Pre-January 2013

The University of Sheffield Disciplinary Procedure for all University Staff (excluding staff covered by the University Statutes)

1. Scope
2. Objectives
3. Examples of misconduct and gross misconduct
4. Informal stage
5. General Principles regarding Formal Disciplinary Action
6. Investigation
7. First Formal Stage: Verbal Warning
8. Second Formal Stage: First Written Warning
9. Third Formal Stage: Final Written Warning
10. Fourth Formal Stage: Dismissal
11. Other provisions
12. Trade Union agreement

1 Scope

These procedures apply to all University staff (excluding staff covered by the University statutes).

For staff with less than one year of continuous service, any misconduct, unsatisfactory performance or unsatisfactory attendance will normally be considered at the Third Formal Stage i.e. Final Written Warning. The First and Second Formal Stages would not normally apply.

2 Objectives

2.1 Introduction

As an employer the University has an obligation to set and maintain satisfactory standards of conduct and performance at work. Employees need to be clear what standards are expected of them and what will happen if the required standards are not met. Disciplinary arrangements are therefore an important part of an employer's overall responsibility. Although disciplinary action may involve sanctions against staff, the primary purpose is to maintain and improve standards.

The purpose of these procedures and disciplinary rules is to establish equitable and consistent standards throughout the University, to ensure that disciplinary action is fair and reasonable in the circumstances of each case, and to engender due respect for and acceptance of agreed standards and reasonable instructions.

2.2 Incapability

Whilst incapability is distinct from fault, it may be necessary to utilise the stages of the disciplinary procedure to deal formally with unsatisfactory performance and absence in order to ensure that the staff member is given every opportunity to meet the required standards. Unsatisfactory performance and absence due to illness are therefore covered by these procedures.

2.3 Management

Throughout these procedures the title "supervisor" is to be taken as the first line manager to whom the staff member concerned reports formally on a day-to-day basis.

2.4 ACAS Code of Practice

These procedures comply with the ACAS Code of Practice on Disciplinary and Grievance Procedures, which came into effect in September 2004 and the extension of the right to be accompanied provided by Section 10 of the Employment Relations Act 1999, which came into force in September 2000. They also comply with the Employment Act 2002 (Dispute Resolution) Regulations 2004 and other relevant legislation.

3 Examples of misconduct and gross misconduct

The following are examples of behaviour normally regarded as misconduct; this is not intended to form an exhaustive list:

• failure to comply with reasonable and legitimate instructions
• unauthorised absence and unsatisfactory timekeeping
• persistent verbal abuse
• conduct that is not in sympathy or in line with the University's aims, policies and ethos, e.g. harassment
• misuse of the University’s computer systems, including hardware, software, e-mail, intranet and internet; and as covered in the codes published by CICS
• any form of unlawful discrimination
• unacceptable behaviour due to the influence of alcohol or drug abuse

The following are examples of behaviour normally regarded as gross misconduct that may lead to summary dismissal; this is not intended to form an exhaustive list:

• unauthorised possession of goods belonging to the University, its employees or students
• theft, fraud or deliberate falsification of records
• gross negligence which causes loss, damage, or injury to the University or a third party
• serious act of insubordination, gross incompetence, or dereliction of duty
• serious harassment of other members of the University community, including both staff and students
• fighting, disorderly conduct or assault on another person
• unreasonable behaviour that may cause serious damage to the reputation of the University, including both off duty and off campus incidents
• serious breaches of health and safety rules

Note: The commission of a criminal offence outside employment shall not be regarded as an automatic reason for disciplinary action or dismissal. The main consideration in deciding whether disciplinary action is appropriate will be whether the offence or the type of conduct that it exemplifies makes the staff member unsuitable in relation to his/her type of work or unacceptable to other staff.

4 Informal stage

The maintenance of discipline and good working practices does not necessarily require the use of formal procedures.

Individuals make mistakes and the management system is established to provide advice, guidance, direction and coaching as necessary to ensure satisfactory behaviour and performance. Staff members should be made aware of any shortcomings in standards or in behaviour, and these shortcomings should be discussed between the individual staff member and the supervisor. It is hoped that most of the difficulties that might arise could be resolved at this stage. Supervisors should retain their own notes of issues raised with staff members. Such notes should be kept securely and confidentially.

5 General Principles regarding Formal Disciplinary Action

Before any formal action is taken, departments must consult with the Department of Human Resources; a member of the Department of HR must be present at all formal stages.

Action should be taken without unreasonable delay and the timing and location of meetings must be reasonable.

Staff members should be informed that they may always be accompanied in formal meetings by a Companion (see 11.1).

The supervisor will outline the cause of concern and the staff member will be given an opportunity to state his/her case.

Supervisors are required to provide appropriate prior notification of any allegations and any evidence, in accordance with natural justice.

A written record of all disciplinary hearings and appeals will be kept.

6 Investigation

Depending on the matter under consideration, it may be necessary to undertake an independent investigation prior to a disciplinary hearing. The supervisor will determine the person appropriate to carry out the investigation. The investigatory officer should not normally be the person who will be conducting any disciplinary hearing necessary as a result of the investigation. Individuals conducting investigations should seek advice from the Department of Human Resources.

The purpose of the investigation will be to establish all of the facts surrounding the incident and/or allegation and to decide whether or not a disciplinary hearing is warranted.

Any person against whom allegations have been made and who is requested to attend an investigatory meeting must be informed, whenever practicable, at least 24 hours ahead of the meeting. The employee may be accompanied at the meeting by a Companion.

The investigating officer will collect all the facts based on the witness statements, the employee´s statement and any supporting documentary evidence and pass them on to the person who would chair a disciplinary hearing.

7 First Formal Stage: Verbal Warning

If conduct or performance is not satisfactory, the staff member will be sent a letter inviting them to attend a formal disciplinary hearing. The letter will set out the employee's alleged conduct or characteristics or other circumstances that has led to disciplinary action being contemplated.

The formal disciplinary hearing will held by the supervisor. Should the supervisor consider any explanation offered to be unsatisfactory, then the supervisor may issue a verbal warning that will give details of the misconduct or poor performance, of the required improvement within a set timescale, and will set out the procedures and the consequences of any failure to improve performance or conduct.

A verbal warning will be recorded in writing, forwarded to the Department of HR and will be held on the personal file. Verbal warnings will be spent after 6 months, subject to satisfactory conduct or performance, as appropriate.

An appeal against a verbal warning may be made in writing, within 7 days of receipt of the warning letter, to the department head (or to the next managerial level should the department head be the supervisor - guidance may be required from the Department of HR), stating the ground/s for review. The appeal will normally be heard within 14 days. The decision at the appeal hearing will be final.

8 Second Formal Stage: First Written Warning

If further misconduct occurs or performance fails to improve, or if the misconduct is of a more serious nature, the staff member will be sent a letter inviting them to attend a formal disciplinary hearing. The letter will set out the employee's alleged conduct or characteristics or other circumstances that has led to disciplinary action being contemplated.

The formal disciplinary hearing will be held by the supervisor. Should the supervisor consider any explanation offered to be unsatisfactory, then the supervisor may issue a written warning that will give details of the misconduct or poor performance, of the required improvement within a set timescale, and will set out the procedures and the consequences of any failure to improve performance or conduct.

The decision of the hearing will be confirmed in writing to the employee. A copy of the warning, together with any written response by the member of staff, will be forwarded to the Department of HR and will be held on the personal file. Written warnings will normally be spent after 12 months, subject to satisfactory conduct or performance, as appropriate.

An appeal against a first written warning may be made in writing, within 7 days of receipt of the warning letter, to the department head (or to the next managerial level should the department head be the supervisor - guidance may be required from the Department of HR) stating the ground/s for review. The appeal will normally be heard within 14 days. The decision at the appeal hearing will be final.

9 Third Formal Stage: Final Written Warning

If further misconduct occurs or performance fails to improve, or if the misconduct is sufficiently serious to warrant only one written warning, but insufficiently serious to justify dismissal, the staff member will be sent a letter inviting them to attend a formal disciplinary hearing. The letter will set out the employee's alleged conduct or characteristics or other circumstances that has led to disciplinary action being contemplated.

The formal disciplinary hearing will be held by the department head. Should the department head consider any explanation offered unsatisfactory, then the department head may issue a final written warning that will give details of the misconduct or poor performance, of the required improvement within a set timescale, and will set out the procedures and the consequences of any failure to improve performance or conduct. The final written warning will warn that failure to improve performance or conduct or any further misconduct will lead to dismissal. Other disciplinary action may also be specified, which could include disciplinary transfer, downgrading, suspension without pay etc.

The decision of the hearing will be confirmed in writing to the employee. A copy of the warning, together with any written response by the member of staff, will be forwarded to the Department of HR and will be held on the personal file. Final written warnings will normally be spent after 12 months, subject to satisfactory conduct or performance, as appropriate.

A staff member may appeal against a final written warning. Appeals should be made in writing to the Director of Human Resource Management within 7 days of receipt of confirmation of the final written warning stating the ground/s for review. The Director of Human Resource Management [or nominee] will set up a formal hearing, normally within 14 days. The decision at the appeal hearing will be final.

10 Fourth Formal Stage: Dismissal

If further misconduct occurs, if performance fails to improve, or if the misconduct is sufficiently serious to warrant dismissal (see Section 3) the staff member will be sent a letter inviting them to attend a formal disciplinary hearing. The letter will set out the employee's alleged conduct or characteristics or other circumstances that has led to disciplinary action and dismissal being contemplated.

Depending on the circumstances, it may be appropriate to place the staff member on paid suspension while the matter is investigated; this does not in itself constitute disciplinary action (see Section 11).

No staff member will be dismissed instantly and a disciplinary hearing will always be arranged. The power to dismiss rests with the Director of Human Resource Management or as delegated to a senior member of the Department of HR.

Certain serious actions constitute gross misconduct, see Section 3. In such cases summary dismissal may be appropriate; this involves dismissal without notice or payment in lieu of notice. In any case involving gross misconduct, the Department of HR must be consulted since the staff member should normally be placed on paid suspension while the matter is investigated; this does not in itself constitute disciplinary action.

A disciplinary hearing to consider dismissal will normally be held within 14 days by the Director of Human Resource Management [or other senior member of the Department of HR]. The Director of Human Resource Management will be accompanied by a senior member of staff of the University, in an advisory role. Should any further information be required, the staff member may be suspended on full pay pending any investigations or adjournments to the hearing.

The decision of the Director of Human Resource Management will be confirmed in writing.

A staff member may appeal against dismissal. Appeals should be made in writing to the Registrar & Secretary within 7 days of receipt of the dismissal notice, stating the ground/s for review.

A senior member of the Department of HR will set up and service the Appeal Panel comprising:

• A Pro-Vice-Chancellor [or nominee].
• One member of the University’s Human Resource Management Committee.
• One appropriate member of staff of the University, nominated by the University, and agreed by the relevant Trade Union (where applicable).

The Appeal Panel will normally meet within 21 days of receipt of any appeal and will consider all relevant information. The Appeal Panel may decide to confirm the decision to dismiss, to overturn the decision to dismiss, or to impose a lesser penalty. The decision of the Appeal Panel will be final.

11 Other Provisions

11.1 Role of Companion

The person chosen by the employee as his/her "companion" may be either a fellow worker, or a full-time official employed by a trade union, or a lay trade union official who is certified as having experience of, or having received training in, acting as a companion at such a hearing. Where communication may be difficult due to disability or where the employee´s first language is not English, for reasons of providing equality and fairness at a disciplinary hearing, the University will provide an appropriate translator.

11.2 Trade union representatives

No formal disciplinary action should be taken against accredited trade union representatives until there has been full discussion with the appropriate full-time officer, in order to ensure compliance with the provisions of employment legislation.

11.3 Suspension

The University may suspend a member of staff on full pay while allegations are fully investigated. The Department of HR must be consulted prior to suspension, where this is practicable, having regard to all the circumstances.

It is emphasised that suspension is a neutral act and not a presumption of guilt.

Suspension should be for the shortest practicable time.

11.4 Stage of procedure

The disciplinary procedure may be implemented at any stage if the alleged misconduct or unsatisfactory performance warrants such action.

11.5 Records

Records of disciplinary action will be kept confidential and retained in accordance with the disciplinary procedure and the Data Protection Act [1998].

11.6 Procedural advice

The Department of HR may be consulted for procedural guidance by any party at any stage of the procedure. Such guidance will be given without prejudice to any further involvement that HR may have within the procedure.

11.7 Time limits

Time limits are indicated in calendar days and are included in the procedures in order to ensure that matters are dealt with promptly and without undue delay. However, in complex matters it may be appropriate to extend these time limits.

If the member of staff's chosen companion is unavailable to attend on the date or at the time originally set for the hearing, the formal hearing must be postponed to another date and time proposed by the member of staff within five working days of the date proposed by the University.

12 Trade Union agreement

The University Disciplinary Procedure for all University Staff (excluding those covered by the University Statutes) was formally agreed with the UCU (formerly AUT), UNISON, and GMB Unions during October 2002 and implemented during November 2002.

Revised and agreed with the UCU (formerly AUT), UNISON, Unite(Amicus), Unite(TGWU) and GMB Unions during February 2006.

Last updated: 20 December 2012