University Of Cumbria - Disciplinary Action And Procedure

Transcription

1 DISCIPLINARY POLICY Human Resources Service NB. This policy is available on the University of Cumbria website and it should be noted that any printed copies are uncontrolled and cannot be guaranteed to constitute the current version of the policy. POLICY SCHEDULE Policy title Disciplinary Policy Policy owner Human Resources Service Policy lead contact Human Resources Service Approving body Employment Policy Committee Date of approval EPC June 2013 Date of implementation 1 August 2013 Version no. V Related Guidelines, Procedures, Codes of Practice etc. ACAS Code of Practice on Disciplinary Procedures The Equality Act 2010 Review interval 2015/ V

2 A. POLICY 1. Contents A. POLICY Contents Introduction Aims and Objectives Scope Definitions/Authorities Policy Principles Equality, Diversity and Inclusion (with particular reference to reasonable adjustments for disabilities) and Equality Impact Assessment Statements Records Management Statement Risk Management Statement Roles and Responsibilities Contact Details... 7 B. PROCEDURAL GUIDELINES Informal procedure and Mediation Guidance Investigation Appointment of Investigating Officer Suspension Formal Disciplinary Procedure Appeals and Appeal Meeting Procedure Disciplinary Outcomes Disciplinary Warnings Other Possible Outcomes Short of Dismissal Examples of Gross Misconduct Examples of Offences which may warrant disciplinary action other than Summary dismissal Time Limits for Warnings Criminal Offences References Confidentiality Advice Additional Information Introduction 2.1 University of Cumbria recognises disciplinary rules and procedures are necessary for the effective operation of the University by encouraging all staff to achieve and maintain satisfactory standards of conduct and behaviour. The University also recognises that disciplinary rules and procedures are a necessary part of ensuring that all individuals are treated fairly and consistently. 2.2 This procedure provides a formal process for resolving disciplinary matters. The need to take disciplinary action will arise where a staff member s behaviour and/or conduct falls below the standard required by the University. 2.3 Managers should consult with their assigned member of the Human Resources Service before any disciplinary action is taken. 2 V

3 2.4 This Disciplinary Policy and Procedure meets the requirements of current employment law. It was developed using the ACAS Code of Practice on Disciplinary Procedures as a guide. 2.5 Additional guidance for managers can be found at: rguide/lmgdisciplinarysection3.doc 3. Aims and Objectives 3.1 The aims and objectives of this policy and procedure are to: Encourage corrective rather than punitive behaviour Ensure the consistent and fair treatment of all staff Encourage standards of conduct / behaviour which support the efficient and effective operation of the University. 3.2 The policy and procedure also provide: Managers with advice and support on handling disciplinary matters Staff with information about the University s approach to handling discipline in the work place Staff with information about the expected standards of conduct and behaviour at the University. 3.3 The Disciplinary Policy and Procedure may be used to handle dismissals that are due to some other substantial reason of a kind such as to justify the dismissal. 3.4 The policy is to be distinguished from: the University s Performance Improvement Policy and Procedure which deals with a staff member s ability to perform the duties of his/her post in terms of skill, aptitude or qualifications; the University s Attendance Management Policy which deals with the management of genuine short and long term sickness absence. 3.5 In instances of suspected fraud, the University s Anti Fraud Policy should be considered as it may be appropriate to deal with the matter under the procedures in the Anti Fraud Policy in the first instance. 3.6 Where a staff member raises a grievance during a disciplinary process, the disciplinary process will continue and where the grievance and disciplinary cases are related it may be appropriate to deal with both issues concurrently. 4. Scope 4.1 This policy and procedure applies to all permanent and temporary members of staff (including those on probation) at the University of Cumbria, who work under a contract of employment, with the exception of holders of senior posts 1 for whom separate procedures apply. 1 Holders of senior posts are those posts referred to in the Memorandum and Articles of Association as Vice-Chancellor, and the holders of such other senior posts of the University as the Board of Directors shall from time to time determine 3 V

4 5. Definitions/Authorities 5.1 Under this policy, the following authorities apply: Policy / Process Disciplinary Policy and Procedure Delegated Powers To issue first warning - line manager To issue final warning Executive Dean, Head of Service, Faculty Business Manager, or SMT member To dismiss SMT member or Executive Dean not previously involved To suspend Vice Chancellor or their delegated representative who must be a holder of a Senior Post Delegated Right of Appeal Appeal against first or final warning Any higher level manager not previously involved Appeal against Dismissal - Any SMT member not previously involved Appeal against Suspension - Any SMT member not previously involved 6. Policy Principles 6.1. Employers and employees should always seek to resolve disciplinary and grievance issues in the workplace. Where this is not possible employers and employees should consider using an independent third party to help resolve the problem. The third party need not come from outside the organization but could be an internal mediator, so long as they are not involved in the disciplinary or grievance issue. In some cases, an external mediator might be appropriate. 6.2 No disciplinary action will normally be taken against a staff member before the Human Resources Service has been consulted, the case has been fully investigated, including information gathered from the employee, and it has been determined that disciplinary action is the most appropriate course of action to be taken. 6.3 At every stage of the formal procedure the member of staff will be informed in writing of the nature of the allegation/s against them and will be given the opportunity to provide their explanation. 6.4 The member of staff has the right to be accompanied by a companion where the disciplinary meeting could result in: a formal warning being issued; or the taking of some other disciplinary action; or the confirmation of a warning or some other disciplinary action (appeal hearings). The chosen companion may be a fellow worker, a trade union representative, or an official employed by a trade union. A trade union representative who is not an employed official must have been certified by their union as being competent to accompany a worker. In exceptional circumstances only (such as risk of being professionally struck off ), advice from the HR Service should be sought with regard to allowing legal representation. 4 V

5 There is no entitlement to legal representation or accompaniment by any other outside person, with the exception of a trade union official. It is expected that one individual only will accompany the staff member. 6.5 The disciplinary procedure consists of a number of stages. The stage at which the disciplinary procedure will be instigated will depend upon the seriousness of the alleged offence. 6.6 Under all circumstances, meetings and investigations will be timely, and at all times conducted with impartiality and fairness. 6.7 In order to ensure disciplinary matters are resolved as quickly as possible, suggested time limits are proposed for stages in the procedure. Where it is not practicable to adhere to these time limits, relevant parties will normally be informed including the reason why. 6.8 The ACAS Code states that where an employee is persistently unable or unwilling to attend a Disciplinary meeting without good cause the employer should make a decision on the evidence available. The University defines persistently as an employee failing to attend two scheduled times for the same meeting (namely being unable or failing to attend a re-arranged meeting where reasonable endeavours have been made to set alternative dates and/or times. 6.9 A series of separate and different forms of disciplinary offences for which warnings have been given may collectively constitute grounds for further disciplinary action (including dismissal) following a written warning and a subsequent offence A staff member will not be dismissed for a first breach of discipline except in the case of gross misconduct, when the sanction will be summary dismissal without notice and without pay in lieu of notice A member of staff will have the right to appeal against any disciplinary sanction imposed under the formal disciplinary procedure At all stages of this procedure, a member of staff may be suspended on full pay while the allegation is investigated if it is considered that the circumstances warrant this action Where disciplinary action is being considered against an employee who is a trade union representative the normal disciplinary procedure should be followed. Depending on the circumstances, however, the HR Service may discuss the matter at an early stage with an official employed by the union, after obtaining the employee s agreement In cases of serious malpractice consideration should be given (and advice sought) as to whether the matter also needs to be referred to the relevant professional body Staff subject to investigation as part of the disciplinary process whether the allegations are founded or not, will be offered appropriate support (emotional and professional), both during and following an investigation, to help their reintegration to work. This may take the form of: Occupational Health support (eg counselling); Human Resources Service Support; 5 V

6 A reintegration plan agreed with the line manager (or other manager as appropriate) with support from the Human Resources Service. This may include the appointment of a mentor to further support the staff member during the reintegration process Where an individual is subject to a formal warning under the University s Disciplinary Policy and Procedures, the annual increment will be withheld. An increment will only subsequently be awarded (without back dating) once the warning has expired (but exceptionally longer by agreement with the HR Director). The next increment will then be awarded at the normal increment date. 7. Equality, Diversity and Inclusion (with particular reference to reasonable adjustments for disabilities) and Equality Impact Assessment Statements 7.1 The Equality Act 2010 harmonises, and in some cases, extends discrimination law covering the protected characteristics of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief (including lack of belief), sex and sexual orientation. It addresses the impact of recent case law and the ban of disabled by association is extended to all protected characteristics. The University has developed a Single Equality Scheme to implement the Equality Act within the University practices and procedures. This can be found at: leequalityanddiveristyscheme.pdf 7.2 Within the Equality Act It remains permissible to treat a disabled person more favourably than a non-disabled person. It remains lawful to make reasonable adjustments in relation to employment, education and services to ensure that there is true equality of opportunity for disabled people, namely: Where a manager believes that a staff member may be disabled within the meaning of the Act or may nonetheless need additional support, advice must be sought from the Human Resources Service before any action is taken. 7.3 This Equality Scheme and its implementation will be monitored in line with relevant legislation for its impact on different equality groups. This process will provide a check on whether there are any differences and allow the University to assess whether these differences have an adverse impact on any particular group such that appropriate action is taken. 7.4 These are important issues and further information should be sought from the University s LISS Manager (Equality, Diversity & Inclusion Policy) as required. 8. Records Management Statement 8.1 The records associated with this policy are controlled by the Human Resources Service and will be created, stored and disposed of in line with the University s Records Management guidelines and procedures. 8.2 The University is committed to complying with the requirements of Data Protection legislation and regulations and any personal data created as part of this policy will be processed in accordance with the University s Data Protection Act procedures. This includes ensuring that data is held securely, is not disclosed unlawfully and is destroyed when no longer needed. 6 V

7 8.3 The University also aims to ensure that users of this policy are aware of Data Protection, Freedom of Information and Records Management issues associated with this policy. 9. Risk Management Statement 9.1 Failure to comply with this policy could lead to breaches in employment legislation and may give rise to claims against the University. 10. Roles and Responsibilities 10.1 In order to support the implementation of this policy, it is the responsibility of: Managers a) to be aware of the University s expectations of its staff as outlined in the HR Strategy b) to inform staff in their team of the standards of conduct / behaviour the University expects c) to comply with the disciplinary policy and procedure d) to ensure staff understand the policy and procedure e) to ensure the fair and consistent application of the policy and procedure f) to assist, wherever possible, the staff member to correct unacceptable conduct / behaviour Staff Members a) to be aware of the University s expectations of its staff as outlined in the HR Strategy b) to be aware of the disciplinary policy and procedure c) to maintain acceptable standards of conduct / behaviour d) to carry out their duties in accordance with their contract of employment and the University s rules and procedures Human Resources Service 11. Contact Details a) to ensure that the disciplinary policy and procedure is readily available and understood such that staff are aware of the standards of conduct / behaviour expected of them b) to provide training, support (including administrative support) and guidance to managers on its application c) to review and monitor the operation and effectiveness of the policy and procedure d) to ensure compliance with legal obligations and the ACAS Code of Practice For procedures to be followed in relation to this policy please consult the Procedural Guidelines in the next section. 7 V

8 To access related HR policies and procedures, please look at the HR Policies Handbook on the University website. If you require further guidance or information or require this document in another format (eg CD, audio cassette, Braille or large type), please contact the relevant member of the Human Resources Service (see UNIVERSITY OF CUMBRIA POLICY DOCUMENT CONTROL SCHEDULE All University of Cumbria Policies must include a completed Policy Document Control Schedule consisting of the Policy Schedule (see front cover) and Review Schedule and (see below) which should be completed as appropriate. REVIEW SCHEDULE Version no. Review Reviewed by Approved by Date of Approval interval V /2011 HR EPC/JNCC 24 June 2009 V /2014 Margaret Johnston EPC/JNCC 24 February /03/11 V /2015 Nicky Allen EPC/JNCC 14 June 2012 V /2016 Nicky Allen EPC/JNCC 21 June 2013 V /2016 Nicky Allen JNCC 15 January V

9 B. PROCEDURAL GUIDELINES The normal expectation is that the following procedural guidelines will apply. However, on occasions, and for exceptional reasons, there may be the need to vary the procedures to suit individual cases / circumstances, and accordingly the University reserves the right to amend the procedures. The University will consult with the recognised union(s) regarding any proposal to vary the procedure and will be mindful of, and adhere to, the ACAS Code of Practice in any amendments made to the procedures. 1. Informal procedure and Mediation Guidance 1.1 Informal Procedure The University is committed to ensuring that differences and difficulties can be resolved amicably through open communication. Wherever possible, and where appropriate, given the nature of the apparent issue, disciplinary matters will be resolved informally As such, it is expected that minor instances of unacceptable behaviour and/or conduct will be dealt with informally by the manager of the staff member(s) concerned. Sometimes they will not be aware that their behaviour or actions are causing a problem. Often, issues can be resolved at this point through discussion and clarification. Therefore, the manager will discuss the issues with the member of staff with a view to coaching them towards improving and sustaining satisfactory behaviour and/or conduct. This is more likely to produce effective solutions, minimise conflict and allow staff to maintain positive working relationships An internal (or external (dependent on the circumstances of the matter)) facilitator may be used to support the resolution of matters informally, as appropriate The staff member should seek advice from their line management, their assigned member of the Human Resources Service or trade union representative The manager will normally follow up any discussions outside of the formal procedure with a note to the member of staff confirming their discussion, and explaining that if the informal action does not bring about an improvement, then the formal disciplinary procedure may be instigated. The note will be held on file 2 and will be referred to should the matter progress to the formal disciplinary procedure and/or should other matters of behaviour and/or conduct arise If the informal action does not bring about an improvement or in situations where the matter is more serious the procedure below will apply. 2 Notes will be held in accordance with the University s Records Management Policy 9 V

10 1.2 Mediation Mediation is a process by which an impartial person helps others to resolve their difficulties. It is voluntary and it can help to resolve problems. Mediation is undertaken without any admission of wrongdoing by any party, and without preventing any opportunity to pursue formal action Although mediation is often not applicable in disciplinary issues, where it is deemed appropriate, it may be considered. It may be appropriate whether or not an allegation is upheld If mediation is deemed an option, then this should be raised with your assigned member of the Human Resources Service. 2. Investigation 2.1 In all cases, the facts must be established via an investigation prior to the commencement of formal disciplinary action. All investigations should be carried out in a timely manner as possible and include comments from the employee involved in the matter. Witnesses may be called to provide information to the investigation and such information will normally be made available to all parties in advance of any meeting to discuss the findings. 2.2 Normally, an Investigating Officer will be appointed as detailed below to investigate the matter and produce a statement / report of their findings. The Investigating Officer will not subsequently act as the Disciplinary Officer. 2.3 However, in certain minor cases (eg breaches of a minor nature and/or where the staff member accepts the alleged breach and it is considered that dismissal is unlikely, say), the line manager may investigate the matter to establish the facts and may also subsequently act as the Disciplinary Officer. 2.4 In all cases and prior to investigation, advice should be sought from the Human Resources Service in the first instance about who should undertake the investigation. 3. Appointment of Investigating Officer 3.1 Where an Investigating Officer is appointed (ie paragraph 2.3 does not apply), they will not subsequently act as the Disciplinary Officer if the matter is to be taken forward. The Investigating Officer s role is to establish the facts when apparent unacceptable behaviour and/or conduct is identified. This is in order to establish the most appropriate course of action, if any, to be taken. 3.2 Other than in exceptional circumstances, the Human Resources Service must be consulted prior to commencement of an investigation. 3.3 The Investigating Officer will normally be appointed on the advice of the Human Resources Service. They may be a Faculty/Service Manager or Supervisor, where possible of higher grade to the member of staff, and may be from within or outside the Faculty / Service dependent upon the circumstances of the case and whether there is a likelihood of a conflict of interest. The Investigating Officer may be the staff member s line manager if appropriate. In exceptional circumstances a representative of the Human Resources Service or an appropriate professional external to the University may conduct an investigation. 10 V

11 3.4 The objective of the investigation is to establish the facts. The duration of the investigation will be dependent on the nature and complexity of the allegations and the scope of witnesses to be interviewed. 3.5 The member of staff against whom the allegations have been made will be given an opportunity to respond to the allegations during the investigation After considering the relevant statements, documentation and interviews the Investigating Officer will produce a statement / report stating all the facts. This will be considered in conjunction with the Human Resources Service. If it is decided there is a case to answer, a disciplinary meeting will be arranged (see section 5). 3.7 No decision will be taken as to whether the Disciplinary Procedure should be invoked until the investigation has been completed. 3.8 The member of staff against whom the allegations have been made may be accompanied at the investigation meeting(s). 4. Suspension 4.1 A staff member may, at any stage, be suspended from work on full basic pay for alleged misconduct or other good and urgent cause such as to enable an investigation or meeting to be undertaken or where there are grounds for doubting the suitability of the staff member to continue at work. 4.2 Suspension is not a disciplinary sanction. It is an action designed to enable the proper investigation of disciplinary issues and will only be used when it is deemed essential to do so. 4.3 Other than in exceptional circumstances (for example outside normal work hours), the Human Resources Service must be consulted prior to the suspension of a member of staff. 4.4 A decision to suspend a member of staff may only be taken by the Vice- Chancellor (or their delegated official who must be a holder of a senior post). In exceptional circumstances, in the absence or non-availability of the Vice- Chancellor / delegated official, a manager may require a member of staff to leave the premises pending a decision on suspension. In such cases a full report will be made at the earliest opportunity to the Vice-Chancellor / delegated official who will then deal with the matter. 4.5 Anyone who is suspended will be entitled to receive written notification of the suspension, setting out the grounds on which the decision to suspend has been taken. 4.6 Any suspension should not be unnecessarily protracted and normally no longer than 2 months in duration. The University therefore undertakes to ensure that investigations are carried out in a timely manner. However, it is recognised that in exceptional cases / complex cases, it may not be possible to adhere to this limit. 4.7 A staff member who has been suspended for three weeks or more, who has not received imminent notification of a disciplinary investigation meeting or hearing may appeal against the suspension. Notice of such appeal should be in writing to the Director of Human Resources. The suspension shall continue pending the determination of the appeal. 11 V

12 4.8 Any appeal shall be considered as soon as practicable by an SMT member not previously involved. The appeal will normally take the form of a review of a written submission from the suspended employee. 4.9 Following the review of an appeal against suspension, the Appeal Officer may either confirm or lift the suspension. The decision of the Officer shall be confirmed in writing by the Human Resources Service to the staff member as soon as practicable and normally within 7 calendar days of the appeal Any decision to lift the suspension shall become effective immediately although actual return to duties might be delayed for a short while to allow arrangements for a smooth return to be put into place Any suspension should be kept under regular review, regardless of any appeal, and the employee kept informed of progress of the investigation Should a fitness to work note be received for a suspended employee that declares the employee unfit for work, the University will classify the employee as unfit for work and the University s normal absence policies will apply During the period of suspension, the University s Annual Leave policy will still apply. Employees are normally permitted to carry over no more than 3 days annual leave to the next leave year. 5. Formal Disciplinary Procedure 5.1 Following investigation, if the Investigating Officer in conjunction with the Human Resources Service, decides there is a case to answer, a disciplinary meeting will be arranged by the Human Resources Service. 5.2 Prior to the disciplinary meeting, the Investigating Officer will have prepared a written statement / report detailing the staff member s alleged conduct, characteristics or circumstances that have led to a disciplinary meeting involving the staff member being convened. The Human Resources Service will send a copy of the written statement / report (which may include witness statements) to the staff member at least 7 calendar days before the meeting. At the same time, the staff member should be invited to the disciplinary meeting and be advised of the following: a) The date, time and venue of the meeting; b) The basis for including the statement / report and the nature of the allegations; c) That the purpose of the meeting is disciplinary and that a disciplinary sanction (including dismissal where appropriate) may result; d) The entitlement to be represented or accompanied by another of the University s staff or a trade union official; e) The right to call witnesses and/or present evidence. 5.3 The Disciplinary Officer who conducts the disciplinary meeting will not normally have been involved in the investigation relating to the specific case. 5.4 The staff member must take all reasonable steps to attend the meeting. If, for any reason, which was not foreseeable at the time the meeting was arranged, it is not reasonably practicable for the staff member or his/her representative to attend the meeting, the University will invite the staff member to an alternative meeting. 12 V

13 5.5 The duty to invite the staff member to attend a meeting shall cease if the University has invited the staff member to attend two meetings and the paragraph above has applied in relation to each of them. In such circumstances, or if the staff member has simply failed to attend the disciplinary meetings, the person conducting the meeting shall be entitled to make a determination on the evidence otherwise available. 13 V

14 5.6 If either the staff member or the Investigating Officer wishes to refer to any documents during the disciplinary meeting, copies of the documents should be made available to Human Resources Service in advance of the meeting (and in any event normally at least 3 working days before the meeting) so they can be passed to the other party before the meeting. 5.7 If the member of staff or the Investigating Officer wishes to call witnesses, the Human Resources Service must be provided with details of the witnesses normally at least 3 working days before the meeting is due to take place so that any necessary arrangements, if not already in place, can be undertaken. 5.8 The meeting must not take place unless: a) the staff member has been sent a written statement / report in accordance with paragraph 5.2 of this procedure; and b) the staff member has had a reasonable opportunity to consider his/her response to that information. 5.9 The meeting must be conducted in a manner that enables both the University and the staff member to explain their cases In exceptional circumstances, the member of staff may delay the meeting for up to 7 calendar days and notice (preferably written) of this must be received within 24 hours prior to the meeting. Failure to give sufficient notice of unavailability, unless the circumstances are outside of the staff member s control, may lead to the meeting taking place and a decision being reached without the attendance of the member of staff At the disciplinary meeting, a representative of the Human Resources Service 3 will normally accompany the Disciplinary Officer to advise on procedure and points of law. A note taker will also attend. Notes of the meeting will be provided to the Disciplinary Officer and the staff member to consider and sign as an accurate record If the staff member raises new evidence and the Disciplinary Officer decides it should be investigated further, the meeting will be adjourned and will be reconvened once the new evidence has been investigated and considered. Any further investigations will normally be undertaken within 14 calendar days by the Investigating Officer Where the Disciplinary Officer considers that the case has been substantiated s/he will determine the appropriate disciplinary action. In doing so, they will consider the seriousness of the offence, any mitigating factors and the previous record of the staff member s conduct If a warning is issued, an action plan will be determined which will normally include: a) The period over which the improvement is to be achieved. b) Appropriate action to eliminate any identified underlying causes of any misconduct and/or behaviour. c) When, how and by whom improvement will be reviewed, including at least one interim review. 3 For the avoidance of doubt a meeting held without a representative of the Human Resources Service present shall not be regarded as improperly conducted for the purpose of the Disciplinary Procedure. 14 V

15 5.15 The Disciplinary Officer or a member of the HR Service will write to the member of staff, normally within 7 calendar days of the disciplinary meeting, informing him/her of the outcome of the disciplinary meeting and of his/her right of appeal. The member of staff will also be informed of the reason for any disciplinary sanction being imposed, the improvement required and the period over which the improvement is to be achieved, the potential consequences of not achieving the improvement required, and the right to appeal. In cases of dismissal the member of staff will also be notified of when their employment will end A note of the disciplinary meeting and any other paperwork and/or correspondence will be kept on the staff member s personal file in the Human Resources Service and will be disregarded for disciplinary purposes normally after a period of between 12 months to 24 months (or exceptionally longer). 6. Appeals and Appeal Meeting Procedure 6.1 A staff member has a right of appeal following the outcome of a disciplinary meeting. 6.2 A member of staff who wishes to make an appeal should submit their request in writing normally within 7 calendar days of issue of the disciplinary decision to the Director of Human Resources. The grounds for appeal should be stated and, if applicable, full details of any new evidence provided. 6.3 Upon receipt of an appeal, a member of the Human Resources Service will convene an appeal meeting. In accordance with the principles governing the arrangement of the first disciplinary meeting, the staff member must take all reasonable steps to attend and they will have the right to be accompanied by a work colleague or a trade union official. The provisions relating to postponement, and the staff member s continued duty to attend will apply equally to any appeal meeting (refer section 5.5). 6.4 A more senior manager (or exceptionally a manager at the same level) not previously involved with the case will be the Appeal Officer. 6.5 Any appeal meeting will be heard as soon as possible and without unreasonable delay. If the appeal is against dismissal, the staff member shall be entitled to 5 calendar days notice of the date, time and venue of the appeal meeting, unless an earlier date has been mutually agreed. For other appeals, the staff member will normally be given 7 calendar days notice of the date, time and venue of the appeal meeting (again unless an earlier date has been mutually agreed). 6.6 The decision of the Appeal Officer conducting the appeal meeting is final. 7. Disciplinary Outcomes 7.1 In considering whether and what sanction/s should be imposed following a disciplinary meeting the following will be considered: a) The nature of the allegations b) The action/s of the member of staff c) Any mitigating factors d) The general employment and conduct record of the member of staff 15 V

16 8. Disciplinary Warnings 8.1 The following disciplinary warnings may be given: Stage 1: Stage 2: Stage 3: Written Warning Following a disciplinary meeting, a written warning may be given. Final Written Warning Where there is a failure to improve or change behaviour in the timescale set at Stage 1, or for a further offence of the same or different nature, or where the offence is sufficiently serious, a final written warning may be given. Dismissal If the staff member s conduct and/or behaviour still fails to improve, or for a further offence of the same or different nature following a final written warning, or in cases of gross misconduct, dismissal will normally result. A member of staff who commits an act of gross misconduct will be liable to summary dismissal (ie dismissal without notice and without payment in lieu of notice). 9. Other Possible Outcomes Short of Dismissal 9.1 Depending on the circumstances of the case, consideration may be given to substituting dismissal with a final written warning and could include one or more of the following sanctions: a) Demotion to a lower graded post. b) Transfer to another service or faculty or location. c) Loss of title or status. d) Retraining 10. Examples of Gross Misconduct 10.1 The following are examples of breaches of discipline considered by the University to be gross misconduct that may lead to summary dismissal. This list is not exclusive or exhaustive: a) Unauthorised removal of the University s property. b) Theft from the University, its staff members, students or members of the public, or other offences of dishonesty. c) Serious negligence which causes unacceptable loss, damage or injury. d) Threatening or abusive language or conduct of a serious nature. e) Serious acts of harassment, bullying or sexual misconduct including at social gatherings outside the workplace which are connected with work. f) Assault on any person or indecent behaviour by a member of staff. g) The consumption of alcoholic drinks, or drugs not prescribed by a medical practitioner, which reduces the ability of the member of staff to work with proper effectiveness and with due regard for his/her safety and welfare, and/or the safety and welfare of others, while at work / during working hours. 16 V

17 h) The commission of a criminal offence which renders the member of staff unsuitable or unable to carry out the duties for which he/she is employed. i) Deliberate falsification of University documents such as overtime sheets, expense claims or flexible working hours records. j) Falsification of qualifications which are a stated requirement of employment or which result in financial gain. k) Committing an offence as defined by the Bribery Act 2010; that is to make an offer of financial or other advantage to another person intended to induce or reward improper performance of a relevant function or activity or in the knowledge that acceptance would be improper performance, or to accept an offer of a financial or other advantage as detailed above. l) Breaches of financial regulations and/or breaches of the University s financial procedure and/or financial losses. m) Breaches of the University s regulations for the use of University computing facilities eg: Downloading (accessing) or circulating pornographic or other offensive material from the Internet; Use of unlicensed software on the University s IT systems; Illegal downloading and file sharing copyright material at work. n) Selling counterfeit goods of any description at work. o) Actions while on University business which would constitute a serious risk to health and safety of the member of staff concerned or of any other person. p) Serious breaches of safety regulations endangering other people, including deliberate damage to, neglect of, or misappropriation of safety equipment. q) Statutory bars such as the removal or expiry of NMC (nursing and midwifery) registration. r) Carrying out external work, which competes or conflicts with the interests of the University, without prior approval, and/or carrying out external work which interferes with professional responsibilities. s) Use of for personal benefit or gain, or divulgence of, confidential information belonging to the University or relating to its affairs or dealings. t) Serious acts of insubordination. u) Failure to reveal full information or lie about criminal background / convictions at the recruitment stage and/or failure to bring to the attention of the University any additions to criminal record gained / arising during employment (for posts requiring DBS Disclosure and Clearance). v) Serious breaches of confidence and trust. w) Discrimination for illegal grounds including on the grounds of sex, race, disability, sexual orientation, religion or belief and age. 17 V

18 x) Serious acts which bring the University into disrepute. y) For holders of posts requiring Disclosure and Clearance, failure to notify the University as soon as practicable in writing of any subsequent additions to a criminal record from the date of the Disclosure from the Disclosure and Barring Service until the termination of employment with the University. z) Failure to comply with the University s Safeguarding Policy. za) In cases of serious malpractice consideration should be given (and advice sought) as to whether the matter also needs to be referred to the relevant professional body. 11. Examples of Offences which may warrant disciplinary action other than Summary dismissal 11.1 The following are examples of breaches of discipline which are considered by the University as sufficiently serious to render the staff member liable to disciplinary action. This list is not exclusive or exhaustive: a) Persistent failure to be in attendance at the place of work at the required time. b) Absence from work without permission. c) Failure (in particular deliberate) to report absence correctly. d) Failure to conform to laid down working practices or procedures required by the University and/or refusal to accept agreed changes in working practices. e) Refusal to carry out a reasonable instruction. f) Actions in dealing with members of the public, suppliers, or other outside contractors, which are in any way prejudicial to the University s interests. g) Unauthorised use and/or failure to take reasonable care of the University s property. h) Abuse of the University s Sickness Absence scheme. 12. Time Limits for Warnings 12.1 All formal warnings 4 will be spent normally after a 12-month period of satisfactory conduct and/or behaviour (but exceptionally longer, by agreement of the Disciplinary Officer with the Director of HR), if during this period there has been no cause for further disciplinary action. 4 Formal warnings will be held in accordance with the University s Records Management Policy 18 V

19 13. Criminal Offences 13.1 If an employee is charged with, or convicted of a criminal offence this is not normally in itself reason for disciplinary action. Consideration needs to be given to what effect the charge or conviction has on the employee s suitability to do the job and their relationship with their employer, work colleagues and customers Where it is considered that the conduct may warrant disciplinary action the facts should be investigated as far as possible, a view reached about them, and consideration given to whether the conduct is sufficiently serious to warrant starting the disciplinary procedure The main consideration will be whether the offence, or alleged offence, is one that makes the member of staff unsuitable for their type of work, or whether it might bring the University s name into disrepute As a reminder, staff who are employed in posts which require Disclosure and Clearance on appointment are contractually obliged to inform the University of any additions to their criminal record gained / arising during employment. 14. References 14.1 Where a member of staff is dismissed (subject to the outcome of an appeal), or leaves with unexpired disciplinary action against them, any reference provided by the University will be factual and will normally refer to the fact that the member of staff was dismissed/had unexpired disciplinary action against them In such situations, references should not be given without first consulting with the Human Resources Service. 15. Confidentiality 15.1 To respect the individual s privacy and to promote fair procedures all information associated with disciplinary proceedings will be treated as strictly confidential and must not be discussed with any party that is not directly involved The outcome of a disciplinary meeting or appeal will remain strictly confidential other than on a genuine need to know basis. Witnesses and/or persons raising allegations have no right to know the outcome of a disciplinary meeting. However, where appropriate, they may be informed that the University has dealt with the matter. 16. Advice 16.1 The Human Resources Service is available to give advice and guidance on the implementation of the disciplinary procedure to all members of staff. 17. Additional Information 17.1 Other policies and procedures that may be relevant or linked to the Disciplinary Policy and Procedure (which can be found on the University S:drive, Human Resources web page or via the Human Resources Service) include: a) Code of Conduct b) Anti Fraud Policy c) Performance Improvement Policy d) Harassment & Bullying Policy 19 V

20 e) Attendance Management Policy f) Grievance Policy and Procedure g) Probationary Policy and Procedure h) Policy on Public Interest Disclosure (Whistle Blowing) i) Staff Policy on Employing Staff with a Criminal Record and Disclosure of Criminal Background 20 V