St Chad’s Disciplinary Procedures and Regulations

1. POLICY

St Chad’s College aims to ensure that there will be a fair and systematic approach to the enforcement of standards of conduct expected of all members of staff within St Chad’s College.

This policy refers to all permanent and fixed term members of staff employed by St Chad’s College.

The following guiding principles must be taken into account before recourse to any disciplinary action, i.e.

to ensure that academic and academic related staff have freedom within the law to question and test received wisdom and to put forward new ideas and controversial or unpopular opinions, without placing themselves in jeopardy of losing their job or privileges

to enable the College to provide education, promote learning and engage in research efficiently and economically

the principles of natural justice and fairness shall apply.

It should be recognised that satisfactory standards of behaviour, attendance and performance are necessary to the conduct of College affairs and for the well-being of all members of staff. It should also be remembered that line managers have a positive role to play in encouraging members of staff to perform responsibly and effectively at work. It is anticipated, therefore, that before the formal procedure is used every effort will be made by the line manager to resolve matters informally, through day-to-day counselling and advice.

Should the required improvement not be forthcoming through informal discussion, or if the perceived disciplinary problem is sufficiently serious, the formal procedure should be adopted. The purpose of the procedure is to provide guidelines and a structure to ensure that disciplinary matters are dealt with promptly, fairly and consistently. The emphasis should be on the identification and correction of problems rather than on punishment.

The advice of a Human Resources adviser should be sought by management and members of staff at an early stage in the procedure.

2. GENERAL GUIDELINES AND DEFINITIONS

No disciplinary action will be taken against an employee until the disciplinary issue has been fully investigated.

Members of staff should be told of any complaint against them and be given full opportunity to state their case before a decision is taken.

In reaching a disciplinary decision, notice should be taken of the alleged misconduct and the current disciplinary record of the member of staff.

In the first instance, it will be the duty of the line manager to decide, and, if necessary, in consultation with an HR adviser, whether, and at what level, disciplinary action should be taken.

Except for gross misconduct, no member of staff will be dismissed for a first breach of discipline.

A member of staff will have a right of appeal at any formal stage in the procedure.

A member of staff will have the right to be accompanied by a representative, normally a friend, colleague or trade union usually employed by St Chad’s College This may be someone else, if requested.

An explanation of, and reasons for, any penalties will be given.

Once oral or written warnings have been spent they can no longer count towards any new disciplinary process.

No provision in this policy shall enable the body, or person having the duty to reach a decision under this policy, to dismiss any member of staff unless the reason for his/her dismissal may in the circumstances (including the size and administrative resources of the College) reasonably be treated as sufficient reason for dismissing him/her.

In this policy ‘dismiss’ and ‘dismissal’ mean dismissal of a member of staff, and include remove, or as the case may be, removal from office in relation to employment under a contract, shall be construed in accordance with the Employment Rights Act 1996.

In this policy, the Principal may delegate any duties assigned to him/her to another member of staff.

For the purposes of this policy ‘good cause’ in relation to the dismissal or removal from office or place of a member of staff, being in any case a reason is related to conduct or to capability or qualifications for performing work of the kind which the member of staff concerned was appointed or employed to do, means conviction for an offence which may be deemed by a Tribunal (for Appointment Regulations see Paragraph 6) to be such as to render the person convicted unfit for the execution of the duties of the office or employment as a member of staff; or conduct of an immoral, scandalous or disgraceful nature incompatible with the duties of the office or employment; or conduct constituting failure or persistent refusal or neglect or inability to perform the duties or comply with the conditions of office or employment; or physical or mental incapacity as established under St Chad’s College’s sickness and absence policies.

3. DISCIPLINARY PROCEDURES

Minor faults shall be dealt with informally by the line manager.

Where the matter is, or becomes more serious (i.e. misconduct) but falls short of constituting possible good cause for dismissal, (i.e. gross misconduct) the member of staff must be given an opportunity to discuss the alleged disciplinary offence at a formal disciplinary interview. (The Principal or nominated deputy should at this stage consult a HR adviser for further guidance). The member of staff will be informed, in writing, at least 7 days before the interview, of the nature of the interview, of the area of complaint as specifically as possible, and of the right to be represented normally by a friend, or by a colleague, or by a trade union representative usually employed by St Chad’s College. The interview may be adjourned by the Principal or nominated deputy not normally for more than 7 days, for the purposes of further investigation, obtaining witnesses, or further evidence, checking of facts or for the Principal or nominated deputy (perhaps in consultation with an HR adviser), to consider appropriate alternative action.

Within 14 days of the interview the individual will receive written details of the outcome. If disciplinary action is to be taken this will be dealt with under 3.3 below.

The following procedures shall be used, after a formal disciplinary interview has taken place.

Stage 1 – Oral Warning

If conduct or performance has been found by the line manager not to meet acceptable standards the member of staff will normally be given a formal ORAL WARNING. This will be given by the Principal or nominated deputy who might have consulted with an HR adviser. The member of staff will be advised, in writing, after due investigation of the situation or incident, of the reason for the warning and that it is the first stage of the disciplinary procedure and that there is a right of appeal against the imposition of the oral warning available at this Stage (1). This communication will be sent within 14 days of the interview. A brief note of the oral warning will be kept on the member of staff’s personal file but it will be spent after 12 months unless conduct or performance in the area of the warning have been shown to be unsatisfactory. Such correspondence will be kept in strict confidence.

Stage 2 – Written warning

If the offence is a serious one, or if a further offence occurs during the period when an initial oral warning is in force, a WRITTEN WARNING will be given to the member of staff by the Principal or nominated deputy (usually having consulted with an HR adviser). Following investigation of the situation the Principal or nominated deputy will provide in writing after the interview the details of the complaint, the improvement required and the timescale.

It will warn that a complaint may be made to the Principal seeking the institution of charges to be heard by a Tribunal appointed under Paragraph 6 if there is no satisfactory improvement and will advise of the right of appeal under this Stage (2). This communication will be sent within 14 days of the interview. A copy of this written warning will be kept by Principal or nominated deputy and on the member of staff’s personal file, but it will be disregarded for disciplinary purposes after 2 years unless conduct and performance in the area of the warning have been shown to be unsatisfactory. Such correspondence will be kept in strict confidence.

Stage 3 – Appeals Procedure

a. A member of staff who wishes to appeal against a disciplinary warning at either of the above stages, shall inform the Principal within 14 days of receipt of the disciplinary letter. A member of the Governing Body designated by the Chair/Vice Chair of the Governing Body shall hear all such appeals and his/her decision shall be final.

b. The Appeal Hearing shall be held within one month of receipt of the appeal by the Principal. The member of staff may be represented normally by a friend, by a colleague, or by an appointed trade union representative. The individual may present evidence him/herself and request that certain witnesses be notified in advance. The line manager will also present his/her case with any supporting evidence and, if appropriate, any named witnesses.

In certain cases, e.g. personal harassment cases, the designated member of the Governing Body may decide that it is inappropriate for witnesses to be questioned directly by the member of staff or his/her representative. Here the designated person may decide that he/she alone questions witnesses without the presence of other parties. The member of staff’s representative may be present.

c. The remit of the designated member of the Governing Body who is hearing the appeal shall be to consider the appeal and to uphold, overturn or modify the disciplinary warning.

4. SERIOUS DISCIPLINARY MATTERS

If there has been no satisfactory improvement following a written warning given under Stage 2 (Para 3), or in any other case where it is alleged that conduct or performance may constitute good cause for dismissal or removal from office, a complaint in writing, seeking the institution of charges to be heard by a Tribunal appointed under Paragraph 6 may be made to the Principal who shall bring it to the attention of the Chair/Vice Chair of the Governing Body.

To enable the Chair/Vice Chair of the Governing Body to deal fairly with any complaint brought to his/her attention under Paragraph 4.1, he/she shall institute such investigations as appear to him/her to be necessary. Normally he/she will delegate the investigation to a member of the Governing Body.

If it appears appropriate to the Chair/Vice Chair of the Governing Body that a complaint brought to his/her attention under Paragraph 4.1 relates to conduct or performance which does not meet acceptable standards but for which no written warning has been given under Paragraph 3, or is trivial or invalid, he/she may dismiss it summarily, or decide not to proceed further under this procedure.

If the Chair/Vice Chair of the Governing Body does not dispose of a complaint under Paragraph 4.3 he/she shall treat the complaint as disclosing a sufficient reason for proceeding further under this procedure and, if he/she sees fit, may suspend the member on full pay pending a final decision.

Where a serious disciplinary matter involves suspected or alleged gross misconduct precautionary suspension on full pay will be an option. In these cases the Chair/Vice Chair of the Governing Body will have the relevant authority to suspend the member of staff. The suspension will normally take place where the investigation would be inhibited or there is a risk to other employees, students, College property, or the working harmony of colleagues associated with the member of staff being investigated.

Where the Chair/Vice Chair of the Governing Body proceeds further under this procedure, he/she shall write to the member of staff concerned inviting comment in writing on the alleged offence(s).

As soon as practicable, following receipt of the comments (if any) the Chair/Vice Chair of the Governing Body shall consider the matter in the light of all the material then available and may:

dismiss it himself/herself; or

refer it for consideration to the Principal; or

deal with it informally himself/herself if it appears appropriate to the him/her (if the member of staff agrees in writing that the matter should be dealt with in that way)

or issue instructions that a the matter be referred to a Tribunal to be appointed under Paragraph 6.

If no comment in writing is received within 28 days of the request the Chair/Vice Chair of the Governing Body may proceed as if the member of staff concerned had denied the substance and validity of the alleged case in its entirety.

5. INSTITUTION OF CHARGES

The Chair/Vice Chair of the Governing Body may direct that a Tribunal be set up to hear the charge or charges and to determine whether the conduct or performance of the member of staff concerned constitutes good cause for dismissal, or otherwise constitutes a serious complaint relating to the member of staff’s appointment or employment.

6. THE TRIBUNAL

A Tribunal appointed by the Governing Body shall comprise

A Convener (usually the Vice Chair of the Governing Body);

One other member of the Governing Body, not being a person employed by the College;

One member of the academic staff nominated by the Academic Affairs Committee (in the case of academic staff) or one member of staff nominated by the House Committee (in the case of support staff)

7. REGULATIONS CONCERNING TRIBUNAL PROCEDURE

This section sets out procedures to be followed in respect of the preparation, hearing and determination of charges by a Tribunal as established in Paragraph 6 in respect of discipline, dismissal and removal from office of a member of staff.

The ‘officer in charge’ of the proceedings shall be the Vice Chair of the Governing Body or, if he/she is unable to act, another member of the Governing Body delegated to do so.

The officer in charge of the proceedings shall formulate or arrange for the formulation of the charge or charges and shall present or arrange for the presentation of the charge or charges before the Tribunal.

It shall be the duty of the officer in charge of the proceedings

To forward the charge or charges to the Tribunal and to the member of staff concerned. The member of staff will also be informed in writing that the Tribunal has been appointed and given as specific a description of the complaint as practicable.

to make any necessary administrative arrangements for the summoning of witnesses, the production of documents and generally for the proper presentation of the case before the Tribunal.

The member of staff concerned shall be given at least 14 days notice of the first meeting of the Tribunal. The Tribunal may determine that a second or exceptionally a subsequent meeting is required for the effective discharge of its functions having regard to the principles of justice and fairness. At least 7 days’ notice shall be given to both parties of such a second or subsequent meeting.

The member of staff concerned is entitled to be represented by another person, normally a friend, colleague or a trade union representative employed by St Chad’s College in connection with and at any hearing of charges by a Tribunal.

No charge shall be determined without an oral hearing at which the member of staff concerned and any person appointed by him/her to represent him/her are entitled to be present. Failure to attend by the member of his staff and/or his/her representative will not prevent the hearing taking place unless good cause is shown.

Witnesses may be called on behalf of the College’s case in support of the charges and their names shall be made available to the tribunal members and the individual member of staff by the officer in charge of the proceedings normally at least 7 days before the date of the Tribunal. The member of staff and/or his/her representative may also call and question witnesses. Normally both parties, i.e. representatives of the College and the member of staff may question witnesses upon the evidence on which the disciplinary case is based. Members of the Tribunal may also question all witnesses. In certain cases however e.g. personal harassment cases, the Tribunal may decide that it is inappropriate for witnesses to be questioned directly by the member of staff or his/her representative. Here the Tribunal may decide that they alone question witnesses without the presence of one or both parties. The member of staff’s representative may be present.

Documents or other materials may be submitted in the support of the charges, provided that copies of such documents are made available by the officer in charge of the proceedings to the member of staff concerned normally at least 7 days before the meeting of the Tribunal, or where materials are in a form not suitable for copying, the member of staff concerned is given the opportunity to inspect such materials normally at least 7 days before such a meeting. Care must be taken not to include documents which refer to warnings not relevant to the case.

The member of staff shall be given the right to bring forward evidence and of being heard in person by the Tribunal. If the member of staff intends to bring forward witnesses, a list of such witnesses and copies of any documents or other materials to be submitted to the Tribunal shall be made available to the person in charge of the proceedings normally at least 7 days before the meeting of the Tribunal or, where materials are in a form not suitable for copying, the officer in charge shall be given the opportunity to inspect such materials normally at least 7 days before such a meeting.

It shall be competent for the Tribunal with sufficient cause being demonstrated, to allow exceptionally, witnesses to be brought forward and documents or other materials produced by either party although the appropriate provisions above have not been observed, providing that names of witnesses and additional documents have been supplied, or access made available at least 48 hours before the meeting.

In order to avoid potential time wasting, the Tribunal may restrict excessive lists of witnesses where it feels the interests of justice and fairness will not be further served.

It shall be competent for the Tribunal at its discretion to postpone or adjourn the hearing of a charge or charges for what it considers to be in the interests of justice and fairness.

It shall be competent for the Tribunal at any stage of the proceedings to dismiss the charge or charges for want of prosecution or to remit the charge or charges to the Chair/Vice Chair of the Governing Body for further consideration.

It shall be competent for the Tribunal at its discretion to permit the correction of accidental errors made by either party or in the administration of the proceedings having regard to the principles of justice and fairness.

Stated time limits will be adhered to at each stage (including the hearing) with a view to ensuring that any charge thereunder shall be heard and determined by a Tribunal as expeditiously as reasonably practicable.

After all the evidence has been presented, the officer in charge of the proceedings and the member of staff concerned, in that order, may make final submissions on the charges.

The Tribunal shall then meet in private and determine its decision on the charges referred to it.

8. NOTIFICATION OF TRIBUNAL DECISIONS

The Tribunal shall send its decision on any charge referred to it (together with its findings of fact and the reasons for its decisions regarding that charge and its recommendations, if any, as to the appropriate penalty) to the Chair/Vice Chair of the Governing Body and to each party to the proceedings within 14 days of the conclusion of the hearing.

The Tribunal shall draw attention to the period of time within which any appeal should be made by ensuring that a copy of this document which includes Paragraph 10 on Appeals accompanies each copy of its decision sent to each party to the proceedings under this Paragraph.

The Tribunal’s proceedings must meet employment law tests of fairness regarding the conduct of the hearing and the reasons for the recommendation i.e. in relation to any question of fact the standard of proof shall be the balance of probabilities.

9. POWERS OF THE APPROPRIATE OFFICER WHERE CHARGES ARE UPHELD BY THE TRIBUNAL

The appropriate officer shall be the Chair/Vice Chair of the Governing Body or his/her delegate.

Where the charge or charges are upheld and the Tribunal find good cause and recommends dismissal or removal from office, but in no other case, the Chair/Vice Chair of the Governing Body shall decide whether or not to dismiss the member of staff concerned.

In any case where the charge or charges are upheld other than where the Chair/Vice Chair of the Governing Body has decided under the clause above to dismiss the member of the staff concerned, the action available to the Chair/Vice Chair of the Governing Body (not comprising a greater penalty than that recommended by the Tribunal) may be:

to discuss the issues raised with the member of staff concerned;

to advise the member of staff concerned about his/her future conduct;

to warn the member of staff concerned;

to suspend the member of staff concerned on full pay for such period as the Chair/Vice Chair of the Governing Body shall think fair and reasonable, not to exceed 3 months after the Tribunal’s decision;

any combination of any of the above or such further or other action under the member of staff’s contract of employment or terms of appointment as appears fair and reasonable in all circumstances of the case.

Any action taken by the Chair/Vice Chair of the Governing Body shall be confirmed in writing.

10. APPEALS PROCEDURE

This procedure applies to members of staff who are dismissed or under notice of dismissal or are otherwise disciplined. It applies to appeals arising in any proceedings, or out of any decision reached in this disciplinary procedure, other than appeals under Paragraph 3 of this procedure (i.e. disciplinary warnings). ‘Appeal’ and ‘appellant’ shall be construed accordingly.

No appeal is possible against the findings of fact of a Tribunal under Paragraph 8 save where, with the consent of the person or persons hearing the appeal, fresh evidence is called on behalf of the appellant at that hearing.

In this Paragraph references to ‘the person appointed’ are references to the person appointed by the Governing Body (previously unassociated with the case) under Paragraph 10 to hear and determine the relevant appeal.

The parties to an Appeal shall be the appellant and the member of the Governing Body appointed.

Any information to be given in writing under this Appeals process shall normally be given by recorded delivery or personal delivery.

Institution of Appeals

A member of staff shall institute an appeal by serving on the College Principal, within 28 days of receiving the dismissal notice or such longer period, as the person appointed by Governing Body may determine, notice in writing setting out the grounds of the appeal.

The Principal shall bring any notice of appeal received (and the date when it was served) to the attention of the Governing Body and shall inform the member of staff that he/she has done so.

Where the notice of appeal is served on the College Principal outside the 28 day period, the person appointed by Governing Body shall not permit the appeal to proceed unless he/she considers that justice and fairness so require in the circumstances of the case.

Where an appeal is instituted, the Governing Body shall appoint a person, not employed by the College but a member of Governing Body who has not been associated with the case.

The person appointed shall sit alone unless he/she considers that justice and fairness will best be served by sitting with two other persons in which case those persons shall be:

one other member of the Governing Body not being a person employed by the College

one other member of staff.

The notice of appeal, setting out the grounds for the appeal in writing and enclosing a copy of the written decision against which the appeal is being made, shall be provided by the Principal to the person appointed by Governing Body who shall determine the date of the hearing of the appeal.

The appellant shall be given at least 14 days’ notice of the appeal hearing. The person appointed may determine that a second or exceptionally a subsequent sitting is required for the effective discharge of the appeals procedure having regard to the principles of justice and fairness and at least 7 days’ notice shall be given to both parties of such second or exceptionally subsequent meeting, other than where the appeal hearing is continued.

The appeals procedure shall ensure:

that an appellant is entitled to be represented by another person, whether such a person be legally qualified or not, in connection with and at any hearing of his/her appeal.

that an appeal shall not be determined without an oral hearing at which the appellant and any representative are entitled to be present and, with the consent of the person or persons hearing the appeal, to call witnesses. Consent to allow witnesses should not be withheld unless it is impracticable for them to be called or it is reasonable to believe that they cannot give relevant evidence to assist in the furtherance of the proceedings.

that full and sufficient provision is made for postponements, adjournments, dismissal of the appeal for want of prosecution and for the correction of accidental errors made by either party or in the administration of the proceedings having regard to the principles of justice and fairness.

that the person appointed by Governing Body may set appropriate time limits for each stage (including the hearing itself) to the intent that any appeal shall be heard and determined as expeditiously as reasonably practicable.

The details of the appeals procedure are as follows:

The person appointed by Governing Body may on the motion of either party at his/her discretion direct that appeals relating to more than one matter arising on appeal under the Disciplinary Procedure, including matters concerning more than one member of staff, shall be consolidated and heard together either in whole or in part having regard to the principles of justice and fairness and where such consolidation is directed, reference to the appellant shall include reference to all the appellants.

No appeal shall be determined without an oral hearing at which the appellant, or if more than one, each appellant, is entitled to be present and to be heard.

The appellant shall present the appeal and may, with the consent of the person appointed by Governing Body, bring forward witnesses or submit documents or other materials in support of the appeal. Similarly, if consent is given by the person appointed, the Principal may call new witness or submit new documentation.

The names and addresses of new witnesses to be called by the appellant shall be made available to the Principal by the appellant at least 7 days before the date of the hearing of the appeal.

Copies of any additional documents to be submitted in support of the appeal shall be made available to the Principal at least 7 days before the date of the hearing of the appeal or, where materials are in a form not suitable for copying, the Principal shall be given the opportunity to inspect such materials at least 7 days before the date of the meeting.

It shall be competent for the person appointed by Governing Body, on cause shown, to allow new witnesses to be called and new documents or other materials produced by the appellant (and if such discretion is exercised it must be exercised in respect of the Principal also) although the appropriate foregoing provisions in respect of notice have not been followed, provided that the names and addresses of witnesses and copies of such documents have been supplied, or access made available to such materials as are not suitable for copying, at least forty-eight hours before the time of the hearing.

It shall be competent for the person appointed by Governing Body, on the motion of either party at his/her discretion to postpone or adjourn the hearing of the appeal, or in the case of consolidated appeals, any one or more of the appeals so consolidated, for what the grounds on which the person appointed considers to be in the interests of justice or fairness, having regard to the principle that an appeal shall be determined as quickly as is reasonably practicable.

Where new witnesses are called they shall be subject to examination by the person appointed by Governing Body.

After all the evidence has been tendered the appellant and the Principal may make submissions on the appeal hearing.

The person or persons hearing the appeal may allow or dismiss an appeal in whole or in part, and, without prejudice to the foregoing, may remit an appeal arising under the Disciplinary Procedure for rehearing by a differently constituted Tribunal to be appointed as at Paragraph 6. The person or persons may also substitute any lesser alternative penalty that would have been open to the appropriate officer following the finding by the Tribunal which heard and pronounced upon the original charge or charges.

The person appointed by Governing Body shall send the reasoned decision in writing, including any decision reached in exercise of his/her powers under Paragraph 10 on any appeal together with any findings of fact different from those come to by the original Tribunal. This should be done normally within 14 calendar days of the date of the conclusion of the appeal hearing.

If an appeal is successful the College Governing Body must accept the decision and withdraw the notice of dismissal or other disciplinary action.

Where there is an inconsistency between the terms of this disciplinary policy and any later provision of the Governing Body, the terms of the College’s Governing Body shall prevail.

This document was amended in March 2004.