* LONDON SOUTH BANK UNIVERSITY

STAFF DISCIPLINARY PROCEDURE

HUMAN RESOURCES DEPARTMENT

JULY 1992

Updated April 2012

*Names and Titles updated May 2006

DISCIPLINARY PROCEDURE
INTRODUCTION
1 In the process of ensuring that all staff maintain the standards required of them as
employees of the University, the need is recognised to have in being a University-wide
procedure for taking decisions on disciplinary matters, which incorporates best practice
in relation to fairness and natural justice.
2 This Disciplinary Procedure is based on the following principles:

Its application in a consistent and fair manner.

The opportunity for the individual to hear allegations against her/him and to
answer those allegations at a formal interview.

The right to have her/his Representative present at that interview.

The time to establish all the facts of the case.

The reason for any proposed disciplinary action to be clearly stated and the
outcome recorded as outlined in the procedures that follow.

The type of disciplinary action to depend on the seriousness of the alleged

offence and/or the number of times the alleged offence is repeated within a
given period.

The facilities given by the University for improvement, where appropriate.

The right to appeal at each stage against decisions taken.

The provision for wiping records clean and inspection of personal files by staff.

Notes of disciplinary hearings and appeal panels will be taken by a person not
involved in the decision-making process. The notes taken will constitute the
only record of the hearing/appeal.

3 The Disciplinary Procedure would, in accordance with best management practice, be

used as a last resort. Members of staff whose work starts to fall below standard should
have had this drawn to their attention informally and as early as possible.
4 Managers are not expected to move to the formal level of any disciplinary action before
exhausting all avenues at the informal level, including encouragement, counselling and
training.
5 Where a Union Representative may be liable to disciplinary action the Director of
Human Resources or the Deputy Director must be informed immediately and must, in
turn, inform the Regional Officer of the Union so that she/he may seek representation
for the individual from the appropriate Trade Union Official.

6 These procedures will be applied in accordance with the provisions of Article 57 of the
Memorandum and Articles of Association, which relate to Academic Freedom.
7 Senior Post Holders as designated by the Board of Governors of the *London South
Bank University, may only be suspended by the Chairman or Deputy Chairman of the
Board of Governors in accordance with the Clauses 61, 63, 64 of the Articles of
Association of the *London South Bank University. Dismissal and appeal against
dismissal for such office holders shall be in accordance with Clauses 65, 66, 67, 68 of
the same Articles.
Disciplinary Procedure
8 In the course of promoting the quality of the teaching, research and administration of
the University and the performance of each individual member of staff, there will be a
considerable amount of discussion, information and advice between the Vice
Chancellorate, the Deans, * Heads of Departments and other members of staff, as well
as from outside agencies such as the internal auditors, the *QAA and Her Majestys
Inspectorate (HMI). Such communication, which may include critical advice to
individual members of staff at all levels, is an essential and proper part of good
leadership and is without prejudice to the following procedure, which is intended to
deal with cases where the conduct of an individual member of staff has fallen below
required standards, where infringements of rules and regulations occur or where there
is any conduct injurious to the safe and/or effective operation of the University. In rare
cases the single action of a member of staff may constitute misconduct that is of such
a serious nature as to merit immediate action, which may be taken in accordance with
paragraph 47 of this document, which relates to suspension.
9 This Disciplinary Procedure shall apply to all members of staff, other than those subject
to probationary assessment.
10 Within this Procedure Representative shall mean a work colleague or a Trade Union
Representative.
11 Occasionally at a hearing evidence may be presented which, if substantiated, would
imply misconduct clearly in excess of that commensurate with the stage reached. In
such exceptional cases and with prior approval of a *Pro Vice Chancellor and the
Director of Human Resources, management may take the matter to the next stage of
the procedure after terminating the current hearing and giving the member of staff
appropriate warning and the due period of notice.
12 It is a fundamental requirement of good management practice that the authority to
instigate disciplinary proceedings is vested in an individuals direct line manager. In
accordance with natural justice to ensure that an employee is afforded the benefit of a
fair and equitable decision, the line manager will always be accompanied by at least
one other manager who has not previously been involved, and a senior member of the
Human Resources Department.
13 The term Manager is used throughout this Procedure. To determine those postholders who have authority to take action under the stages of this Procedure, reference
should be made to Appendix 1 for Academic Staff and Appendix 2 for Support Staff.
14 Any Manager who is anticipating using the Disciplinary Procedure is required to consult
a senior member of the Human Resources Department before proceeding.
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The Conduct of Disciplinary Hearings

15 The conduct of Disciplinary Hearings, including the notification requirements to staff, is
detailed in Appendix 3 of this document.
16 The appropriate Line Manager is required to document clearly the nature of the alleged
offence/misconduct. This information will be included in the letter sent to the employee,
which confirms the date and time of the Disciplinary Hearing.
Stage 1 Formal Oral Warning
17 A Manager may invoke Stage 1 of this Procedure against a member of staff if in her/his
judgement the alleged conduct of that member of staff has fallen below required
standards, where alleged infringements of rules and regulation occur, or where the
members conduct is alleged to be injurious to the safe and/or effective operation of the
University.
18 A member of staff has the right to appeal against a formal oral warning. If this right is
to be exercised, it must be done so in accordance with clause 25 of this document.
19 Where a formal warning is not contested, or is upheld after being contested, the
Manager must ensure that the member of staff involved is given guidance, help and
training to overcome her or his shortcomings. A formal oral warning will be valid for 6
months.
Stage 2 Written Warning
20 A Manager may invoke Stage 2 of the Disciplinary Procedure against a member of staff
if that member has been issued with a formal oral warning within the time limit given in
Clause 19 and is considered not to have secured or maintained the required
improvements stipulated at Stage 1.
21 A member of staff has the right to appeal against a written warning. If this right is to be
exercised, it must be done so in accordance with clause 25 of this document.
22 Where a formal warning is not contested, or is upheld after being contested, the
Manager must ensure that the member of staff involved is given guidance, help and
training to overcome her or his shortcomings. A formal written warning will be valid for
9 months.
Stage 3 Final Written Warning
23 A Manager may invoke Stage 3 of the Disciplinary Procedure against a member of staff
if that member has been issued with a formal written warning within the time limit given
in Clause 22 and is considered not to have secured or maintained the required
improvements stipulated at Stage 2.
24 A member of staff has the right to appeal against a final written warning. If this right is
to be exercised, it must be done so in accordance with clause 25 of this document. A
final written warning will be valid for 1 calendar year.
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APPEALS AGAINST FORMAL ORAL, WRITTEN AND FINAL WRITTEN WARNINGS

25 If the individual concerned wishes to appeal against a warning, she or he must write to
the Director of Human Resources within 5 working days of receiving written notification
of disciplinary action, setting out the grounds for appeal.
26 The member of staff is entitled to submit any additional information in support of their
Appeal for consideration by the Appeal Panel. This information must be submitted at
the same time as the Appeal is lodged with the Director of Human Resources.
27 Arrangements will be made by the Director of Human Resources for the Appeal to be
heard within 5 working days of receipt of the request.
28 The Appeal Hearing will be chaired by the Manager (identified at Appendix 1 or 2).
Another Manager of the same seniority will also be present.
29 The member of staff requesting the Appeal will have the right to be accompanied at the
Appeal Hearing by a Representative.
30 The decision by the Appeal Panel will be final and the member of staff will be notified of
the outcome in writing within 5 working days of the Appeal being heard.
31 The procedure to be adopted at the Appeal Hearing is outlined in Appendix 4.
Stage 4 Dismissal / Demotion
32 A *Pro Vice Chancellor may invoke Stage 4 of the Disciplinary Procedure against a
member of staff if that member has been issued with a final written warning within the
time limit given in Clause 24 and is considered not to have secured or maintained the
required improvements stipulated at Stage 3. The *Pro Vice Chancellor, may also
proceed directly to Stage 4 where it is alleged that the conduct of the member of staff is
considered to constitute gross misconduct.
33 Prior to taking this action it will be necessary for a *Pro Vice Chancellor or a nominee
designated by her or him to undertake a further investigation involving other members
of staff. This will be conducted by the *Pro Vice Chancellor concerned, or the
nominee, and a report made of the investigation. If disciplinary action at this level is
thought to be appropriate the *Pro Vice Chancellor will arrange a Disciplinary Hearing.
34 The member of staff will be given 15 working days written notice of attendance at this
Hearing, which will be chaired by a *Pro Vice Chancellor. This letter will also give
details of the alleged shortcomings and inform the employee that the outcome of the
Hearing could lead to their dismissal or demotion.
35 The member of staff will be entitled to be accompanied by a Representative. Also
present at the hearing will be a senior member of staff and the Director or Deputy
Director of Human Resources.
36 If following this Hearing it is decided that dismissal or demotion is appropriate, the *Pro
Vice Chancellor concerned will write to the member of staff within 10 working days of
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the Hearing taking place. In the case of dismissal this letter will give the reasons for
dismissal, and the date on which employment will terminate.
37 In the case of demotion this letter will give the reasons for demotion, the grade at
which the member of staff will be designated, and the effective date of demotion.
38 The member of staff will also be informed that she or he has the right to appeal against
this decision.
APPEAL AGAINST DISMISSAL OR DEMOTION
39 If a member of staff wishes to appeal against dismissal or demotion, she or he will
have the right to have the appeal heard by the Vice Chancellor and two Lay Governors.
40 In such cases the member of staff must write to the Director of Human Resources
within 5 working days of receipt of the *Pro Vice Chancellors letter.
41 The member of staff is entitled to submit any additional information in support of their
Appeal for consideration by the Panel. This information must be submitted at the same
time as the Appeal is lodged with the Director of Human Resources.
42 The Director of Human Resources will make arrangements for the Appeal to be heard
within 10 working days of receipt of the request.
43 The member of staff will have the right to attend and be accompanied by a
representative at the Appeal Hearing.
44 The decision of the Panel will be final and will be notified to the member of staff in
writing within 5 working days of the hearing.
45 In the case of an Appeal Hearing held under this stage, the dismissal or demotion shall
not take effect until the outcome of the Appeal Hearing has been determined.
46 The procedure to be adopted at the Appeal Hearing is outlined in Appendix 4.
SUSPENSION
47 When a *Pro Vice Chancellor becomes aware of an allegation against or an action of a
member of staff which, if subsequently proved, would amount to gross misconduct, the
Pro Vice Chancellor may, acting under powers delegated to her/him by the Vice
Chancellor, in accordance with the Articles of the University, suspend that member
from duty on the employees average earnings and require that member to leave the
premises of her or his normal employment while the matter is investigated, subject to
the member being given reasonable opportunity to make suitable arrangements of a
personal nature. If circumstances require, the power to suspend may be delegated to
another member of the Executive by the Vice Chancellor. As at April 2012, members of
the Executive are the Vice Chancellor, Pro Vice Chancellors, Executive Director of
Finance, University Secretary and Clerk to the Board of Governors and Executive
Deans. Such suspension will not imply pre-judgment of guilt, but will serve only to
reserve the position while investigations are made and to remove the person against
whom the allegations are made from her or his place of employment. In this way any
investigation can be seen, not only to be completely impartial and uninfluenced by the
members presence, but also the member can demonstrate her or his lack of influence
upon the investigation.
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Depending on the outcome of the investigation the appropriate *Pro Vice Chancellor
will decide whether or not the member is to be disciplined, and the stage which would
be appropriate.
Such a course of action will only be taken in exceptional
circumstances i.e. involving alleged offences of such gravity that it would be
inappropriate to deal with them under other stages of the Disciplinary Procedure.
GROSS MISCONDUCT
48 The examples listed below are considered to be conduct of such gravity that the
Procedure would be entered at Stage 4. The list is neither exclusive nor exhaustive,
but provides an illustration of the conduct for which an employee may be dismissed:

Malicious damage to the Universitys property, theft, fraud, and deliberate

falsification of records.

Physical assault or serious incapability through alcohol or being under the

influence of illegal drugs.

Serious breaches of Health and Safety requirements.

Serious breaches of the *Universitys Equality and Diversity policies.

Serious breaches of contract of employment.

49 Any *Head of Department, Dean or member of the Vice Chancellorate who becomes
aware of such allegations or actions should immediately report the situation to the
appropriate *Pro Vice Chancellor so that the situation can be immediately investigated.

APPENDIX 1
POST HOLDERS WITH AUTHORITY TO TAKE ACTION UNDER THE DISCIPLINARY
PROCEDURE FOR ACADEMIC STAFF

DISCIPLINARY PANEL

APPEAL PANEL

Stage 1

* Head of Department

Dean

Stage 2

* Head of Department

Dean

Stage 3

* Head of Department

*Pro Vice Chancellor

* Pro Vice Chancellor

Vice Chancellor and two Lay

Governors

Stage 4
Dismissal/Demotion

NB: The Authority to suspend a member of staff rests with a * Pro Vice Chancellor or as
appropriate, may be delegated by the Vice Chancellor to a member of the Executive.

APPENDIX 2
POSTHOLDERS WITH AUTHORITY TO ACT UNDER THE DISCIPLINARY PROCEDURE FOR SUPPORT STAFF
STAFF GROUP

STAGE 1 DISCIPLINARY

APPEAL

STAGE 2 DISCIPLINARY

Support
Departments

Deputy Director/Deputy
Head/Unit Manager or
equivalent

Any postholder empowered Director/Head of

to take disciplinary action Department or equivalent
under stage 1 who has not
previously been involved.

Any postholder empowered

to take disciplinary action
under stage 2 who has not
been previously involved

Faculties

Faculty Manager or
equivalent

Any postholder empowered Executive Dean/Pro Dean

to take disciplinary action
under stage 1 who has not
previously been involved

Any postholder empowered

to take disciplinary action
under stage 2 who has not
been previously involved

Technicians

Technical Services
Manager or equivalent

Any postholder empowered Head of Academic

to take disciplinary action Department/Executive
under stage 1 who has not Dean/Pro Dean
previously been involved

Any postholder empowered

to take disciplinary action
under stage 2 who has not
been previously involved

APPEAL

APPENDIX 2
POSTHOLDERS WITH AUTHORITY TO ACT UNDER THE DISCIPLINARY PROCEDURE FOR SUPPORT STAFF
STAFF GROUP

STAGE 3
DISCIPLINARY

APPEAL

STAGE 4
DISCIPLINARY

APPEAL

SUSPENSION

Support
Departments

Director/Head of
Department or
equivalent

Any postholder
empowered to take
disciplinary action
under stage 3 who
has not previously
been involved

*Pro Vice Chancellor

Vice Chancellor and 2 *Pro Vice Chancellor,

Lay Governors
or member of the
Executive

Faculties

Executive Dean/Pro
Dean

Any postholder
empowered to take
disciplinary action
under stage 3 who
has not previously
been involved

*Pro Vice Chancellor

Vice Chancellor and 2 *Pro Vice Chancellor

Lay Governors
or member of the
Executive

Technicians

Head of Academic
Department/Executive
Dean/Pro Dean

Any postholder
empowered to take
disciplinary action
under stage 3 who
has not previously
been involved

*Pro Vice Chancellor

Vice Chancellor and 2 *Pro Vice Chancellor

Lay Governors
or member of the
Executive

NB: The authority to suspend a member of staff rests with a *Pro-Vice Chancellor, or as appropriate, may be delegated by the Vice
Chancellor to a member of the Executive.

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APPENDIX 3
Disciplinary Procedure, Conduct of Disciplinary Hearings
1.

Introduction - Purpose of Disciplinary Hearing

The purpose of the Disciplinary Hearing is to make a decision based on the evidence
presented, which will include the report presented to the Panel together with any
submissions, which the member of staff has also presented to the panel. In
accordance with natural justice, it is accepted that until the hearing has taken place
the member of staff will be presumed innocent of the allegations made against them.

2.

Prior to the Hearing

Not less than 10, and not more than 15, working days before the disciplinary
interview, the member of staff will be informed in writing of the alleged problem and
that disciplinary action could be taken as a result. The letter sent to the member of
staff asking them to attend a Disciplinary Hearing will clearly state the allegations
made against them. The letter will make clear any witnesses who will attend the
Disciplinary Hearing and will clearly state who will Chair and form the members of
the panel.
The individual will at the same time be given a copy of the report and any other
written material pertinent to the Hearing.
The member of staff will also have the right to call witnesses and will be required to
write to the Chair of the Panel within 3 working days of notification of the
Disciplinary Hearing, confirming whether or not they intend to exercise this right
and, if so, who their witnesses will be.
No further evidence will be submitted for consideration by either party after this
exchange of correspondence.

3.

Conduct of Disciplinary Hearing

The hearing will be chaired by the appropriate line-manager as determined by the
stage in the Procedure at which the Hearing is taking place.
Also present will be another Manager as outlined in this Procedure.
Notes of the Hearing will be taken by a member of the Human Resources
Department, who is not part of the decision-making process.
At the commencement of the Hearing the Chair of the Panel will introduce
her/himself and the other member of the Panel.
The member of staff attending the Hearing will have the right to be accompanied to
the Hearing by a Representative.
It is a requirement of these procedures that the Disciplinary Panel may consider
only those allegations as stipulated in the report. No other matters may be
considered at the hearing.
The Panel will have the right to ask such persons as they deem necessary in
addition to the member of staff present, to make representations to the Panel, in
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order that as much information as possible is made available to assist them in

reaching a decision.
The Chair of the Panel will state the Management case first.
The member of staff and/or their Representative will have the right to respond to
this and to present the member of staffs case.
The member of staff will have the right to ask questions of any witnesses brought
forward by the other party.
Both parties will have the opportunity to sum up their case if they so wish, the
member of staff having the right to do so last.
The member of staff and their Representative will have the right to remain in the
room throughout the Hearing, but will be asked to withdraw at the conclusion of the
Hearing whilst the Panel reaches its decision.
At the conclusion of the Hearing the Chair of the Disciplinary Panel will explain that
after declaring the Hearing closed, the Panel will now give consideration to the case
with a view to making a decision.
It will be the responsibility of the Chair of the Disciplinary Panel to write to the
member of staff within 5 working days of the Hearing confirming the decision of the
Panel.
The letter sent to the member of staff will give an overview of proceedings, including
a clear statement on all the points made to the Panel and those which were taken
into account on reaching the final decision.
This letter will state whether or not disciplinary action is to be taken as a result of
the Hearing.
If disciplinary action is to be taken the letter will state under what stage of the
Disciplinary Procedure action is being taken. This letter will also state that the
member of staff has the right to appeal against this decision in accordance with the
Procedure.
The member of staff will retain the original of this letter. A copy will be sent to the
individuals line manager and a second copy placed on their personal file. These will
be the only copies of the letter.
If disciplinary action is not to be taken the member of staff will similarly be informed
in writing. In this case all written information will be returned to the Human
Resources Department. No information concerning the case will be retained on the
individuals personal file.

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APPENDIX 4
DISCIPLINARY PROCEDURE CONDUCT OF APPEAL PANELS
1.

Purpose of Appeal Procedure

The purpose of the appeal is to provide an opportunity for the appellant to seek to set
aside or mitigate a disciplinary decision, which has been taken against her or him.
The Appeal Panel will consider in the light of submissions and the associated
presentation to it, whether the decision taken by the Disciplinary Panel as evidenced
by its letter was reasonable or whether another decision should replace it.

2.

Conduct of Appeal Hearings

The Chair of the Appeal Panel will be supported by a senior member of the Human
Resources Department, who will be able to advise on procedure, and another person
who will take notes of the main points of the hearing and the agreed action.
At the commencement of the hearing the Chair of the Panel will introduce her/himself
and the other persons present.
Both parties to the Appeal will be present at the commencement of the hearing and
the Chair will introduce them to the Panel.
The Appellant may be accompanied by a Representative.
The Chair of the Panel will confirm to all present that the purpose of the hearing is to
hear the appeal lodged by the Appellant against the disciplinary action taken against
them.
The Chair will confirm that both parties will have the opportunity to make
representations to the Panel. Following the hearing the Panel will reach its decision
and both parties will be notified of the outcome in writing in accordance with the
Disciplinary Procedure.
The Panel will have the right to ask such persons as they deem necessary in addition
to the Appellant to make representations to the Panel, in order that as much
information as possible is made available to assist them in reaching a decision.
The Appellant will be asked to state their case first, followed by the Chair of the panel
which took the disciplinary action. The Appellant will have the right to ask such
persons as they deem necessary to make representations to the Panel. Both parties
will have the right, through the Chair, to ask questions of any witnesses brought
forward by the other party.
Should further information be required of either party after this, both parties will again
have the right to be present when further elucidation is sought.
At the start of the hearing the Appellant will be asked to state the Management
decision against which the appeal is being made.
The Chair of the Appeal Panel will then ask them to present their case in support of
their appeal.
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When the Appellant has completed their presentation the Panel may, through the
Chair, ask further questions.
In addition, the Appeal Panel may request the attendance of the line-manager (or
other persons involved) to present information on the circumstances, which led to
disciplinary action.
The Chair of the Appeal Panel may allow both parties to ask questions of each other.
Both parties will have the opportunity to sum up their cases if they so wish, the
appellant having the right to do so last.
At the conclusion of the hearing the Chair of the Appeal Panel will explain that after
declaring the hearing closed the Panel will now give consideration to all the
submissions made with a view to making a decision.
The Chair of the Appeal Panel will notify both parties of the outcome of the hearing,
in writing, within 5 working days of the conclusion of the hearing.
The Chair may exercise discretion on behalf of the Panel to inform the Appellant
orally of the outcome of their appeal, at the conclusion of the Hearing.
Where an Appeal is upheld all papers pertaining to the case will be returned to the
Human Resources Department. No information concerning the case will be retained
on the individuals personal file.

(webloaded/17MAY12/TP)

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