Misconduct and Disciplinary Action Notice in Hr - DOC by nkd11118

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									                      EDINBURGH NAPIER UNIVERSITY
                   DISCIPLINARY POLICY AND PROCEDURE

1.    Introduction

1.1   The purpose of this procedure is to ensure that all issues relating to conduct
      or capability of staff at work are dealt with sensitively and equitably and to
      ensure the consistent and fair treatment for all employees within the
      University.

      Informal action to help improve an employee’s performance, attendance or
      conduct – including the Employee Support Procedure - should have been
      considered and/or exhausted before using these formal procedures. The only
      exception will be in cases of more serious misconduct where a formal process
      is warranted. This procedure applies to staff at all levels, and is designed to
      be corrective rather than punitive. It is also consistent with the ACAS Code of
      Practice on Disciplinary and Grievance Procedures.

1.2   The advice of a Human Resource Client Partner may be sought by staff and
      managers at an early stage in the procedure.

2.    What is the difference between conduct and capability?

2.1   Conduct relates to the behaviour of an individual. As an example a member
      of staff may behave in a way which is inappropriate even though their work
      performance and attendance is otherwise satisfactory. This may lead to
      disciplinary action for misconduct and the employee may be given a written
      warning.

2.2   Capability is about an individual’s ability to do his/her job. This procedure
      would therefore be used where the quality or quantity of work is persistently
      unsatisfactory, or where the ability to do a job is affected by unacceptable
      levels of absence (including sickness), and in accordance with the Managing
      Sickness Absence procedure. The Employee Support Procedure should be
      implemented to enable improvement before any disciplinary action is
      instigated.

3.    Main principles

      The application of this policy and procedure relies on the following key
      principles at each stage of the process:

3.1   Investigation

      A thorough investigation of the facts will be carried out without undue delay.
      The procedure may commence at any stage where the alleged misconduct
      warrants such action.



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3.2   Suspension
      A member of staff may be suspended at any stage of the disciplinary process,
      without prejudice.

4.    Stage 1 – Establishing the facts

4.1   Notification

      At all stages employees will be informed in writing about the nature of the
      conduct or capability issue in accordance with the relevant stage of the
      procedure. Employees will normally be given 5 working days notice of any
      meeting/hearing.

      Employees will be notified in writing about:

         The alleged problem/issue with their conduct, attendance or job
          performance;
         The right to be accompanied to any investigatory meeting or disciplinary
          hearing;
         The intention to call witnesses where relevant;
         Date, time venue of any meeting/hearing.

      Additionally, details of the procedure to be followed will be included.

      Employees should normally submit the following details not less than 3
      working days before any meeting/hearing:

         Any relevant papers;
         If they intend to be accompanied by a trade union representative or work
          colleague;
         The name/s of any witnesses the employee would wish to call to the
          hearing.

      Any relevant papers submitted by either party will also be circulated in
      advance of the meeting.

      In cases of minor misconduct all relevant papers will be circulated by the
      relevant manager holding the disciplinary hearing. In cases of potential
      serious or gross misconduct or subsequent appeal stage, the HR
      representative will circulate relevant papers with the invitation to the hearing.

      All timescales given are a general indication of what the University will try to
      do. However, it should be recognised that at times there will be circumstances
      which render stated timescales impractical.

4.2   Investigation
      Disciplinary action will not be taken until the case has been investigated. A

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      thorough investigation to establish facts will be carried out without undue
      delay, to ensure that the facts are established quickly and that the matter is
      progressed speedily for all involved.

      In all instances where a potential disciplinary matter arises, the relevant
      manager must ensure that a thorough investigation has taken place to:
      establish the facts; make an accurate record; collect relevant information and
      ensure that where necessary, witness statements are taken before memories
      fade. The manager can interview anyone he/she believes may contribute
      relevant evidence to the investigation.

      A written record of all meetings (including witness statements) will be kept and
      witnesses will be made aware that their signed statement will be made
      available to the employee alleged to have committed the offence. Members of
      staff are required to cooperate fully with investigations to allow the University
      to gather the facts as fully as possible. If the member of staff, subject to
      potential disciplinary action refuses to cooperate, without good reason, they
      will be advised in writing that unless further information is provided, a
      disciplinary hearing will be convened and a decision will be taken on the basis
      of the information available.

4.3   In cases involving allegations of misconduct

      The matter will be investigated by the relevant manager, or, if this is not
      possible by another manager at a similar level (see Appendix A). Any one
      carrying out an investigation will be trained in investigation techniques.

      Having established the facts the manager should decide whether there is a
      case to answer and, if so, whether to deal with it informally or proceed to a
      disciplinary hearing. The decision will be conveyed in writing to the
      member(s) of staff under investigation. The manager can reconvene an
      investigation meeting if he/she wants to collect more information before
      making a decision.

4.4   In cases involving allegations of gross misconduct

      The matter will be investigated by relevant managers (see Appendix A), both
      of whom will be trained in investigation techniques.

4.5   Special circumstances

      In the cases of alleged fraud or financial irregularity, Finance Services will
      provide a manager to help support the investigation.

      If any health issues emerge during the investigation the manager should
      contact Human Resources for advice on whether a referral to the
      Occupational Health Service is appropriate.



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4.6   Suspension

      An employee may be suspended from work with full pay, without prejudice,
      either prior to the investigation commencing, or at any stage of the disciplinary
      process if it becomes necessary to do so. Suspension will normally be
      appropriate if there are allegations of serious or gross misconduct and/or
      potential risk to property, people, the investigation, the employee or the
      University.

      Suspension is without prejudice and not a disciplinary sanction and does not
      indicate that any decision has been made regarding the allegations against
      the employee. A senior manager must authorise suspension (see authority
      table Appendix A).

      An employee who is suspended from work will receive written notification from
      the relevant manager that they are suspended, the reasons for their
      suspension and any conditions attached to that period of suspension. During
      suspension all terms and conditions of employment will normally continue but
      the University may add any additional reasonable conditions to apply during
      the period of suspension. If the disciplinary process is protracted, the period of
      suspension will be reviewed on a three monthly basis.

5.    Stage 2 – Disciplinary hearing

5.1   The hearing

      The manager conducting the investigatory meeting, disciplinary or appeal
      hearing will:

         introduce all those present and explain their role during the hearing (see
          Appendix E);
         reaffirm and record the employees right to be accompanied;
         state precisely what the complaint is and outline the case;
         go through any evidence gathered;
         ensure that the employee and their trade union representative or fellow
          work colleague have seen all documentation.

      The employee will:

         set out his/her case and answer any questions asked or allegations that
          have been made
         ask questions of clarification, present evidence and call relevant witnesses

      The trade union representative or fellow work colleague has the statutory
      right, to do any of the above, if instructed by the employee, with the exception
      of answering questions directly put to the employee.



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5.2   Attendance

      All those involved in any hearing will prioritise their attendance, wherever
      possible, to ensure that hearings are held as quickly as is reasonably
      practicable. Hearings will be held without unreasonable delay and employees
      will normally be given 5 working days notice.

      If an employee repeatedly fails to attend a hearing, without good reason, the
      employer may conclude that a decision may be made on the evidence
      available in the employee’s absence. The employer will notify the employee
      that a hearing will be convened in their absence.

5.3   Right of Delay

      In all cases the employee is expected to attend the disciplinary hearing. If the
      manager or the employee are unable to attend a scheduled disciplinary or
      appeal hearing for a reason that was not reasonably foreseeable at the time
      the meeting was arranged. The meeting must be rearranged, at least once
      without unreasonable delay.

      An employee who cannot attend a meeting should inform the employer in
      advance whenever possible. If the employee fails to attend through
      circumstances outside their control and unforeseeable at the time the meeting
      was arranged (e.g. illness) the employer should arrange another meeting.

      If the chosen trade union representative or fellow work colleague is unable to
      attend a scheduled disciplinary or appeal hearing, the employee has the right
      to request a reasonable delay of the hearing, and they should suggest a
      reasonable alternative time and date, not more than five working days after
      the original date.

5.4   Employee’s right to be accompanied

      At all stages the employee has the statutory right to be accompanied. This
      can be a trade union representative or a work colleague. Reasonable
      adjustments, which could include an interpreter (this may be because of a
      disability or because English is not the language of choice), must be
      considered.

      The chosen trade union representative or fellow work colleague should be
      somebody who will not prejudice the hearing by their presence throughout the
      hearing (e.g. be a witness or a witness to related events or involved in the
      facts of the matter).

      Employees are not required to agree to a request to accompany a colleague
      to a hearing and no pressure should be brought to bear on them if they do not
      wish to do so.



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      A work colleague accompanying a member of staff is entitled to a reasonable
      amount of paid time away from their normal duties to fulfil this role. This
      should include not only time to attend the hearing but also time to familiarise
      themselves with the issues and confer with the member of staff both before
      and after the hearing.

5.5   Further investigation

      During the hearing the manager conducting the hearing may require further
      investigations to take place to establish additional information/facts or to verify
      information. In which case the manager will agree the following with all those
      present at the hearing:

             whether there is the need to adjourn the hearing
             how additional information will be shared with all parties
             an indication of the timescales which will apply

      Further investigations should take as long as is necessary to establish all of
      the facts, but will proceed without unreasonable delay and any information
      gathered will be shared with all parties at the reconvened hearing.

5.6   Adjournments

      The hearing may be adjourned at any time, by either party during the hearing
      and re-convened without unreasonable delay. Any relevant information
      gathered/evidence gathered during any adjournment will be shared with all
      parties in advance of the hearing being re-convened.

6.    Deciding the outcome
      Disciplinary and appeal hearings will be heard by the relevant manager as set
      out in the authority table (Appendix A). The relevant manager, will review all of
      the facts gathered and will consider all of the information presented. There
      may be exceptional circumstances when the manager needs to clarify or
      check facts before making their final decision.
      In these circumstances, any new information gathered will be shared with all
      parties, allowing a reasonable opportunity for a response in advance of the
      manager deciding and communicating the outcome.
      Once a disciplinary hearing has taken place the relevant manager and/or
      disciplinary panel will have to decide whether, on the balance of probabilities,
      the offence took place and what if any penalty there should be.

      The relevant manager /panel must:

         Decide whether disciplinary or any other action is justified
         Decide (if appropriate) the disciplinary sanction to be imposed and its
          duration. Sanctions which may apply, include:


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6.1   A written warning for minor misconduct or an improvement note for
      unsatisfactory performance

      This disciplinary sanction may be applied when informal attempts have failed
      to remedy the situation. For some examples of this type of misconduct see
      Appendix B. A written warning will normally remain in force for between 6 - 12
      months.

6.2   A final written warning

      This disciplinary sanction would typically be applied for serious misconduct,
      repeated incidents of less serious misconduct or when there is insufficient or
      no improvement in performance, attendance or conduct during the period of a
      current warning. For some examples of serious misconduct see Appendix B.

      Exceptionally, when a final written warning is current, this may be extended or
      broadened, where appropriate as an alternative to dismissal. For example to
      include additional sanctions (see 6.4 below) and other unrelated issues
      relating to capability or conduct.

      A final written warning will normally remain in force for 12 months.

6.3   Dismissal

      This disciplinary sanction would typically be applied for gross misconduct,
      repeated incidents of less serious types of misconduct or when there is
      insufficient or no improvement in performance, attendance or conduct during
      the period of a current final written warning. A dismissal level hearing will be
      held by senior managers only, as detailed in the authority table (Appendix A).
      For some examples of gross misconduct see Appendix C.

      Dismissal for unsatisfactory attendance due to sickness will not normally be
      considered without a recent referral to the University’s Occupational Health
      Service and in full consideration of the University’s obligations under the
      Disability Discrimination Act 2005.

      An employee dismissed for gross misconduct may be dismissed without
      notice or payment in lieu of notice.

6.4   Other sanctions short of dismissal

      The ranges of penalties available which are alternatives to dismissal include:

         a further final written warning which will normally remain in force for 12
          months;

         the withdrawal or withholding of salary increments or other salary

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          increases for a specific period. In these circumstances the employee’s role
          and grade is unaffected and it may mean that for a specified period the
          employee’s salary is off-scale.

         a financial penalty either for culpable loss or damage caused by the
          member of staff or for unauthorised absence from duty (such payments
          may be recovered by deductions from pay);

         demotion to a post of a lower grade with immediate reduction of salary
          (placing within salary scale to be decided by the Disciplinary Panel) with
          retraining as appropriate.

6.5   Whilst a warning remains current:

      During the period of the warning the performance, attendance or conduct of
      the individual should improve to a fully satisfactory standard.

      Where there is insufficient or no improvement in performance, attendance or
      conduct during the timescale set in any earlier warning given, further
      disciplinary proceedings may result which may lead to a more severe
      disciplinary sanction being imposed.

      Managers are required to give regular feedback and ongoing support during
      this period with an emphasis on helping to improve conduct and or
      performance.

      If a member of staff has extended absence during the period of the warning,
      the duration of the warning may be extended, proportional to the duration of
      the absence.

7.    Employees reporting directly to the Principal & Vice-Chancellor.

      For senior managers and other members of staff who report directly to the
      Principal & Vice-Chancellor, investigations and hearings will be conducted as
      detailed in the authority table (Appendix A).

8.    Disciplinary actions against trade union representatives

      Normal disciplinary procedures apply to recognised trade union
      representatives. Unless permission has been given by the recognised trade
      union representative no contact will be made with the full time official of the
      trade union concerned. Where permission has been given no disciplinary
      action will be taken until the circumstances of the case have been discussed
      with a full time official of the trade union concerned.

9.    Decision letter

      It is important that the decision letter contains information, which will enable

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        all parties to understand how the conclusions and decision(s) were reached.
        The relevant manager will write to the employee to confirm their decision with
        the following details in the letter:

           the nature of the misconduct or capability issue;
           the change/improvements required (with timescale);
           how long any warning will remain current;
           the consequences of either further misconduct or failure to improve
            performance, within a given period;
           details of any support or training to be given;
           in the case of dismissal, the reason, contract end date and notice period (if
            appropriate);
           the right to appeal the decision and to whom the appeal should be sent.

        The letter will normally be sent to the employee within 5 working days of the
        hearing having been concluded.

        The decision letter should be copied to all parties and to Human Resources
        for record-keeping purposes.

10.    Stage 3 - appeal process

        Employees have the right to appeal the decision of the disciplinary hearing.
        Employees should lodge their appeal, in writing within 7 working days of the
        date of the decision letter to the relevant manager (as stated in the decision
        letter), clearly stating their reasons for doing so and the name of any trade
        union representative or fellow work colleague they may bring to the appeal
        hearing.

        Grounds for an appeal may include:

               procedural irregularities;
               perceived unfairness of the judgement;
               new evidence coming to light which was not available at the time of the
                original decision or which was unreasonably withheld (other than by the
                employee) and which could have materially affected the outcome;
               the severity of the penalty.

10.1    Appeals Hearing

        A more senior manager not involved with the case will hear the appeal (see
        authority table Appendix A) normally within 10 working days of being
        received.

        The manager hearing the appeal may decide to:

           uphold the disciplinary decision;


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          impose a lesser disciplinary penalty;
          recommend another appropriate action, which might include asking for a
           re-hearing or new investigation to remedy previous defects in the
           disciplinary process;
          uphold the appeal.

       There is only one level of appeal within the University and therefore, the
       decision taken, by the University following the appeal will be final.

       The decision will be confirmed in writing (normally) within 5 working days of
       the conclusion of the appeal hearing.

       In all cases the disciplinary penalty or warning will remain live throughout the
       appeal process until the warning is overturned on appeal.

10.2   Appeal hearings (for gross misconduct and/ or dismissal)

          These appeals will be heard by a panel. The appeal panel will be
           composed as detailed in the authority table (see Appendix A). All other
           details remain the same as for an appeal hearing under clause 7.1.
          If the employee is reinstated following an appeal any money paid in lieu of
           notice will be treated as salary received. There will be no financial loss or
           gain to the individual under these circumstances.

11.    Criminal offences

       Employees subject to a Disclosure Scotland check and/or professional fitness
       to practice standards must let their line manager and/or Human Resources
       know as soon as practicably possible of any criminal caution, charge or
       conviction. Failure to do so may be a disciplinary offence in itself.

       Being cautioned, charged or convicted of a criminal offence will not
       necessarily result in disciplinary action. Where the conduct leading to being
       cautioned, charged or convicted of a criminal offence warrants disciplinary
       action an investigation of the facts will take place.

       The University will not necessarily wait for the outcome of a criminal
       prosecution in convening a disciplinary hearing and reaching a decision if it
       considers prompt action is required.

12.    Other matters
       Sometimes a member of staff or representative may raise questions during
       the course of the procedure about the way in which it is being applied.
       Where this happens the member of staff may use their right to postpone the
       hearing for up to five days whilst these issues are addressed.
12.1   In exceptional circumstances, it may be appropriate to suspend the


Human Resources                                                        December 2009
       disciplinary process for a short period to allow a grievance to be considered. A
       grievance will only result in such a suspension of the disciplinary procedure if
       the grievance relates to a clear breach of the disciplinary procedures or if the
       manager has behaved inappropriately. Any decision as to whether it is
       appropriate to suspend the disciplinary procedure will be taken by a more
       senior manager in the line management chain. Consideration may also be
       given to bringing in another line manager to deal with the disciplinary case
       where appropriate.
12.2   In cases involving alcohol or substance misuse the disciplinary procedure will
       be applied but any decisions on disciplinary penalties should take into account
       mitigating circumstances including:

          whether the abuse has been admitted;
          if it is being dealt with, or could be dealt with, under the Alcohol and
           Substance Misuse Policy.

13.    Support Available

       To ensure that employees are fully supported throughout this process, there
       are a number of support options available. These are detailed in Appendix D.

14.    Training

       Edinburgh Napier University will make the following training provisions:

          New staff will be made aware of the disciplinary policy during induction
          The policy and related procedures will be available on the intranet
          All Managers must be trained to handle disciplinary matters effectively
          All Managers must be trained to conduct investigations

15.    Monitoring

       Disciplinary matters are recorded and will be monitored by Human Resources
       and analysed for trends over time.

16.    Further Information
       If you have any queries about this policy you can seek advice from the Human
       Resources Department or a Trade Union Representative. See Appendix D for
       contact details (all appendices are attached to the guidance notes).




Human Resources                                                        December 2009
                                                                                   Appendix A

             LEVELS OF AUTHORITY AND PANEL CONSTITUTION TABLE

             For Investigations, Disciplinary and Appeal Hearings
                       For all staff (excluding direct reports of the Principal)

   Potential              Investigation                   Disciplinary Hearing             Appeal
   Level of                                                                                Hearing
 Misconduct
(and potential
  outcome)
Minor             Line manager or another       Line manager or another               Next senior
Misconduct        manager at the same level and manager at the same level             manager or
(Written          must always be one grade                                            another manager
Warning)          above the employee                                                  at the same level

Serious           Line manager or another        Line manager or another              Next senior
Misconduct        manager at the same level and manager at the same level             manager or
(Final Written    must always be at least at    and must always be at least           another manager
Warning)          Grade 6 or above              at Grade 6 or above                   at the same level)
                                                                                      and must always
                                                                                      be at least at
                                                                                      Grade 6 or above

Gross             2 senior managers and must      2 senior managers and must 1 Senior Manager
Misconduct        always be at least at Grade 8   always be at least at Grade 8 and 1 Manager
(Dismissal or     and above                       and above                     from PEG and
action short of                                                                 must always be at
dismissal)                                                                      least at Grade 8
                                                                                and above
Suspension        The decision to suspend a member of staff from duty with pay during a disciplinary
                  process must be taken by a senior manager (Grades 8-10).


 For senior members of staff (PEG) reporting directly to the Principal & Vice Chancellor

Warning Level            Investigation                    Disciplinary Meeting          Appeal


Minor Misconduct         PEG member                       Principal & Vice-Chancellor Chair of Staff
(Written Warning or                                                                   Affairs
Improvement Note)                                                                     Committee

Serious Misconduct      PEG member                        Principal & Vice-Chancellor Chair of Staff
(Final Written Warning)                                                               Affairs
                                                                                      Committee
Gross Misconduct         2 members of PEG not             Principal & Vice-Chancellor Chair of
(Dismissal or action     previously involved              + Chair of Staff Affairs    University Court
short of dismissal)                                       Committee
                         The decision to suspend a member of staff from duty with pay during


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Suspension            a disciplinary process must be taken by a member of Staff Affairs

 For staff (excluding PEG) reporting directly to the Principal & Vice Chancellor

Warning Level       Investigation                     Disciplinary            Appeal
                                                      Meeting
Minor Misconduct    A member of PEG                   PEG member              Another
(Written Warning                                                              member
or Improvement                                                                of PEG
Note)
Serious             A member of PEG                   PEG member              Another
Misconduct                                                                    member
(Final Written                                                                of PEG
Warning)
Gross Misconduct    Where possible 2 members of PEG member + 1 2 members
(Dismissal or       PEG not previously involved senior manager of PEG(not
action short of                                                               previously
dismissal)*                                                                   involved)
Suspension          The decision to suspend a member of staff from duty with pay during
                    a disciplinary process must be taken by a member of PEG.


 * In cases of minor misconduct or serious misconduct that progress through the
 stages to a dismissal hearing the investigation notes from each stage will be
 sufficient and the line manager that has dealt with case to this point may be asked to
 the dismissal hearing to present management case to the 2 senior managers hearing
 it.




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                                                                          Appendix B


EXAMPLES OF MISCONDUCT AND SERIOUS MISCONDUCT

Some examples of misconduct may include:

   poor timekeeping (repeated lateness without reasonable explanation);
   discourtesy or rudeness to colleagues, customers, students or visitors;
   abuse of flexi-time (where the abuse may constitute fraudulent behaviour it may
    be treated as serious or gross misconduct );
   improper use of the telephone or e-mail (e.g. excessive levels of personal calls or
    correspondence);
   some cases of improper use of IT equipment and software (e.g. spending too
    long on the internet unrelated to your job);
   plagiarism;
   unreferenced paraphrasing from books, journals and cases, claiming work as
    your own;
   fabrication of references, bibliography or data.

This list is not exhaustive

Some examples of serious misconduct may include:

   a failure to respond to repeated warnings for misconduct;
   unauthorised absence from duty;
   refusal to comply with a reasonable management instruction;
   improper use of University funds, equipment or resources, including improper use
    of the internet, sending abusive e-mails or messages, or other breaches of the
    University’s Information Security Policy - subject to the provisions under the
    Public Interest (Disclosure) Act 1998;
   inappropriate behaviour towards staff or students;
   breach of Health and Safety rules or regulations;
   failure to comply with University rules, policies or procedures (e.g. Equal
    Opportunities Policies);
   removal of University property without authorisation;
   being under the influence of alcohol or drugs whilst at work or on University
    premises (see also Alcohol and Substance Misuse procedure);
   Academic misconduct.

    This list is not exhaustive




Human Resources                                                        December 2009
                                                                            Appendix C

EXAMPLES OF GROSS MISCONDUCT

Gross misconduct can lead to summary dismissal without notice. Some examples of
gross misconduct may include:

   dishonesty, theft or fraud involving University property or unauthorised
    possession of property belonging to others;
   harassment on any grounds, including gender, sexuality, race, religion,
    nationality, disability, age, sexual orientation or any characteristics of an
    individual;
   Extended period of unauthorised absence from duty;
   any form of bullying including aggressive physical or verbal conduct,
    victimisation, exclusion or intimidation;
   falsification of documents including expenses claims or other official documents;
   wilful damage to University property, equipment or other resources;
   serious insubordination;
   illegal or inappropriate use of, or copying of, IT equipment or software (including
    viewing, copying or sending pornographic material or violent images on the
    internet);
   deliberate breaches of confidentiality – subject to provisions under Public Interest
    (Disclosure) Act 1998;
   corrupt practices including the receipt of money, goods, favours or hospitality in
    respect of services rendered;
   assault - physical violence or the malicious ill-treatment of other members of staff,
    visitors or students, including the threat of violence;
   serious incapability to perform normal duties through the consumption of alcohol
    or illegal drugs (also see University’s Alcohol and Substance Misuse policy);
   gross negligence or recklessness which seriously endangers the health and
    safety of other staff, students or others, or causes (or might cause) unacceptable
    loss, damage or injury;
   conviction for a serious criminal offence which makes the employee unsuitable
    for their job;
   misuse of the organisation’s property or name;
   Behaviours which have the potential to or does bring the employer into disrepute
    (which can include behaviour outside work premises or hours);
   serious breach of trust and confidence - subject to the provisions of the Public
    Interest (Disclosure) Act 1998;
   Continued academic misconduct.

This list is not exhaustive




Human Resources                                                         December 2009
                                                                          Appendix D



INFORMAL ACTION

Managers should attempt to help a member of staff improve their performance,
attendance or behaviour on an informal basis before taking formal disciplinary action.
To support this principle the University has developed the Employee Support
Procedure(http://staff.napier.ac.uk/services/hr/hrdocuments/Pages/Documents.aspx)
which should normally be used in the first instance to help resolve any problems.

This procedure explains what to do when a member of staff’s performance,
attendance or conduct first falls below an acceptable standard. It is called employee
support because it is separate from the disciplinary procedure and if used quickly
and appropriately it can help resolve any problems before they need to be addressed
in a more formal way. The purpose of this procedure is to help staff improve their
own performance, attendance and conduct to a satisfactory level.

SUPPORT AVAILABLE

         Care First                     Freephone 0800 174319 – 24 hour service
        Counselling                  http://www.care-first.co.uk/index.php?section=1

      Health & Safety                                  0131 455 6377
       Department                    http://staff.napier.ac.uk/Services/has/Home.htm

     Human Resources                                    0131 455 3362
       Department                          http://staff.napier.ac.uk/Services/HR

       Occupational                      Phone 01216 273 893 – office hours
       Health Service                   Or email: OHS.napier@connaught.plc.uk

       Trade Union                                     UNISON:
      Representatives              http://www2.napier.ac.uk/groups/unison/home.html

                                 EIS-ULA: http://www2.napier.ac.uk/depts/EIS%2DULA




Human Resources                                                       December 2009
                                                                        APPENDIX E

ROLES AND RESPONSIBILITIES
The manager conducting the investigatory meeting, disciplinary or appeal hearing
will introduce all those present and explain their role during the hearing as outlined
below:

The manager:                The manager conducting the meeting or hearing will
                            explain their own role, which will be to: chair the meeting
                            or hearing; ensure that the procedure is followed; explain
                            the procedure to those present; present all of the facts
                            established; ensure that the employee has been given
                            the right to be accompanied; ask and answer questions;
                            adjourn the meeting or hearing as necessary; sum up
                            the meeting or hearing and explain the next steps to the
                            employee, including their right of appeal and confirm to
                            whom the appeal should be sent and make the decision.

Appeal manager:             Employees have the right to appeal the disciplinary
                            decision. Appeals will be heard by a manager not
                            previously involved with the case, who may either be at
                            the same level as the original manager or at a more
                            senior level. The Appeal manager will explain the
                            procedure to those present; present all of the facts
                            established; ensure that the employee has been given
                            the right to be accompanied; ask and answer questions;
                            adjourn the meeting or hearing as necessary; sum up
                            the meeting or hearing and explain the next steps to the
                            employee advising that their decision is final.

The employee:               The employee is present to help establish all of the facts
                            of the case. This will include presenting/ discussing their
                            case including any mitigating circumstances, asking and
                            answering questions.
Trade union
Representative or
work colleague:             The employee and manager have the right to be
                            accompanied by either a fellow work colleague or a
                            representative of a trade union (known as a trade union
                            representative or fellow work colleague). The trade union
                            representative or fellow work colleague can, if instructed
                            by the employee to do so, address the meeting or
                            hearing to put and sum up the employee’s case, respond
                            on the employee’s behalf to any views expressed at the
                            meeting or hearing and confer with the employee during
                            the hearing. The trade union representative or fellow
                            work colleague cannot answer questions on behalf of the


Human Resources                                                       December 2009
                     employee.

HR representative:   A representative from HR will be present during all
                     disciplinary or appeal hearings. They will provide
                     procedural advice to both parties and act in an advisory
                     capacity to the panel.

Note taker:          A member of administrative staff may be present in the
                     capacity of note taker at meetings or hearings. They will
                     ensure that an accurate record is taken of the hearing
                     i.e. time, date, those present as well as a record of the
                     discussions which take place.

Witnesses:           Witnesses may be called to the hearing by either the
                     Manager or Employee. They will be called to provide
                     either a verbal statement or to support a written
                     statement they have already provided. This will be to
                     help clarify matters of fact for those present in the
                     hearing. They will answer questions which can be posed
                     from both parties. These staff also have the right to be
                     accompanied at any meeting to discuss the disciplinary
                     matter and must keep the matter confidential.

Translator:          When appropriate a translator may be present in the
                     hearing to help the relevant person understand the
                     proceedings and to be able to help them express their
                     opinions.




Human Resources                                               December 2009

								
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