Section 8: support staff handbook

It is the policy of the University to ensure that fair and effective arrangements exist for dealing with disciplinary issues, and to ensure that uniform standards are developed throughout the University with regard to both work and behaviour.

The following procedures apply to all staff employed in the University's support staff scales and grades, other than those on probation, procedures for whom are given in section 8.4. The procedures recognise that it is the employer's responsibility to avoid the need for disciplinary action wherever possible by providing guidance and constructive criticism, and to take whatever disciplinary action is necessary promptly and consistently.

There is further information on how these procedures apply to some specific groups as set out below:

• Apprentices – see section 8.1.1
• Medical capability matters – see section 8.1.2
• Trade union officials or accredited representatives – see section 8.1.3
• Probationary employees – see section 8.4

The University also has a separate initial process for complaints of harassment – see section 8.1.4 

8.1.1 Apprentices

The support staff disciplinary and grievance procedures apply to apprenticeships as relevant and appropriate but they are to be used only after the Apprenticeships Manager (or their nominee) has an informal discussion with the Department and the apprentice (either separately or together) and the Apprenticeship Development Group are informed in relation to any performance issues involving an apprentice. University HR should always be consulted before an apprentice is dismissed.

8.1.2 Medical capability matters

The University does not regard medical capability as a disciplinary matter – absence through sickness is covered in detail in section 4.1 of this handbook. However, there will be some cases where an employee’s medical capability renders them incapable of satisfactorily carrying out their duties, with the result that the employing department cannot continue to sustain their employment.

In these cases, the informal and formal procedures set out below will be adapted as a medical capability procedure to advise and discuss with the employee that termination of employment is being considered and, where necessary, to go on to decide whether to end employment. In such cases correspondence with employees will, of course, refer to medical capability and not to misconduct or poor performance, and at all stages of the procedure the University should be clear that this is not a disciplinary matter. Correspondence with the employee should not refer to ‘disciplinary procedure’ but ‘medical capability procedure’ instead.

8.1.3 Trade union officials or accredited representatives

If any disciplinary action beyond managing the matter informally is contemplated against a trade union official or accredited representative, University HR should always first be consulted

8.1.4 Harassment

The University does not tolerate any form of harassment or victimisation and considers harassment to be a serious offence. All members of the University community have the responsibility to behave professionally towards others and have a personal responsibility for complying with the University’s Harassment Policy.

Any complaints of harassment will be dealt with according to the University’s Harassment Procedure  

Complaints relating to a breach of the University’s Equality Policy which do not amount to harassment will be handled under the grievance procedure.

Staff who have been subject to harassment may seek support from their departmental harassment adviser or see https://edu.admin.ox.ac.uk/support.

If following a harassment complaint, it is determined that a member of staff has acted inappropriately, that may then be referred to a disciplinary process under this procedure.

Wherever appropriate the formal procedures should be preceded by attempts to manage/resolve the matter informally, this should also be considered in medical capability cases.

As soon as concerns arise about an employee’s performance, capability or behaviour in the workplace arise, the employee’s line-manager should promptly discuss these concerns with the employee. Unless serious misconduct or other serious issues have been identified (in which case the formal disciplinary process should be started as soon as possible), it is important to attempt to manage and resolve issues informally. This may be most appropriately done as part of a regular 1:1 discussion, where feedback can be given and clear expectations and standards set out.

The formal procedures are designed to deal with situations where the member of staff  concerned know clearly where they are falling short of expected standards of work or behaviour.

8.3.1 First steps – establishing the facts of the case

The head of department, or the duly authorised person acting on their behalf, should determine what steps to take to gather information to establish the facts. This could include meeting with the employee, asking for statements from other staff, reviewing relevant documents or appointing a separate investigator.

Whilst the initial fact-finding takes place, the head of department or their nominee should consider the nature of any risks to the University or its community, including the surrounding circumstances, and whether to implement any interim measures. This could include measures such as varying the type or location of work for the employee, or where this would not be sufficient to address the risks, suspending the employee from performing any work at all.  

In no circumstance should the employee be dismissed instantly.

If the employee is suspended, this will be on the currently appropriate rate of pay pending an investigation and subsequent hearing. (The currently appropriate rate of pay is the basic pay to which the employee would be entitled under the terms of their contract were they not suspended. The currently appropriate rate of pay would normally be full pay; but it may for example be, or change during suspension to, half pay or no pay under the provisions of the University's sick pay scheme). All cases involving such suspension should be reported at once to University HR. The employee should be informed of the nature of the allegations against them as part of the fact-finding process.

Certain disciplinary issues may also involve an employee in criminal proceedings. If an employee is involved in criminal proceedings outside work, the ACAS Code of Practice on disciplinary and grievance procedures will be followed.[1]

8.3.2 Disciplinary meeting with the employee

After the fact-finding has been completed, the employee should be informed in writing of a formal disciplinary hearing led by the head of department or their nominee. The employee will have the right to state their case and to be accompanied at their request by a union representative, or by a colleague of their choice from within the University. University HR should be consulted before the employee is interviewed, and the employee should be made aware of wellbeing support mechanisms.

8.3.3 Possible outcomes from the formal disciplinary procedure

Following on from the disciplinary meeting, any disciplinary action should be clearly stated in writing within seven days wherever possible. Possible outcomes include:

• Take no disciplinary action
• Informal resolution
• First formal written warning (see below)
• Final written warning (see below)
• Termination of employment (which can be with notice)  (see below) or summary dismissal without notice (see below)

Following the hearing, University HR should be consulted before disciplinary action (if any) is taken. The head of department, or their nominee, will then inform the employee concerned, in writing, of (i) the disciplinary action (if any) which will be taken (see paragraph below if this is to be dismissal) and (ii) the employee's right of appeal (see paragraph 8.3.4 below).

First written warning

The first formal warning, if given, will be confirmed in writing to the employee, will specify the reasons for which it is given, and will specify the period of time allowed for any necessary improvement to be made. (The period allowed for improvement should in no case be less than one month or more than three months.) A copy of the formal warning should be sent to University HR.

If any identified improvements are not made within the specified time period, this may then be cause to move to a second final warning (or in more serious cases, to move straight to dismissal).

Unless the department considers and discusses with the employee that there are grounds for extending the first written warning it will expire after one year, and will normally not be taken into account in relation to any future disciplinary or capability issues. The written warning should then be removed from the employee’s individual personal file (held by the Department).  

Further, if there is any other misconduct or capability issues that arise during the longer period of one year following the warning being issued, then the fact that there is a live warning already in place may be taken into account in determining the appropriate sanction in relation to this new issue.

Records so removed from an individual personal file (held by the Department) will be held on a highly confidential and restricted basis by University HR, to be retained for three years, in the event that they may be required for an employment tribunal or similar external proceedings (and in some circumstances where there are internal proceedings in the event of a repeated pattern of behaviour). Records so retained will only be accessed by members of University HR in the event that the records may be material to a claim raised at an employment tribunal or similar external body (and in some circumstances where there are internal proceedings in the event of a repeated pattern of behaviour) and the records may only be made available to those directly involved in such proceedings. Records retained for these purposes in University HR will be destroyed after a period of three years.

Second (final) written warning

If a first formal warning is not effective in producing the necessary improvement in work or behaviour, or if the misconduct or unsatisfactory performance is serious, the head of department or their nominee should issue a final warning. The procedure will be as for the first formal warning including retention periods for records, but the warning itself and the written confirmation should make it clear that dismissal may be considered if any necessary improvement is not achieved within the specified period or if other conduct or capability issues arise whilst the warning remains live for a period of two years.

Dismissal following a final written warning

If a final written warning is not effective in producing the necessary improvement in work or behaviour, or there are circumstances which merit moving straight to summary dismissal (see below) the head of department or their nominee may dismiss the employee. The procedure will be as for warnings.

Unless there are grounds for summary dismissal (see below) the employee must be given notice of dismissal required by their contract or statute. The head of department or their nominee may determine whether:

• the employee should continue work during their notice period (potentially with measures as appropriate); or
• the employee should be suspended on their currently appropriate rate of pay (as described above at 8.3.1) during the notice period

Summary dismissal

Disciplinary action involving dismissal may in certain serious situations not be preceded by formal or informal warning.

Examples of some acts at work for which after the due processes of investigation and hearing the disciplinary action of summary dismissal (i.e. dismissal without notice and without payment in lieu of notice) may result include theft, violence, wantonly endangering the safety of others, harassment (see paragraph below), wilful damage to university property, and incapability through alcohol or being under the influence of illegal drugs.

8.3.4 Appeal

Following any interview which results in disciplinary action, whether that be formal warning, suspension, summary dismissal, or dismissal, the employee should be advised of their rights of appeal in writing by being directed to these appeal procedures.

Notification procedure

Appeals against disciplinary action must be notified in writing to the Director of Human Resources within 10 working days of written confirmation of such action. The appellant should specify in writing their grounds for appeal, and the reasons why they are dissatisfied with the outcome at department or divisional level.

The Director of Human Resources will advise the decision maker (and the Head of Department or Division as appropriate if they are not the decision maker) of the appeal and make arrangements for the servicing of the appeal by an HR Business Partner (HRBP).

Appeal panel constitution under Statute XIV regarding a dismissal

Appeals notified in respect of a summary dismissal or dismissal arising from disciplinary action will be heard by a panel consisting of two members of the Personnel Committee and one member of Council who is not themselves a member of Personnel Committee.

If there are any grievance appeals related to the dismissal, the panel constituted under the Statute XIV regulations has the authority to deal with these at the same time.

Appeal panel constitution regarding a formal warning

Appeals notified in respect of a formal warning will be heard by a panel consisting of three members of staff, at grade 8 or above, (the panel chair will be at an equivalent level to or more senior than the original decision maker, and should not be in a position of reporting to the original decision maker). They will have a balance of role types and one, if appropriate, may have experience relevant to the case being heard. The panel members will be eligible for membership of Congregation, external to the department concerned, and nominated by the Director of Human Resources. One will be asked to act as chair.

Appeal hearing

The appeal panel should, where operationally possible, meet within one month to hear the case and all parties concerned should receive adequate notice, normally 5 days, of the hearing.

In some cases it may be appropriate for the appeal panel to gather information, via the HRBP, prior to the hearing. The employee should provide copies of any information which they consider relevant to their appeal, within 10 working days of lodging their appeal (or according to any other timescale set out by the panel). If the employee is proposing to ask other staff members for witness statements, they should indicate this to the HRBP within the timescale, as the panel may need to consider whether obtaining such material is relevant and proportionate and whether the HRBP (rather than the employee) should seek the statements. The decision maker will normally respond within 10 working days to the grounds for appeal, setting out the steps taken to resolve or determine the matter and the rationale for the decision(s) with which the employee is dissatisfied.  Witnesses may be invited to attend the hearing and it will be at the discretion of the appeal panel chair whether any witness does need to attend to clarify anything from their witness statement.

The employee may invite a union representative or a full time officer of the employee's trade union (if they are a member) or a colleague, from within the University, to accompany them to the appeal hearing. The employee should advise the HRBP servicing the appeal hearing of the person who will accompany them, in good time before the hearing. The employee’s manager may also be accompanied by a colleague from within the University.

The appeal panel will review the grounds of appeal to decide whether the findings and/or outcome of the initial decision were appropriate and proportionate, and whether it was reached through an appropriate procedure.

Outcome of the appeal

The outcome of the appeal will be notified in writing to the department or the division concerned and to the employee normally within 10 working days of the hearing. The outcome will be to uphold or revoke the original decision or to substitute a different, but not greater, penalty.

The decision of the appeal panel is final and there shall be no further appeal within the University.

Procedures for dealing with work or conduct issues in respect of all university and support staff on probation.

The procedure for dealing with work or conduct issues for university support staff on probation is slightly different. Where an individual is on probation the procedure set out below should be followed. Further information on the terms and conditions for probation can be found in Section 3.2 of the support staff handbook.

8.4.1 Informal procedure

If a problem relating to the work or conduct of an employee on probation is identified at any stage of the probationary period, attempts should be made to manage/resolve the matter informally with a view to establishing the cause of the problem and advising appropriate remedial action.

If this does not resolve the problem, or if the problem is sufficiently serious to warrant formal action without the need to seek information resolution, then the employer should move to the formal stage.

8.4.2 Formal procedure

A formal interview should be arranged between the department and the employee to consider the situation. The employee should be advised in advance of the aspects of their work or conduct which are causing concern and that they may be accompanied at the interview by a union representative, or a colleague of their choice from within the University. At the meeting the departmental representative(s) will set out their concerns and the employee will have the opportunity to state their case. If, on the evidence available, the department believes that a formal warning is appropriate, this should be given after the interview and confirmed in writing to the employee. The letter should make clear that if the necessary improvement is not achieved within a specified period (which may involve an extension of the probationary period) the appointment will not be confirmed and the employee dismissed with appropriate notice. This will therefore constitute a final warning.

Following any formal warning, departments should monitor the situation and, within or at the end of the period specified for improvement (as appropriate), should formally review the progress of the employee. This should culminate in a formal interview at which the department will give its view of the employee's progress and the employee, who may be accompanied by a union representative, or by a colleague of their own choice from within the University, will have the opportunity to state their case, before any decision is taken concerning their employment.

In cases of alleged serious misconduct the employee must not be dismissed instantly: rather the head of department, or a duly authorised nominee acting on their behalf, should follow the process as described above at 8.3 to consider interim measures and/or suspension whilst fact finding takes place and a disciplinary hearing takes is held to consider dismissal.   

8.4.3 Appeal against dismissal

If the head of department or an authorised nominee decides to dismiss the employee, the employee will have the right of appeal to a panel constituted under the procedures set out in section 8.3.4. Any such appeal should be notified to University HR within ten days of written confirmation to the employee of the department's decision to dismiss. The employee may be accompanied at the hearing of any appeal by the panel by a union representative, or colleague of their own choice from within the University.

Introduction

Any employee who has a complaint arising out of their employment should seek to have that complaint addressed by using the appropriate university's procedure for their staff group.

It is expected that the majority of such complaints will not develop into formal grievances but will be dealt with and satisfactorily resolved through informal discussion, as described below.

However, whenever the formal procedures are used, the employee has a right to have their complaint carefully and impartially considered and to receive, after appropriate consideration and discussion, a final response which will either:

• explain to the employee why a situation complained of must stay as it is or a decision complained of will remain unaltered, or
• change the situation or decision complained of to address the employee's concerns, or
• provide details of an alternative solution which is acceptable to the employee and which is considered by their line manager and department to be appropriate, taking account of the complaint raised and the impact of the proposed solution on any other affected party.

Where two or more employees within the same department have identical complaints about a particular situation, their complaints should be dealt with simultaneously by means of the individual grievance procedure described below. This procedure is not available where employees have a grievance affecting more than one department. In these circumstances collective grievances that cannot be resolved by informal discussion may be raised under the procedure for resolving differences (see 8.7.5 below).

Dealing with complaints of harassment, including bullying, and with complaints involving a public interest disclosure

The individual grievance procedure should not be used for dealing with complaints of harassment, except in circumstances where this is the expressed preference of the employee alleging harassment. The University has a separate Harassment Policy, including bullying. Advice in cases that might result in complaints of harassment is available from independent harassment advisers. Details of the harassment advisory service are available on the central Equality and Diversity website.

The University also has a separate procedure for complaints involving a public interest disclosure (‘whistleblowing’), which may be accessed on its website.

The grievance procedure has two main stages:

Informal departmental stages (Section 8.5.1)

Formal stages (Section 8.5.2)

Advice on structuring a departmental grievance meeting, which will be helpful at both the informal and formal stages, is available.

8.5.1 Individual grievance procedure for all university support staff: informal procedure

Informal departmental stages

Raising a grievance is a formal step and invokes the formal procedure. The University recognises that some employees may not wish to use a formal procedure and does not wish to deter employees from seeking to resolve concerns informally. The use of informal discussion in any case where an employee has concerns arising out of their employment is, therefore, strongly encouraged.

Discussion with line manager

An employee who wishes to raise a concern informally should, in the first instance, raise their concerns with the appropriate line manager. It is hoped that in many cases it will be possible to achieve a solution with all those concerned considering a situation with mutual respect for one another and a genuine desire to resolve the matter.

Discussion with the Head of Administration and Finance

In some cases an employee’s concerns may involve their line manager in which case they may find it helpful to seek advice from the HAF or equivalent. The HAF may, in any case, be able to assist at this early stage with the resolution of an employee’s concern. The HAF will, therefore, invite the employee to advise whether they wish temporarily to delay further procedures in order that the administrator can attempt to resolve the matter. If the employee accepts this proposal, a timescale and steps to be undertaken by the HAF will be agreed.

Where there is no HAF, the Head of Department should agree with University HR who should take that role.

An employee who is concerned about a particular aspect of their employment may also find it helpful to discuss the matter with a staff representative.

Informal review by an independent person

Where it is decided that an intervention by the HAF is not appropriate, or where such an intervention has not succeeded, the HAF will offer, with the agreement of the employees concerned, to find an independent person, normally from within the department but outside the employee’s immediate work area, to consider the employee’s concerns and to work with them and those against whom their complaint is directed, with a view to making recommendations that might, if adopted, resolve the matter without the employee needing to invoke a formal grievance procedure. The employee will, if they wish to pursue this route, be asked to agree the person to be appointed and has the right to request that the HAF identify an alternative if they have reasonable grounds for believing that the person suggested by the HAF is not appropriate.

The University’s structures vary from department to department and it is, therefore, not possible to be prescriptive about who should take the role of the independent person, although normally they will be a member of the academic or senior academic-related staff. It will be important that they have sufficient authority to propose satisfactory solutions and to engage the trust and confidence of the parties concerned. It will, of course, also be important that those appointed to deal with matters at this stage have both reasonably detailed knowledge of the operational circumstances in which all the employees concerned work and are able to look impartially at the concerns of all parties.

The HAF, in appointing an independent person, should be sensitive to the nature of the complaint and to any personal characteristics of the concerned employee. The HAF will ask the employee whether or not there is any such characteristic that they would particularly value in the independent person to be appointed and will use their best endeavours to meet any suggestions made.

Where there is good reason to do so, for instance where the department is relatively small, or where many people in the department have already been involved in the matter to which the grievance refers, an independent person may be appointed from another department. For further information see the guidance on mediation.

As it may be possible for the head of department or equivalent to become involved if a grievance were to be formally pursued, it is not advisable for him or her either to act as an independent person or to be materially involved at the informal stages.

The independent person will choose their preferred method of working, wherever possible in consultation with the parties concerned. This will depend on the nature of the concerns and may include one or more of the following methodologies:

• informal discussions with the parties singly to discover more detail about each of their concerns and about those aspects of the matter about which each of them feels most strongly,
• if acceptable to the parties, informal discussions with the parties together to explore the issues, discuss those points on which each feels most strongly, and address the potential for a mutually satisfactory solution,
• formal meetings with the parties together to confirm a mutually acceptable solution arrived at in informal discussions.

It is expected that the independent person will make their report in writing to the parties and to the HAF within one month of being appointed. The report will, in addition to setting out the background to the concerns and brief details of the methodologies used to try to resolve the matter, set out the independent person’s recommendations for resolving the matter.

Further meeting with the Head of Administration and Finance

After consideration of the independent person’s report and taking any further steps considered appropriate, the HAF will call a meeting with the employee to discuss the outcome of the informal stages. This may be to confirm that their concern has been addressed through the independent person’s intervention. The HAF will advise the employee of their right to use the formal procedure (Section 8.5.2) if they are dissatisfied with the outcome.

8.5.2 Individual grievance procedure for all University support staff: formal procedure

Formal procedure

Where an employee believes that it is either not appropriate to deal with a matter informally, or when an attempt at informal resolution has not been successful, and they wish still to pursue the matter, the procedure set out below should be used.

Employee representation

At each stage of the grievance procedure the employee has the right to be accompanied at any meeting by a union representative, or by an accredited elected representative or other colleague of their choice from within the University.

When arrangements for a meeting are being made it will be for the employee to arrange for the representative or person accompanying them to attend. If the employee's representative is unavailable at the proposed time the meeting may be postponed, normally for no more than five working days, in order to facilitate their attendance.

The member of staff should also give advance notice to the person chairing the meeting of the name of any person accompanying them.

Record keeping

Written records, which will be agreed with and made available to the employee, will be kept at each stage of the formal procedure. Employees should note that, when a grievance is formally raised, it is not possible for documents and complaints to be kept "off the record"; those complained about are entitled to know the details of the complaint and to respond to it.

Timescales

The timescales set out in the formal procedure are indicative of what is required for a complaint to receive an appropriately prompt response. Where it becomes apparent that additional time is required this should be discussed with the employee concerned.

The departmental stage

The objective of the departmental stage of the formal grievance procedure is to deal with a complaint locally and promptly to ensure, after the complaint has been clearly set out, and carefully and impartially considered, that, whenever possible, a final response is made which resolves the matter as set out in the introduction to the individual grievance procedure.

Bringing a formal grievance

The employee must set out their signed grievance in writing to the Head of Administration and Finance or equivalent ("the HAF").

Where the HAF has already been informally involved in addressing the matters forming the grievance, and the employee concerned so wishes, the HAF may appoint a nominee to undertake the following steps (that will otherwise be undertaken by the HAF). Where the complaint is against the HAF or equivalent (or, where they are not available or have already been involved) another senior member of staff in the department will nominate an impartial alternative to take on the HAF's role in respect of progressing the grievance.

Preliminary meeting with the Head of Administration and Finance

The HAF will invite the employee to a meeting at which the employee will, where this is not already clear, be invited to explain the basis for their grievance in order that the HAF can inform the investigation that will then be undertaken. The HAF will, where necessary, offer to arrange assistance for the employee with the written presentation of their grievance.

Once informed in writing of the basis of the employee's grievance the HAF will request a written response from any other party they consider appropriate. Written responses should normally be returned to the HAF within five working days of receipt of their request.

Departmental meeting

Once the responses to the grievance have been received the HAF will arrange a meeting to hear the grievance as soon as possible, which will be chaired by the head of department or equivalent or, where they are not available or have already been involved, by another senior member of staff in the department. Departmental meetings will normally be convened with five days' notice to the parties concerned.

The head of department or equivalent, or their nominee, will be advised by University HR as to the procedure to be followed in dealing with the employee's grievance. University HR will, in appropriate cases, on request, provide an officer to advise the head of department or equivalent and ensure that a formal record of the meeting is made.

The head of department or equivalent, or their nominee, may, if they think it appropriate to do so, consider alternatives to either upholding or not upholding the grievance and discuss these with the parties during the course of drawing up their decision letter.

The head of department or equivalent, or their nominee will write to the parties, normally within five working days of the meeting, setting out their findings and resolving the grievance as described in the introduction to the individual grievance procedure.

The head of department or equivalent's decision letter (or the report of their nominee) will also inform the complainant of the means by which they may progress a grievance to the final university appeal stage should they remain dissatisfied with the decision reached.

The final university appeal stage

It is expected that the great majority of grievances will be satisfactorily resolved within the department concerned. Where, exceptionally, a grievance cannot be resolved to the satisfaction of the complainant within their department, a final university appeal stage may be invoked.

If a grievance appeal relates to an appeal of a member of staff who has been dismissed as a consequence of disciplinary action, it should be heard under the arrangements in Statute XIV. All other grievance appeals should be heard as follows.

Notification procedure

Appeals against the outcome of a grievance must be notified in writing to the Director of Human Resources within 10 working days of written confirmation being received. The appellant should specify in writing their grounds for appeal, and the reasons why they are dissatisfied with the outcome at department or divisional level.

The Director of Human Resources will advise the decision maker (and the Head of Department or Division as appropriate if they are not the decision maker) and make arrangements for the servicing of the appeal by an HR Business Partner  (HRBP).

Appeal panel constitution

Appeals notified in respect of a grievance will be heard by a panel consisting of three members of staff, at grade 8 or above, (the panel chair will be more senior than the person who made the decision that is subject to appeal). They will have a balance of role types and one, if appropriate, may have experience relevant to the case being heard. The panel members will be eligible for membership of Congregation, external to the department concerned, and nominated by the Director of Human Resources. One will be asked to act as chair.

Appeal hearing

The appeal panel should, wherever possible, meet within one month to hear the case and all parties concerned should receive adequate notice, normally 5 days, of the hearing.

In some cases it may be appropriate for the appeal panel to gather information, via the HRBP, prior to the hearing. The employee should provide copies of any information which they consider relevant to their appeal, including any witness statements, according to the timescale set out by the HRBP. The decision maker will normally respond within 10 working days to the grounds for appeal, setting out the steps taken to resolve or determine the matter and the rationale for the decision(s) with which the employee is dissatisfied.  The HRBP will ensure that all those involved receive any new material as soon as is practicable. 

Witnesses may be invited to attend and it will be at the discretion of the appeal panel chair whether any witness does need to attend to clarify anything from their witness statement. The employee may invite a union representative or a full time officer of the employee's trade union (if they are a member) or a colleague, from within the University, to accompany them to the appeal hearing. The employee should advise the HRBP servicing the appeal hearing of the person who will accompany them, in good time before the hearing. The employee’s manager may also be accompanied by a colleague from within the University.

The appeal panel will review the grounds of appeal to decide whether the findings and/or outcome of the initial decision were appropriate and proportionate taking into account any new evidence presented, and whether it was conducted through an appropriate procedure.

Outcome

The chair of the panel may, if they think it appropriate to do so, consider alternatives to either upholding or not upholding the grievance and discuss these with the parties during the course of drawing up their report.

The outcome of the appeal will be notified in writing to the department or the division concerned and to the appellant normally within 10 working days of the hearing.

The decision of the appeal panel is final and there shall be no further appeal within the University.

Membership of a trade union is not a condition of employment in the University. Participation in activities within working hours is only permitted in accordance with the terms of any facilities agreement made by the University, and with the consent of your head of department. The attention of members of staff is drawn to the following arrangements that exist for the representation of the various staff groups.

The University has recognised the following as the only trade unions entitled to engage in collective bargaining on behalf of the professional support staff employed by the University:

• Unite
• Unison

The University has agreed to accord Unite and Unison a number of facilities as recognised trade unions.

The Joint Committee for University Staff (JCUSS)  consists of equal numbers of members appointed by the University and by Unite and Unison together. The joint committee meets termly (and on such other occasions as either side requests) to consider and discuss matters relating to the terms and conditions of employment of university-graded support staff. The terms of reference of this committee are set out in section 8.7. Its chair is currently Professor John Watts (Vice-Chair of the People Committee). The University’s joint secretary is Ms Kathryn Fairhurst Jones (University HR) and the employees’ joint secretary is Ms Jenny Brannan (NDM).

Contacting Unite

The Secretary of the University Branch of Unite is Ms Jenny Brannan. The Unite University offices are located at the Department of Plant Sciences, South Parks Road, Oxford, OX1 3RB. P: (01865) 270548. E: [email protected].

Contacting Unison

The members of the employees’ side have an office at 16 Wellington Square, Oxford OX1 2HY, where, by appointment, clerical, library, ancillary, parks, and gardens staff may consult their representatives. Queries from Unison members should be referred either to the branch at [email protected] or the employees’ Joint Secretary (see above).

8.7.1 General Principles

The aim of this agreement is to foster a positive and constructive relationship between the University and its recognised trade unions, and to provide a mutually understood method of discussion with a view to reaching agreement about issues affecting those staff who fall within the purview of this agreement.

Until the procedure provided for in this agreement has been exhausted, neither party shall be free to take any other action and the status quo will be maintained. The parties further agree that inter-union disputes, should they arise, shall be an appropriate subject for this procedure, but will not be the subject of industrial action, and every effort will be made to settle them in accordance with TUC procedures.

The parties to this agreement accept the obligation to arrange discussions under the machinery provided as quickly as practicable, with the aim of settling issues as near as possible to the point of origin. The necessary facilities to enable officers of the recognised trade unions and other staff representatives to carry out their responsibilities are described in Appendix A.

8.7.2 Recognition

The University recognises the Joint Committee for University Support Staff (the JCUSS) as the appropriate and sole bargaining agent in respect of all employees other than those employed in the University's academic and academic-related grades. (Support staff who were assimilated onto the new University grades 6 and 7 will be covered by this recognition agreement.)

The University further recognises Unite and Unison as the only trade unions entitled to engage in collective bargaining on behalf of these staff. The recognised trade unions shall, in addition to the normal facilities for representation of individual members, be accorded such other facilities as are defined in this agreement and as may be agreed in the future.

All local conditions of employment shall be covered by this machinery. Matters negotiated nationally between the Universities' and Colleges' Employers Association (UCEA) and the recognised trade unions will not, however, be a matter for local determination except so far as questions of local application and interpretation may arise.

8.7.3 The Joint Committee for University Support Staff

Membership

The JCUSS will consist of (i) seven persons appointed by the University, including two members of the People Committee, one of whom will be the Vice-Chair (Employee Relations) of the People Committee and will act as chair of the JCUSS; (ii) six representatives of the support staff of whom three are to be nominated by Unite and three are to be nominated by Unison; normally, one of these six is to be nominated from among support staff employed in clinical departments.

Joint secretaries

The employee representatives will appoint a joint secretary from amongst their number, for a term of two years rotating between Unison and Unite, and the University will appoint a joint secretary and a senior lead officer from amongst the officers of University HR. The Joint Secretaries will prepare and distribute the agenda and related documents at least one week before each meeting and will prepare the minutes, including a record of agreed action points, normally within three weeks after each meeting.

The Joint Secretaries will discuss more general matters (including those related to conditions of service) as directed by the joint committee or by their respective officers. They will attempt to clarify the aspirations of those whom they represent and, where possible, to recommend outline agreements. However, the Joint Secretaries are not empowered to reach binding agreements. If they fail to agree a recommendation, issues will be referred to the Joint Committee, which may consider whether the appointment of a small working group might be appropriate.

Meeting arrangements

The JCUSS will meet once each term, normally on the Tuesday morning of week four. A scheduled meeting may be cancelled by agreement of the joint secretaries if there is insufficient business to merit a meeting, or where, in the opinion of the chair, matters raised for discussion could more effectively be dealt with in the first instance by the joint secretaries. Where a matter arises that is so urgent that it cannot await discussion at a scheduled meeting either of the joint secretaries may request of the chair that a special meeting be arranged; a special meeting will normally be held within 10 working days of such a request.

Remit

It will be the duty of the JCUSS (i) to consider and discuss with a view to reaching agreement matters referred to it by the parties to this agreement and (ii) subject to the approval of the People Committee and together with other recognised joint committees, to make arrangements for employees generally to be informed and consulted about the University's personnel policies and practices as envisaged in the Agreement on Consulting and Informing Employees.

8.7.4 Facilities for Officers and Representatives of the JCUSS and of Unison and Unite

The University recognises the contribution made by the officers and representatives of Unite and Unison to its employment relations generally and specifically to the effective operation of its HR policies and practices, including those covering employee information and consultation and those which, like the grievance and disciplinary procedures, can from time to time require that individuals be given the right to representation. The University takes the view that those who carry out such roles are serving its wider interests, and values such effort.

The facilities described below are, therefore, provided by the University to officers of JCUSS and representatives of Unite and Unison to enable them to fulfil this role and to deal generally with matters relevant to the conduct of employment relations between the recognised trade unions and the University. Any queries or concerns in respect of these arrangements may be addressed to the officers of University HR, who can also provide further advice and guidance on request.

In the interests of promoting an effective and constructive relationship between the parties to this agreement, employing departments are asked to make operational arrangements for release from work for representatives and officers to carry out their roles in accordance with the framework set out below. Those responsible in departments for making such arrangements are also asked to foster an understanding within the department of the important role that an officer or representative is undertaking when they are so engaged.

It will be equally important that representatives and officers afforded these facilities recognise the additional operational burden that their involvement can place on their department and that every effort is, therefore, made to minimise the impact of these arrangements on departments. The arrangements for release from work set out below are subject to the agreement at the time of release of the employee’s head of department[1]. It is understood that agreement may from time to time have to be withheld for operational reasons. However, such agreement will not unreasonably be withheld.   

The recognised trade unions will also ensure that no one individual will spend more than 20% of their working hours (averaged over the year) on union business, in order to ensure an undue burden does not fall on any one department and so as not to unduly disrupt the work of individual university departments. In exceptional circumstances, with the agreement of the relevant Branch Chair and the HR Director, it may be possible to increase the amount of time spent on union business by an individual for a defined period of time.

Accreditation

On appointment, each officer or representative covered by this agreement will receive credentials signed by the University’s joint secretary and the appropriate trade union secretary, together with a copy of this and other relevant agreements. A copy of each officer or representative’s credentials, which will include an explanation of his or her specific role and, broadly, of the facilities required, will be supplied to his or her department. A list of the officers and representatives covered by this agreement is in Appendix B.

Facilities for the employees’ representatives on JCUSS

It will be the individual responsibility of the member of the JCUSS to seek the agreement of the head of department in advance of requiring facilities to carry out their role or specific periods of release.

The JCUSS Employees’ Joint Secretary

The JCUSS Employees’ Joint Secretary holds a particularly important role as they are required to work with officers of the University outside their department to ensure the smooth operation of all aspects of the University’s employment relations with its support staff. The Employees’ Joint Secretary’s role includes (but is not limited to): liaising with the University’s Joint Secretary and other officers, for example where consultative meetings are arranged with the University’s senior lead officer in pursuance of the University’s objectives; preparing agendas, papers and minutes for meetings of the JCUSS; dealing with formal correspondence, and with both formal and informal consultation between the University and the employee representatives; and acting as the main contact point for the JCUSS employee representatives.

The Employees’ Joint Secretary will be granted reasonable time off their normal duties to carry out the responsibilities of JCUSS business, if necessary leaving the place of work during working hours (with the approval of the head of department). This includes time off to attend the termly JCUSS meeting. 

In addition, they will have one day off per week to attend to JCUSS matters. This includes time off to attend a termly meeting to discuss that term’s JCUSS agenda with the University’s Joint Secretary.

University HR will make the appropriate arrangements with the Employees’ Joint Secretary’s department for their release from work. However it will be the employees’ joint secretary’s individual responsibility to seek the agreement of the head of department in advance of requiring specific periods of release. The department will maintain a record of the joint secretary’s involvement in issues of mutual concern to the University and the union.

The JCUSS Employees’ Vice Joint Secretary

The JCUSS Employees’ Vice Joint Secretary will be a member of the union which is not represented by the Employees’ Joint Secretary. They will be kept informed of JCUSS business as necessary by the Employees’ Joint Secretary.

The Employees’ Vice Joint Secretary will be granted reasonable time off their normal duties to meet the responsibilities of JCUSS business, if necessary leaving the place of work during working hours (with the approval of the head of department). This includes time off to attend the termly JCUSS meeting and to attend, with the Employees’ Joint Secretary, a termly meeting to discuss that term’s JCUSS agenda with the University’s Joint Secretary.

Accredited members of the JCUSS

Employee representatives serving on the JCUSS are expected, in addition to attending its meetings and the associated meetings of employee representatives, to consult with those who they represent about the business of the committee.

The accredited members of the JCUSS will be granted reasonable time off their normal duties to meet the responsibilities of JCUSS business, if necessary leaving the place of work during working hours (with the approval of the head of department). This includes time off to attend the termly JCUSS meeting. 

Facilities for the accredited trade union representatives

1. Officers and members of the Unite Branch Committee and Unison Branch Committee

All officers and members of the branch committees will be granted reasonable time off to attend to issues of mutual concern to the union and the University (with the approval of the line manager), if necessary leaving their place of work during working hours (with the approval of the head of department).

All officers and members of the branch committees will be granted time off their normal duties to attend regular meetings of their committee, such time off not to exceed two hours per meeting, plus an additional one hour per week to deal with union matters including attending meetings, casework etc.

In addition, the following special arrangements will apply:

2. Branch officers

Unite Branch Committee:
Chair, Vice-Chair, Secretary, Treasurer, Senior Safety Representative

Unison Branch Committee:
Chair, Secretary, Treasurer, Membership Secretary, H&S Branch Officer

It is recognised that officers of the Branch Committees (as specified above) may require time off occasionally, and for short periods, to attend union meetings outside the University. Permission to attend such meetings will be sought from the appropriate head of department. Such permission will not be unreasonably withheld.

3. The Chair of the Unite Branch Committee

The chair (or the secretary) will be granted time off their normal duties to attend monthly meetings of the laboratory representatives, such time off not to exceed two hours per meeting.

4. The Secretaries of the Branch Committees

The Secretary of each branch committee will normally be in attendance at the union office for a period during the morning of each working day. They will be granted time off their normal duties for this purpose, such time off not to exceed one day (or two half days) per week.

The secretary (or the chair) of the Unite Branch Committee will be granted time off their normal duties to attend monthly meetings of the laboratory representatives, such time off not to exceed two hours per meeting.

5. The Treasurers of the Branch Committees

The treasurer of each branch committee, by arrangement with their department, will be granted three days off each year as required to attend to union business at Head Office, plus one hour per week to deal with associated matters (preparation for audits, etc).

6. Unite Laboratory Representatives and Unison Workplace Representatives

Unite laboratory representatives & Unison workplace representatives will be elected by their respective union to represent members in accordance with the terms of this agreement. The number of such representatives and the areas within which they will act will be as specified in the annexe to this agreement, subject to such amendments as may be agreed from time to time. The names and departments of such representatives will be formally notified to the University’s Joint Secretary of JCUSS by the Branch Secretary of the union.

Laboratory and workplace representatives will be granted time off their normal duties to attend to issues of mutual concern to the union and the University (with the approval of the line manager), if necessary leaving their place of work during working hours (with the approval of the head of department).

Unite laboratory representatives will be granted time off their normal duties to attend monthly meetings of the laboratory representatives, such time off not to exceed two hours per meeting.

Other facilities and related matters for Unite and Unison

(a) Meetings

Meetings between representatives of the University and the union will normally be held during working hours.

It is recognised that some staff covered by this agreement work outside normal working hours and that, from time to time, a staff representative might be required to attend a meeting outside these hours. In such cases the staff representative will have time off in lieu (with the approval of the head of department) or be paid overtime at the plain-time rate.

Where an urgent issue requires immediate discussion between the officers of the union and the members, a request to the HR Director for a meeting in working hours will be considered.

(b) Rooms

Facilities for members of the union to meet on university premises, normally outside working hours, will be made available whenever practicable. The union will be responsible for obtaining the necessary approval for the use of such facilities from the appropriate head of department or university officer.

If staff representatives wish to meet among themselves on university premises outside working hours, facilities will be made available whenever practicable.

Staff representatives will be allowed the use of a suitable room for private interviews with members of staff during working hours, with the approval of the appropriate head of department or university officer.

(c) Training

Members of the union will be allowed reasonable time off their normal duties by arrangement with their head of department to attend such training courses relevant to their responsibilities as representatives under the terms of this agreement as are accepted by the Joint Committee as being of benefit to both sides.

(d) Communications

The use of departmental notice boards will be granted for the staff representatives and for formal union business.

All officers and members of the JCUSS, Unite Branch Committee and Unison Branch Committee will be allowed reasonable use of the internal telephone, e-mail, messenger service and reprographic facilities free of charge for employment relations purposes.

The Joint Secretary and Vice Joint Secretary of the JCUSS and the chairs of the Unite Branch Committee and the Unison Branch Committee will also be allowed to make reasonable external telephone calls free of charge for employment relations purposes.

The secretaries and treasurers of the Unite Branch Committee and Unison Branch Committee will also be allowed to use department telephones for external calls on union business.

Officers and Representatives covered by this agreement

• JCUSS: a total of six representatives, normally including one from a clinical department, consisting of:
• JCUSS Joint Secretary
• JCUSS Vice Joint Secretary
• 4 further JCUSS members (2 from Unite, 2 from Unison)

Unite:

• Unite Branch Committee Chair
• Unite Branch Committee Vice-Chair
• Unite Branch Committee Secretary
• Unite Branch Committee Treasurer
• Unite Branch Committee Senior Safety Representative   
• 10 Unite Branch Committee Members             
• 8* Unite Laboratory (or ‘Department’) representatives                                                 
• 8* Unite Safety representatives

Unison:

• Unison Branch Committee Chair                      
• Unison Branch Committee Secretary               
• Unison Branch Committee Treasurer              
• Unison Branch Committee Membership Secretary
• Unison Branch Committee H&S Branch Officer
• 10 Unison Branch Committee Members                      
• 11 Unison workplace representatives              
• 6 Unison Safety representatives

* (or as many as elected, not to exceed 8)

8.7.5 Procedure for resolving differences

The procedure described under this heading will not apply in the case of disciplinary issues, which will be dealt with in accordance with the University's disciplinary procedures.

Formal individual grievances or grievances relating to two or more employees within a department will be raised within the grievance procedure for University support staff.

The parties agree that informal channels of communication within departments and institutions represent the first and preferable method for resolving problems. Both the University and the staff representatives will, therefore, endeavour to facilitate and support this approach wherever practicable, particularly through informal contact at joint secretarial level.

Collective disputes regarding issues of general application affecting more than one department will be referred by either Joint Secretary and, subject to the agreement of the chair, will be dealt with by the JCUSS or by a subcommittee appointed by the JCUSS for the purpose. At this stage the full-time officer(s) of the recognised trade union(s) will have the right to be received by the JCUSS and, if necessary, the committee will adjourn at the request of the employees' side to enable full-time officer(s) to attend.

It is accepted that in any situation in which there is a difference of opinion between the university and employee representatives, any party may wish to refer back to the body appointing them, in which case there will be provision for an adjournment of discussion of that issue for a mutually acceptable period.

In the event that an issue remains unresolved, it will be open to either side to register a 'failure to agree', either as a minuted statement during the course of a meeting of the JCUSS or a subcommittee of the JCUSS or by written communication addressed to the relevant Joint Secretary. In this event neither side will take action to affect the status quo for at least 14 days after the date on which the failure to agree was registered. Within this period it will be open to the parties to agree mutually to refer the matter for conciliation. Such a referral would normally be made to the independent Advisory Conciliation and Arbitration Service (ACAS), on the understanding that the service will be asked only to conciliate, rather than to mediate or arbitrate, on the issue in question.

Ratification of decisions

Under the University's governance arrangements, any alterations to conditions of service, or to the provisions of this agreement, which have been negotiated within the JCUSS must be formally ratified before implementation by the People Committee and, where appropriate, by Council. Where such ratification is not forthcoming, the matter in question will normally be referred back no more than once to the Joint Committee for further consideration and (where appropriate) resubmission to the People Committee in a modified form. If the issue still remains unresolved, it may be dropped by mutual agreement; alternatively the procedure for resolving differences, if it has not already been invoked, may be followed.

8.7.6 Termination or amendment of the agreement

This agreement may be amended by mutual agreement at any time, and may be terminated by any party giving three months' notice in writing to that effect.