies four main stages of the process:

1. Initiation of proceedings. The head of the unit, having sufficient evidence of an offence (from a report, citizens’ complaints, inspection materials, media publications, or other sources) issues an order to initiate proceedings and requests a written explanation from the employee.
2. Review of explanations by the head of the unit. Upon receiving the explanation, the head of the unit may take one of three decisions: to close the proceedings, to issue a reprimand (in cases clearly defined by law), or to refer the case to the disciplinary commission for consideration.
3. Consideration of the case by the disciplinary committee. The committee examines the materials, gathers evidence and, if necessary, hears the employee’s explanation. Based on the results of its work, it prepares a report with a conclusion on the presence or absence of a disciplinary offence and a proposal regarding the type of penalty.
4. Final decision. Based on the commission’s report, the head of the unit issues an order imposing a disciplinary sanction (a reprimand or dismissal) or closing the proceedings. Cases involving reprimands and dismissals have specific procedural requirements.

What do local governments need to know?

• Setting up a disciplinary committee. The guidelines set out a clear procedure for establishing the committee: from initiating the process and gathering proposals to approving its regulations. They emphasise the importance of involving members of the public, academics, and experts.
• Conducting disciplinary proceedings. A list of mandatory and supplementary documents to be included in the case file (reports, orders, minutes of meetings of the commission, explanations, or other documents) is provided, along with rules for their filing.
• Guarantees for the employee. The rights of the person against whom proceedings have been initiated are set out in detail: the right to access the case materials, provide explanations, and participate in meetings of the commission. It is recommended that notifications and refusals be recorded in official documents to avoid disputes.
• Practical templates. The Methodological Recommendations are accompanied by samples of six key administrative documents (orders) that will be useful to HR departments: on the opening of proceedings, on their closure, on findings, on the referral of a case to the commission, on a reprimand, and on dismissal.

For reference. The document was developed by the General Department for Personnel Management in the Civil Service and Local Self-Government of the National Agency of Ukraine on Civil Service. It takes into account the provisions of the laws ‘On Service in Local Governments’, ‘On Local Self-Government in Ukraine’, and ‘On the Prevention of Corruption’.