Disciplinary Policy and Procedure

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1 Disciplinary Policy and Procedure Policy The success of the University is dependent on its most important resource, its staff. It is therefore vital that all employees are encouraged to work to the best of their ability in pursuit of the University s mission and objectives and in line with the University s stated values. It is important that where conduct falls short of the required standards, procedures are in place to deal with the situation. Good management practice can prevent many discipline and grievance matters arising. Managers are also more likely to have positive employment relationships with their staff if they make efforts to gain the commitment of their team members through: showing them clear leadership and letting them know how they can contribute; engaging them in their work and empowering them to contribute to the decision making process themselves, rather than trying to control and restrict them; showing them respect and appreciation; giving them ways to voice their views and concerns in line with the University core values and strategies; having genuine concern for their wellbeing through a transparent duty of care. Standards of conduct and performance should also be set, in line with the University s corporate values and ethos, so that employees know what is expected of them. These standards should be maintained through normal day to day management practice and more formally as part of the University s performance management process, which will involve agreeing objectives and reviewing performance on a regular basis. The fostering of good working relationships is the means by which rules are observed and standards are maintained. The disciplinary procedure should be used primarily to help and encourage employees to improve, rather than just as a way of imposing sanctions. It provides a method of dealing with any apparent shortcomings in conduct and can help an employee to become effective again. The rules must not discriminate on the grounds of sex, transgender, marital or civil partnership status, race, ethnicity, nationality, sexual orientation, religion or belief, disability, or age. Whenever a disciplinary process is being followed it is important to deal with issues fairly, effectively and consistently. There are a number of key principles that must be followed:- 1. Managers and staff must raise and deal with issues promptly and should adhere to timescales in the procedure. If disciplinary matters are settled at an early stage they are normally less time consuming and less likely to damage working relationships. 2. Managers and staff should act consistently. 3. Where alleged misconduct occurs managers must carry out any necessary investigations, to establish the facts of the case objectively. 4. Managers have a responsibility to inform their staff of the basis of the problem and give them an opportunity to put their case in response before any decisions are made. 5. Managers must allow their staff to be accompanied at any formal disciplinary meeting. 6. The University must allow staff to appeal against any formal decision made. 7. Managers must consult with HR for advice before carrying out this procedure.

2 Procedure Contents: 1. Introduction and Objectives 2. Scope 3. General principles 4. Procedure informal action 5. Procedure formal stages a) Stage 1 Formal written warning b) Stage 2 Final written warning c) Stage 3 Dismissal 6. Appeals 7. Confidential Advice 8. Training 9. Law Related to this Document 1. Introduction and Objectives The disciplinary procedure is designed to help all employees to achieve and maintain acceptable standards of conduct, attendance and job performance. The University s aim is to inform its employees of the policies and procedures applying to their work and of the standards of conduct and behaviour expected of them. Support, guidance and training will be provided, in order that employees can best contribute to the University s mission and objectives in an open, fair and transparent working environment. The procedure: should help employees know what is expected of them in terms of standards of conduct and the potential consequences of not meeting these standards; will help to identify obstacles to individuals achieving the required standards; and provide an opportunity to agree suitable goals and timescales for improvement. It should not be primarily viewed as a means of imposing sanctions, but a source of help to encourage improvement amongst staff whose conduct or standard of work is unsatisfactory. 2. Scope

3 This procedure and any subsequent amendments to it apply to all staff employed by the University of Wolverhampton under a contract of employment, with the following exceptions: holders of senior posts (currently members of the Office of the Vice Chancellor and the Clerk to the Board of Governors) for whom a separate disciplinary procedure applies; staff serving a probationary period. The disciplinary procedure is not intended to be used to deal with issues of performance, other than for instances of willful inefficiency, neglect of duty or other misconduct, or where the initial supportive stages of the poor performance guidelines have failed to achieve the desired improvement. Please refer to the poor performance guidelines for further information. Similarly the disciplinary procedure is not intended to be used to deal with issues of unsatisfactory absence levels, except where the initial supportive stages have failed to achieve satisfactory improvement. Please refer to the managing absence and workplace rehabilitation policy/procedure. This is not a contractual undertaking, but is intended as a statement of the University s current policy and commitment to operate a fair procedure in relation to all its employees. The University reserves the right to amend the procedure as necessary e.g. to meet any changing legal requirements. The aim is to ensure consistent and fair treatment for all. 3. General Principles These principles are based on entitlements under legislation and/or the ACAS Code of Practice. a. Informal Resolution Managers are responsible for addressing conduct and behaviour issues as early as possible and for taking appropriate action. Where appropriate, steps will be taken to resolve issues on an informal basis without recourse to the formal procedure. b. Establishing the facts Before disciplinary action is taken, investigation of the facts will take place. It is important that employees are dealt with in a fair and reasonable manner. The nature and extent of the investigation will depend on the seriousness of the matter. It is important to keep an open mind and look for evidence, which supports the employee s case, as well as evidence against. Where appropriate this may be carried out by an independent suitably trained senior manager from elsewhere within the University. Where the manager with authority to hear the case considers it appropriate, the contents of an investigation undertaken under another procedure (e.g. academic misconduct) may be used as part of this process. Please also refer to appendix G code of conduct for investigations. c. Opportunity to state their case The employee, against whom an allegation has been made, shall be advised in writing of the nature of the allegations made against him/her and will be given an opportunity to state their case at a formal hearing before decisions are reached. Please refer to appendix A - structure of a disciplinary hearing. d. First breach of discipline

4 Dismissal will not be a sanction for a first breach of discipline except in the case of gross misconduct. e. Suspension At any stage in the procedure consideration should be given to whether suspension applies. Suspension is not a penalty or an indication of culpability and in all but exceptional will be with full pay and should not prejudice the investigation. There is therefore a presumption that suspension will be on full pay. The decision to suspend will be taken by a senior manager after consultation with HR. Please also refer to appendix C - guidance around suspension. f. Right to be accompanied All employees have the right to be accompanied by a trade union representative or work based colleague at any formal meeting or disciplinary hearing held under the procedure. g. Equality and Diversity To ensure fair treatment and provision of support where appropriate by the University in the application of this procedure, employees should be invited to provide information about any equality or diversity issues which may be relevant. The University will seek to provide reasonable adjustments and support to ensure that all staff are able to access the process appropriately. h. Confidentiality All parties involved in these procedures must ensure that they maintain the confidentiality of the process within and outside the University. i. Involvement of Human Resources In the first instance the relevant HR manager must be consulted and will advise on suspension, investigation and the formal procedure. They will also support the presenting officer and another HR Manager will support the Chair as they must have had no prior involvement. j. Right of appeal At every stage of the procedure, an employee will have the right to appeal against any formal decision made and will be given information on how such an appeal should be made. k. Appeals against sanctions including dismissal Sanctions or warnings issued as a result of procedures will remain in force pending the outcome of any appeal. l. Timescales Managers and staff must raise and deal with issues promptly and should adhere to the timescales in the procedure. If disciplinary matters are settled at an early stage they are normally less time consuming and less likely to damage working relationships.

5 Whilst every endeavour will be made to comply with timescales, due to the complexity and/ or specific circumstances of cases, timescales may need to be extended. In such circumstances the employee will be advised of the reasons for any delay. As a general principle we would expect a case to be concluded within 6 calendar months of the alleged misconduct being formally reported. m. Stage of hearing The procedure can be entered at any stage and the maximum penalty at each stage is made clear, however, this does not presuppose that the maximum penalty will be issued. n. Records A record of all discussions and meetings should always be made and kept accurately by the appropriate manager. The types of records that should be kept are of meetings, s, attendance notes, notes of telephone calls, copies of correspondence etc. These should include the names of the people involved, dates, the nature and frequency of incidents, action taken, follow-up and monitoring information. Respondents will have the right to see any documents used as part of the process. All sensitive information should be treated confidentially and meet the requirements of current data protection legislation. o. Grievance In the event of an employee raising a grievance or complaint against their line manager or other manager whilst the disciplinary process is underway, an independent manager may be nominated by the Director of Human Resources to carry out an investigation under the grievance procedure. However, where the grievance is directly related to the disciplinary action then it may be more appropriately dealt within the hearing itself. In particular circumstances where the disciplinary procedure may continue in parallel with the grievance procedure. Consideration will be given to the order that the grievance and disciplinary issues are taken to the relevant meeting(s) or hearing(s). p. Sickness absence If an employee, who is subject to any stage of the disciplinary procedure has a period of sickness absence, an adjustment may be made to ensure arrangements are made to accommodate the period of absence. However, this may not be appropriate in all circumstances, e.g. a case of gross misconduct, or where an employee is persistently unable or unwilling to attend a formal meeting. Advice may be sought from occupational health about whether the individual is well enough to attend a hearing. A hearing may be called in the absence of an employee and a decision made on the evidence available. In exceptional circumstances the University will give consideration to requests that a representative attend in the place of the employee. q. Action against a trade union representative Where disciplinary action is being considered against an employee, who is a trade union representative the normal disciplinary procedure will be followed. However, after obtaining the employee s consent, it is normal practice to discuss the matter at an early stage with an official employed by the union. The relevant HR Manager will take responsibility for contacting the regional office. r. Criminal offences

6 If an employee is charged with, or convicted of, a criminal offence this will not normally in itself be considered a reason for disciplinary action. There is a duty on the member of staff to inform the University of any such conviction. Consideration will be given to any relevance and / or effect the charge or conviction may have on the employee s suitability to do their job and their relationship with the University, work colleagues, students and customers. 4. Procedure Informal Action As far as possible it should be made known to employees what kinds of misconduct will normally lead to disciplinary action. The assessment of the seriousness of a particular misconduct falls in the first instance to the judgment of the appropriate line manager concerned, in consultation with the relevant HR Manager. Please refer to Appendix D for examples of misconduct. No formal disciplinary action will be taken against an employee until the case has been fully investigated. It is expected that matters of minor misconduct will be resolved quickly and promptly through informal discussion between the employee and the line manager. Most situations can and should be resolved informally. a. Informal Action Informal action will be considered, where appropriate, to resolve minor disciplinary problems before moving to the formal procedure. An informal discussion is often all that is required to provide clarification on expected standards, which will allow an employee to improve their conduct. The informal discussion can be used to resolve problems quickly and confidentially. Where a concern occurs, once the facts and any relevant information have been investigated the appropriate manager should speak with the employee on a one-to-one basis. This discussion is aimed at clarifying possible shortcomings in conduct and about encouraging and sustaining improvement. Through discussion it may become evident that the concerns are unwarranted and the appropriate manager will confirm this with the employee. Where improvement is required, the line manager should ensure clarification and that the employee understands what changes are expected, how their conduct will be reviewed and over what period. Notes should be made of any agreed informal action and a copy provided to the employee. Copies of informal agreement or action do not need to be given to HR as action such as this is not recorded on the employee s central file. There may be reviews of progress over specified periods. Although informal action is not part of the formal procedure, reference to such action may be made in formal hearings where an informal approach has been tried and has not resolved the situation. If, during the discussion, it becomes obvious that the matter may be more serious, the meeting should be adjourned and the appropriate manager should seek advice from the relevant HR Manager or HR Coordinator. There will be situations where matters are more serious or where an informal approach has been unsuccessful. If informal action does not bring about the required improvement, or the misconduct is considered too serious to be classed as minor, the line manager should consider formal action. An informal approach would not be appropriate in cases of serious or gross misconduct. 5. Procedure Formal Stages A. Stage One Formal Written Warning Definition This is a first Formal Written Warning for conduct that does not meet acceptable standards. This warning will be in writing and the written confirmation will include the nature of the

7 misconduct, the change in behaviour required and the right of appeal. The warning will also inform the employee that a Final Written Warning may be considered if there is no sustained satisfactory improvement, or change in behaviour. A record of the warning will be kept securely on the employee s HR personal file, but it will normally be disregarded after 12 months, subject to satisfactory conduct and / or performance being achieved and sustained. Procedure After establishing the facts via investigation the manager, having had a discussion with the relevant HR Manager / Co-ordinator, may decide that it is necessary to proceed to a formal meeting. The employee should be notified of this in writing providing a minimum of five working days notice. Exceptionally, this timeframe may be extended by mutual consent. If a manager intends to call relevant witnesses, a minimum of 5 working days notice should be given that they intend to do this and the witness statements must be supplied to the employee at the same time. If an employee intends to call witnesses, the names of the witnesses and their statement should be provided 2 working days in advance of the meeting. The notification to the employee will include: information about the alleged misconduct and its possible consequences to enable the employee to respond to the case at a formal meeting; any supporting documentation that will be relied on during the hearing; details of the time and venue for the formal meeting; the right to be accompanied at the meeting; the procedure to be followed; the names and roles of those who will attend the meeting including witnesses if applicable. Any formal meeting should be chaired by the appropriate senior manager, unless they are implicated in the matter, in which case it should be a manager at an equivalent level within the School or Corporate Services Department. At the meeting the employee will be: given the right to be accompanied; invited to set out their case in response to the allegations that have been made; given the opportunity to ask questions, present evidence and call relevant witnesses; permitted to request adjournments to the meeting; given an opportunity to raise points about any information provided by witnesses. The Chair of the meeting will: ensure detailed notes are taken; never pre-judge the outcome of the process before hearing the employee s perspective; start the meeting by stating the complaint to the employee and referring to appropriate statements; give the employee ample opportunity to put forward their position and call any supporting witnesses; the Chair may also call witnesses if appropriate. Witnesses can only be in the room for the relevant part of the interview not the duration; make use of adjournments: take a break to consider and obtain any extra information needed before reaching a decision; consider any mitigation put forward by the employee before making a decision;

8 after the meeting decide whether the alleged misconduct did take place, if any action is justified and inform the employee accordingly in writing. Normally the investigating manager, usually the line manager, will be at the meeting to present the facts and will typically stay for the duration of the meeting. The Chair, taking advice from HR as necessary, must give the decision with reasons taking into account any mitigating circumstances. If a sanction is given they must confirm review periods and give details of how to appeal if necessary. The confirmation of the Chair s decision will be given in writing normally within five working days of the meeting. If a Formal Written Warning is issued it will state: the nature of the allegation(s) dealt with at the meeting; the action required by the employee to remedy the issue with timescales; the disciplinary consequences which may follow if there is no improvement; the manager from whom the employee may seek guidance in improving their conduct; the right of appeal; that a record of the Formal Written Warning will normally be disregarded after 12 months; the nature of any wider management recommendations that may have been agreed. If it is considered that the nature of the offence is such that a specified review period is not appropriate, this will specifically be drawn to the attention of the employee in the Formal Written Warning. On-going review of performance will take place in normal one to one management meetings. The responsibility for the issue of all letters, disciplinary correspondence and the organisation of meetings and reviews lies with the Chair, taking advice from HR. The Formal Written Warning, incorporating the right of appeal, will be handed or sent to the employee normally within five working days of the disciplinary meeting and a copy placed securely on the employee s secure personal file held in HR. The files are kept in locked cabinets or a locked office, the keys for which are secure. Where an employee is persistently unable or unwilling to attend a meeting, the University will consider the employee s request that a representative, i.e. a work based colleague or recognised trade union representative may be present to address the panel, including putting the employee s case, summing up and responding on the employee s behalf to any view expressed at the hearing. B. Stage Two Final Written Warning Definition If the offence is sufficiently serious, or if there is further misconduct of a similar nature or a failure to improve performance during the currency of a prior warning, a Final Written Warning may be given to the employee. The Final Written Warning will give details of the complaint, the improvement required and the timescale. It will also warn that failure to improve may lead to dismissal, or some other action short of dismissal, and will refer to the right of appeal.

9 The Final Written Warning, incorporating the right of appeal, will be handed or sent to the employee normally within five working days of the disciplinary meeting and a copy placed on the employee s personal file. A record of the warning will be kept securely on the employee s personal file held in HR, but it will normally be disregarded after 12 months, subject to satisfactory conduct and / or performance being achieved and sustained. Procedure Any formal meeting should be chaired by the appropriate senior manager unless they are implicated in the matter in which case it should be a manager at an equivalent level within the school or corporate services department. A HR representative who will act as adviser. If a manager intends to call relevant witnesses, a minimum of 5 working days notice should be given that they intend to do this and the witness statements must be supplied to the employee at the same time. If an employee intends to call witnesses, the names of the witnesses and their statement should be provided 2 working days in advance of the meeting. The notification to the employee will include: information about the alleged misconduct and its possible consequences to enable the employee to respond to the case at a formal meeting; any supporting documentation that will relied on during the hearing; details of the time and venue for the formal meeting; the right to be accompanied at the meeting; the procedure to be followed; the names and roles of those who will attend the meeting including witnesses if applicable. At the meeting the employee will be: given the right to be accompanied; invited to set out their case in answer to the allegations that have been made; given the opportunity to ask questions, present evidence and call relevant witnesses; permitted to request adjournments to the meeting; given an opportunity to raise points about any information provided by witnesses. The Chair of the meeting will: ensure detailed notes are taken; never pre-judge the outcome of the hearing before hearing the employee s perspective; start the hearing by stating the complaint to the employee; give the employee ample opportunity to put forward their position and call any supporting witnesses; the Chair can also call witnesses if appropriate. Witnesses can only be in the room for the relevant part of the hearing not the duration; make use of adjournments: take a break to consider and obtain any extra information needed before reaching a decision; after the meeting decide whether the alleged misconduct did take place, assess whether any previous written warnings need to be taken into account, decide if any action is justified and inform the employee accordingly in writing; consider any mitigation put forward by an employee before making a decision. Normally the presenting officer, who may be the Chair from stage one of the formal procedures, will be at the meeting to present the facts and will typically stay for the duration of the meeting. The chair of the meeting must give the decision with reasons, taking into

10 account any mitigating circumstances, confirm review periods and give details of how to appeal if necessary. The confirmation of the Chair s decision will be given in writing normally within five working days, incorporating the right of appeal. If a Final Written Warning will is issued it will state: the nature of the allegations(s) dealt with at the meeting; the action required by the employee to remedy the issue with timescales; the fact that a Final Written Warning has been given and that any further/similar cause for complaint may result in dismissal; the name of the manager from whom the employee may seek guidance in improving their conduct; the right to appeal; that a record of the Final Written Warning will normally be disregarded after 12 months; the date(s) upon which the employee s conduct will be reviewed where this is a specific recommendation by the chair; the nature of any wider management recommendations that may have been agreed. Where an employee is persistently unable or unwilling to attend a formal meeting without good cause, the University may take a decision on the evidence available in the absence of the employee but will give consideration, at the employee s request, to a representative, i.e. a union representative or work colleague, may be present on their behalf. C. Stage 3 - Dismissal Definition If the offence is sufficiently serious to fall within the definition of gross misconduct (see appendix D), or if there is further misconduct of a similar nature or a failure to improve performance during the currency of a Final Written Warning the employee may be dismissed. The dismissal may be with notice in the case of dismissal due to failure to improve, or without notice if the case of gross misconduct is proven. In the event of dismissal, the outcome letter will be handed or sent to the employee normally within five working days of the hearing, including the reasons for dismissal and bringing to the attention of the employee the right of appeal. In either case, the appeal will be heard by a panel of the Board of Governors. Procedure In the event of a Final Written Warning not being complied with, or in the event of alleged gross misconduct (see appendix D), a panel of the Vice Chancellor or his nominee and a Dean of School or equivalent Director/Head of a central service not involved previously in the case, will chair a meeting with the employee. A HR representative, who has not been involved at a previous stage, will also be in attendance to act as an adviser. At least 5 working days before the meeting, the employee will be notified in writing of: the allegations and the possible consequences to enable the employee to respond to the case at a formal meeting; any supporting documentation that will be relied on during the hearing; details of the time and venue for the formal meeting;

11 the right to be accompanied at the meeting; the procedure to be followed; the names and roles of those who will attend the meeting including witnesses if applicable; that if proven the ultimate penalty could be dismissal with or without notice. The panel will have the power to dismiss or to take any other appropriate action deemed necessary. The decision will be confirmed in writing by the panel to the employee concerned within five working days. If the decision is to dismiss, the letter will give the reasons for dismissal and bring to the attention of the employee the right of appeal. Other than in cases of gross misconduct, the employee will be given notice of the termination of employment in accordance with the employee s contract of employment, or payment in lieu of notice. As an alternative to dismissal, the Chair may, at his/her discretion, propose an alternative disciplinary penalty, including but not limited to the following examples: a warning at a level he/she considers appropriate; withholding of an annual increment; reassignment to a lower graded post on the normal terms and conditions, pay and grade for such post; exclusion from the workplace for a defined period of time without pay. Gross Misconduct A decision to dismiss will normally be preceded by a Final Written Warning, except in the most serious cases of misconduct, where immediate consideration of the case at the final stage of the procedure is justified. Gross misconduct is misconduct so serious that it results in an irretrievable breakdown of the employment relationship, bringing the employment contract to an end. The Vice Chancellor or nominee will chair the meeting and interview the employee. If it is considered that gross misconduct is proven, the normal penalty will be summary dismissal without notice or payment in lieu of notice. Dismissal is effective immediately from the date of the decision. 6. Appeals Where an employee feels that disciplinary action taken against them is wrong or unjust they may appeal the decision. In particular an appeal may be made if: they consider formal disciplinary action was unwarranted in the circumstances or the level of penalty was, in the circumstances, too severe; new evidence has come to light after the original disciplinary hearing; they believe there were procedural irregularities. The notice of intention to appeal must be lodged no later than ten working days after the date of issue of the letter of warning or dismissal. In instances where new evidence is provided, consideration may be given to commissioning a new investigation, a re-hearing of the evidence or concentrating solely on the substance of the appeal.

12 Appeals will be heard without unreasonable delay and the employee will be notified wherever possible of the date for the appeal hearing within ten working days of receipt of the appeal notice. Employees should state the grounds for their appeal in writing. The appeal should be dealt with impartially. Employees have a statutory right to be accompanied at appeal hearings by a trade union representative or a work based colleague. Employees should be informed in writing of the outcome of the appeal hearing normally within ten working days from the date of the appeal. Appeal against a Formal or Final Written Warning If an employee wishes to appeal against a Formal/Final Written Warning they must write to the Director of HR stating their reasons. The appeal must be lodged with the Director of HR not later than ten working days after the issue of the Formal/Final Written Warning. The Director of HR will arrange for the nomination of an independent manager, more senior than the chair of the original hearing and not involved in the case previously, to chair the appeal hearing and re-examine the matter. The chair will interview the employee who will have the right to call witnesses, but should notify the chair of the names of any witnesses at least two working days prior to the hearing. The chair that made the original decision may also be in attendance. The chair of the meeting will advise the employee of the outcome of the appeal in writing normally within five working days. The result of the appeal may take the form of:- confirmation of the original Formal/Final Written Warning; substitution with a lesser penalty; withdrawal of the Formal/Final Written Warning. Appeal against Dismissal Appeals against dismissals will be heard by a panel of members of the Staff Disciplinary Committee of the Board of Governors. An employee who wishes to exercise this right of appeal should do so in writing to the Clerk to the Board of Governors, copied to the Director of Human Resources, not later than ten days after the issue of the dismissal letter. The employee should set out in full the grounds of his or her appeal and where they are proposing to rely on new evidence, he or she should provide details and a copy of any relevant documentation. Within ten working days of the receipt of the appeal the employee shall be notified by the Clerk of the Board of Governors of: the date, time and place of the appeal hearing; the right to be represented or accompanied at the appeal hearing by a work colleague or a recognised trade union representative; the names of the persons to be present at the hearing including the members of the appeal panel; the name of any person(s) attending to present the reason for the decision to dismiss on behalf of the University and their accompanying HR manager (where applicable). At least two working days before the appeal hearing the name, address and of the employee s representative must be notified in writing to the Clerk to the Board of Governors together with the names of any witnesses to be called to give evidence and any documentation which will be relied on in the hearing. The employee will take all reasonable steps to attend the appeal. The appeal panel will be entitled to proceed in the employee s absence where the employee:

13 indicates to the appeal panel that they do not wish to exercise their right to be heard; fails to attend or leaves the appeal hearing; requests postponement or adjournment of the appeal hearing without good cause. Notwithstanding the absence of the employee, at the employee s request, a representative, i.e. a work based colleague or recognised trade union representative may be present to address the appeal panel, including putting the employee s case, summing up and responding on the employee s behalf to any view expressed at the hearing. This would take place in exceptional circumstances and with the agreement of the representative. Where members of staff have been dismissed without notice, the dismissal will stay in force until the date of the appeal hearing. If the appeal is upheld, then the member of staff will be re-instated with no loss of payment, loss of service or accrued benefits. If the appeal is rejected, then the date of dismissal will be the date of the disciplinary hearing at which the decision to dismiss was made. Where members of staff are dismissed with notice, the dismissal remains in effect but the member of staff will be suspended on full pay, but still under notice until the outcome of the appeal has been determined. In the circumstances where the appeal cannot be heard before the notice period expires, then the person will remain an employee but will receive no further remuneration. If the appeal is upheld, then the employee will be reinstated with no loss of benefits. If the appeal is rejected, then the date of dismissal shall be either as stated in the dismissal notice or any alternative date set by the Staff Disciplinary Committee. If there is still a period of notice to run at the time the Staff Disciplinary Committee gives its decision it is normal University practice to make payment in lieu of the balance of the notice. The result of the appeal may take the form of: confirmation of the original dismissal; reinstatement from the date of the original disciplinary hearing with no sanction applied; reinstatement from the date of the original disciplinary hearing and substitution with a written warning or other lesser penalty and any recommendation which may be appropriate. 7. Confidential Advice The wellbeing of all staff is paramount within the University and it is important that members of staff from both parties have the opportunity to contact HR and/or the University s Occupational Health Adviser at any time to discuss their situation or seek advice. Advice may also be sought from Trade Union Representatives and individuals rights to be represented. 8. Recommendations /formal actions identified during the disciplinary process It is important that any learning, actions and /or recommendations that are identified during a disciplinary process are taken forward/implemented, even where there may be no formal case to answer. The responsibility for ensuring this happens where there is no formal action required rests with the Manager who commenced the investigation process, supported by HR; where the case goes to a Formal Hearing, it is the responsibility of the Chair of the Formal hearing to take this forward, supported by HR. 9. Training

14 Relevant courses are available via the corporate staff development programme and these include:- An introduction to managing people Managing staff performance issues Chairing meetings for managers Manager investigation training 10. Law related to this document Equality Act 2010 Employment Rights Act 1996 Social Security Contributions and Benefits Act 1992 Working Time Regulations 1998 (SI 1998/1833) Working Time (Amendment) Regulations 2003 (SI 2003/1684) Working Time (Amendment) Regulations 2007 (SI 2007/2079) Social Security (Medical Evidence) and Statutory Sick Pay (Medical Evidence) (Amendment) Regulations 2010 (SI 2010/137) Working Time Directive (2003/88/EC) Access to Medical Reports Act 1988

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