Senior Staff Disciplinary Procedure
1 Application
1.1 This procedure applies to holders of designated Senior Staff posts. Holders of
designated Senior Staff posts means the Vice Chancellor, the Clerk to the Board and the
holders of such other designated Senior Staff posts as the University Board may determine
from time to time. Throughout this procedure these staff will be referred to as Senior Staff.
Any member of staff who is in the Vice Chancellor’s direct line management but is not
designated as a member of Senior Staff should use the procedure in Part A of the Staff
Handbook. The objective of this procedure is to provide a framework to ensure a fair and
legal process for all designated Senior Staff. It sets out the ways we intend to achieve fair
treatment, given all of the Board and UCLan’s obligations.
1.2 Staff new to the University, should read this procedure in conjunction with the Probation
Procedure – Designated Senior Staff Postholders. Any action taken under this procedure will
be taken into account for staff who have not completed their probationary period in
determining their suitability or otherwise for successful completion of such probationary
period.
1.3 This procedure will not apply to Senior Staff who fail to meet acceptable standards as a
result of a deterioration in health, disability or injury, as action may be taken under the
Incapacity ProcedureSenior Staff as contained in the Staff Handbook.
1.4 For serious disciplinary matters, this procedure should be read in conjunction with the
Dismissal Procedure – Senior Staff Postholders and consideration should be given to the
procedure appropriate in the circumstances.
1.5 Throughout this procedure references to the Vice Chancellor shall be construed as
meaning any Senior Staff member who during the absence of the Vice Chancellor has been
designated as acting Vice Chancellor.
1.6 Throughout this procedure references to an individual shall be construed as meaning an
appropriate substitute where circumstances demand it, such as where the individual is
responsible for making arrangements under this procedure, has instigated the procedure, is
the subject of action under this procedure, or in cases of urgency.
1.7 Throughout this procedure references to the manager shall be construed as the Chair of
the University Board in the case of disciplinary action against the Vice Chancellor.
1.8 At the sole discretion of the person(s) conducting it, any hearing or meeting forming part
of this procedure may be adjourned at any stage and for as long as may be considered
necessary and reasonable.
1.9 This procedure does not form part of the contract of employment between the University
and its employees.
2 Purpose
2.1 This procedure is designed to:
2.1.1 deal with situations where conduct/behaviour falls below an acceptable standard;
2.1.2 help and encourage Senior Staff members to achieve and maintain acceptable
standards of conduct;
2.1.3 ensure that there is an opportunity for the formal expression of concerns, the methods
to resolve these concerns, and, where there is a continuing and/or substantial failure to
achieve an acceptable standard, a clear process for action to be taken, recorded,
communicated and understood;
2.1.4 ensure that any alleged failure/s to observe these standards are dealt with fairly,
consistently and equitably and that reasonable, clear instructions on improvements required
are provided and where necessary that appropriate levels of sanction are applied.
3 Principles
3.1. General principles
3.1.1 Every effort will be made to avoid the use of disciplinary action where alternatives are
appropriate. Where the matter is not resolved informally or is of a serious nature, action
under this procedure will be taken.
3.1.2 Throughout this procedure, the phrase ‘disciplinary offence’ is used to include breach
of the staff member’s terms of employment or the University’s rules and failure to meet
acceptable standards of conduct or safety.
3.1.3 The phrase ‘gross disciplinary offence’ may include such matters as gross misconduct
and gross negligence. Examples are given at paragraph 6.
3.1.4 Both Senior Staff and those acting on behalf of the University should raise and deal
with issues promptly and should not unreasonably delay meetings, hearings, decisions and
confirmation of those decisions. Meetings and hearings should be at a reasonable time and
location. The University representatives, the Senior Staff member and, where applicable,
his/her representative should make every effort to attend any meeting or hearing arranged
within the scope of this procedure.
3.1.5 At every level of the process the Senior Staff member will be advised of the nature of
the complaint or concern and will be given the opportunity to state his or her case before any
decision is made.
3.1.6 During the formal levels of the procedure the Senior Staff member will have the right to
be accompanied by a representative.
3.1.7 Any disciplinary action, sanction or any other action will only be applied as a result of a
properly conducted formal disciplinary hearing, as outlined in 4.2. below.
3.1.8 All parties will have the opportunity to provide written statements from witnesses at any
disciplinary hearing. Witnesses may be asked to attend the hearing to give statements in
person, where appropriate and necessary, at the discretion of the chair.
3.1.9 Disciplinary action will normally be progressive where subsequent offences have
occurred. Appropriate sanctions will be determined by the gravity and the frequency of the
offence/s and in some circumstances, for more serious offences or situations, may
commence at a level higher than the first level of action even for a first offence. Any previous
disciplinary actions which are “spent” will be ignored.
3.1.10 No Senior Staff member will be dismissed for a first disciplinary offence except in the
case of a gross disciplinary offence.
3.1.11 The University reserves the right not to pay any increase in pay which might
otherwise have been due during the current year or forthcoming year as an outcome of a
disciplinary hearing as outlined in 4.2 below. The University reserves the right to delay the
decision on any increase in pay pending a disciplinary investigation or hearing. If the
decision is made at the hearing not to pay an increase, no payment will be made during the
relevant year. However, if this decision is not made, the payment will be made in the next
payrun and will include backdated pay.
3.2 Criminal charges or convictions outside employment
3.2.1 Criminal charges or convictions outside employment will not be treated as an
automatic reason for disciplinary action. However, consideration will be given to whether the
alleged offence is one which would render the Senior Staff member unsuitable for the type of
work they are employed to undertake, or prohibited from undertaking the type of work for
which they are employed. In these circumstances, the Senior Staff member may be
suspended on full pay pending the outcome of the criminal action or the University’s
investigation, as appropriate.
3.2.2 Any criminal charge or conviction outside employment may be subject to a disciplinary
investigation and where, prima-facie, there is evidence which, on the balance of
probabilities, suggests that there is a case to answer, a disciplinary hearing. The University
reserves its right to investigate an alleged or proven criminal act, whether inside or outside of
employment, under the disciplinary procedures separately from any criminal case being
pursued or having been concluded.
3.2.3 The University will not normally wait for the outcome of any prosecution before
deciding what action, if any, to take. Where the Senior Staff member is unable or has been
advised not to attend a disciplinary meeting or hearing, or say anything about a pending
criminal matter, the University may have to take a decision based on the available evidence.
3.3 Failure to attend a disciplinary hearing
3.3.1 If the Senior Staff member or his or her representative cannot attend, for a good and
proper reason unforeseeable at the time the hearing was arranged, then an alternative
hearing will be arranged wherever possible.
3.3.2 In addition, the Senior Staff member has the right to request the postponement of a
hearing if his/her representative is unavailable. The postponement can be for up to one week
after the originally proposed date.
3.3.3 Otherwise, normally, if the Senior Staff member does not give prior notice and fails to
attend the postponed hearing without good and proper reason, it will be held in his/her
absence.
4 Procedure
4.1 Level 1 – Informal meeting
4.1.1 In cases of minor disciplinary offences, the matter of concern will, in the first instance,
be raised informally by the manager with the Senior Staff member, giving evidence to
support his/her concerns. It is part of day to day activities that managers offer professional
advice and guidance and that any concerns relating to conduct and/or behaviour are dealt
with in this way wherever appropriate.
4.1.2 Where the manager is sufficiently concerned about alleged minor breaches disciplinary
offences or the standards of behaviour/conduct of the Senior Staff member, he/she should,
without undue delay, arrange a meeting in private to discuss the matter. The manager will
provide advice and instruction which should be clear and explicit relating to the nature of the
concern and an adequate and specified time will be given for the Senior Staff member to
respond to the advice/instruction given. The action to be taken by the Senior Staff member,
the timescale for improvement in behaviour/conduct and notification that a failure to improve
may result in formal disciplinary action will be confirmed to the Senior Staff member in
writing, normally within one week of the meeting. Notes/records of such informal discussions
may be placed on the Senior Staff member’s personal file but do not form part of the
disciplinary record and should not be taken into account in any future disciplinary
proceedings.
4.2 Level 2 – Formal disciplinary hearing
4.2.1 Action under this section may be taken as a result of the Senior Staff member’s failure
to respond in the specified time to the advice/instruction given under the Level 1 of this
Procedure, or in response to an allegation of misconduct which is more serious than that
which would be appropriately dealt with under section 4.1 above. Any such allegation will be
subject to a disciplinary investigation and, where there is evidence which suggests that there
is a case to answer, a disciplinary hearing. An investigation officer may be appointed to
conduct or contribute to an impartial investigation on behalf of the Senior Staff member’s
manager if required. The purpose of any investigation is for the University to establish a fair
and balanced view of the facts relating to any disciplinary allegation against the Senior Staff
member. The amount of investigation required will depend upon the nature of the allegations
and will vary from case to case. It may involve interviewing and taking statements from the
Senior Staff member at an investigatory meeting and any witnesses and/or reviewing
relevant documents.
4.2.2 If, following the initial investigation, it is considered there are grounds for disciplinary
action, the Senior Staff member will be advised by the manager that the Level 2 procedure is
being invoked and that he/she will be required to attend a disciplinary hearing.
4.2.3 The Director of Human Resources, in liaison with the Clerk to the Board, will be
responsible for the arrangements for the disciplinary hearing. These arrangements will be
notified in writing to the Senior Staff member by the Director of Human Resources. This
notification will include sufficient detail of the alleged misconduct to enable the Senior Staff
member to answer the allegations at the disciplinary hearing. One week’s notice will
normally be given of the hearing arrangements and the Senior Staff member will be advised
of the right to be accompanied by a representative and of the opportunity to respond to the
allegations and present evidence. At least three working days before the hearing, the Senior
Staff member must inform to the Director of Human Resources as to whether he/she will be
accompanied and, if so, by whom. The Senior Staff member will be provided with copies of
any documentation to be relied upon, normally one week in advance of the hearing.
4.2.4 The hearing will be chaired by a Board member without prior involvement in the case
and heard by at least one independent Board member.
4.2.5 Normally, the hearing will be attended by the manager, who will be supported by a
member of Human Resources, the Senior Staff member and, if chosen, his/her
representative. The person(s) who conducted any investigation (if different from the
manager) may also be present. Also present will be the Director of Human Resources to
provide advice to the chair and the Clerk to the University Board to keep a formal record of
the hearing. In general, the number of people present should be kept to the minimum
necessary.
4.2.6 The hearing will give the opportunity to the manager to explain how the Senior Staff
member’s conduct/behaviour has allegedly fallen short of what is expected and to provide
supporting evidence. The Senior Staff member will have the opportunity to respond and
present supporting evidence, and all parties will have the opportunity to ask questions and
clarify points.
4.2.7 After the hearing, the chair will make one of the following decisions:
• there is no evidence of misconduct or the case of misconduct is not proven and action
under the disciplinary process will cease
• there are issues which need to be addressed but a disciplinary sanction is not appropriate.
In such cases recommendations will be made as to the steps which need to be taken to
avoid a repetition of the behaviour/conduct which caused the disciplinary hearing to be
instigated. The recommendation should include the process and timescale for review
• the case is proven and a disciplinary sanction at a specified level will be given (see section
5 below) together with details of the steps to be taken to avoid further disciplinary action in
the future
Additionally, as an outcome of the disciplinary hearing, the chair may decide not to pay any
increase in pay, which might otherwise have been due, during the current or forthcoming
year.
4.2.8 The decision of the chair will be confirmed in writing by Human Resources, normally
within one week of the hearing, including notification of the right of appeal (see section 7
below).
5 Sanctions/actions covered by the disciplinary procedure
5.1 Each of the following sanctions/actions is designed to cover the varying level of severity
of cases of misconduct which arise. These give an ordered sequence for persistent cases of
misconduct, but disciplinary action may be taken at whatever level of sanction is deemed to
be appropriate. The following actions are possible outcomes of a disciplinary hearing:
5.1.1 First level sanction – oral warning
If conduct or performance does not meet acceptable standards the Senior Staff member will
normally be given an oral warning. He/she will be advised of the reason for the warning, and
that it is the first level of disciplinary action. Advice will also be given on the improvement
required, the timescale for improvement and the consequences of failing to meet the
required standards within the required timescale. A copy of the oral warning will be kept on
the Senior Staff member's personal file, but it will be considered spent after six calendar
months from the date of issue, subject to satisfactory conduct/behaviour.
5.1.2 Second level sanction - written warning
If there is a failure to improve, or the misconduct is of a serious nature, or if a further offence
occurs within 6 months of the oral warning having been issued, a written warning will
normally be issued following a (further) disciplinary hearing. He/she will be advised of the
reason for the warning, and that it is the second level of disciplinary action. Advice will also
be given on the improvement required, the timescale for improvement and the
consequences of failing to meet the required standards within the required timescale. A copy
of the written warning will be kept on the Senior Staff member's personal file, but it will be
considered spent after two years from the date of issue, subject to satisfactory
conduct/behaviour.
5.1.3 Third level sanction - final written warning
If there is (still) a failure to improve, or if a further offence occurs within 12 months of the
written warning having been issued, or if the misconduct is sufficiently serious to warrant
more than a written warning but insufficiently serious to justify dismissal, a final written
warning will normally be issued following a (further) disciplinary hearing. He/she will be
advised of the reason for the warning, and that it is the third level of disciplinary action.
Advice will also be given on the improvement required, the timescale for improvement and
the consequences of failing to meet the required standards within the required timescale,
which could include dismissal. A copy of the final written warning will be kept on the Senior
Staff member's personal file, but it will be considered spent after three years from the date of
issue, subject to satisfactory conduct/behaviour.
5.1.4 Other sanctions
In particular cases consideration may be given to other appropriate sanctions short of
dismissal as an outcome of a disciplinary hearing. These may include considering not paying
a pay increase which might otherwise have been due during the current or forthcoming year
as described in 3.1.11 above. Such sanctions may be accompanied by an appropriate level
of warning.
5.1.5 Dismissal
If conduct is still unsatisfactory and the Senior Staff member still fails to reach the prescribed
standards, action under the Dismissal Procedure – Designated Senior Staff Postholders will
normally result. Similarly, in the case of a potential gross disciplinary offence (see section 6
below), action will be taken under the Dismissal Procedure – Designated Senior Staff
Postholders.
6 Gross Disciplinary Offence
6.1 The University may dismiss with immediate effect and without prior notice any member
of Senior Staff of the University in the case of gross misconduct, or other gross disciplinary
offence, as outlined in the Dismissal Procedure – Designated Senior Staff Postholders. The
following list provides examples which are normally regarded as gross disciplinary offences
(this is not intended to be exhaustive):
• serious breach of contract;
• theft, fraud, deliberate falsification of records;
• fighting, assault on another person, deliberate damage to University property;
• serious incapability through alcohol or being under the influence of illegal drugs (subject to
the provisions of the University’s Drugs & Alcohol Policy);
• serious negligence which causes, or has the potential to cause, unacceptable loss,
damage or injury;
• wilful refusal to comply with reasonable instructions;
• serious act of harassment;
• any form of discrimination which is unlawful and/or conflicts with the University’s policies
and procedures;
• bringing the University into disrepute;
• possession of illegal drugs on University premises;
• breach of confidentiality (excepting breaches of confidentiality protected under the Public
Interest Disclosure Act 1998);
• serious breach of security or financial procedures;
• unauthorised access to computer systems or records;
• obtaining/disseminating/storing/displaying material within the workplace, which is deemed
to be obscene, pornographic, excessively violent or illegal (unless agreed in the furtherance
of academic pursuit and the specific activity having received prior approval from the Ethics
Committee)
7 Appeals
7.1 The Senior Staff member has the right of appeal against a decision arising from a formal
disciplinary hearing as described in 4.2 above. He/she can be accompanied by a
representative at the appeal hearing.
7.2 If the Senior Staff member wishes to appeal he/she should notify the Director of Human
Resources in writing within two weeks of the date of the letter giving the decision, setting out
the grounds for appeal and including copies of any documentation which will be relied upon
during the hearing.
7.3 The Director of Human Resources, working closely with the Clerk to the Board, will be
responsible for the arrangements for the appeal hearing and will notify all parties of the date.
The Director of Human Resources will provide copies of all necessary documentation to all
parties, normally at least one week before the appeal hearing date. The Senior Staff member
must take all reasonable steps to attend the hearing.
7.4 At least one week before the appeal hearing, the Senior Staff member must respond to
the Director of Human Resources to say whether he/she will be accompanied and, if so, by
whom.
7.5 Appeals will normally be heard by at least one independent Board member. Normally the
hearing will be attended by the Board member who made the decision against which the
Senior Staff member is appealing, who will be supported by the Director of Human
Resources, the Senior Staff member and, if chosen, his/her representative. A further
member of Human Resources will also be present to advise the chair and the Clerk to the
University Board will be present to take a formal record of the proceedings.
7.6 The appeal hearing will operate on the basis of reviewing the decision to which the
appeal relates. Ordinarily it will be concerned with reviewing the application of the
procedures, whether, on the basis of the evidence presented at the formal hearing, the
outcome was appropriate and considering any new material evidence not available at the
original hearing which is directly relevant to the case under appeal. New information on
unrelated issues cannot be introduced.
7.7 Any warning or other action or sanction imposed will be reviewed but cannot be
increased. The Senior Staff member will be notified of the outcome of the appeal hearing in
writing by Human Resources, normally within one week of the hearing. This decision is final
and no further right to appeal exists.
NOTES
The time limits referred to in this procedure may be modified with the agreement of all
parties.
Author - Human Resources
Last modified - April 2012