Policy Document
Disciplinary Policy
Background
The School as a good employer wishes to promote a productive, harmonious and
safe working environment where employees can flourish and give their best. In turn
it expects its employees to behave in an appropriate manner, by complying with
contractual terms and conditions of employment, fulfilling the duties of the post,
observing the School’s rules, regulations, codes of practice and policy statements,
and complying with health and safety, equal opportunities and data protection
requirements. The School’s disciplinary rules and procedures outline the type of
conduct or behaviour that is unacceptable in the workplace and gives a framework
for dealing fairly with employees who breach them.
Duties and Obligations
The duties of the School are:








to provide details of its disciplinary procedure via the School’s intranet along
with each employee’s written statement of particulars of employment
to follow the recommendations of the Acas Code of Practice
to carry out as much investigation as is reasonable into all the circumstances
of a case before taking any disciplinary action or decision, including taking
statements from, and usually meeting with, relevant parties, including any
witnesses to the alleged misconduct, where appropriate
to inform an employee in writing of any allegation of misconduct or
unsatisfactory performance prior to holding a disciplinary hearing
to give full consideration to the employee’s explanations and any mitigating
factors put forward by the employee
to make sure that formal written warnings clearly identify the nature of the
employee’s misconduct or lack of capability, the improvement that is required
and what the outcome will be if the employee fails to improve within a
defined timescale
to accommodate the employee’s right to be accompanied by an appropriate
companion i.e. work colleague or union representative at a disciplinary
hearing
to comply with an employee’s request for a written statement of the
reason(s) for his or her dismissal
The duties of the Employee are:



to follow any code of conduct and/or any disciplinary rules contained in their
written statement of particulars or within the Human Resources Policies and
Procedures to be found on the School’s intranet
to be aware that non-compliance with the disciplinary rules/improvement in
performance is likely to result in disciplinary action being taken against them
to co-operate in any investigation being carried out into their own or others’
alleged misconduct/unsatisfactory performance



to attend and take part in any disciplinary meeting and be prepared to put
forward their version of events and/or explain their conduct fully
to consider whether they wish to exercise their right to be accompanied by a
fellow work colleague or trade union representative at any formal disciplinary
hearing
to use their right of appeal where there are grounds to believe that the
disciplinary process was conducted unfairly or that the outcome of the
proceedings was unfair or excessive.
Investigating a Disciplinary Offence
Before any disciplinary action is instigated, the Line Manager will carry out
necessary investigations as is reasonable into the employee’s alleged misconduct
and/or poor performance without unreasonable delay in order to establish the facts
of the case. Depending on the circumstances of the case, the investigation may
take many forms. In some cases it will be necessary to hold an investigatory
meeting to establish the facts with the employee before proceeding to any
disciplinary hearing including meeting with relevant parties or witnesses to the
alleged misconduct. In other cases it may simply involve the collation of evidence
by the Line Manager for use at the disciplinary hearing. Where it is necessary to
hold an investigatory meeting with the employee, the employee must be given
advance warning and time to prepare for the meeting. If possible the investigation
should be carried out by a different person to the person conducting the disciplinary
meeting.
Stages of the Disciplinary Process
There may be times when a Line Manager feels it necessary to have informal
discussions to talk about an issue relating to an employee’s conduct but will not wish
to take formal disciplinary measures at this stage. In these circumstances the
process will be an informal one which may result in an informal warning.
Alternatively, where the Line Manager believes that the conduct of the employee
might warrant a formal warning, the formal disciplinary process will be followed.
Informal warnings
An informal warning falls outside the formal disciplinary procedure. The purpose is
to give the Line Manager an opportunity to have a private word with the employee,
for example to correct a problem or deliver an informal reprimand. Often an informal
warning will be sufficient to resolve a problem. Since this is an informal discussion
there is no right for the employee to be accompanied at a meeting, provided it is
clear that it will not lead to any formal action. However, there may be circumstances
where it might be appropriate for a work colleague/union representative to
accompany an employee to an informal warning meeting,
The School encourages its Line Managers to use these informal meetings with staff
to offer support, guidance and advice as to the steps that are necessary to change
or improve, rather than only viewing such meetings as opportunities to issue
2
warnings. The Line Manager will keep a record of the discussion and the employee
given a copy of it.
Formal Warnings
A formal warning may be appropriate where the employee has not responded to
earlier informal warnings and the misconduct/shortfall in question is continuing or
has been repeated. Alternatively, a formal warning may be appropriate if a first
instance of misconduct is too serious to be dealt with through an informal warning
process.
Final Warning
A final written warning is issued where further misconduct occurs through either
further breaches of discipline or through failure to meet the requirements of the
previous written warning or the misconduct is just short of gross misconduct where a
written warning would not be appropriate enough.
Dismissal
Where it has been established (after a disciplinary hearing) that there has been an
act of gross misconduct (summary dismissal without notice) or where further
misconduct occurs (dismissal with notice).
Procedure
The Acas Code of Practice (Disciplinary and Grievance Procedures) sets out a five
stage procedure which applies to both disciplinary cases (the giving of warnings)
and dismissal decisions.





The employer is expected to carry out an investigation
notify the employee in writing of the complaint/allegations, with copies of any
documents attached
convene a meeting and advise of the right of representation
after the meeting decide on appropriate action to be taken and notify the
employee in writing and
finally provide an opportunity to appeal.
Prior to taking formal disciplinary action the Line Manager will carry out an
investigation of a potential disciplinary matter to establish the facts of the case. In
some cases this will require the holding of an investigatory meeting with the
employee before proceeding to any disciplinary hearing. Where the case is of
potential misconduct, different individuals should carry out the investigation and
disciplinary hearing. Whilst there is no statutory right, the employee may be
accompanied at a formal investigatory meeting. If it is decided that there is a
disciplinary case to answer the Line Manager (Chief Operating Officer and Secretary
to Council or Dean in the case of dismissal - see chart below for guidance) will notify
the employee in writing of the alleged misconduct or poor performance and its
3
possible consequences. The employee may then prepare an answer to the case for
consideration at the disciplinary meeting. The employee may submit copies of
written evidence such as witness statements. The notification will give details of the
time and venue for the disciplinary meeting and will advise the employee of the right
to be accompanied at the meeting by a fellow work colleague or union
representative of his or her choice. The employee will receive adequate notice of
the meeting, normally five working days or longer if the employee needs time to
prepare the case. The meeting will take place before any action is taken, although
the employee may be suspended by the School on full pay pending the meeting.
The employee will take all reasonable steps to attend the meeting.








At the meeting the Line Manager will explain the complaint against the
employee and go through the evidence that has been gathered. The
employee will be able to explain their case and answer any allegations that
have been made. The employee will be given a reasonable opportunity to
ask questions, present evidence and if applicable call witnesses prior to any
decision being taken.
After the meeting a decision will be taken and communicated in writing to the
employee normally within five working days.
The Line Manager will also notify the employee of the right to appeal against
the decision at that time.
Where the employee exercises their right of appeal they will need to inform
the Line Manager within ten working days in writing of their wish to appeal,
outlining the grounds of their appeal.
Arrangements will be made by the HR Office for the appeal to be heard. In
the case of an appeal against a formal written or final warning the appeal will
be heard by the Line Manager’s line manager. In the case of an appeal
against dismissal or gross misconduct the appeal hearing will be arranged by
the Chief Operating Officer and Secretary to Council or nominee. The appeal
will be heard by at least two external members of Council and their decision
will be communicated to Council. The Council’s decision is final and there is
no further right of referral.
The employee will take reasonable steps to attend the appeal meeting.
The employee will have the right to be accompanied at the appeal meeting
by a fellow work colleague or trade union representative of his or her choice.
After the appeal meeting, the Manager/Committee hearing the appeal will
inform the employee of the decision in writing normally within five working
days.
4
Manager responsible
Type of warning
Informal warning
Formal warning
Manager responsible
Line Manager
Line Manager
Appeal to
Not applicable
Line Manager
Appeal heard by
Not applicable
Line Manager’s
Manager
Final warning
Line Manager
Line Manager
Dismissal
Chief Operating Officer
and Secretary to
Council or Dean
Chief Operating
Officer and
Secretary to
Council or Dean
Gross Misconduct
Chief Operating Officer
and Secretary to
Council or Dean
Head of
Department/Chief
Operating Officer and
Secretary to Council or
Dean
As above
Line Manager’s
Manager
Committee
comprising of at
least two external
members of
Council
As above
Not applicable
Not applicable
Suspension (with
pay)
An additional senior staff member with particular expertise may be nominated by the
School at any stage of the disciplinary process to assist with the hearing depending
on the circumstances of the case.
In circumstances where disciplinary action is applicable to the Dean or Chief
Operating Officer and Secretary to Council, the Chairman of the Council will be the
School’s nominated person in the first instance.
Right to be Accompanied
An employee has a right to be accompanied at a disciplinary meeting by a
companion (i.e. a fellow work colleague or trade union representative). This right
applies to formal disciplinary hearings that might give rise to the imposition of a
formal disciplinary sanction. The right does not apply to an informal meeting,
provided the meeting does not develop into a disciplinary hearing.
If the employee’s chosen companion is unavailable to attend the scheduled meeting,
the employee can propose an alternative time for the meeting, provided the
alternative time is reasonable and within five working days of the time suggested.
Acts which would constitute Misconduct/Gross Misconduct
The acts below are considered by the School to amount to a disciplinary offence.
Some of these will be considered to constitute misconduct whilst others, depending
5
on the gravity of the case will constitute gross misconduct. Gross misconduct is a
single act of misconduct which is of such a fundamentally serious nature that it
justifies dismissal, without notice.
Examples include:






















failure to observe the School’s procedures and regulations
theft, fraud or falsification of documents or records
deliberate and serious damage to property
serious negligence leading to loss, damage or injury
bringing the School’s name into disrepute
breach of the School’s Health and Safety rules
physical violence or bullying
malicious allegations
discrimination or harassment on grounds of sex, sexual orientation, race,
disability, age, religion or belief
serious breach of confidence resulting from internal beach of the School’s
policy or regulations or improper conduct in relation to job responsibilities
insubordination and refusal to follow a superior’s reasonable instructions
unprofessional conduct with students
misconduct in research
plagiarism
poor attendance or persistent bad timekeeping
unauthorised absence
misuse of telephone, computer facilities, email, Internet access, and
research facilities
deliberately accessing internet sites containing pornographic, offensive or
obscene material
disclosure without authority of confidential or personal information
serious incapacity at work through being under the influence of alcohol or
illegal drugs
criminal conduct that might cause damage to the School’s reputation
serious unprofessional misconduct with students
This list is not all-inclusive and other offences of similar gravity may be considered
to be misconduct or gross misconduct, depending on the circumstances.
Suspension from Work
There may be instances where suspension with pay is necessary while
investigations are carried out. For example where relationships have broken down,
in gross misconduct cases or where there are risks to an employee’s or the School’s
property or responsibilities to other parties. Exceptionally the School may wish to
consider suspension with pay where the School has reasonable grounds for concern
that evidence has been tampered with, destroyed or witnesses pressured before the
meeting.
6
Suspension with pay will only be imposed after careful consideration by the Head of
Department/Chief Operating Officer and Secretary to Council/Dean and will be
reviewed to ensure it is not unnecessarily protracted.
Suspension is not an assumption of guilt and is not considered a disciplinary
sanction.
Statement of Reason for Any Decision
An employee will be provided with a written explanation and reasons for any
imposed disciplinary outcome. Where the outcome is dismissal, the employee will
have a right to request a written statement of the reasons. Whilst this right will be
dependent on the employee having gained a minimum of one year’s continuous
employment with the School, this will be extended to all employees with less than
one year’s service, provided they have satisfactorily completed their probationary
period.
The Time Span of a Warning
Warnings will have a limited time span. However, the length will depend on the
seriousness of the breach of rules. In general:


a written warning will be retained on an employee’s personal file normally for
six months and disregarded thereafter, subject to the employee achieving
and maintaining satisfactory conduct.
a final written warning will be kept on the employee personal file normally for
twelve months and disregarded thereafter, subject to the employee achieving
and maintaining satisfactory conduct. Where a serious offence has occurred
a final warning may remain active for up to three years or indefinitely.
Dismissal with Notice
If, after an appropriate number of formal warnings, the decision is that the
employee’s conduct/performance has failed to improve to the required standard or
misconduct is repeated, the final stage in the disciplinary process will be dismissal
with notice. The notice due to the employee will be in accordance with the
employee’s Contract of Employment.
Dismissal, as the ultimate disciplinary sanction, will only normally be imposed as a
last resort where no other course of action is appropriate or reasonable.
Summary Dismissal
A summary dismissal will result in the termination of an employee’s employment
without notice or pay in lieu of notice on the grounds of the employee’s gross
misconduct. This will occur where the actions of the employee fundamentally
undermined the duty of trust and confidence between the employee and the School
to the extent that the School is no longer required to retain the employee in
7
employment or be bound by any of the terms of the contract (including the
requirement to give notice).
The normal disciplinary procedure will still apply before the School takes the
decision to dismiss and it will investigate the circumstances and give the employee
an opportunity to explain his or her conduct at a disciplinary hearing, before
concluding that summary dismissal is the appropriate sanction.
Updated March 2010
Addendum
Following the TUPE transfer of the School of Pharmacy to UCL on 1st
January 2012, the following roles in this policy should read as follows:
Pre transfer
Chief Operating Officer
Dean
Human Resources Office
Post transfer
Divisional Manager
Director
Staffing & HR Office
This is to reflect changes in the operating environment.
8