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PURPOSE AND SCOPE
This procedure applies to all permanent staff employed by the University including those on fixed term contracts. It should be remembered that disciplinary action is primarily concerned with identifying and rectifying problems rather than being punitive. The procedure is aimed at ensuring fair and consistent treatment of employees.
GENERAL PRINCIPLES
Having identified a problem with an employee and, before invoking the formal procedure, the Authorised Manager should attempt to resolve matters informally by discussing them with the employee privately. Should the required improvement not be forthcoming or if the disciplinary problem is of a more serious nature, the formal procedure should be adopted.
For the purpose of this procedure an Authorised Manager will be either a Director of School/Head of Service or other nominated Manager who has been authorised by the Vice Chancellor and Chief Executive to undertake disciplinary action. Employees will be notified who is their relevant Authorised Manager. All such managers will receive the appropriate training for dealing with disciplinary issues.
Before disciplinary action is taken the Authorised Manager must investigate the case fully and promptly, taking into account the statements of any available witnesses where appropriate.
The employee concerned will be notified as early as practicable that a potential disciplinary situation exists. Details of the investigation undertaken and evidence gathered will be made available to the employee and their Trade Union representative/work colleague as appropriate prior to any Discipline Hearing being held.
At every stage of the procedure the employee will be advised in writing no less than 5 working days in advance of any Disciplinary Hearing of the nature of the complaint against them. The employee will be given the opportunity to state their case at the meeting before any decision is made and witnesses will be available to attend as appropriate.
The employee has the right to be accompanied and /or represented by a recognised Trade Union representative (this may be a full time official) or work colleague throughout the procedure and to receive a decision orally which will be confirmed in writing within 5 working days.
(Note: Legal representatives are not allowed to be present at internal disciplinary hearings).
An employee will have the right of appeal against any disciplinary action and the employee will be informed of this right.
Where an allegation made against an employee under this procedure is found to be unsubstantiated, then all references to such an allegation shall be removed from the employees file.
FORMAL DISCIPLINARY ACTION
The following illustrates the levels of action that may be taken:
Disciplinary action will normally be progressive. However, appropriate action will depend upon the gravity and the frequency of the offence(s) and in appropriate circumstances may commence at any level and stages may be omitted. Except for Gross Misconduct no employee will be dismissed for a first breach of discipline.
Warnings will become inactive for the purpose of progressive disciplinary action after the time limits outlined have expired. Time limits can be extended if performance is unsatisfactory subject to further discussions with the employee on the issues concerned. An employee has a right of appeal against any such extension.
DISMISSAL
Dismissal of a member of staff will be a matter for the Vice-Chancellor and Chief Executive or in the absence thereof, their absence the Pro Vice-Chancellor and Deputy Chief Executive as specified in the Articles of Government.
GROSS MISCONDUCT
This list is neither exclusive nor exhaustive. Dismissal on the grounds of gross misconduct could, therefore, occur for offences not mentioned which are of similar gravity.
Employees accused of an act of gross misconduct may be suspended from work on full pay, while the alleged offence is being investigated and a report prepared for the Vice-Chancellor and Chief Executive. If, subsequent to investigation, the Vice-Chancellor and Chief Executive is satisfied that there is a case to answer, a disciplinary hearing will be held as soon as possible.
SUSPENSION
Suspension is not seen as automatic nor as disciplinary action. An authorised Manager may suspend an employee if their conduct is such that it is necessary to remove them from their work place, or when it is necessary to remove an employee to aid investigatory purposes, provided that the Vice-Chancellor and Chief Executive is informed of the suspension as soon as possible after it has taken place.
Suspensions shall always be confirmed in writing, setting out the grounds on which the decision to suspend has been taken, delivered by hand or recorded delivery and copied to the relevant Trade Union representative. All suspensions shall be with full pay and suspended employees should be kept informed of the progress of their case by Management.
DISCIPLINARY ACTION AGAINST A TRADE UNION REPRESENTATIVE
Although normal disciplinary standards will apply to the conduct and performance of shop stewards and other trade union representatives, no formal disciplinary action will be taken until the circumstances of a case have been discussed with a senior trade union representative or full-time official.
A trade union representative can be suspended on full pay under the same conditions as any other employee, provided that a full-time official is informed of the suspension as soon as possible after it has taken place.
APPEALS PROCEDURE
A suspension against which an appeal is made shall continue to operate pending the determination of the appeal.
The Director of Personnel will arrange a hearing by the Appeals Panel as soon as practicable. The Appeals Panel will consist of 3 Authorised Managers not previously involved in the disciplinary action appealed against, at least one of whom shall be from a different School or Service.
The employee will be given notice in writing at least 5 working days in advance of the time and place of the hearing and shall be entitled to be represented by a trade union representative or work colleague.
The Panel hearing appeals may uphold the disciplinary action previously applied or impose a decision of their own, short of dismissal, which they consider appropriate. The result of the appeal will be given orally and confirmed in writing within 3 working days.
The decision of the Appeals Panel is final.
Appeals against dismissal should be addressed to the Clerk to the Board of Governors within 7 working days of receipt of the written notice of dismissal. In the case of an appeal against a decision to dismiss, the dismissal shall not take effect until the appeal has been determined.
Appeals will be heard by the Appeals Committee consisting of 3 Governors, excluding staff and student representatives. The Clerk to the Board of Governors will arrange the hearing as soon as possible. The employee will be given notice in writing at least 5 working days in advance of the time and place of the hearing and shall be entitled to be represented by a trade union representative or work colleague.
The result of the appeal will be confirmed in writing within 3 working days.
The decision of the Appeals Committee is final within the University.
4. DISCIPLINARY PROCEDURE
OFFENCE LEVELS TIMESCALE
Failure to improve or First Written Warning 6 months
offence not considered (*extension 3
as minor. months)
Further offence or Second Written Warning 9 months
Serious offence (*extension 3
months)
Further offence or Final Written Warning 12 months
Serious misconduct
Further offence or Dismissal
Gross misconduct
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