1. Introduction

The purpose of the disciplinary procedure is to assist and encourage employees to achieve and maintain the required standards of conduct within the University of South Wales. It also sets out the procedure to be used if an employee does not conform to any of the required standards, ensuring a consistent, non-discriminatory and fair approach is applied in all cases and that the situation is dealt with as quickly as possible.

It should be noted that there is a distinction between issues of misconduct and capability. Capability is not within the employee’s control and as such capability issues should be dealt with under the Capability Procedure. Where there are elements of both capability and conduct, the procedure that appears most appropriate will be determined by HR.

  1. Scope

This procedure will apply to all employees/workers of the University except those who are subject to a probationary period, who will be dealt with under the Probation Scheme.

If action is to be taken against a Trade Union representative the normal disciplinary procedure will be followed. Prior to formal procedures commencing the University will discuss the matter with an official employed by the union, after obtaining the employee’s permission.

  1. Informal Discussions

3.1.In most cases of minor misconduct, matters can be best dealt with informally by the Line Manager. This does not form part of the formal disciplinary procedure.

  1. Formal Disciplinary Procedure

4.1.A manager must discuss and take advice from Human Resources before commencing the formal procedure.

4.2.If youraise a grievance during a disciplinary process the process may be, where appropriate, temporarily suspended in order to deal with the grievance. Where the grievance and disciplinary are related, it may be appropriate to deal with both concurrently.

4.3.Suspension

4.3.1.There may be instances where it is appropriate to suspend you from duty on full pay while an investigation takes place. For example, where relationships have broken down; in gross misconduct cases; where there are risks to an employee’s or the company’s property or responsibilities to other parties; or where there are reasonable grounds for concern that evidence could be tampered with, destroyed or witnesses pressurised before the meeting.This is not an exhaustive list but indicates the type of situation that may warrant suspension. The reason for the suspension will be given to you in writing. This action should be sanctioned in advance by the Executive Director of Organisation Development(or nominee).This is a without prejudice action and does not constitute a disciplinary sanction.

4.4.Investigation

4.4.1.A manager, usually from within the same Department or Faculty, will conduct an investigation and establish the facts of the case.

4.4.2.Youwill be notified in writing of the allegations, that an investigation is being undertaken, and by whom.

4.4.3.The manager should compile aninvestigation report setting out the facts of the case and any mitigating circumstances. The nominated manager will also make a recommendation as to whether or not the allegations warrant further consideration at a disciplinary hearing.

4.4.4.The investigation report will be submitted to the Executive Director of Organisation Development (or nominee) for consideration and a decision as to whether the matter should proceed to a hearing and if so, the level of hearing.

4.5.Informing the Employee of a Disciplinary Hearing

4.5.1.You will be informed in writing once a decision has been made as to whether the matter will proceed to a Disciplinary Hearing and will be provided with a copy of the Investigation Report. If the matter is to proceed to a Disciplinary Hearing you will also be advised of the allegations to be considered.

4.5.2.The hearing should normally be held no earlier than 10 workingdays of the date of the letter notifying you that a hearing is to be held (4.5.1), allowing you reasonable time to prepare.

4.5.3.Youwill be informed of the details of the disciplinary hearing in writing no less than 5 working daysbefore the hearing is to take place. The letter will include:

  • Details of the alleged misconduct
  • Any steps taken to date
  • Possible outcomes of the hearing
  • The name of the manager who will chair the hearing.

4.5.4.Youwill be provided with copies of any documents to be used at the hearing and given advance notice of who will be attending the hearing, to include any witnesses the University intends to call.

4.5.5.If you wish to call any witness(es), you must advise the University of this in advance of the hearing and make your own arrangements to request their attendance.

4.5.6.You have a right to be accompanied at the hearing by a Trade Union representative or a workcolleague. You should advise the University in advance of the hearing if you intend to take up this right.

4.6.Disciplinary Hearing

4.6.1.You (and your representative) should make every effort to attend the hearing.

4.6.2.If you are unable to attend, the hearing will be re-arranged once within a reasonable timeframe. If you are still unable to attend, the option will be given to put forward any representations in writing and the hearing may be held in your absence.

4.6.3.If you have a disability you should ensure the manager chairing the hearing is aware of your disability and request any necessary reasonable adjustments.

4.6.4.The purpose of the Disciplinary Hearing will be to consider :

  • The facts of the case as revealed by the investigation undertaken (this may include witness testimony);
  • Representations made by you or your representative, including any mitigating circumstances.

4.6.5.The Chair will decide if it is reasonable to take further action, and if so decide on the appropriate action. The decision will be made on the balance of probabilities.

4.6.6.In the event that yourefuse to attend the disciplinary hearing, or to participate in the investigation process, then a decision regarding the allegations will be made on the information available to the manager at the time.

4.6.7.You will be notified in writingof the Chair’s decision and any sanction to be imposed, normally within five working days.

4.6.8.A copy of the notes of the hearingwill be provided to you if requested.

4.7.Witnesses

4.7.1.If the witness is a child or vulnerable adult, as defined by legislation and contained within the University’s Safeguarding Policy, consideration will be given as to whether anonymity is appropriate in relation to the proceedings. This could apply to attendance at the hearing and in relation to the disclosure of notes relating to the hearing (4.6.8) or investigation. In making such decisions, the Chair will discuss the matter with the HR representative, giving consideration to the principle of fairness. For example, in some instances this could mean alternative arrangements being made to put questions forward to the witness, but any decisions will be made based on the circumstances of the case.

4.8.Sanctions

4.8.1.The Chair of the meeting will at least be of the seniorityset out below.

Level of employee / Action short of dismissal / Dismissal
Holders of senior posts[i] / A panel of the Board of Governors / Board of Governors
Senior Managers / Pro Vice Chancellor / Pro Vice Chancellor
All other employees / Head of School/Deputy Director of Corporate Department / Pro Vice Chancellor

4.8.2.Possible sanctions will beone or more of the below:-

  • Written warning (remains on record for up to 6 months)
  • Final written warning (remains on record for 12 months) or longer when given as an alternative to dismissal
  • Permanent demotion (without salary protection) as an alternative to dismissal
  • Dismissal with notice
  • Dismissal without notice (gross misconduct – examples in Appendix A).

4.8.3.There may be occasions where an employee’s conduct is satisfactory throughout the period the warning is in force, only to lapse very soon after. Where a pattern emerges the employee’s disciplinary record should be borne in mind when deciding the level of outcome and length of any further warning.

4.8.4.The University reserves the right to make a taxable payment in lieu of notice for outcomes of dismissal with notice depending on the circumstances of the case.

4.9.Appeals

4.9.1.If you consider the manager’s decision to be wrong or unjust or believe that there were procedural irregularities, you may wish to appeal against the outcome.

4.9.2.Grounds for appeal will normally relate to there being new evidence, procedural irregularities, or undue severity or inconsistency of the outcome.

4.9.3.If you wish to appeal against any sanction you should do so in writing to the Executive Director of Organisation Development(or nominee) within 10 working daysof the date of the letter giving you notification of the outcome of the hearing, specifying the full grounds for the appeal.

4.9.4.Appeals will normally take the form of a meeting but written representations may be considered where appropriate.

4.9.5.For sanctions short of dismissal, the appeal will be considered by a manager of at least equivalent seniority to the manager who took the decision to take action short of dismissal.

4.9.6.If the appeal is against a decision to dismiss, an appeal meeting will be convened with a panel of the Board of Governors (usually 3 panel members, or as outlined in the Articles of Governance).

4.9.7.An appeal meeting will normally be arranged within 5 working daysand held within 10 working days,or 15 working days if a Board of Governors panel is being convened.

4.9.8.The appeal meeting will focus on the grounds for appeal and will not be a re-hearing of the case.

4.9.9.You have the right to be accompanied at appeal meetings by a trade union representative or a work colleague.You should advise the University in advance of the hearing if you intend to take up this right.

4.9.10.If you are unable to attend, the appeal meeting will be re-arranged once within a reasonable timeframe. If you are still unable to attend, the option will be given to put forward any representations in writing and the appeal meeting may be held in your absence.

4.9.11.You will normally be informed in writing of the outcome of the appeal within 5 working days. The decision of the appeal hearing will be final.

4.9.12.No dismissal will be actioned until any appeal that has been raised within this procedure has been concluded.

  1. Records

5.1.Records should be kept of all meetings, including investigatory meetings and disciplinary hearings, as well as details of the outcomes, any sanction taken and the reasons for it, the outcome of any appeal and any notes or other relevant documents compiled during the process. These records will be held in accordance with the Data Protection Act 1998. The Chair may appoint a note taker to record the disciplinary hearing and a copy of the resulting notes will be given to the parties concerned.

  1. Links to Other Policies and Procedures

Roles and Responsibilities Guidance

  1. Definitions

7.1.Working days: excludes weekends and Bank Holidays

Title: Disciplinary Procedure
Version / Issue Date / Revision Description / Author / Approved By & Date / Next Review Date
1.0 / 1/4/15 / First Issue / Alison Jones & Jan Keelan / HRC 23/2/15 / May 2017

Appendix A

Examples of Gross Misconduct (non-exhaustive list)

  • Theft
  • Fraud
  • Physical violence or bullying
  • Gross negligence
  • Serious insubordination
  • Deliberate and serious damage to property
  • Serious misuse of the University’s property or name.
  • Deliberately accessing or distributing material on internet sites or social media containing pornographic, offensive or obscene material.
  • Unlawful discrimination
  • Harassment
  • Bringing the University into disrepute
  • Serious incapability at work brought on by alcohol or drugs
  • Causing loss, damage or injury through serious negligence
  • A serious breach of health and safety regulations
  • A serious breach of confidentiality.
  • Deliberate falsification of records
  • Serious misuse of IT and/or serious breach of IT policies.
  • Abuse of access privileges
  • Unauthorised access and/or use of confidential information.
  • Serious breach of trust and confidence
  • Making a dishonest, malicious, frivolous or vexatious allegation against another employee or the University
  • A breach of the University’s anti-bribery policy
  • A breach of the University’s Safeguarding Policy and Procedure

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Disciplinary Procedure - Final

[i] As defined in the Articles of Government