Policy 8.4 Disciplinary Procedure*

8.4 Disciplinary Procedure*

Within any organisation it is important to have clearly defined standards that apply across the organisation which ensure that all employees are treated fairly and consistently. LUU will ensure that all managers required to carry out these disciplinary procedures will be conversant (compliant may be more understood) with the rules and will know how to apply them. In order to ensure the fair and consistent treatment of all employees each individual manager will be trained in the use of disciplinary procedures and will receive expert advice and guidance on a case by case basis.

Below there is an outline of the levels of authority for disciplinary action in LUU.

Level: 1^st written warning:

Heard By : supervisor or manager

Appeal To: manager

Level: 2nd written warning:

Heard By : supervisor or manager

Appeal To: manager

Level: Final written warning

Heard By : manager or director

Appeal To: director or Deputy Chief Executive

Level: Dismissal

Heard By : manager or director

Appeal To: director or Deputy Chief Executive

Disciplinary meetings will take the following form:

Whenever disciplinary action is under consideration the member of staff will be informed in writing of the alleged complaint against them and where applicable will be provided with a copy of any witness statement. They will be informed that a meeting is to take place under the Disciplinary Procedure and that a possible outcome of the meeting after due consideration of all the facts and circumstances is that disciplinary action may be taken. The member of staff will be informed of his/her/their right to have a trade union representative or a colleague present at the meeting. Unless mutually agreed otherwise there should be at least five working days’ notice given of the meeting except in the most serious cases where the facts are already established.

At the meeting the member of staff will be advised of the complaint against them, which where applicable may include statements made by witnesses. The member of staff or their representative will be given the opportunity to question any witnesses. The member of staff or their representative will be given the opportunity to state their case and call any witnesses. Those hearing the case will have the right to question any staff side witnesses.

Once the member of staff or their representative has completed their case the meeting will recess whilst the person hearing the case considers all the facts and circumstances. The meeting will reconvene and the decision on the outcome given. Where disciplinary action is taken the member of staff will be advised of the decision, any improvement expected and the timescales for that improvement in writing. They will also be advised of the procedure for appealing and any consequences they may be liable to in the absence of any required improvement which will also be confirmed in writing.

Disciplinary actions will remain in force for the following timescales:

First written warning six months

Second written warning 12 months

Final written warning 2 years but where exceptionally serious the warning may remain in force for the period of employment.

On expiry of the timescales the warning letters will be removed from the files as time expired.

If a member of staff fails to appear at a disciplinary meeting without any acceptable explanation being received the case will be heard in their absence based on the information available at that time. Staff will be advised of this in the invite letter. Staff will be informed of the outcome in writing, which will be sent to their home address or delivered at work if convenient.

Where an allegation of a serious offence has been made against an employee it may be appropriate to suspend the member of staff on duty on full pay until the investigation is complete. Any suspension will be confirmed to you in writing.

The following non-exhaustive list outlines examples of behaviour or conduct which may lead to disciplinary action.

· Misuse or unauthorised use of computing and other equipment.

· Failure to comply with safety regulations and safe working practices

· Breaches of confidentiality and security

· Harassment or workplace bullying

· Wilful refusal to carry out reasonable instructions

· Breach of LUU policies.

If a member of staff is found to have committed gross misconduct then they will be liable for summary dismissal. That is dismissal without notice or pay in lieu of notice. Summary dismissal does not necessary imply instant dismissal, as it is still necessary for incidents of gross misconduct to be fully investigated which may take some time.

The following are examples (the list is not exhaustive) of misconduct which may constitute gross misconduct.

· Theft of LUU property or the property of fellow employees, visitors or students

· Fraud including falsification of claims for earnings and expenses

· Malicious damage to LUU property

· Fighting or physical assault

· Serious or persistent sexual or racial harassment

· A serious omission or act of negligence in the performance of duties

· Pursuing employment elsewhere including self-employment whilst on paid or unpaid sick leave

· Non-accidental importation of pornography including downloading via computers.

· Bringing LUU into serious disrepute

· Serious infringement of health and safety regulations

Appeals*

All appeals must be made in writing to the appropriate manager within ten working days of receipt of the warning concerned. The member of staff will be given five days’ notice of the time and place of the appeal hearing. If the time or date is inconvenient then a further date will be agreed for up to five days later.

The Appeal Meeting will be held by the appropriate member of staff according to the above table. The chairperson will invite the person who is appealing against the decision, to state the grounds of the appeal. This may include the calling of witnesses.

Appeals Meetings have the authority to substitute different disciplinary action, uphold or fail an appeal.

An appeal is designed to remedy any defects in the disciplinary procedure rather than repeat the process. An appeal should be made in writing to the appeal manager stated in the disciplinary outcome letter. The member of staff will be given five days’ notice of the time and place of the Appeal Meeting. If the time or date is inconvenient then a further date will be agreed for up to five days later.

You must state the grounds or reason for your appeal. Grounds for an appeal are:

· Unfairness of judgement

· Severity of actions taken following the grievance

· New evidence coming to light

· Procedural irregularities

· Mitigating circumstances

· Bias of the manager hearing the disciplinary

You will be informed of the outcome of the appeal in writing and this outcome will then be final.