Applies to: Academic and General Staff employed in
accordance with the terms and conditions of the Swinburne University of
Technology Academic & General
Staff Certified Agreement 2006–2008
Approved by: Certified Agreement Provisions, 2006–2008
Provisions for disciplinary procedures – unsatisfactory work
performance/conduct for Academic and General Staff as set out
in the Swinburne University of Technology Academic & General
Staff Certified Agreement 2006–2008 are as follows (numbering
matches that in the Agreement for easy reference):
15. DISCIPLINARY
PROCEDURES - UNSATISFACTORY WORK PERFORMANCE
If the University has concerns about the performance or conduct of a
staff member, a meeting will be convened between the staff member and
the appropriate manager. Prior to the meeting being conducted, the
staff member will be informed that he/she has the
right to have a representative present, if he/she so chooses,
throughout the unsatisfactory work performance process. At this
meeting the concerns or problems will be discussed with
the manager outlining all details including the production of any
evidence. The staff member shall also be provided with an opportunity
to respond. The aim of this step is to develop appropriate solutions
to the concerns raised.
A written record of each step of the unsatisfactory work performance
process will be recorded on the staff member’s file.
15.1 First
Written Warning
15.1.1 If it is
clearly demonstrated that the concerns or problems have not been
rectified within the specified time lines the matter will be
discussed with the employee and a first written warning will be
given.
15.1.2 The
employee and management representative will again discuss measures
for improvement and such actions/measures will need to be met within
one month from the date of the first warning being issued.
15.2 Second
and Final Written Warning
15.2.1 In the
event the problem continues, and agreed actions/measures are not
demonstrated and sustained, the employee will be issued with a second
and final written warning. This written warning shall include detail
of the alleged unsatisfactory performance.
15.2.2 The
employee will be given a final chance to achieve the measures, and
will be required to do so within two weeks from the date of the
second and final written warning being issued.
15.2.3 In the
event the matter raised in sub-clause 15.1
remains unresolved or recurs, the employee may be transferred to a
different position, demoted or terminated.
15.2.4 Prior to
any decision being made, the management representative will fully
consult and brief the Vice-Chancellor of all necessary details.
15.2.5 The
University shall communicate the decision to the staff member in
writing.
15.2.6 Should
the employee seek to appeal against the form of action determined,
then he/she must lodge an appeal within 10 days of receiving advice.
The appeal will be heard by an independent external person selected
in accordance with sub-clause 49.1(c). The University will give
consideration to the findings of the appeal. The University will
provide a copy of the report to the affected staff member.
15.3 Process
of Decision Making
-
In the event the Vice-Chancellor does not approve a course of action
as described in sub-clause 15.2.3 the Vice-Chancellor shall, based
on the facts of the matter, authorise to:
15.3.1(i) terminate
proceedings and all action that has taken place in regard to an
employee pursuant to this clause. The employee concerned will be
notified in writing of the Vice-Chancellor's decision, and all
written material on the employee's personal file will be removed
15.3.1 (ii) give
the employee a further 4 weeks to achieve the measures. The employee
will be notified in writing of the Vice-Chancellor's decision.
Further, the written notification will fully outline the University's
expectations over the ensuing 4 week period, and that in the event
the actions/measures are not achieved, the employee concerned will be
terminated at the expiration of the 4 week period.
15.3.1(iii) Authorise
the transfer to another position, or demotion of the employee. The
employee will receive written advice to this effect and will be
advised of the date the transfer or demotion will have effect.
15.4 Termination of
Employment - Unsatisfactory Performance
In the event the measures as described in clause 15 are not achieved
within the stated timeframe, the employee will be terminated. The
Vice-Chancellor will be fully briefed on the decision prior to the
termination of the employee taking effect. The employee will be
notified in writing of the University's decision, including any
reasons.
Where a staff member subject to these unsatisfactory performance
procedures believes there has been a breach of these procedures, such
a breach shall be dealt with via the Dispute Resolution Procedure in
this Agreement.
16. DISCIPLINARY
PROCEDURES - MISCONDUCT/ SERIOUS MISCONDUCT
Prior to taking action against a staff member for reasons amounting to
misconduct or serious misconduct, the Vice-Chancellor must take steps
in accordance with this clause.
16.1
Process
of Review for Misconduct/ Serious Misconduct:
If the Vice-Chancellor believes such allegations warrant further
investigation he/she shall:
16.1.1 notify the
staff member in writing and in sufficient detail the precise nature
of the allegations;
16.1.2 require the
staff member to submit a written response within 10 days;
16.1.3 at the
time of notifying the staff member in accordance with sub-clause
16.1.1, the Vice-Chancellor may suspend the staff member on full pay,
or without pay, dependent upon the circumstances and severity of the
matter;
16.1.4 if
the allegations are admitted in full by the staff member and the
Manager/Direct Supervisor finds that the conduct amounts to
misconduct, the Vice-Chancellor shall advise the staff member in
writing of his/her decision and the operative date of disciplinary
action;
16.1.5 if the
allegations are denied in full or part by the staff member, or no
response is received, the allegation of misconduct or serious
misconduct will be forwarded to the Misconduct Investigation
Committee.
16.2 Misconduct
Investigation Committee
16.2.1 Where
a matter is referred to a Misconduct Investigation Committee, the
Committee shall be convened within 10 working days. The
Committee shall be convened in accordance with clause 49.
16.2.2 The
Misconduct Investigation Committee shall:
16.2.2(i) provide
an opportunity for the staff member to be interviewed;
16.2.2(ii) take
into account all relevant materials and relevant considerations as it
believes appropriate to substantiate or otherwise the facts in
dispute;
16.2.2(iii) allow
the staff member to be assisted or represented by an advocate, but
not if such a person is a currently practising solicitor or
barrister;
16.2.2(iv) conduct
proceedings as expeditiously as possible;
16.2.2(v) operate
under the principles of natural justice;
16.2.2(vi) make
its report to the Vice Chancellor and the affected employee.
16.2.3 The
Committee shall provide a report to the University on the facts
relating to the alleged misconduct or serious misconduct, including
whether any mitigating circumstances are evident and its view of the
appropriate penalty, if any. In reaching a decision the
Vice-Chancellor must take into account the recommendations and
findings of the Committee.
16.2.4 On
receipt of the report of the Committee and having considered its
findings on the facts related to the alleged misconduct or serious
misconduct, the Vice-Chancellor, may take disciplinary action and
shall notify the staff member in writing. The forms of
disciplinary action are not definitive, but can include the
following:
16.2.4(i) termination
of employment,
16.2.4(ii) demotion,
16.2.4(iii) withholding
of an increment,
16.2.4(iv) reprimand.
16.2.5 If,
having considered the Committee's findings the Vice-Chancellor finds
that there has been no misconduct, he/she shall immediately advise
the staff member in writing. If the employee was suspended without
pay the employee will have his/her pay and employment entitlement
reinstated and backdated.
