Key Features of the New Contractual Ordinances For all University of Leicester Employees

Transcription

1 Key Features of the New Contractual Ordinances For all University of Leicester Employees June 2011 Page 1 of 12

2 Introduction The academic restructuring of the University into Colleges, created the need to update the University s governance structure known as Statutes and Ordinances. This has happened across all areas of the University s governance, including the area of staff management (Statute 8). The Staff Ordinances are policies and procedures. The change to the Statute represents the first time in the University s history that it has been possible to harmonise staff management procedures so that all members of staff are covered by the same Ordinances. The new Ordinances have been negotiated with the three recognised Trade Unions of the University, UCU, UNITE and Unison at a local and regional level. Negotiations have been conducted in the spirit of partnership and co operation. The employment landscape has changed considerably since the main bulk of staff management procedures for academics were introduced in The new Ordinances have had to be developed from scratch to ensure legal compliance and cultural fit with the needs of the University. The aim of the University and the Trade Unions has been: To develop Ordinances that apply to all staff, including academics. To protect some key principles for academics e.g. Academic Freedom and tenure; To promote fairness and consistency in the management of all University staff; To improve the clarity, efficiency and effectiveness of staff management procedures. The new Ordinances, which will become contractual and part of terms and conditions of employment for all University employees, are: The Ordinance Agreement on Academic Freedom; Grievance; Discipline; Probation; Performance Management; Redundancy; Ill Health Capability; Dismissal for Some Other Substantial Reason. Removal from Office. Each Ordinance (apart from The Ordinance Agreement on the definition of Academic Freedom) is made up of a Policy and Procedure, which must be read together. This booklet aims to outline the key features of each new ordinance as they apply to all staff. Page 2 of 12

3 General provisions Natural Justice The Ordinances will be operated in accordance with the principle of natural justice. This includes specific rules about procedural fairness. Right to be accompanied A member of staff has the right to be accompanied to formal meetings. The chosen companion may be a trade union representative, an official employed by a trade union or a fellow worker. A member of staff may have legal representation (at their own cost) in cases where the outcome is likely to end their professional career, prematurely. The decision to permit legal representation will be made by the Registrar or a Pro-Vice-Chancellor. A member of staff who has an inter-dependent contractual relationship with the NHS and the University may be accompanied to formal meetings by a representative of a medical defence union. A member of staff is not normally permitted to be accompanied or represented at informal meetings. Role of HR The role of HR is to ensure that formal proceedings comply with employment law and the University s policies and procedures. Members of HR are expected to advocate on the part of the institution by acting as an independent, advisory guardian and regulator of the process. Members of HR will provide advice to managers and staff, in accordance with employment law and the University s policies and procedures, but will not be an advocate for a manager or a member staff. Raising a Grievance during Formal Proceedings (e.g. Discipline, Performance Management etc) Where a member of staff raises a grievance during another formal proceeding (e.g. Discipline), the grievance may be dealt with first while the other formal proceedings are temporarily suspended by the University. Where the grievance and the other formal case is related, it may be appropriate for the University to deal with both issues concurrently. The decision to suspend or continue with other formal proceedings once a grievance has been raised will be made by the PVC Resources (for academic staff) and the Registrar & Secretary (for all other staff). Suspension Depending on the nature and severity of a case, a member of staff may be suspended on full pay. Suspension is a neutral act. It is not disciplinary action. It is designed to protect individuals and the University, for example, where there is a risk to health and safety or to systems, processes and relationships necessary for good management. Suspension periods will be as brief as possible; subject to regular review (every 3 weeks) by the PVC (Resources) or Registrar & Secretary and will be communicated, in writing, to the member of staff. Inter-dependent Contracts of employment In cases where the member of staff has an inter-dependent contract with the NHS and the University, representatives from the NHS may be included in formal proceedings (e.g. in an Investigation or Hearing). This is the continuation of the existing practice normally adopted under Statute 32. Page 3 of 12

4 The Ordinance Agreement on Academic Freedom The agreement on Academic Freedom sets out an agreement between the University of Leicester and its three recognised Trade Unions on the definition of Academic Freedom. Main Aim: To maintain the academic freedom of academic staff as per the University s statute. This involves freedom of teaching and discussion, freedom in carrying out research and disseminating and publishing the results thereof, freedom from institutional censorship and freedom to participate in professional or representative academic bodies. The Ordinance applies to all staff in the Teaching and Research job family and staff who, as part of their designated University duties, are engaged in research as an independent researcher or in teaching. The definition has been informed by Sections VI and VII of the Recommendation concerning the Status of Higher-Education Teaching Personnel adopted by the General Conference of the United Nations Educational, Scientific and Cultural Organization (UNESCO) in Paris on 11 November The agreement has been verified by an external legal check. The agreement sets out the rights and responsibilities of staff undertaking academic activities. The definition set out in the agreement will be applied by the University when making decisions about Academic Freedom under the following University Ordinances: Grievance Discipline Probation Performance Management Redundancy Dismissal for Some Other Substantial Reason Procedural modifications for Academic Freedom In the above Ordinances, there is a modified procedure for cases that involve Academic Freedom in that they will be heard by a panel. This includes 2 academic members of Senate (1 from the same college as the staff member and 1 from a different college, who have not previously been involved, nominated by the chair). The chair of a modified (Academic Freedom) Hearing is normally the Chair of Staffing Policy Committee. The chair of an Academic Freedom Appeal is normally the Chair of Council (or nominee). Page 4 of 12

5 Grievance The Grievance Ordinance provides a framework to manage serious complaints from staff regarding their employment. The Grievance Ordinance aims to: o establish a framework for handling grievances and to provide informal and formal routes for managing grievances; o ensure that grievances are addressed in a fair, sensitive, timely and consistent manner. The Ordinance applies to all staff, including academics and clinical equivalents. The Ordinance is based on the ACAS Code of Practice. All grievances will be handled sensitively and appropriately. Minor complaints should be addressed by line managers on an informal basis (outside the Ordinance). The University encourages the use of mediation to resolve minor issues, where appropriate. Staff will be asked whether they want their grievance to be handled on an informal or formal basis. It is expected that, wherever possible, grievances will be resolved through informal resolution. The formal Grievance procedure exists to deal with serious employment complaints that cannot be resolved informally. There is a modified procedure for Grievances against Senior Management. There is a modified procedure for 2 (or more) grievances that relate to the same substantive issue(s). The Chair of Staffing Policy Committee will normally appoint a manager from a different area, not previously involved in the case, to chair a Grievance Hearing. A formal investigation (to be led by an Investigating Officer) is normally required before proceeding to a Grievance Hearing. The Chair of the Grievance Hearing will appoint an Investigating Officer. The Investigating Officer and the Chair of the Grievance Hearing must be separate individuals. The Investigating Officer will normally be of a higher grade than the member of staff raising the grievance and any of the individuals named in a grievance. Each member of staff involved in a grievance will be given an opportunity to fully state their case. A Discrimination Specialist will attend a Grievance Hearing (where prima facie case of discrimination exists). This will normally be the University s Equalities Adviser. Possible Outcomes Grievance upheld; Grievance partially upheld or Grievance not upheld. The member of staff who raised the grievance can appeal the outcome. Witnesses and those named in a grievance do not have the right to appeal. They have the right to bring their own grievance. For full details, please see Grievance Ordinance Policy & Procedure. Page 5 of 12

6 Discipline The Discipline Ordinance provides a framework to manage issues of misconduct. The Discipline Ordinance aims to: o ensure that misconduct is addressed fairly, consistently, appropriately and in a timely manner. o provide staff with the opportunity to correct or improve unacceptable behaviour or conduct, within a set timescale. o provide a framework to deal with an act (or acts) of gross misconduct. The Ordinance applies to all staff, including academics and clinical equivalents. The Ordinance is based on the ACAS Code of Practice. Informal resolution may be appropriate in the first instance of minor misconduct. Where misconduct amounts to more than minor misconduct, the formal procedure will normally be invoked without the need for informal action first. A formal investigation (to be led by an Investigating Officer) is normally required before proceeding to a Disciplinary Hearing. The non-contractual procedure for the Investigation of Misconduct in Research, published by the UK Research Integrity Office as best practice, will normally be used to investigate cases of alleged misconduct in research. However, where there is a potential or actual issue of academic freedom, the procedural modifications (regarding a panel) set out in the Discipline Ordinance will be applied to the best-practice code. The Investigating Officer and the Chair of the Disciplinary Hearing must be separate individuals. The Investigating Officer will normally be of a higher grade than the staff member under investigation. During a disciplinary Hearing, a member of staff will be given the opportunity to fully state their case and provide any mitigating circumstances. The normal expectation is for a Disciplinary Hearing to be held, before decisions about disciplinary sanctions are made. A disciplinary sanction will not normally be issued until after a Disciplinary Hearing. Disciplinary Hearings for all staff Grade 8 and above will be conducted by a panel. Disciplinary Sanctions are first written warning, final written warning, dismissal or summary dismissal. Sanctions will reflect the seriousness of the case and will take into account whether an existing live warning exists. Maximum sanction for a first offence is a final written warning, unless it is gross misconduct in which case the sanction is summary dismissal. The member of staff can appeal any disciplinary sanction to a higher grade of management. Written Warnings will be live for 12 months. A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Discipline Ordinance Policy & Procedure. Page 6 of 12

7 Probation The Probation Ordinance provides a framework to manage performance issues or poor attendance (that is not attributable to an underlying health condition) during probation. The Probation Ordinance aims to: o ensure that performance issues during probation are handled in a supportive, fair, equitable, transparent and timely manner. o provide line managers and Heads of Department with a framework to manage performance issues during probation by identifying the causes or contributory factors and, where possible, to ensure that staff are supported and enabled to adequately fulfil the responsibilities of their role. The Ordinance applies to all staff, including academics and clinical equivalents. However, it is the normal expectation that staff employed on Grades 9 and 10/Professorial level will not be subject to probation. Chairs of recruitment panels may also use their discretion to determine whether staff appointed at Grade 8 and below must complete a probationary period. Where a new member of staff (of any grade/level) is not required to serve a probationary period, the reasons for the exemption from probation must be documented and kept on the staff member s personnel file. Probation is normally a supportive mechanism to introduce and induct staff into their role. Where performance issues arise, the staff member will be made aware of the issue(s) and given the opportunity to improve. There are two separate procedures within the Ordinance: o Procedure A is for academics on probation. o Procedure B is for all other staff on probation. Procedure A is managed by line managers and monitored by Staff Management Group (SMG). Academics will normally be on probation for 3 years. Academic Probation may be extended by up to 1 year, where SMG deems it necessary. Where performance is satisfactory, the successful completion of the probationary period will normally be confirmed towards the end of the probationary period. Where a member of staff is subject to 3 years probation and performance falls short of the required standard, the formal Performance Management Ordinance will be invoked. Procedure B (for all other staff) is managed by line managers and normally lasts for 6 months. Probation for staff covered by Procedure B may only be extended by up to 3 months, where necessary. Where performance is satisfactory, the successful completion of the probationary period will normally be confirmed towards the end of the probationary period. Where a member of staff is subject to 6 months probation and performance falls short of the required standard, the Formal Probation Procedure within the Probation Ordinance will be invoked. A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Probation Ordinance Policy & Procedure. Page 7 of 12

8 Performance Management The Performance Management Ordinance provides a framework to manage issues of poor performance or poor attendance (that is not attributable to an underlying health condition), where the Probation Ordinance does not apply. The Performance Management Ordinance aims to: o provide line managers with a framework to manage under-performance of staff by identifying the causes or contributory factors and to ensure that staff are supported and enabled to adequately fulfil the responsibilities of their role. o ensure that performance issues are handled in a supportive, fair, equitable, transparent and timely manner. The Ordinance applies to all staff, including academics and clinical equivalents. There are two separate procedures within the Ordinance: o Procedure A is for academics. o Procedure B is for all other staff. Procedure A is managed by line managers and monitored by Staff Management Group (SMG). Procedure B is managed by line managers. The procedure has 3 stages, which will normally be followed in order, unless the degree of underperformance is particularly severe. Where under-performance is alleged, the line manager must collate a body of evidence before the formal procedure begins. Stages 1 and 2 are normally conducted by the line manager. Stage 3 Performance Management Hearing is conducted by a panel. During a Performance Management Hearing, a member of staff will be given the opportunity to fully state their case and provide any mitigating circumstances. Maximum sanctions at each stage are normally first written warning at Stage 1, final written warning at Stage 2 and dismissal at Stage 3. Sanctions will reflect the seriousness of the case and will take into account whether an existing live warning exists. Warnings will be live for 12 months. There will also be an Improvement Period during which support will be offered. Staff will be expected to demonstrate improvement during the set period. A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Performance Management Ordinance Policy & Procedure. Page 8 of 12

9 Redundancy The Redundancy Ordinance provides a framework for managing compulsory reductions in staff on the grounds of redundancy. The Redundancy Ordinance aims to: o encourage full engagement of the trade unions in the planning and implementation of organisational change. o ensure that compulsory redundancies are minimised or avoided, where possible. o provide a fair and objective framework for carrying out redundancies. Ordinance applies to all staff meeting statutory requirements, including academics and clinical equivalents, except: o tenured staff i.e. academic staff employed prior to 19 November 1987 who have not been promoted on or after that date; o staff on a fixed-term contract of 3 months or less; o staff on a fixed-term contract with continuous service of between 3 and 9 months (in total). The University will encourage full and early engagement of the trade unions in the planning and implementation of organisational change/redundancies. The University will always attempt to avoid compulsory redundancies. The University will consider a range of measures as an alternative to instigating compulsory redundancies. This includes consideration of redeployment, early retirement or retraining, where appropriate. Where redundancies are necessary, clear proposals and explanations will be given to staff and full consultation will take place with all relevant parties. The University is committed to ensuring that redundancy proposals are subject to an Equality Impact Assessment. The selection method used to identify members of staff at risk of redundancy will be fair, objective, consistent and transparent. The University values the experience, skills and knowledge of its staff. It is committed to retaining excellent dedicated staff, where possible, through the University s redeployment register. Redundancy payments will be calculated in accordance with statutory redundancy pay. There are two main procedures: o Single Redundancy (where 1 post is selected for Redundancy); o Multiple Redundancies (where more than 1 post is at risk of redundancy). A member of staff can appeal to a person (or panel) of a higher grade/level than the person conducting the Redundancies. For full details, please see Redundancy Ordinance Policy & Procedure. Page 9 of 12

10 Ill Health Capability The Ill Health Capability Ordinance provides a framework to manage staff who have : o a certified, long-term medical condition, disability or an illness; OR o an injury that has the potential to be long-term from the outset e.g. injury resulting from a serious car crash or heart attack; AND o their condition is (or will) impact their attendance at work or performance at work (or both). The Ill Health Capability Ordinance aims to: o ensure that members of staff who are suffering from long term illnesses and disabilities are treated sympathetically and sensitively, in line with legislative requirements. o provide support and guidance to managers and members of staff regarding serious issues of long-term ill health and incapacity. o ensure that, as far as possible, ill health capability issues are handled in a supportive, fair, equitable, transparent and timely manner. The Ordinance applies to all staff, including academics and clinical equivalents. The Ordinance is designed to deal with cases of disability and serious ill health capability in a supportive and legally compliant way. The Ordinance should only be initiated once all other avenues for support have already been explored. Where a member of staff is regarded as a disabled person under the Equality Act 2010 and an ill-health capability issues arises, the Ill Health Capability Ordinance (Procedure) will normally be followed to ensure that the University meets its obligation to consider reasonable adjustments. The Ill Health Capability Procedure entails gathering medical evidence, considering a variety of options and, where necessary, conducting an Ill Health Capability Hearing. Where requested, a member of staff may be accompanied or represented by a responsible relative or friend, in addition to (or instead of) that member, where approved by the HR Director. Ill Health Capability Hearings for all Grade 8+ staff will be heard by a panel. The University, in consultation with the member of staff, will take all reasonable steps to consider a range of options including reasonable adjustments, redeployment and ill health retirement, before an ill-health capability dismissal is considered. Where ill-health is not attributable to an underlying health condition, the issue will be managed under the Performance Management Ordinance. The University expects staff to provide access to their medical information and undergo a medical examination, where requested, to assist in the process of understanding the medical position. The University normally requires staff members to attend Occupational Health appointments so that medical evidence can be appropriately obtained and communicated to the University for consideration. The University will meet the reasonable costs of any medical opinion required. The possible outcomes of an Ill Health Capability Hearing are for the Chair to take no action; to make a series of recommendations or adjustments; or to terminate the staff member s employment. A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Ill Health Capability Ordinance Policy & Procedure. Page 10 of 12

11 Dismissal for Some Other Substantial Reason (SOSR) The Dismissal for SOSR Ordinance provides a formal framework for dismissals that fall outside the context of other University Ordinances or policies. The Dismissal for SOSR Ordinance aims to: o clearly outline the University s position regarding SOSR dismissals. o provide a legally compliant framework for dealing with SOSR dismissals in a fair and equitable manner across the University. o provide support and guidance to managers and members of staff regarding dismissals for some other substantial reason. o enable the University to achieve its performance objectives. The Ordinance applies to all staff, including academics and clinical equivalents. A formal investigation is normally required before proceeding to an SOSR Hearing. The investigating officer and the Chair of the SOSR Hearing must be separate individuals. The investigating officer will normally be of a higher grade than the member of staff under investigation. An outcome will not normally be given until after an SOSR Hearing. During the SOSR Hearing, a member of staff will be given the opportunity to fully state their case and provide any mitigating circumstances. SOSR Hearings for all Grade 8+ staff will be heard by a panel. Possible outcomes are SOSR allegations are not upheld and no action is taken; the start of proceedings are initiated under another University Ordinance or Policy or employment is terminated. A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Dismissal for Some Other Substantial Reason Ordinance Policy & Procedure. Page 11 of 12

12 Removal from Office The Removal from Office Ordinance exists to manage issues regarding the early termination of a nonsubstantive post. A non-substantive post is a remunerated post in the University which is undertaken by a member of staff in addition to their substantive post i.e. a role which is additional to the role specified in their contract of employment. For example, Head of Department. The Removal from Office Ordinance aims to: o o o enable a member of staff who holds a non-substantive post, and their line manager, to understand the policy and procedure for Removal from Office. ensure that, as far as possible, the Removal from Office Ordinance Policy and Procedure is efficiently managed in a fair and equitable manner. facilitate the University in meeting its performance objectives. The Ordinance applies to a list of specific, non-substantive posts set out in Appendix 2 of the Removal from Office Ordinance Procedure. Removal from Office means the early termination of a non-substantive post. The Ordinance will not apply where: o the issues relate to both a non-substantive and a substantive post (as the relevant University Ordinance will normally apply instead); o the non-substantive post has been conferred by an external body. The relevant line manager will normally raise any concerns regarding performance with a nonsubstantive post holder informally, and put in place actions plans to resolve identified problems prior to invoking the formal procedure. Where a non-substantive post holder is alleged to be under-performing he/she may request, in writing, that their non-substantive post is terminated on an earlier date than originally agreed. The formal procedure normally involves a formal investigation; a Removal from Office hearing and where requested by the member of staff, an appeal. The investigating officer will normally be of a higher grade than the member of staff under investigation. The University will apply the Ordinance in line with the statutory principle that a member of staff will suffer no detriment to their substantive post as a consequence of resigning or being removed from a nonsubstantive post. Where a member of staff is dismissed from their substantive post, any non-substantive post(s) will also terminate, without the need to follow the Removal from Office Ordinance (Procedure). A dismissal must be ratified by a person (or panel) of a higher grade/level than the chair of the Hearing. For full details, please see Removal from Office Ordinance Policy & Procedure. Page 12 of 12