Disciplinary procedure for support staff
Only effective for cases which commenced before 15th February 2012.
Index:
- 1. Introduction
- 2. Guiding principles
- 3. General provisions
- 4. Notes for guidance
- 5. The disciplinary procedure
1. Introduction
The University recognises that a disciplinary procedure is essential for the conduct of the University's affairs and for the safety and well-being of all members of staff, students and the public. Disciplinary procedures help to promote fairness and order in the treatment of individuals and in the conduct of industrial relations. The following procedure is intended to operate in cases where it is alleged that the conduct or behaviour of a member of staff falls below acceptable standards. The spirit within which disciplinary action may be taken is founded on the intention to offer the individual member of staff the opportunity to correct or improve unacceptable behaviour or conduct. This disciplinary procedure has been drafted with reference to the ACAS Code of Practice on Disciplinary and Grievance Procedures and incorporates the principles of natural justice. The provisions of this document should not be confused with the University's Grievance Procedure (although both Procedures may be operating concurrently).
Matters of capability will be dealt with under the Capability Procedure, which ensures that staff experiencing performance difficulties are managed appropriately, and which are separate to arrangements obtained in this document.
This procedure applies to all support staff employed by the University including full-time and part-time staff, whether permanent or fixed term.
The University recognises the role, purpose, and rights of the support staff Trade Unions in disciplinary situations.
2. Guiding principles
The procedures incorporate the undernoted principles:
Good faith by which it is understood that the application of this procedure will be fair, prompt, impartial, reasonable, consistent and applied without discrimination.
Confidentiality by which it is understood that information relating to the allegation should not be divulged to a third party not involved in the disciplinary process. Statements, letters and other communications are confidential to those involved in the Procedure.
Fairness by which it is understood that action will be promoted which is reasonable, necessary, known and understood. All parties involved are entitled to be heard with courtesy and respect
Representation by which it is understood that at all formal levels of the disciplinary procedure, members of staff shall be entitled to be accompanied. Representation may be provided by an officer of a trade union or by a fellow worker of the University. The representative will be able to address the hearing and provide advice during it, and will be able to answer questions on behalf of the person they are representing, in special circumstances, where this is previously agreed. Witnesses cited by either party would not normally
have the right to representation. Legal representation is not permitted for either party.
Equal opportunities by which it is understood that all members of staff have the right to be heard and to state their case, without any distinction as to sex or gender, sexual orientation, marital or parental status or other family circumstance, race, ethnic or national origin, colour, creed, disability, political belief, membership of or activities as part of a trade union, or social or economic status. Recourse to statutory remedies such as an employment tribunal will also be available where appropriate. Those involved in investigating and conducting disciplinary matters should have received equal opportunities training before using these procedures, although an absence of training will not exclude them from participation or render the procedure automatically unfair.
3. General provisions
3.1 At all levels of the procedure, including any investigation, the member of staff will be given the opportunity to state his/her case.
3.2 Anyone accused of misconduct will be informed in writing of any allegation against him/her under these procedures.
3.3 The procedure may be implemented at any point after investigation if the member of staff's alleged misconduct warrants such action. Depending on the seriousness of the matter, disciplinary proceedings may be invoked leading to action at any level, including summary dismissal.
3.4 No member of staff will be dismissed for a first breach of discipline except in the case of gross misconduct when the penalty will be dismissal without notice or payment in lieu of notice (summary dismissal).
3.5 Any person against whom formal disciplinary action has been taken has the right of appeal.
3.6 Where appropriate, the University may require medical reports and the employee will be requested to assist in providing these.
3.7 Until the procedures specified up to and including Appeal have been exhausted, there will be no strike, victimisation, lockout or any other industrial action by either party intended to influence the decision on the matter at issue.
3.8 A member of staff will not be dismissed or otherwise disciplined merely because he/she has been charged with or convicted of a criminal offence or is absent through being in custody. Where a member of staff is convicted of a criminal offence, consideration will be given to whether the offence is one that makes the member of staff unsuitable for his/her type of work or unacceptable to other members of staff, and if so whether suitable alternative work is available.
3.9 Disciplinary action beyond a formal oral warning will not be taken against an officially recognised Trade Union representative until the circumstances of the case have been discussed with either the Branch Chair/Secretary or, failing his/her availability, with a full-time official.
3.10 It is open to a member of staff, who has been the subject of disciplinary action to make representations at any time he/she thinks appropriate for the record of the disciplinary action to be removed from his/her personal file.
3.11 If in the course of a disciplinary case an employee feels that the behaviour of the Head of School/RI/Service (or other person who has been designated by the Head of College as competent to deal with such matters) gives rise to complaint, the disciplinary procedure may be suspended for a short period to allow a grievance to be dealt with. Consideration will also be given, where possible, to bringing in another manager to deal with the disciplinary case.
3.12 Special provision will be made for shift workers and workers in isolated locations where Heads of School/RI/Service, or trade union representatives may not immediately be available.
3.13 It is not intended that this Procedure address capability issues associated with probation.
4. Notes for guidance
The Procedure is outlined below and this document should be read in conjunction with the Notes for Guidance (Disciplinary Procedure) circulated to all current and new staff and which can be found as a link at the bottom of this webpage or on the navigation menu on the left under the Disciplinary Procedure.
5.1 Informal advice, coaching or guidance
Prior to formal disciplinary procedures being invoked, a member of staff will normally have received from his/her supervisor some informal indication that his/her conduct or behaviour is unsatisfactory.
Informal advice, coaching or guidance are not part of the formal Disciplinary Procedure and members of staff for whom assistance of this type is being provided are not entitled to representation.
5.3 Investigation
Disciplinary action will not be undertaken until the facts have been established. Investigations need not be time consuming but speed should not be at the expense of thoroughness.
A senior member of the School/RI/Service, nominated by the Head of School/RI/Service and appropriately trained, will be responsible for the conduct of the investigation. Any witness to the alleged misconduct may be required to make a written statement, and, sign and date that statement. If any witness has a genuine and reasonable fear of reprisal from the employee who is the subject of the allegation or wishes to remain anonymous for his/her own safety, it may be necessary to make other arrangements as appropriate.
The investigation will be conducted in accordance with the procedure detailed below:-
5.3.1 The Investigating Manager will conduct an investigation which will include meeting with all parties relevant to the employee and the alleged misconduct, including where appropriate, any witnesses to incident(s) of misconduct. The Investigating Manager may have a secretarial colleague from the School/RI/Service or College present at such meeting(s) to take notes. The member of staff concerned may be accompanied or represented at such meeting(s) by a Trade Union representative or fellow worker.
5.3.2 At the meeting with the member of staff who is the subject of the allegation, the Investigating Manager will advise him/her of the allegation which has been levelled against him/her and invite his/her response.
5.3.3 The Investigating Manager will summarise and clarify his/her understanding of the facts of the situation. The interview will be closed and the Investigating Manager will indicate whether further enquiries will be made, for example, interviewing potential witnesses. The Investigating Manager will prepare a report based on the findings of his/her investigation.
5.3.4 The Investigating Manager will determine whether or not a disciplinary hearing is required based upon the findings of the investigation.
If the Investigating Manager considers that it is not necessary to resort to a formal disciplinary hearing, but where informal advice, coaching or guidance is felt to be helpful, he/she will discuss the matter with the Head of School/RI/Service, to take appropriate informal action. The discussion will be in private and the employee will be informed that no disciplinary action is being taken.
5.4 Disciplinary hearing
Where it is considered there is a disciplinary case to answer, the Head of School/RI/Service will consult with Human Resources Service.
The Head of School/RI/Service will advise the member of staff, in writing of the following:-
- (i) that he/she is expected to attend a disciplinary hearing at a specified place and time,
- (ii) details of the complaint that has been made against him/her,
- (iii) that the member of staff has the right to be accompanied at the hearing by a Trade Union representative or fellow worker (but not more than one person). Where the person accompanying the member of staff is unavailable the hearing may be postponed for up to five working days.
The member of staff should be given reasonable notice of the date for the hearing to enable him/her to prepare, usually five working days. The Head of School/RI/Service and the member of staff responding to any allegation against him/her should make available to either party any documentation that is to be relied upon during the disciplinary hearing, prior to the hearing.
If a member of staff does not attend the disciplinary hearing, without good reason and when requested to attend, a decision may be taken in his/her absence.
The Head of School/RI/Service will lead the conduct of the hearing and the Human Resources Manager will be present to ensure procedures are applied fairly and consistently and advise accordingly.
Notes of interviews held should be kept and a formal record should be written up as soon as possible after interview at each stage have taken place. It is advisable to have a person attending the meetings purely to record the discussions. These records should be circulated to all parties. In the event of disagreement then written comments should be provided.
The Head of School/RI/Service having fully considered the circumstances of the case, will decide what disciplinary action, if any, will be taken. The decision will normally be indicated orally to the member of staff at the hearing and confirmed in writing within five working days of the hearing.
5.5 Levels of disciplinary action
Any level of disciplinary action will only be taken following investigation and a disciplinary hearing.
Disciplinary action, other than that relating to gross misconduct, may vary from a oral warning to dismissal. Levels of disciplinary action are as follows:
- Formal oral warning
- Written warning
- Final written warning
- Dismissal
- Summary dismissal
Depending on the seriousness of the matter, disciplinary proceedings may be invoked leading to action at any level,
including summary dismissal.
5.6 Notification of outcome
In every case where disciplinary action is taken, the member of staff will be informed of:-
- The disciplinary action taken including the level of any warning given.
- The reasons why the disciplinary action was taken.
- The consequences of any further failure to adhere to acceptable standards of conduct. In cases where a final written warning is given it should be made clear that further formal disciplinary action may result in dismissal.
- The provision of any suitable support, counselling or corrective action required.
- The time period within which the warning given will be considered to have lapsed from the record of the member of staff in accordance with Section 6 of the Notes for Guidance.
- The fact that a record of warnings will be kept.
- The right of appeal, advising that this should be formally submitted in writing to the Director of Human Resources Service within five working days, and the right to representation at any future appeal hearing.
Receipt of disciplinary letters will be recorded, whether by counter-signature of the member of staff concerned, or recorded postal delivery.
5.7 Appeal procedure
5.7.1 Where a member of staff is notified that disciplinary action will be taken against him/her, he/she will also be notified of the right of appeal. He/she will also be informed that an appeal may result in the original outcome being confirmed, reduced or revoked.
5.7.2 A member of staff wishing to appeal against disciplinary action should submit notice of appeal to the Director of Human Resources in writing within five working days of receipt of the written confirmation of disciplinary action, stating the grounds of appeal.
5.7.3 Arrangements will be made for appeals against disciplinary action to be heard normally within ten working days of receipt of notice of appeal or as soon as reasonably practicable.
5.7.4 The appellant will be notified within ten working days of receipt of the notice of appeal, or as soon as is reasonably practicable of the time, date and place of the appeal hearing. He/she will be advised that he/she may be accompanied by his/her Trade Union representative or fellow worker.
5.7.5 Pending the hearing of the appeal, the member of staff will continue in employment or be suspended on full pay, as appropriate, except in the case of summary dismissal. In some cases of dismissal the appeal may be heard while the member of staff concerned has been required to work his/her normal period of notice.
5.7.6 The disciplinary action imposed as a result of the original hearing will remain in force unless and until it is modified as a result of the appeal.
5.7.7 The Appeal will be heard by a senior member of staff who has not previously been involved in the case.
5.7.8 Where an appeal against disciplinary action is upheld, reference to that stage shall be expunged from the member of staff's record and the member of staff so notified, in accordance with paragraph 5.7.10 below.
5.7.9 Where an appeal against summary dismissal is upheld, the member of staff shall be paid in full for the period from the date of dismissal, and continuity of service will be maintained.
5.7.10 The result of the appeal and the reasons for the decision will normally be notified to the appellant orally within two working days and in writing within five working days of the hearing. A copy will be sent to the representative attending.
It is the intention that rules and procedures be reviewed periodically, in the light of any developments in employment legislation or good employment practice, and if necessary revised to ensure continuing relevance and effectiveness.
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