Disciplinary Procedure by sgs479i

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									University Campus Suffolk



DISCIPLINARY PROCEDURE




1. Introduction

These procedures have been established to help and encourage employees to achieve and
maintain appropriate standards of conduct.

The rules and procedures provide a fair and consistent method for dealing with cases of
alleged misconduct.

2. Application
These procedures apply to all employees, other than those subject to probation procedures.

3.
          At a Glance Advice for Staff ……

          If you find yourself the subject of these procedures, we
          recommend you follow these steps:

              o   Always try to attend meetings to which you are invited.
                  If you cannot attend, let the meeting organiser know the
                  reason you are not available and ask for an alternative
                  date.

              o   Read these procedures carefully. Ask HR for help if you
                  do not understand anything.

              o   If you are a member of a trade union, seek their
                  support.

              o   Tell HR if you have special needs that should be
                  accommodated during the investigation or at a
                  subsequent hearing.

              o   If you are asked to attend a formal disciplinary
                  interview or hearing, you are entitled to be accompanied
                  please note section 6.2 ‘Right to Representation'. Tell
                  HR the name of your chosen companion and provide their
                  contact details.


Version 2.3 March Never ignore any formal letters sent to you. If you need
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                  help, ask HR or your trade union rep to assist you.
Principles

This Disciplinary Procedure has been developed using the ACAS Code of Practice on
Disciplinary and Grievance Procedures and reflects established good practice and current
employment law requirements.
In applying these procedures, UCS will adhere to the principles of natural justice. This
means the employee will know what it is they are alleged to have done (or not done), will
have an opportunity to explain or present a case for mitigation, and will be heard in good
faith, without prejudice or bias.
Cases of minor misconduct or unsatisfactory performance are usually best dealt with
informally in the course of day to day supervision. In many cases early intervention by line
managers will reduce the risk of the matter escalating to the point where formal disciplinary
action is necessary. Managers are encouraged to consult with HR for advice regarding
informal action the most appropriate form of informal action.

If informal action does not bring about improvement, or where the matter is too serious to be
classed as minor, the formal procedure outlined here will be followed.

Managers should consult with the HR Department prior to embarking on any formal
disciplinary action. A member of the Human Resources Department will be present at formal
disciplinary hearings to provide advice and assistance and ensure consistency of practice.

4. Standards

It is important that UCS staff understand the standards of conduct expected of them. To
assist, some types of behaviours that may result in disciplinary action are set out at Appendix
1. The list is not exhaustive and should be taken as a guide.

Acts of gross misconduct are actions, behaviours, or omissions that represent a serious
breach of contractual terms which, after investigation, is likely to warrant dismissal without
notice. A list of some of the behaviours that might be regarded as gross misconduct is
included at Appendix 1. The list is not exhaustive and should be taken as a guide.

5. Informal Counselling

Where an employee’s standard of conduct or behaviour is causing concern, the line manager
must bring this to their attention at the earliest opportunity.

The line manager must:
       - explain the nature of the concern to the employee
       - allow the employee to respond
       - set out clear standards of behaviour
       - set a follow up date to review the matter with the employee
       - inform the employee what will happen if they do not achieve the required standard.
       - write a brief note of the meeting and give a copy to the employee

If the employee’s conduct or behaviour does not improve to the required standard, or the
conduct or behaviour is sufficiently serious, the line manager, in consultation with HR, may
decide to move to the formal stage of the Disciplinary Procedure.


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This informal action is not part of the formal disciplinary procedure. Meetings of this kind are
usually conducted on a one to one basis. There is no necessity for managers to be
accompanied by an HR Officer or for the employee to be accompanied by a work colleague
or trade union representative.

6. Formal Procedure

6.1 Formal Procedure - Preliminary Activity
     Before formal disciplinary action is taken, there are a number of matters to be
     considered:

       Instigating Disciplinary Procedures – Managers, in consultation with HR, are
       authorised to issue a formal written warning (subject to the arrangements set out
       below) or, in the case of continuing and/or more serious matters, to initiate formal
       disciplinary investigations. In making this decision, managers should consider
       whether the alleged act(s) or omission(s) warrant formal disciplinary action, or if the
       matter could be more appropriately addressed through informal counselling (see
       above).

       Suspension – the decision to suspend an employee rests with the Director of HR in
       consultation with the relevant line manager. Suspension with pay will be normally be
       appropriate only in response to allegations of gross misconduct or if the employee’s
       presence at work is likely to interfere with or impede an investigation or represent a
       serious risk to the business of UCS. Suspension is a precautionary measure, without
       prejudice to the outcome of any investigation or subsequent hearing.

       As a general rule, the line manager will meet with the employee to tell them they are
       suspended. The HR Department will write to suspended employees and confirm the
       terms of the suspension.

       Accredited Trade Union Representatives – the Director of HR shall notify the
       regional office of the relevant trade union in the event of a Trade Union representative
       being the subject of a disciplinary investigation. A brief outline of the matter to be
       investigated will normally be given.

       Notifying the Employee – usually, the local line manager will meet with the
       employee to inform them of the allegation(s) and that the matter is to be investigated;
       a confirmatory letter will be prepared by the HR Department. If the employee is to be
       suspended, this will be explained at the meeting (see above). The employee is not
       required to make any comment at this meeting and there is no entitlement to
       representation. If it is not practical to hold such a meeting, the information will be
       conveyed in writing.

6.2 Formal Procedure – Right to Representation

       At every stage of the formal procedure, the employee has the right to be
       accompanied by a work colleague or trade union representative. The companion can
       make a statement at a hearing and ask questions, but cannot answer questions on
       behalf of the employee. The employee may be entitled to legal representation if the
       hearing may lead to dismissal and possible barring from their current chosen
       profession. HR will inform the employee if they are entitled to be legally represented
       at a hearing; employees who are unsure of their representation rights are encouraged
       to contact HR in advance of a hearing. Only one representative may attend a
       hearing.

       Staff accompanying colleagues during disciplinary interviews and/or hearings, will be
       given reasonable paid time away from their work to fulfil that responsibility.

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6.3     Formal Procedure - Formal Meeting
        Managers may call a formal disciplinary meeting with an employee whose conduct
        or behaviour is not of an acceptable standard. Such a meeting will be
        conducted usually by the line manager, assisted by a member of the HR
        team. The purpose of the meeting is to make the staff member aware his/her
        conduct or behaviour is not to the required standard; to set a reasonable
        review period for improvement; and to establish any further support measures,
        which may include further training, closer supervision and/or mentoring.

        The staff member will be notified of the date, time and venue for the meeting,
        the purpose of the meeting, and will be advised they may be accompanied by
        a work colleague or trade union representative. If the staff member or their
        preferred representative is unable to attend on the date given, they may
        suggest a reasonable alternative date provided this is within five working days
        of the original date offered1. Where availability of the preferred representative
        is a continuing difficulty, the staff member may be obliged to find an alternative
        person to accompany them.


        During the meeting, the staff member must be given specific instances of
        where his/her conduct or behaviour is causing concern. The staff member
        must be given the opportunity to say whether s/he agrees there is a problem
        and what s/he thinks might be the root cause. There should be a discussion
        about what could be done by all parties to effect an improvement.

        If the manager conducting the meeting is satisfied appropriate and reasonable
        help and support has been offered to the staff member prior to the formal
        meeting, a formal written warning may be issued at this stage.

        A written summary of the outcomes of the meeting will be drafted by the
        attending HR Officer; a copy will be sent to the staff member confirming:

                          Conduct or behaviour issues discussed including required
                           standards and past shortcomings;
                          Any specific actions agreed for additional support and/or
                           training.
                          If appropriate, details of any formal warning issued specifying
                           the date the warning was given and the period for which the
                           warning will apply2.
                          Appeal rights.

        In the event of the employee’s conduct or behaviour giving further cause for
        concern or it is felt that the misconduct is of a more serious nature this will be
        dealt with at 6.4 of the formal procedure.




1
  The intention is to hold a meeting at a mutually convenient date – all parties should try to adjust their
commitments to ensure the meeting takes place in a timely manner.
2
  Formal written warnings are placed on the personal file in HR but will be disregarded after 12 months.

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6.4 Formal Procedure – Investigation

       Appointment of Investigating Officer – the Director of HR, in consultation with the
       relevant manager, shall appoint an Investigating Officer. This may be the employee’s
       immediate line manager or it could be another UCS manager. Only in exceptional
       circumstances might an independent investigator be appointed.

       Role of the Investigating Officer – to gather, document and collate relevant
       evidence in a fair and reasonable manner. An Investigating Officer will review the
       personal file of the subject of the investigation, examine relevant documents, and
       interview witnesses and the subject of the investigation. The Investigating Officer will
       determine what is alleged and by whom, when and where the incident(s) took place,
       what other circumstances are relevant, and whether sufficient evidence has been
       gathered to enable another manager to consider the case. The Investigating Officer’s
       role is not that of a prosecutor. The investigation is about fact not argument.

       HR Support – an HR Officer will be assigned to assist the Investigating Officer. The
       role of the HR Officer is to make appointments and organise meetings with witnesses
       and the subject of the investigation, to assist the Investigating Officer in planning,
       conducting and noting interviews.

       Interviews – the Investigating Officer will interview relevant witnesses and the
       subject of the investigation. It is for the Investigating Officer to determine the order in
       which interviews are conducted. As the investigation unfolds, it may be necessary to
       re-interview some people. Written statements will usually be prepared by the HR
       Officer for interviewees to sign. More detailed “Q&A” style notes of interviews can be
       produced if this is helpful to the investigation. Where possible, statements and
       interview notes should be signed by the person interviewed to confirm it is a true
       record.

       Investigation Report – the Investigating Officer will write up the investigation. The
       report will include all written statements, interview notes, and any other relevant
       documentary evidence. A suggested template is shown at Appendix 2. The report
       should be based on fact, not personal opinion. The report should be submitted to the
       Director of HR, who will decide whether there is a case to answer and if this should
       be addressed through a formal disciplinary hearing. The Investigating Officer and the
       subject of the Investigation shall be notified in writing of this decision, stating the
       matter(s) to which the employee will be asked to respond. However, formal action
       might not always be appropriate; the ‘Informal Counselling’ process outlined above
       might be the preferred way forward.

6.5 Formal Procedure – Preparing for a Disciplinary Hearing

       Appointment of the Chair – the Director of HR shall appoint a manager to conduct
       and chair the hearing. The Chair must be untainted by the process, in that they must
       have played no part in the factual matters giving rise to the hearing and must not
       have been involved in the investigation. An HR Adviser will be appointed to assist the
       Chair in matters of process and available options; the HR Adviser will not be part of
       the decision making.

       Planning a Hearing – the HR Department will make arrangements for the case to be
       heard, including setting a date, securing a suitable venue, and notifying the parties of
       the arrangements. The HR department will try to secure a date that is convenient to
       the parties. In the event of the first date not being convenient for the employee, or
       their companion, an alternative date will normally be offered.



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       Written Evidence – the Investigation Report shall form part of the case file, together
       with all associated statements and other written evidence. The employee shall be
       invited to submit written evidence, which must be received by the HR Department no
       later than 5 working days prior to the date of the hearing. The case files will be
       circulated to the parties 3 working days prior to the hearing.

       Failure to attend a Hearing – in the event of the subject of a hearing failing to attend
       a rearranged hearing without good reason, a decision may be made in their absence
       on the evidence available. It is expected that those who anticipated difficulties in
       attending such a hearing will have discussed the matter with HR in advance, at the
       invitation stage.

6.6 Formal Procedure – The Disciplinary Hearing

       Role of the Chair – the Chair shall hear the case in good faith, making their own
       decision on the basis of the information presented by the parties. The Chair is,
       however, free to seek advice and guidance from their HR Adviser and/or the Director
       of HR before and during the disciplinary process.

       Procedure – hearings will be as informal as possible and employees will be given
       every reasonable assistance to put forward their case. Breaks may be taken to
       ensure the comfort of all parties. In general the following sequence will be followed:

         Introduction – the Chair will introduce the parties, clarify the allegations and
         ensure the employee is represented as they so choose.

         The management case – the case will usually be presented by the manager who
         undertook the investigation. Witnesses may be called in to the hearing as
         necessary. The employee and/or their representative may ask questions of the
         manager presenting the case and witnesses as they appear; the Chair and their
         HR Adviser may also ask questions.

         The case for the employee – the employee or their representative will present
         their case. Witnesses may be called in to the hearing as necessary. The manager
         presenting the management case may ask questions of the employee and any
         witnesses as they appear; the Chair and their HR Adviser may also ask questions.

         Conclusion – the Chair will have the opportunity to clarify any points with the
         parties.

         Adjournment – the hearing will adjourn while the Chair decides the outcome, in
         consultation with their HR Adviser.

         Decision – the Chair will decide the outcome of the hearing and wherever possible
         notify the employee on the day of the hearing, usually by reconvening the parties.
         Written notification will be sent to the parties within 5 working days of the
         conclusion of the hearing; where appropriate, appeal rights shall be included in this
         letter.

         Notes of the Hearing – the HR Adviser shall take notes during the hearing;
         alternatively a note-taker may be provided. The purpose of this note shall be to
         assist the Chair in reaching their decision. The notes are not intended to be a
         verbatim record. Following the hearing, the notes shall be collated to form a
         summary record of the hearing, including those in attendance, the matters to which
         the employee was asked to response, the key points arising during the hearing,
         and the outcome. Handwritten notes produced during the hearing and used to


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         produce the summary record of the hearing will not be retained. The summary
         record may be made available to the parties on request.

6.7 Formal Procedure – Outcomes

    The burden of proof and the range of reasonable responses are discussed at paragraph
    7.1 below. There are a number of possible outcomes as a result of a disciplinary
    hearing, as follows:

       No case to answer – the Chair may decide there is no case to answer.

       Referred for Informal Management Action – the Chair may conclude the best
       course of action is for there to be no formal warning, but rather the employee should
       meet with their line manager for advice and guidance as to their future conduct and
       performance. There is no right of appeal against this outcome. Managers should
       follow the ‘Informal Counselling’ section 5 for further guidance.

       Written Warning – a written warning may be given in cases of minor misconduct. In
       issuing a written warning, the Chair will state why the disciplinary action is being
       taken, what conduct or improvement will be expected in future and how this will be
       monitored, the duration of the warning, and the employee’s right of appeal. A written
       warning will usually apply for no longer than 12 months after which time it will be
       disregarded.

       Final Written Warning – a final written warning may be given where an employee’s
       conduct or performance gives further cause for concern during the period of a
       previous warning, or where the initial matter is of a more serious nature (but falls
       short of gross misconduct). A final warning may be appropriate in cases that might
       have led to dismissal but for the mitigation taken into account by the Chair. The Chair
       will state why the disciplinary action is being taken, what conduct or improvement will
       be expected in future and how this will be monitored, the duration of the warning, and
       the employee’s right of appeal. A final written warning will usually apply for no longer
       than 24 months after which time it will be disregarded.

       Dismissal with Notice – if an earlier warning is still current and the circumstances of
       the current offence so justify, the employee may be dismissed subject to the
       appropriate notice period. The Chair will state the reason for the dismissal, the date
       on which the employment will end, and the employee’s right of appeal. During such a
       notice period, “garden leave” may be appropriate; the Chair may leave this to the
       discretion of the appropriate local managers.

       Dismissal Without Notice – where gross misconduct has been established,
       dismissal, normally without notice, will apply. The Chair will state the reason for the
       dismissal, the date on which the dismissal will take effect and the employee’s right of
       appeal.

       Vetting and Barring Scheme – where an outcome of a hearing results in a dismissal,
       it may be appropriate, that UCS advises the Independent Safeguarding Authority
       (ISA) in accordance with its duties associated with this scheme. The ISA will decide
       whether or not the employee should be barred from working with children and/or
       vulnerable adults or in other work that directly or indirectly involves children. Where
       the outcome of a hearing might result in such a process, staff may request
       representation at the hearing by a legal adviser. See 6.2 above.

       A similar barring process may need to be followed for other professions which are
       required to follow a code of conduct by an authority, such as the Financial Services
       Authority.

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       Other Formal Sanctions – the following may be considered in addition to (or in place
       of) the above:
              o Transfer or demotion to another job as an alternative to dismissal – such a
                 course of action is rare and may only occur if a suitable vacancy exists and
                 if relevant managers are agreeable.
              o Witholding of an annual increment for a specified period of time.
              o A penalty fine of up to 5 days’ pay.

6.8    Formal Procedure - Appeals

       Employees are entitled to appeal against written warnings, dismissal and other formal
       sanctions described above.

       For action short of dismissal, appeals will be heard by a senior manager who has not
       been involved with the case.        This process is described below.       Separate
       arrangements apply in the case of an appeal against dismissal; see UCS Appeal
       Procedure (Dismissal).

       The employee must register in writing their intention to appeal within 10 calendar
       days of the date of the letter informing them of the outcome of the hearing.

6.9    Formal Procedure – Appeal Against Action Short of Dismissal

       Appeal Chair - The Director of HR shall appoint the Appeal Chair and an HR
       Adviser. The Appeal Chair will usually be more senior than the manager who chaired
       the previous hearing. The Appeal Chair shall hear the case in good faith, making
       their own decision on the basis of the information presented by the parties. The Chair
       is, however, free to seek advice and guidance from their HR Adviser and/or the
       Director of HR before and during the appeal process.

       Appeal Statement – the appellant is required to submit a written statement of appeal
       to reach the Director of HR within 10 working days of registering their intention to
       appeal or at the end of a longer period agreed in advance by the Director of HR. Late
       submissions will be deemed to be out of time. The appeal statement must make
       clear the grounds of appeal, including any new evidence the appellant wishes to put
       forward. The names of witnesses must be provided with the statement. Any written
       evidence must be included with the statement.

       Management Statement – the management written statement of case must be
       submitted to the Director of HR within 10 working days of receipt of the appellant’s
       written statement. The statement shall set out the facts of the case, the rationale for
       the outcome of the first hearing, and a response to the points put forward in the
       appellant’s statement. The names of witnesses must be provided with the statement.
       Any written evidence must be included with the statement.

       Case File – the HR Department shall prepare case files. These will include a
       summary of the appeal to be heard, the appeal statement, the management
       statement, any documentary evidence submitted by the parties and the written
       summary record of the first hearing.

       Scheduling the Appeal Hearing – the HR Department will make arrangements for
       the appeal to be heard, including setting a date, securing a suitable venue, and
       notifying the parties of the arrangements. The HR department will try to secure a
       date that is convenient to the parties. In the event of the first date not being
       convenient for the employee, or their companion, an alternative date will normally be
       offered. It is the responsibility of each party to arrange the attendance of their

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       witnesses. Appeal hearings may proceed on scheduled dates even if a witness is not
       available on that date. Concerns about the (un)availability of witnesses must be
       raised with the Director of HR at the earliest opportunity.

       Case presentation – the nature of the appeal may determine the style of the hearing.
       For example, if the severity of the award is challenged, a rerun of all/most evidence
       may be appropriate. Whereas, if a procedural point is the focus of the appeal, there
       may be minimal need to revisit all the evidence. Please note point 7.6 below
       regarding the presentation of new evidence. The management case need not mirror
       exactly the case presented at the earlier hearing. Where it is appropriate to do so,
       the parties may agree that some witnesses, particularly those whose evidence is
       accepted, need not be recalled.

       Procedure – hearings will be as informal as possible and employees will be given
       reasonable assistance to put forward their case. Breaks may be taken to ensure the
       comfort of all parties. In general the following order will be followed:

               Introduction – the Appeal Chair will introduce the parties, clarify the
               allegations and ensure the employee is represented if they so wish.

               The case for the employee – the employee or their representative will
               present their case. Witnesses may be called. The manager(s) presenting the
               management case may ask questions of the employee and any witnesses as
               they appear; the Appeal Chair and their HR Adviser may also ask questions.

               The management case – the case may be jointly presented by the manager
               who undertook the investigation and the manager who first heard the case.
               Witnesses may be called as necessary.        The employee and/or their
               representative(s) may ask questions of the manager(s) presenting the case
               and witnesses as they appear; the Appeal Chair and their HR Adviser may
               also ask questions.

               Conclusion – the Appeal Chair will have the opportunity to clarify any points
               with the parties.

               Adjournment – the hearing will adjourn while the Appeal Chair decides the
               outcome, in consultation with their HR Adviser.

               Decision – the Appeal Chair will decide the outcome of the hearing and
               wherever possible notify the employee on the day of the hearing, usually by
               reconvening the parties. Written notification will be sent to the parties within 5
               working days of the conclusion of the hearing.

       Failure to Attend - in the event of the appellant failing to attend an appeal hearing
       without good reason, a decision may be made in their absence based on the
       evidence available.

       Outcomes – the Appeal Chair may uphold the original decision or allow the appeal.
       Where the appeal is upheld, the Appeal Chair may apply a lesser (or no) award.
       There is no further right of appeal.


7. Other Relevant Matters

7.1   The Burden of Proof & Range of Reasonable Responses
      Disciplinary cases will be judged on the basis of the balance of probabilities, rather than
      on the basis of “beyond all reasonable doubt”. When hearing a case, the Chair must

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      first consider whether there has been a reasonable investigation and then, on the basis
      of the evidence presented, it is likely the alleged misconduct occurred. In deciding
      upon a disciplinary award, the Chair must consider whether intended disciplinary action
      is reasonable in the circumstances. The employee’s disciplinary and employment
      record should be taken in to consideration, along with their explanation.

7.2   Criminal Charges or Convictions
      Criminal offences committed by employees either within or outside their employment
      shall be considered individually. Alleged criminal matters not related to employment
      will not necessarily lead to disciplinary proceedings. Particular consideration will be
      given to the seriousness of the alleged offence and to whether or not the offence might
      make the employee unsuitable for their employment.

7.3   Protection of Children
      Allegations concerning the possible abuse of children by UCS staff must be reported
      immediately to the Director of HR and to the Academic Registrar, who is the designated
      Safeguarding Officer. The Safeguarding Officer may consult with the County Council’s
      Social Care Department to decide whether a referral should be under the local Area
      Child Protection Committee (ACPC). Such processes may take precedence over the
      UCS disciplinary procedures.

7.4   Matters Requiring Specialist Advice
      UCS reserves the right to engage additional support for investigators and/or those
      hearing cases involving complex matters of a specialist nature. For example, in a case
      involving alleged financial irregularities, the assistance of the UCS Auditors may be
      appropriate during the investigation.

7.5   Students as Witnesses
      It is the policy of UCS not to call students as witnesses at internal hearings if at all
      possible. In the event an investigating officer, an employee or their representative(s)
      wishes to approach a student with a view to securing a witness statement or other
      testimonial, permission must be sought in writing from the Director of HR.

7.6   New Evidence
      New evidence may be considered at the first hearing or at a subsequent appeal. In the
      event of new material coming to light during a hearing, the parties may need an
      adjournment.

8. Summary Dismissal

In extreme cases of gross misconduct, UCS reserves the right to summarily dismiss an
employee without a prior investigation and without recourse to a formal hearing.

In such circumstances, the dismissal shall be effected by an Executive Team member on the
advice of the Director of HR as soon as the misconduct became known. Acting upon the
advice of the Director of HR, the responsible manager shall write to the employee setting out
the nature of the alleged misconduct, their reason for believing the employee to be guilty of
the alleged misconduct and their right of appeal.

Appeals against summary dismissal shall be conducted in accordance with the UCS Appeal
Procedure (Dismissal).



Director of Human Resources



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                                                                                 Appendix 1

Some reasons which may lead to disciplinary action for misconduct:

           o   Unsatisfactory timekeeping
           o   Unauthorised absence
           o   Professional or similar negligence
           o   Failure to take care of own and others health and safety
           o   Misuse of UCS IT and related facilities
           o   Failure to adhere to UCS’ statutory obligations, eg copyright, data protection,
               freedom of information.
           o   Harassment, bullying and discrimination
           o   General misconduct (eg rudeness, abusive or foul language, aggressive
               behaviour).
           o   Failure to declare (prejudicial) personal interests in UCS decision making
               processes (including but not limited to: assessment of student work;
               determining student awards; recruitment of staff; awarding of contracts,
               purchasing goods and services).
           o   Failure to follow the reasonable instructions of a supervisor
           o   Breach of the contractual terms and conditions of employment
           o   Wilful or deliberate failure in performance to a reasonable and acceptable
               standard

Please note: this list is not exhaustive. It is intended as a guide. Other acts or omissions
not listed here may lead to disciplinary action.

Some reasons which may lead to dismissal for gross misconduct:

           o   Theft or fraud
           o   Serious cases of harassment, bullying or discrimination
           o   Serious offences involving alcohol or illegal drugs
           o   Threatening physical behaviour
           o   Failure to disclose relevant information or making false claims in applications
               for employment (eg pre-existing unspent criminal convictions, claiming
               qualifications not held)
           o   Serious breaches of health and safety
           o   Serious cases of negligence or professional misconduct

Please note: this list is not exhaustive. It is intended as a guide. Other acts or omissions of
similar gravity may lead to dismissal.




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                                                                                         Appendix 2

The following template may be used in drafting disciplinary investigation reports.



      INVESTIGATION REPORT

      Purpose of the Investigation
      Outline what the alleged discipline issue is and its consequences and who has made the
      allegations and against whom. Detail what issues need to have been clarified and evidenced by
      the end of the investigation.

      Surrounding Circumstances
      Where and when the alleged incident took place and any other relevant issues which may affect
      the case.


      Background Information
      You may need to have access to the employee’s personal file, held by HR, for background
      information to the case.
      Give a brief outline of the employee’s current job, their employment history and disciplinary record,
      if any. In addition you will need to explore if there have been any previous incidents or issues that
      may relate to this case or any mitigating circumstances e.g. health, domestic problems, or
      provocation.
      Conduct of the Investigation
      Give a summary of the people interviewed, including their name, their role, and their status in the
      investigation (eg subject, person making the allegation, witness). List any other sources of
      information.
      Attach witness statements, interview notes and other documentary evidence as appendices.


      Evidence Summary
      Provide a summary of the evidence collected and relate this to the allegation(s). Make sure this is
      a balanced summary.


      Conclusion
      The Investigating Officer should indicate whether, in their view, there is a case to answer.




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                                         University Campus Suffolk


                             Equality Impact Assessment – Initial Screening

1. About this assessment

Policy/Procedure Title:                    Disciplinary Procedure

Name of the manager responsible for        Jo Campbell
this assessment:

Name(s) of any other people involved       Teresa Steward
in this assessment:

Date of assessment:                        April & October 2009 and March 2011

Aims and objectives of this                To set out the arrangements to be followed in the
Policy/Procedure:                          event of alleged misconduct. Also to include best
                                           practice following recent case law regarding legal
                                           representation at hearings which might result in
                                           dismissal and a possible barring from their profession.
                                           To enable Managers to issue a formal written warning
                                           at the formal meeting stage.

2. Data

Identify any baseline data available       None
about the impact of this
policy/procedure in relation to
equality groups (eg monitoring data,
student/staff surveys).

3. Impact on students, staff and the wider community

Is the Policy/Procedure likely     Y/N     Comments
to have negative
consequences on grounds of:
Disability                         N


Gender                             N



Race                               N



Religion/belief                    N



Sexual Orientation                 N



    Version 2.3 March 2011                                                                           13
 Age                                  N




4. Opportunities for positive action

 What steps have been taken to positively promote equality on grounds of:
 Disability?                    None

 Gender?
                                      None
 Race?
                                      None


5.     Outcomes

 As a result of this assessment,      N/A
 have you identified any
 opportunities to improve the
 inclusivity of this policy? If so,
 what are they?
 Do you consider this policy
 should be the subject of a more      No
 detailed Impact Assessment?

 What is your rationale for this
 outcome?                             There is no evidence of adverse impact. HR would be
                                      involved in all stages of these procedures to ensure
                                      consistency and fairness.



 Do you plan to revisit this          Review within 3 years.
 assessment? If so, when?




       Version 2.3 March 2011                                                                14

								
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