Disciplinary
Human Resources
HUMAN RESOURCES
8
DISCIPLINARY POLICY
Version Control
Policy Number:
8
Approved by:
Executive Board
Date Approved:
13 December 2017
Next Review Date:
December 2019
Version Number:
2.0
Applicable Statutory, Legal or
ACAS Disciplinary and Grievance Procedure Code of Practice –
National Best Practice
April 2009
Requirements:
Discipline and Grievances at Work – the ACAS guide
Equality Impact Assessment
December 2017
Completion Date:
This document can only be considered valid when viewed via HR ServiceNow. If this document
is printed into hard copy or saved to another location you must check that the version number
on your copy matches that of the one on HR ServiceNow. Approved documents are valid for
use after their approval date and remain in force beyond any expiry of their review date until a
new version is available.
HUMAN RESOURCES
8
DISCIPLINARY POLICY
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Contents
1 Introduction....................................................................................................................... 2
2 Scope ................................................................................................................................ 3
3 Definitions ......................................................................................................................... 3
4 Responsibilities ................................................................................................................. 5
4.1 Managers .................................................................................................................... 5
4.2 Employees ................................................................................................................... 6
4.3 Human Resources Service ............................................................................................ 6
4.4 Investigating Officer .................................................................................................... 7
4.5 Case Manager.............................................................................................................. 8
5 General Principles .............................................................................................................. 8
5.1 Values ......................................................................................................................... 8
5.2 Application .................................................................................................................. 9
5.3 Disciplining Trade Union Representatives .................................................................. 10
5.4 Resignation of an Employee during a Disciplinary Procedure ..................................... 10
5.5 Provision of Employment References ......................................................................... 11
5.6 Overlapping Grievance and Disciplinary Cases ........................................................... 11
5.7 Right to be accompanied ........................................................................................... 11
5.8 Records ..................................................................................................................... 11
6 Implementation and Training ........................................................................................... 12
7 Monitoring ....................................................................................................................... 12
8 Informal Disciplinary Procedure ....................................................................................... 14
9 Formal Disciplinary Procedure .......................................................................................... 15
9.1 Notification of Misconduct Allegation(s) to an Employee ............................................ 15
9.2 Investigation Process ................................................................................................. 15
9.3 Formal Disciplinary Hearing ....................................................................................... 17
9.4 Formal Disciplinary Action ......................................................................................... 20
9.4.1
First Written Warning .......................................................................................... 20
9.4.2
Final Written Warning .......................................................................................... 20
9.4.3
Dismissal ............................................................................................................ 21
9.5 Other Formal Disciplinary Penalties ........................................................................... 21
10 Appeals Process ............................................................................................................... 21
11 Suspension ...................................................................................................................... 23
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Introduction
The University of Bradford (herein referred to as the University) believes that in order to ensure
good employee relations and professional standards it is necessary to promote high standards
of behaviour and conduct amongst all employees. This can be achieved by taking appropriate
corrective action where those standards are not met whilst ensuring employees will be treated
fairly, impartially and consistently in matters relating to discipline.
This policy describes the steps to be taken to deal with each situation in a reasonable and
timely manner whilst supporting the employee concerned to improve their standard of conduct
or behaviour to reach a minimum acceptable standard.
The maintenance of discipline is the responsibility of managerial staff at all levels. Overlooking
an opportunity to address a misconduct issue at an early stage may result in the situation
escalating, leading to the need for more serious disciplinary action later.
While following this policy it may become apparent that another policy is more applicable.
Where this occurs advice from the Human Resources Service should be sought and the relevant
policy applied.
This policy does not address matters relating to unacceptable performance which arises from a
lack of capability. These matters should be dealt with under the Capability Policy.
The aim of this policy is to:
Ensure managers and employees are aware of their roles and responsibilities in respect
of conduct at work;
Ensure that all disciplinary matters are handled fairly, impartially, consistently and in a
timely manner;
Help and encourage all employees to achieve and maintain standards of conduct at work;
Provide a clear framework for the redress of any inappropriate behaviour/conduct in the
course of an employee’s work.
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2
Scope
The policy applies to all employees of the University.
3
Definitions
Investigating Officer - An impartial person appointed to fact find in relation to allegation(s)
made against an employee.
Case Manager – An employee in the Human Resources Service who has an overview of formal
discipline cases and monitors that they progress to conclusion in a timely manner and that any
recommendations from a hearing are considered and where appropriate implemented.
Competent Personnel – A person who has the necessary ability, knowledge, or skill to do
something successfully and who is efficient and capable.
Note Taker – A person not previously involved in the case and not in the same
Faculty/Directorate as the employee the disciplinary allegation is raised against.
Investigation Report - A document providing facts in response to allegation(s) raised against
an employee.
Misconduct - Misconduct of a less serious nature than gross misconduct will not warrant
dismissal. Where a final written warning has been issued, further misconduct for a related
reason may result in dismissal with notice unless there are mitigating circumstances.
Gross misconduct - Gross misconduct is defined as misconduct serious enough to
fundamentally breach the contract of employment between the employer and employee thus
justifying summary dismissal. Dismissal for gross misconduct will be without notice. Acts of
gross misconduct are very serious in nature.
Examples of misconduct and gross misconduct include:
Unsatisfactory timekeeping;
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Unauthorised absence from work without good reason - absence relating to sickness
absence should be dealt with via the Attendance Management Policy;
Breach of University health and safety regulations;
Breach of other University rules and regulations e.g. information governance, data
protection;
Bullying, harassment and victimisation as defined in the Dignity and Respect Policy;
Misuse of the University’s property or name;
Inappropriate work related comments made on social media sites relating to the
University, employees and/or students.
Theft or attempted theft of University property;
Fraud; (also please refer to the University Fraud policy and procedure)
Wilful misrepresentation at the time of appointment including:
Previous positions held;
Qualifications held;
Falsification of date of birth;
Failure to disclose a criminal offence in accordance with the provisions of the
Rehabilitation of Offenders Act;
Misuse of alcohol and illegal substances;
Deliberate damage to University property;
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Deliberate and illegal disclosure of confidential information to unauthorised people
having an adverse impact on the University and/or an individual;
Deliberate and inappropriate access to internet sites containing illegal content in
accordance with the Computer Misuse Policy;
Criminal offences outside the working situation, which substantially affects an
employee's capacity to work or clearly indicates their unsuitability for the kind of work
that they are employed to do or impacts on the University’s reputation;
Unjustified refusal of a reasonable instruction, which could result in serious and
substantial consequences to the University and or an individual;
Bringing the University into disrepute based on actions within and/or outside work that
have serious and substantial consequences for the University and/or an individual.
The above is not an exhaustive list of the type of conduct which may constitute gross/
misconduct. In order to achieve equity and reasonableness each case should be determined on
its individual merits.
4
Responsibilities
4.1 Managers
Managers will:
Be responsible for ensuring that this policy is applied sensitively, fairly, transparently and
consistently within their own area in a timely manner;
Ensure that employees are aware and understand the conduct and standards of
behaviour required by the University;
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Manage issues raised by employees promptly;
Ensure that conduct agreements and formal warnings are removed from personal files
after the appropriate length of time.
4.2 Employees
Employees will:
Act within professional, University and HE Sector codes of conduct at all times;
Report misconduct issues within the workplace to their line manager or manager’s
manager in a timely manner;
Act with integrity and professionalism;
When requested, cooperate with disciplinary investigations as required;
Keep the Human Resources Service informed as to whom their representative is, should
they wish to be represented;
Take responsibility for ensuring that their representative is kept up to date with
proceedings.
4.3 Human Resources Service
The Human Resources Service will:
Oversee the operation and monitoring of the policy;
Ensure the policy is applied fairly, impartially and consistently across the University;
Provide advice and guidance to managers and employees on the Disciplinary Policy and
Procedure;
Provide advice to managers and employees in the event of potential disciplinary
investigations and/or suspensions;
Review changes in employment law to ensure that the policy and procedure is relevant
and up to date;
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Remove conduct agreements and formal warnings from personal files after the
appropriate length of time;
Ensure that disciplinary meetings and panels consist of appropriately competent
personnel;
Ensure that members of disciplinary meetings and panels are appropriate and do not
have a conflict of interest.
4.4 Investigating Officer
Investigating Officers will:
Be competent to undertake an investigation;
Be objective and impartial when conducting the investigation;
Explain the Investigating Officer’s role to all parties involved in an investigation;
Ensure that the Investigation Report is completed within two working weeks of the
conclusion of the investigation, unless there are exceptional circumstances;
Explain the purpose of an investigation to all parties involved in an investigation;
Explain the structure of an investigation to all parties involved in an investigation;
Periodically update the complainant and alleged perpetrator on progress in completion of
the investigation;
Write an investigation report summarising all the facts/findings obtained through the
investigation process without stating an opinion;
Present the investigation report if an allegation progresses to a disciplinary hearing;
Ensure the investigation is concluded in a timely manner.
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4.5 Case Manager
Case Managers will:
Allocate a member of the Human Resources Service to provide advice and support to the
employee the disciplinary allegation is raised against;
Obtain a discipline timeline from the Human Resources Service support to the
discipline issue;
Obtain regular updates on progress against the discipline timeline with the Human
Resources Service support to the discipline issue;
Identify reasons for not meeting any of the discipline deadlines detailed in the discipline
timeline from the Human Resources Service support to the discipline issue;
Review reasons for not meeting any of the discipline deadlines and where appropriate
provide professional advice to the Human Resources Service support to the discipline
issue on how to address any issues impacting on the timely conclusion of the case;
Obtain an update from the Human Resources Service support to the discipline issue with
regard to the consideration and where appropriate implementation of any
recommendations from a disciplinary hearing.
5
General Principles
5.1 Values
The University is committed to the implementation of this policy in accordance with the
University values which are:
We encourage participation and openness;
We encourage creativity and innovation;
We support academic freedom and respect the right to express diverse points of view;
We provide equal opportunities for all staff and students to achieve their full potential;
We apply the best ethical standards in everything we do.
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5.2 Application
The University will ensure:
The disciplinary policy is applied consistently for all conduct allegations raised;
Disciplinary allegations are investigated promptly and there are no unreasonable delays;
An employee will be heard in good faith and no pre-judgements made on
allegations raised;
The disciplinary process will be non-discriminatory and undertaken in accordance with
the Equality Act 2010;
The application of this policy will be undertaken in a manner that ensures confidentiality
of the issues and of the employees and management involved. No information relating
to action taken in this procedure will be divulged to other individuals who are not
involved. This confidentiality is there to ensure that those not involved are unaware that
an investigation is ongoing. Potential witnesses will only be made aware of information
that is necessary for the investigation to continue. They will not be automatically notified
of any developments, if the matter is progressing to a disciplinary hearing (unless they
are being called as a witness) or the outcome. Their statements will, however, be
released to the employee against whom the allegation has been made if the issue is
progressed to a hearing;
The University will not act on information provided to it anonymously without carrying
out a proper investigation. In extreme circumstances, it may be necessary to maintain
the anonymity of persons making complaints against employees or witnesses involved in
disciplinary procedures. This will only be done if it is felt that an employee’s safety
would be compromised by their identity being revealed. It is a principle of natural justice
and a requirement to ensure a fair hearing that employees’ subject to investigation or
disciplinary action can see the evidence on which a decision is to be based. In cases
where it is agreed, for the safety of those involved, that anonymity is maintained the
representative will be provided with reasons which would not breach anonymity. The
person bringing the allegation will also be notified that anonymity cannot be guaranteed
during any subsequent stages of the process. Where allegations are made by an
anonymous source, the person against whom the allegation is made should be made
aware of this fact and be provided with an outline of actions taken by the University to
validate the allegations made;
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If, following a thorough investigation, it is found that the allegations are of malicious
intent and/or vexatious, disciplinary action will be taken against the employee who
raised the allegations. Where it is found that allegations made are of malicious intent the
disciplinary process will be stopped. Any suspension will then be lifted and any live
warnings removed from a personal file;
For academic and academic related employees, the decision as to whether an allegation
constitutes gross misconduct will be made by the Dean/Director in consultation with the
Human Resources Service. The same applies where an employee has been given a final
written warning and the allegation is that they have not met the required level of conduct
in the monitoring period;
The Investigating Officer will be appointed by a member of the Human Resources Service
supported by the Dean/Director of the Faculty/Directorate. On occasion an external
Investigating Officer may be appointed to undertake an investigation. The University will
ensure the external Investigating Officer is competent to undertake investigations. The
Investigating Officer must not be someone who would potentially be implicated in the
investigation or affected by the outcome of the investigation and should ideally be from
outside the Faculty/Directorate, where possible.
If concerns are raised regarding the
impartiality of an Investigating Officer these will be considered and acted upon where
justified. An Investigating Officer will be supported in completing the investigation by a
member of the Human Resources Service;
5.3 Disciplining Trade Union Representatives
In the event that allegations are made against an employee who is also a Trade Union
representative, a Full Time Officer from the appropriate Trade Union will be informed as soon
as the allegation(s) is raised with the consent of the employee. The Full Time Officer may
represent the employee at any stage of the formal disciplinary procedure and/or during the
preceding investigation.
5.4 Resignation of an Employee during a
Disciplinary Procedure
If an employee resigns during a disciplinary procedure, the investigation should be completed
and a disciplinary hearing should still take place if required as per the disciplinary hearing
procedure available on HR ServiceNow. The employee will be invited to attend the hearing and
informed that if they choose not to attend a decision will be made in their absence.
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5.5 Provision of Employment References
The University has a policy of providing standard employment references. If a reference
request is received relating to an employee who is suspended, has resigned during
investigation or pending a disciplinary hearing, or has been dismissed due to gross misconduct
it should be sent to the HR Service Centre to enable an appropriate reference to be provided.
It is not allowed that line managers provide personal references in such circumstances.
5.6 Overlapping Grievance and Disciplinary Cases
Where a grievance and disciplinary case is related, both issues will be dealt with concurrently.
The decision as to whether grievance and disciplinary issues are related will be taken by the
Human Resources Service following due consultation with the employee raising the grievance.
Where an employee raises a grievance during a disciplinary process, the disciplinary process
may be temporarily suspended in order to deal with the grievance.
5.7 Right to be accompanied
All employees have the right to be accompanied by a Trade Union representative or work
colleague if they wish where they are required to attend formal meetings or hearings.
Employees who wish to be accompanied by another individual must get express permission
from the Investigating Officer/Chair of panel in conjunction with the Human Resources Service
to allow them to attend any formal meeting. This is normally only allowed in specific
circumstances when it is deemed to be a reasonable adjustment.
It is at the discretion of the Chair of the panel whether a professionally registered employee is
entitled to be accompanied at a stage 3 dismissal hearing and an appeal against dismissal
hearing by an appropriately qualified legal professional. The Chair of the panel’s decision will
be based on case law.
5.8 Records
It is important and in the interests of both employee and employer, to keep full written records
during the disciplinary process.
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In accordance with the Data Protection Act 1998 records should include:
The nature of the disciplinary allegation, including a written copy where appropriate;
The disciplinary investigation report and any statements of case;
The disciplinary hearing outcome letter;
Where there was an Appeal the outcome, and;
Evidence of completion of an action plan, if required.
The line manager should notify their Human Resources Service representative of the informal
disciplinary process and outcome so it can be anonymously recorded on HR ServiceNow to
enable monitoring of whether there are any patterns/trends.
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Implementation and Training
The Policy will be uploaded onto HR ServiceNow.
The approval of the Policy will be communicated in the weekly University staff briefing.
Line Managers are responsible for raising awareness of all new/updated policies through their
normal Faculty/Directorate communication channels.
The Human Resources Service will work with Faculties/Directorates to identify appropriate
provision of training, guidance and support to line managers on the implementation of this
Policy.
The Human Resources Service will ensure the provision of training, guidance and support to
investigating officers on how to fulfil the responsibilities of the role.
The Human Resources Service will ensure the provision of training, guidance and support to
disciplinary hearing panel members on how to conduct a disciplinary hearing.
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Monitoring
An annual report specifying the number of disciplinary issues and identification of any
patterns/trends will be developed.
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Debrief sessions will be undertaken within the Human Resources Service following the
conclusion of a discipline process to monitor the effectiveness of the procedure.
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Procedure
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Informal Disciplinary Procedure
The University advocates that wherever possible (and appropriate) issues of misconduct within
the workplace should be resolved informally unless misconduct is repeated or serious enough
to warrant recourse to the formal disciplinary procedure.
When an employee’s conduct does not meet the standards set out in this policy, the manager
should meet informally with them.
The purpose of this meeting is to ensure that the employee clearly understands the concern
around their conduct and the standards of behaviour expected. Employees will be made aware
of the potential consequences where there is failure to comply with the required standards of
behaviour; including disciplinary action up to and including dismissal. The meeting also
provides an opportunity to help the employee rectify their behaviour by discussing any
problems with the manager and identifying any help and support that can be put in place to
address the issue therefore avoiding using the formal disciplinary procedure wherever
possible. It is the responsibility of the line manager to put in place any agreed help/support
within agreed timescales. Any informal action taken will remain on the employee’s personal
file for a period of 12 months.
These meetings are part of the normal workplace line management relationship and do not
constitute part of the formal disciplinary procedure.
If it becomes clear during the course of the informal meeting that disciplinary action may be
required, the meeting should be ended and the formal disciplinary procedure should be
followed.
The line manager will confirm the outcome of the informal meeting via an appropriate and
agreed means within seven calendar days of the meeting.
If the informal meeting does not accomplish the desired effect at any point within a 12 month
period or if the misconduct warrants more serious action then the formal disciplinary
procedure should be invoked immediately. A template letter confirming the outcome of an
informal meeting is available on HR ServiceNow.
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Formal Disciplinary Procedure
9.1 Notification of Misconduct Allegation(s) to an
Employee
An employee will be informed of any allegation(s) raised against them to enable them to
prepare and put forward their case at an investigatory meeting.
9.2 Investigation Process
Prior to any formal disciplinary action being considered, a timely, impartial and thorough
investigation into the allegation(s) should be conducted.
Where allegations of a criminal nature are to be investigated a criminal and internal University
investigation can run in parallel but a criminal investigation may be allowed to take precedence
if appropriate. Any information/evidence gathered during the internal University investigation
process may be shared as part of a criminal investigation.
Prior to the commencement of an investigation an Investigating Officer will be provided with
terms of reference by a member of the Human Resources Service detailing the remit of the
investigation they are to undertake. The terms of reference does not need to be agreed with
either the complainant or respondent. If additional allegations relating to the employee
currently being investigated come to light during the investigation process, the Investigating
Officer will notify a member of the Human Resources Service. If it is felt appropriate based on
the evidence available, to investigate the additional allegations the terms of reference will be
updated to incorporate the additional allegations and the employee whom the allegations are
against notified accordingly.
The Investigating Officer will then develop a timeline for the completion of the investigation
which should be reviewed and may be updated reflecting information that comes to light as
part of the investigation. The Investigating Officer should provide all parties involved in the
investigation updates on any changes in timescales.
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Any employee who is invited to an investigation meeting will be offered the opportunity to be
accompanied by a Trade Union representative or work colleague if they wish. Up to seven
calendar days should be allowed for an employee to arrange representation or less by
agreement. Any refusal to attend an investigatory meeting, including as a witness, will be
investigated to understand the reasons why. As an employee of the University there is an
expectation to fully co-operate with any reasonable request to participate in an investigation.
Failure to reasonably participate in an investigation will be deemed as a failure to carry out a
reasonable management instruction and could result in disciplinary action.
The venue for all formal investigatory meetings must be in a private, uninterrupted
environment. Ideally, this will be away from an employee’s normal area of work.
Notes will be taken during the investigatory meeting. This will form a statement which will be
circulated after the meeting by the Investigating Officer to be signed by the person supplying
the information as their agreement to its accuracy. The employee may make any relevant
changes to the statement to ensure accuracy. If an Investigating Officer disagrees with the
changes made to a statement then both versions of the statement will be submitted in the
investigation report with an explanation from the Investigating Officer on the points of
difference.
On occasions, it may not be necessary to hold an investigatory meeting with a potential witness
and it may be sufficient enough to ask for a written statement which should be signed and
dated as a true recollection of events. This would ordinarily be for additional witnesses as
opposed to key witnesses in the case.
During the investigation other supporting documentation may need to be collected. This may
include, for example; records, photographs, reports, University policies and procedures.
Employees against whom allegations of misconduct have been made must have at least one
opportunity to respond to the allegation as part of the investigation. The meeting should be
long enough in duration to enable the employee to provide all their evidence.
The Investigating Officer will summarise their findings in the form of an Investigation Report
for submission to the appropriate level of manager. A template investigation report is available
on HR ServiceNow.
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The manager reviewing the Investigation Report will then decide the appropriate way forward
supported by a member of the Human Resources Service.
The employee who is subject to the allegation(s) and their line manager will be informed of the
outcome of the investigation by the manager who has reviewed the Investigation Report, in
writing based on one of the following outcomes:
No evidence was found to support the allegation(s) raised and no further action is to be
taken;
There was insufficient evidence to confirm if there was any substance to the allegation(s)
raised and therefore no further action is to be taken;
The allegation(s) are to be dealt with informally;
The allegation(s) are to be progressed to a disciplinary hearing for further consideration
at gross/misconduct level.
9.3 Formal Disciplinary Hearing
Where the informal disciplinary procedure has not resulted in the required change or where the
allegation(s) raised and an outcome of the investigation warrants moving directly to a formal
disciplinary hearing the employee who is subject of the allegation will be required to attend a
disciplinary hearing.
Where a full disciplinary hearing is required the employee will be notified in writing giving a
minimum of 21 calendar days’ notice.
Misconduct issues will be heard by the employee’s line manager or line manager’s manager.
Gross misconduct issues will be heard by a Head of Service/School and senior representative of
the same job family as the employee the allegation is against.
A full and complete copy of the investigation report including appendices will be enclosed.
This Investigation Report will be referred to at the disciplinary hearing. In exceptional
circumstances, it may be necessary to maintain the anonymity of complainants or witnesses in
the Investigation Report (see section 5 – General Principles).
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The employee will be invited to the disciplinary hearing and will be notified of:
The date, time and location of the disciplinary hearing;
Their entitlement to be represented by a Trade Union representative or work colleague.
The employee is also required to confirm who will accompany him/her to the disciplinary
hearing if they have chosen to be accompanied at least 14 calendar days prior to the
hearing;
Their entitlement to call witnesses and for their names to be provided no later than
14 calendar days before the hearing;
The opportunity to submit a statement of case in addition to what is included in the
Disciplinary Investigation Report 14 calendar days prior to the hearing. Failure to submit
the information within this timescale may result in the information not being considered
at the hearing.
All parties will be notified of any witnesses that are to be called to the disciplinary hearing and
provided with any statements of case submitted seven calendar days prior to the disciplinary
hearing.
Where witnesses are required to attend, they will be entitled to be accompanied and supported
by either their Trade Union representative or a work colleague during the hearing if they wish.
Witnesses who are University employees will be provided with paid time off to attend the
disciplinary hearing.
Agreement will be reached with the employee’s line manager regarding reasonable time off to
prepare for the formal hearings.
The first date of a disciplinary hearing may be postponed at the discretion of the Chair if any of
the following are unable to attend:
The employee and/or his/her representative;
The notified witnesses;
The person presenting the case against the employee;
Any member of the hearing panel.
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If a disciplinary hearing needs to be rescheduled all parties should try to work together to
reschedule the hearing within 14 calendar days of the original date and no further
postponements will be made to a re-arranged disciplinary hearing. It is the employee’s
responsibility to ensure that their representative is fully informed at the earliest opportunity as
to when hearings are proposed. Failure of an employee to attend a re-arranged hearing
without good reason may lead to a decision being made in their absence.
If an employee is unable to attend a disciplinary hearing due to ill health the hearing may be
rescheduled. Should the health issue be long term, advice will be sought from the
Occupational Health Service as to whether the employee is fit to attend. If the Occupational
Health Service believes that the employee is either fit enough or it is in their best interest to
attend a hearing will be scheduled. If the Occupational Health Service feels an employee is
medically unfit to attend a disciplinary hearing and the University feels this will not change
within a reasonable timescale the disciplinary hearing will be undertaken in their absence. The
hearing will proceed based on the information available, and the outcome confirmed in writing.
Other opportunities for the employee to engage in the disciplinary hearing process will be
explored and implemented where possible.
It will be the responsibility of the employee who is the subject of the disciplinary allegations
and/or their Trade Union representative to invite and brief their witnesses prior to the
disciplinary hearing.
The disciplinary hearing should, ideally, take place away from the employee’s normal area of
work.
The Chair of the panel will be supported at the disciplinary hearing by a member of the Human
Resources Service to ensure the hearing is conducted in accordance with the University
Disciplinary Policy and Procedure and to provide professional advice to the hearing panel.
Notes of the hearing are to be undertaken by a note taker that are an accurate reflection of the
hearing but not verbatim.
The procedure to be followed at the disciplinary hearing is detailed on HR ServiceNow.
Adjournments may be made at appropriate times during the disciplinary hearing with
agreement from the Chair of the disciplinary hearing panel.
An employee has the right to request that their representative speaks on their behalf or
produces a written submission to be taken into account at a hearing but the representative
cannot answer questions on the employee’s behalf. For further advice please speak to the
Human Resources Service.
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Reasonable adjustments will be made to enable any employee with specific requirements
covered under the Equality Act to attend and participate in the disciplinary hearing process
with the necessary advice from the Occupational Health Service to inform any adjustments.
Within seven calendar days of the date of the disciplinary hearing, the outcome, including the
right of appeal, should be confirmed in writing to the employee along with a copy of the
minutes from the hearing.
Where recommendations are made by the Chair of the disciplinary hearing panel a person
should be identified by the Chair to implement the recommendations and a follow up meeting
take place to ensure the recommendations have been fully implemented, whether they are
individual or service recommendations.
9.4 Formal Disciplinary Action
There are three levels of the formal disciplinary procedure with various sanctions dependent
upon the gravity of the case and/or the on-going nature of the misconduct.
9.4.1 First Written Warning
It is appropriate to issue a first written warning if the employee already has live informal action
for misconduct or if it is a first more serious misconduct offence.
The employee will be warned that a repetition or other subsequent related misconduct may
lead to further disciplinary action being taken against them up to and including dismissal.
They will also be informed that the warning will remain on their personal file for six months.
9.4.2 Final Written Warning
It is appropriate to issue a final written warning following a repetition or other subsequent
misconduct and the employee already has a live written warning, or, when the misconduct is
deemed as serious but falls short of gross misconduct or, in the case of gross misconduct
where there are mitigating circumstances and it is felt that dismissal is not appropriate.
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The employee will be warned that a repetition or other subsequent misconduct may lead to
further disciplinary action being taken against them, not excluding dismissal. They will also be
informed that the warning will remain on their personal file for 12 months.
9.4.3 Dismissal
It will be appropriate to dismiss someone on the grounds of:
Gross misconduct; or
Misconduct following a repetition or other subsequent misconduct and the employee
already has a live final written warning.
In the case of gross misconduct, the dismissal will be without notice.
9.5 Other Formal Disciplinary Penalties
As an alternative to dismissal there may be exceptional circumstances, which warrant other
penalties. These include sanctions such as disciplinary transfer, demotion i.e. reduction of
grade and responsibilities.
The decision on disciplinary action will be taken by the disciplinary panel with professional
advice from a member of the Human Resources Service.
10 Appeals Process
Any employee who is dissatisfied with the outcome of any stage of the formal disciplinary
procedure may appeal to the appropriate member of management based on the scheme of
authority available on HR ServiceNow. This must be done within two working weeks of receipt
of the written disciplinary decision. If an appeal is made outside of this time period but it is in
the interest of justice and fairness a decision can be made to progress to an appeal hearing.
The appeal must be made in writing clearly stating the basis on which the appeal is to be
made.
The appeal can be submitted for one of the following reasons:
A procedural irregularity;
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Inappropriate sanction based on the nature of the misconduct;
New evidence not presented at the original disciplinary hearing;
Some other justifiable reason. The Chair of the disciplinary appeal panel has grounds to
review and reject the ‘some other justifiable reason’ if felt not to be justifiable.
One appeal will be allowed at each stage of the formal disciplinary procedure.
The employee will be required to attend an appeal hearing where they will have the right to be
accompanied by a Trade Union representative or work colleague if they wish.
Appeals must be considered by a manager who has not been previously involved with the case
and a member of the Human Resources Service present.
Appeals against dismissal will be considered by a panel comprised of:
A Chairperson who is a member of the Council or in exceptional circumstances a
Dean/Director;
A Senior Manager of the same job family as the person who the allegation is against.
The employee will be invited to the disciplinary appeal hearing and will be notified of:
The date, time and location of the disciplinary appeal hearing;
Their entitlement to be represented by a Trade Union representative or work colleague.
The employee is also required to confirm who will accompany him/her to the disciplinary
appeal hearing if they have chosen to be accompanied at least 14 calendar days prior to
the hearing;
Their entitlement to call witnesses and for their names to be provided no later than
14 calendar days before the disciplinary appeal hearing.
The opportunity to submit a statement of case 14 calendar days prior to the disciplinary
appeal hearing. Failure to submit the information within this timescale may result in the
information not being considered at the disciplinary appeal hearing;
All parties will be notified of any witnesses that are to be called to the disciplinary appeal
hearing and provided with any statements of case submitted seven calendar days prior to the
disciplinary appeal hearing.
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Notes of the hearing are to be undertaken by a note taker that are an accurate reflection of the
hearing but not verbatim.
The procedure to be followed at an appeal hearing is available on HR ServiceNow.
The decision of the appeal hearing panel will be final.
11 Suspension
It may be necessary to remove an employee from their workplace whilst a full and proper
investigation takes place into the allegations and to ensure evidence/materials are not removed
and access to IT equipment is removed.
This removal from the workplace may take the form of a suspension on full contractual pay,
relocation to another work area or an employee may be asked to work under the direct
supervision of another manager/person as appropriate. It should be made clear to the
employee that the suspension is not part of any disciplinary action and does not involve any
prejudgement.
The Director of Human Resources and Organisational Development will be responsible for
making a decision to suspend an employee from their workplace. A risk assessment should be
completed to support the decision and a template document is available on HR ServiceNow.
The suspending manager should be accompanied in an advisory capacity by a member of the
Human Resources Service when suspending an employee. Where this is not possible the
suspending manager should be accompanied by another independent person.
Suspension should be for the shortest practicable time in order for the investigation to be
completed and for the employee to prepare their case.
After 14 calendar days, the employee will be contacted by the Investigation Officer and
provided with an update on the progression of the investigation and a review of the
suspension. The suspension will be reviewed every 14 calendar days thereafter by the
Case Manager.
Suspended employees will not be allowed onto campus (with the exception of attending
meetings related to the issue), to access any University facilities or to contact University
employees throughout the investigation with the exception of their Trade Union representative
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or accompanying work colleague, or to request an employee as a witness at a disciplinary
hearing.
If employees are required to come onto University property or wish to request access to
University facilities e.g. IT system for specific reasons other than to attend meetings or attend
Occupational Health services they must first contact their line manager to gain permission,
unless agreed otherwise.
If an employee wishes to take annual leave during a period of suspension they must request
annual leave through their line manager. Similarly an employee must notify their line manager
if they are medically unfit for work and submit any fit notes as appropriate.
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