Disciplinary procedures relating to staff
Disciplinary procedures relating to Full time Officers
Disciplinary procedures relating to staff
In any working environment it is important that standards are set and rules and regulations developed to inform and protect all those involved.
Sometimes situations arise when standards are not met or the rules and regulations are disregarded. In most cases, when minor problems arise, it is possible to discuss the matter informally and overcome any difficulty with help and guidance from your line manager.
Our aim is always to encourage you to improve and to help you reach and maintain the required standard. But if the informal approach is not effective or the matter is too serious to be classed as minor, formal action will be taken.
Accurate records will be kept of all matters relating to breaches of discipline or poor performance of staff.
Principles of the Disciplinary Procedure
Any complaint made against you will be fully investigated. No disciplinary action will be taken until you have been informed of the nature of the complaint and been given the opportunity to make representations at a disciplinary meeting.
You will at all times have the right to be accompanied by a work colleague or trade union representative of your choice at any disciplinary or appeal meeting.
While the Union will make all reasonable efforts to ensure that you are present at any disciplinary hearing, the Union may hold the hearing in your absence if you are unable to attend pre-arranged meetings on a number of occasions, in which case you may make written representations.
The Union will use its best endeavours to keep all details relating to any disciplinary investigation or procedure confidential.
Disciplinary action may be taken in respect of any breach of discipline by an employee:
- On Union premises
- Whilst on Union premises or at a Union event
- Whilst representing the Union at any event of any kind and wherever held
The Process
Initial investigation
Before deciding whether a formal disciplinary hearing is required, you may be asked to attend an initial investigatory meeting to assess whether, for instance, there is an entirely innocent explanation for what has been alleged.
Before any such initial meeting you will be informed of the nature of the allegation(s). You will be told that what is taking place is an investigator interview to assess whether a full disciplinary hearing will be needed.
No decision on the truth or otherwise of the allegation is being taken at this meeting, only whether there is "a case to answer". A trade union representative or work colleague may accompany you. The role of the representative is to offer you support, and if necessary to present your case but they cannot answer questions for you.
In order for the Union to investigate any allegations thoroughly, as well as speaking to you, this will often involve speaking to others (e.g. employees, student officers, students) to obtain information, including witness statements.
Formal disciplinary hearing
If, as a result of the initial investigatory meeting, it is felt that there is a case to answer and a formal disciplinary hearing is required you will receive a letter that will outline the allegations against you and invite you, accompanied by your trade union representative or work colleague, to a disciplinary hearing.
The letter will set out the date, time and place of the meeting, who will be in attendance, what is being investigated and the consequences for you if the allegation is proved.
You and/or your trade union representative or work colleague will be provided with any evidence that has been collated so you can adequately prepare your response.
The disciplinary hearing will consist of a panel, which will normally consist of the disciplinary officer (who will not have not been involved in any initial investigations in the case) and 2 members of the Trustee Board. There will also be a Secretary in attendance, taking the minutes and advising attendees on the process.
The CEO (or their nominated delegated) or President will always be present on the panel if the alleged offence could lead to your dismissal (either because it may constitute gross misconduct or because you are on a final written warning).
Prior to the hearing, you and all panel members will receive all of the documents relevant to the case, which will be referred to during the hearing.
At the hearing the appropriate manager will present their case, after which you will have the opportunity to make representations and state your case.
The hearing will have 3 choices: ?
- Ask to hear further evidence, in which a further hearing date will be arranged
- Decide that there is no case to answer
- Apply the sanction they deem appropriate
Sanctions for Breaches of Discipline:
Stage 1: Verbal Warning
If your conduct or performance has been unsatisfactory, you may be given a formal verbal warning. You will be informed of the reason for the warning and a record of the verbal warning will be kept on file. This will be considered "spent" for disciplinary purposes after a period of six months unless otherwise specified.
Stage 2: Written Warning
If a more serious disciplinary matter occurs or if there has been a failure to improve following a previous verbal warning, you will be given a formal written warning.
The written warning will give details of the complaint, the improvement required from you and the period in which it has to be achieved. It will also warn that a final written warning may be issued if there is no satisfactory improvement within the required period and will advise of the right to appeal.
A note of the warning will be kept on file but will be considered "spent" for disciplinary purposes after 12 months unless otherwise specified.
Stage 3: Final Written Warning
If there is insufficient improvement following a written warning or if there is misconduct that is serious enough to warrant it, a final written warning may be given to you.
This will give details of the complaint and will warn that dismissal, or some other action short of dismissal, may result if there is no satisfactory improvement within a particular period. It will also advise of the right to appeal.
A note of the warning will be kept on file but will normally be considered "spent" for disciplinary purposes after a period of 12 months unless otherwise specified.
Stage 4: Dismissal
If you fail to meet the standards required of you, or if you are found guilty of Gross Misconduct, dismissal will normally result.
A decision to dismiss can only be taken by the Chief Executive Officer (CEO) or, in the case where the dismissal relates to the CE or an Officer Trustee, the Trustee Board.
If you are dismissed, you will be provided with written reasons, the date your employment terminated and, where appropriate, details of any notice pay to which you are entitled. You will, also, be informed of your right to appeal.
As an alternative to dismissal, and at the Union's discretion, the Union may demote you. If the Union is considering dismissal, demotion or any other action short of dismissal, you will be given a written statement prior to the formal disciplinary meeting, setting out the reasons for the proposed course of action. The issues will be fully discussed at the meeting and you will be informed in writing of the outcome.
If you are demoted, you will be entitled to the salary and other terms and conditions of employment appropriate to the position to which you have been demoted. You have a right of appeal against demotion.
Depending on the nature and seriousness of the situation the Disciplinary Procedure can be commenced at any of the above four stages.
Misconduct
The following is a non-exhaustive list of examples of misconduct:
- Failure to work in accordance with Union policies and procedures
- Poor timekeeping
- Unauthorised absence from work or absence without a valid reason
- Wasting Union resources
- Refusal to comply with legitimate management instructions
- Not performing duties in a satisfactory manner
- Carelessness with Union or other people’s property
- Potentially dangerous or offensive pranks or horseplay
- Unreasonable standards of dress or personal hygiene
Gross Misconduct
An employee who commits gross misconduct will be dismissed without notice or payment in lieu of notice. The following is a non-exhaustive list of examples of gross misconduct:
- Any serious breach of the Union’s Health and Safety procedures or policy or failure to disclose such a serious breach
- Theft, fraud, deliberate falsification of Union documents, including timesheets and expenses claim forms) or otherwise dishonestly providing false information to the Union or any other dishonest act in the course of your employment (including the consumption or giving away of stock without payment) or failure to disclose such a serious breach
- Using your position to give improper advantage to friends or relatives
- Fighting, assault or intimidation of another person in the course of your employment’
- Sexual, racial or disability discrimination or any other serious breach of the Equal Opportunities policy
- Bullying or harassment
- Unauthorised use or disclosure of confidential information
- Deliberate damage to property of or in the Union, or of a third party
- Acceptance of a bribe
- Being under the influence of drugs or alcohol in the course of your employment’
- Negligence which causes or could cause significant loss, damage or injury or other serious consequences (such as criminal or civil liability or damage to the Union’s reputation);
- A serious act of insubordination
- A serious breach of Union policies and procedures
- Rudeness to members, colleagues or customers
- Indecent or immoral behaviour in the course of your employment
- Conviction of an offence which may adversely affect your continued employment
- Bringing the Union or University into disrepute
- Deliberate falsification of records, reports or expense claims (including time sheets, clock-in cards, absence records and so on, in respect of yourself or any fellow employee)
- Unauthorised disclosure of confidential Union information
- Refusal or persistent failure to carry out working instructions or Union rules and procedures
- Failing to report to management any medical condition or medication/drug taken (whether prescribed or not) which could interfere with your ability to perform your work competently and safely
- Undertaking private work on the premises and/or in working hours without express permission
- Working in competition with us
- A serious breach of confidence
- Smoking in designated 'No Smoking' areas.
If the matter is very serious or if it is thought the employee may influence the investigation, they will be suspended on full pay pending an investigation. The suspension itself is not classed as disciplinary action
During any suspension, an employee must not – without the express consent of the manager or trustee in charge of the investigation – attend work or contact any student officer, member or colleague.
Appeals
You have the right to appeal against any warning, demotion, suspension or disciplinary dismissal within 5 working days. An appeals panel will be convened consisting of a senior member of staff and trustees who, where possible, have not been involved in the case up to that point. This may require the involvement of University staff or a senior staff member from another Union.
You will be informed in writing of the date of any appeal hearing and you will be entitled to bring a colleague or a trade union representative with you. The matter may be decided at the hearing or adjourned for further investigation or for further consideration. You will be informed of the outcome of any appeal hearing, in writing, as soon as possible. The resulting decision is final.
Suspension from employment
In certain circumstances, for example cases involving gross misconduct, where relationships have broken down or where it is considered there are risks to property or Union responsibilities to other parties, consideration should be given to a period of suspension of membership rights with or without entitlements whilst an unhindered investigation is conducted. Such a suspension should only be imposed after careful consideration and should be reviewed regularly to ensure that it is not unnecessarily protracted. Excluding a staff member from participation in Union activities is not in itself a form of disciplinary action whilst the investigation is progressing. The Staff member will be entitled to seek advice, for example legal advice, the cost of which will be met by them.
Disciplinary procedures relating to full-time officers
There is generally uncertainty around whether elected Officers are 'office holders' or 'employees' and, therefore, what procedures should be followed in the event of any performance-related issues. It is recognised that the post of Full-time Officer Trustee is a unique one that doesn't always fit exactly into one HR process or procedure, such as those relating to core members of Union staff. Guidance produced by NUS has been utilised in drawing up this procedure.
Accurate records will be kept of all matters relating to breaches of discipline or poor performance of Officers.
Disciplinary action may be taken in respect of any breach of discipline:
- On Union premises
- Whilst on Union premises or at a Union event
- Whilst representing the Union at any event of any kind and wherever held
A breach of discipline means (but is not limited to) an act that could be deemed to constitute misconduct or gross misconduct, as detailed above.
The Process
The Trustee Broad shall annually appoint a Supervising Trustee to oversee procedures relating to the misconduct of full time officers. The Supervising Trustee shall annually report to the Trustee Board on any matters dealt with. In normal circumstances, complaints and grievances about the full time Officers will be made to the Supervising Trustee via the Chief Executive Officer (CEO). Members and elected officers should refer to the CE who will advise on this procedure.
The Supervising Trustee will appoint a panel at disciplinary hearings, to consist of:
- A student officer from a Union
- A staff member from a Union
When a disciplinary matter arises or a complaint is made or a matter is referred to the panel, the Supervising Trustee shall first determine whether the policy is appropriate for the matter/s being raised. In making the judgement, the Supervising Trustee will be careful to ensure that matters of misconduct are handled through this procedure but that matters of political performance (in their elected, representative capacity) are rightly referred to the appropriate accountability procedure.
If using this procedure, the Supervising Trustee will appoint an impartial third party to investigate the matter. This is to establish the facts and, where appropriate, obtain statements from any available witnesses. The appointed investigator will then make a report to the Supervising Trustee who will decide whether to: ?
- Take no further action and drop the matter
- Arrange informal coaching, advice or counselling;
- Arrange for the matter to be dealt with through the disciplinary procedure
Investigation of disciplinary complaints about Full-time Officers At the start of the investigation, the respondent will receive a letter of formal notification detailing the disciplinary complaint being investigated and the name and contact details of the person dealing with the investigation.
They will be invited to an investigatory meeting at which they may submit any supporting documents or accounts to enable them to fully respond to the allegations.
Should the respondent not respond to communications or refuse to engage with the investigation process, they will be deemed to have nothing to add to the investigation.
The investigation will consider statements and any other documents received form the complainant and respondent as soon as practicable. The Union aims to confirm the outcome of its investigation to the complainant, the respondent, and other interested parties, including, if applicable, the respondent's home union within 14 working days of the date of the formal notification of the investigation, subject to having been able to contact all relevant parties within this time.
If it is not practicable to comply with these deadlines, for example due to relevant parties being on holiday, they may be extended by discretion, normally up to a maximum of 7 further working days.
It should be recognised that being the subject of a complaint can be a difficult time for an individual, and so the Union will undertake the investigation with appropriate discretion, care and consideration. The Union will endeavour to ensure all steps in the process remain fair and in line with equal opportunities policy and procedures.
No officer or representative should comment publicly on any incident that is being dealt with under this procedure. Failure to observe this requirement will result in disciplinary action being taken under this procedure.
Informal Procedures
The Supervising Trustee will decide whether a matter should be dealt with informally or formally under the disciplinary procedure.
Minor cases of misconduct are best dealt with informally. It may be necessary to issue an informal warning, but the Supervising Trustee will ensure that these areas are discussed with the objective of helping the member to make appropriate improvements. At this stage the member will be made fully aware of what steps need to be taken to address the disciplinary issue. They will also be told when this will be reviewed and over what period.
Officers will be informed of what action will be taken if they fail to improve either their performance or conduct (see below). Informal warnings and /or counselling are not part of the formal disciplinary procedure and members should be made aware of this.
Disciplinary Hearings
Before a decision is reached or any disciplinary action taken there will be a disciplinary hearing. The Officer will be notified of a disciplinary hearing in advance and will be provided copies of statements given by any witnesses or other written evidence to be used.
Hearings will be arranged as far as possible at a mutually convenient time and place and the member will have the right to be accompanied by a colleague or representative of their choice.
At the hearing, the Officer will have an opportunity to state their case to the panel and answer the allegations that have been made. The appointed investigator will, also, be asked by the panel to present the case against the Officer.
If the Officer challenges the substance of any statements by witnesses, those witnesses may be called to the hearing where the Officer or their representative and the panel will have the opportunity to ask questions.
Where disciplinary action is necessary, the member will be informed of the decision in writing. This will include:
- Details of the misconduct that has resulted in the disciplinary action
- The level of the disciplinary action
- Any recommendations or action required to prevent future disciplinary action
- The consequence of failing to comply with any recommendations or action
- Details of how to appeal
- If appropriate, the length of time the warning will last before it is disregarded
Types of Disciplinary Action
There are different types of action that can be taken that vary in their severity. The disciplinary hearing will decide the severity of the misconduct and the appropriate action and these are as follows: ?
This can be given by the panel in cases of minor infringements. A record of the warning will be kept on file for six months but the disregarded for disciplinary purposes. The warning will be given in the presence of the panel and the member will be entitled to have a colleague or representative present when the warning is given.
- Formal written warning, which may be a final written warning
This can be given by the panel at their discretion when the infringement is more serious or is a failure to improve during the currency of the previous warning. A copy of the written or final written warning will be kept on file for 12 months but then disregarded for disciplinary purposes.
- Termination or temporary suspension of all or part of membership entitlements, which in the case of employed elected officers could result in contract termination.
Suspension or termination of membership entitlements can be given to Officers (as members of the Union) if there is a failure to improve. In rare cases involving acts of gross misconduct or a major breach of duty or conduct that brings the organisation into disrepute, a summary termination of entitlements can be applied. Acts that may constitute gross misconduct are listed (but not exhaustively) in 23.6) above.
The panel will inform the Officer in writing:
- The reasons for the termination or suspension of entitlements
- The date on which the agreement regarding any suspension of entitlements between the Union and the Officer will terminate
- Information on the right of appeal and how to do so.
Due to the fact that the ability to hold elected office in the Union is dependent upon membership status and the rights and privileges of membership, termination of all entitlements would represent a termination of the holding of office. In the case of employed elected officers, this would therefore represent a termination of contract.
At any of the above stages, the panel may, also:
- Resolve to recommend that the Officer undergo training and/or exclusion from some or all future Union events.
- Removal from office as a Trustee, thereby, rendering them unable to fulfil the post of Executive Officer. A decision of this nature will need to be referred back to the Trustee Board by the Disciplinary Panel via the Supervising Trustee This decision will require the consensus of the majority of the Trustee Board i.e. over 50%.
Suspension from employment
In certain circumstances, for example cases involving gross misconduct, where relationships have broken down or where it is considered there are risks to property or Union responsibilities to other parties, consideration should be given to a period of suspension of membership rights with or without entitlements whilst an unhindered investigation is conducted. Such a suspension should only be imposed after careful consideration and should be reviewed regularly to ensure that it is not unnecessarily protracted. Excluding an Officer from participation in Union activities is not in itself a form of disciplinary action whilst the investigation is progressing. The Officer will be entitled to seek advice, for example legal advice, the cost of which will be met by them.
Appeals
An appeal is designed to remedy any defects in the disciplinary process, not to repeat the investigation. Grounds for appeal, therefore, are:
- Unfairness of judgement
- The severity of the penalty
- New evidence coming to light
- Procedural irregularities
- Extenuating circumstances
- Bias of a disciplinary officer
- Unfairness of the interview
An Officer will notify the panel of their intention to appeal against any disciplinary action within 5 working days of receipt of the confirmation letter. The appeal should be made in writing to the Supervising Trustee stating the grounds upon which the appeal is to be made and must be received by the panel within a further 10 working days.
An appeal hearing will normally be held within 10 working days of receipt of the letter of appeal. An appeal will be heard by a panel who have had no previous involvement in the case and who will consist of:
- A student Trustee
- An external Trustee
- A student officer from a Students’ Union
An officer will have the right to be accompanied by a colleague or representative of their choice.
Possible outcomes of an appeal are:
- The appeal is upheld and the disciplinary sanction is either removed or reduced.
- The appeal is upheld and a re-investigation or re-hearing is required.
- The appeal is denied and the original decision upheld.
Suspension from employment
In certain circumstances, for example cases involving gross misconduct, where relationships have broken down or where it is considered there are risks to property or Union responsibilities to other parties, consideration should be given to a period of suspension of membership rights with or without entitlements whilst an unhindered investigation is conducted. Such a suspension should only be imposed after careful consideration and should be reviewed regularly to ensure that it is not unnecessarily protracted. Excluding an Officer from participation in Union activities is not in itself a form of disciplinary action whilst the investigation is progressing. The Officer will be entitled to seek advice, for example legal advice, the cost of which will be met by them.