Procedures Under Statute 17: Discipline
Council Ordinance No 15
Procedure Under Stature 17: Discipline
May 2006
Foreword
Council Ordinance 15 applies in the following manner:
- Academic Staff confirmed to hold office as a member of staff under Statute 1.1 - Stages 1 –3 (whereafter the provisions of Statute 17 apply).
- Probationary staff who subject to successful completion of probation will be confirmed as occupying a post established in accordance with Statute 1.1 - Stages 1 – 4, Summary Dismissal Procedure and the Appeals Procedure
- Fixed Term Contractors engaged to conduct teaching and teaching related activities - Stages 1 – 4, Summary Dismissal Procedure, and the Appeals Procedure
- Research Staff - Stages 1 – 4, Summary Dismissal Procedure, and the Appeals Procedure
(Staff on probation for appointment to academic posts, fixed term contractors and researchers are specifically excluded from the Provisions of Statute 17 as they do not hold office as a member of staff established under Statute 1.1)
Preamble and Guidance Notes
These procedures are designed to ensure that:
- standards of professional conduct and job performance are maintained to an acceptable level at all times
- University policies and procedures are adhered to by staff
- staff are treated fairly and consistently
Staff with special needs such as language difficulties or a disability should be provided with appropriate assistance in order for them to participate fully at every stage.
These procedures are not intended to override other established performance review procedures. Where possible, guidance and counselling should be provided to avoid the need for formal disciplinary action. In the event of disciplinary procedures being invoked the following guiding principles will apply:
- Disciplinary matters should be dealt with promptly at every stage, but adequate written notice must be given of any formal disciplinary hearing.
- A disciplinary hearing will not be convened and disciplinary action will not be taken until an investigation has taken place.
- The employee will be advised of the complaint and will be kept informed as appropriate throughout the investigation. The employee will be given the opportunity to state their case and/or challenge the evidence during the hearing.
- At any formal disciplinary hearing the employee will have the right to be represented by a trade union representative or a work colleague who will have the right to address the panel . However, the employee will be required to answer questions directly asked of them.
- Either side may call witnesses to give evidence at any stage of the disciplinary procedure and should endeavour to ensure the attendance of their witness. Written witness statements may also be provided.
- All proceedings will be conducted in strict confidence and any records retained will be subject to the requirements of relevant legislation.
- The employee will have the right of appeal against any disciplinary action taken subject to the provisions of this Ordinance.
- Formal disciplinary action will not normally be taken against a trade union representative without the full-time union officer being informed.
- The procedure may begin and end at any stage depending upon the seriousness of the alleged offence.
- A first offence will not normally result in dismissal unless it is deemed to be gross misconduct or of a nature that may warrant dismissal.
- Any alcohol related offence will normally be treated in accordance with the University's policy on alcohol abuse at work.
- In certain circumstances it may be considered appropriate to suspend a person on full pay during the investigation. Suspension in such circumstances will not be regarded as a disciplinary sanction. The decision to suspend will be made by the Head or a Senior Manager of the University. Human Resources will normally write detailing the length of the suspension (which will not normally exceed 10 working days) and confirming the contractual rights.
The Procedure
If the job performance or conduct is considered for any reason to be below standard, the matter will usually be addressed informally (in private) by the immediate supervisor.
Stage One
If there is no improvement, or if the matter is deemed to be serious enough in terms of contravening University policy or departmental procedures a meeting will be held to consider the complaint. The employee will be advised in writing of the complaint against them and of their right to be represented at this meeting by a trade union representative or a work colleague. The employee or their representative will be given the opportunity to respond to the complaint against them. A Stage 1 FORMAL ORAL WARNING may be imposed. This will be confirmed in writing and the employee informed that failure to improve or any repetition may result in further disciplinary action. A confidential record of the action taken will be kept, and subject to satisfactory improvement this warning will be disregarded after a period of six months.
Stage Two
If there is no improvement, or the matter is considered to warrant a FORMAL WRITTEN WARNING, a formal disciplinary hearing will be convened. The employee will be advised in writing of the complaint against them and of their right to be represented at the hearing by a trade union representative or work colleague. A representative from Human Resources will be present at the hearing to assist the Chair and may furthermore participate fully in the proceedings. The employee or their representative will be given the opportunity to explain their conduct. A formal written warning will be issued when all the evidence put before the hearing has been considered and the case is found against the person. The Human Resources Department will confirm this in writing detailing the complaint and the improvement expected within a given period and the consequences of failing to respond to this warning. Subject to satisfactory improvement the warning will be disregarded after a period of twelve months.
Stage Three
If the employee fails to respond satisfactorily to a formal written warning within the given period, or the nature of the offence is considered sufficiently serious to warrant only one warning, the same procedure as in stage two will be followed, with the hearing chaired by the Head or an equivalent level of management. This may lead to a second or FINAL WRITTEN WARNING. The Human Resources Department will confirm this in writing stating the improvement expected within a given period and the consequences of failing to respond to this warning, which could lead to their dismissal. This warning will be recorded for a period of two years and subject to satisfactory improvement will be disregarded on its expiry.
Stage Four - Dismissal
For staff to whom Statute 17 applies refer to Statute 17, Part III, paragraphs 14 – 20 and for purposes of any appeal arising refer to Statute 17, Part V, paragraphs 24 -30.
If the employee fails to respond satisfactorily to a final written warning within the given period they may render themselves liable to dismissal but only after a formal hearing. The same procedure as outlined above will be followed except that a member of the University’s Senior Management Team who has preferably not had previous involvement with the case will chair the hearing. If after a hearing, a decision is taken to terminate employment, the employee will receive a letter from the Human Resources Department stating the reason for the dismissal and informing them of their right of appeal. In exceptional circumstances disciplinary action short of dismissal involving, for example, disciplinary transfer may be taken, but only after further discussion with the employee and their representative.
Summary Dismissal
For staff to whom Statute 17 applies refer to Statute 17, Part III, paragraphs 14 – 20 and for purposes of any appeal arising refer to Statute 17, Part V, paragraphs 24 -30.
In the event of gross misconduct an employee may be summarily dismissed, i.e. without notice (examples are provided in the Addendum). In such circumstances the employee would normally be suspended on full pay pending an investigation. A disciplinary hearing will be arranged and will be chaired by a member of the University's Senior Management Team. The employee will have the right to be represented by a colleague or trade union representative.
Appeals Procedure
The right of appeal may be exercised at any stage of the disciplinary procedure. The appeal may be against the decision taken or may be invoked in the event of an alleged breach of procedure. The arrangements for the appeal will be discussed with the member of staff and where possible their representative. The appeal hearing will normally be chaired by a member of the Senior Management Team who has not had prior involvement with the case. Notice of appeal must be given in writing to Human Resources within 14 calendar days of disciplinary action being taken, and the appeal hearing should normally be held within 14 calendar days of the notice of appeal being received. If the appeal is upheld, any written warning given will be effectively withdrawn and any record of it deleted from an employee’s file. If the appeal succeeds against a dismissal, the person will be reinstated without loss of pay. The decision arising from the appeal process is final.
Addendum to Disciplinary Procedure
Gross Misconduct
Gross Misconduct is generally seen as "misconduct serious enough to destroy the employment contract and make any further working relationship and trust impossible". It is normally restricted to very serious offences, examples of which are given below. The list is not intended to be exhaustive:
- Physical violence
- Indecent assault
- Serious bullying or harassment
- Deliberate damage to or destruction of property
- Theft or fraud
- Prolonged absence without leave
- Serious breach of health and safety regulations
- Serious breach of University policy
- Supplying illegal drugs
- Serious negligence in respect of financial accountability
- Bringing the University into serious disrepute
