Dealing with poor conduct
The following principles will apply to the application of this procedure:
the formal procedure should be invoked.
The above list is not exhaustive and the outcome may be varied according to the circumstances of the case.
This procedure will be reviewed periodically to ensure compliance with changes in employment law and equality and diversity legislation.
Guidelines are available and should be referred to in the application of this procedure.
The following examples are not exhaustive but indicative of conduct that the University considers may warrant disciplinary action up to and including summary* dismissal in the case of gross misconduct:
Persistent offences of misconduct may lead to the termination of employment.
Any misconduct of a sufficiently serious nature may be deemed to be gross misconduct and dealt with accordingly. Examples of behaviour that may constitute gross misconduct are shown below. Again these examples are not exhaustive.
*Summary dismissal - is dismissal for gross misconduct which takes immediate effect and there is no notice period or pay in lieu of notice given as a result of the dismissal.
|Level of disciplinary action||Head of Department IS line manager||Head of Department IS NOT line manager|
Note: the decision to suspend will be taken after consultation with HR
|Head of Department or member of Senior Management Group||Head of Department or member of Senior Management Group|
|Action or sanction less than dismissal
Note: this includes Informal, Written warning (level 1), Final written warning (level 2)
|Head of Department||Line Manager|
|Formal dismissal||Head of Department||Head of Department|
|Appeal for sanction less than dismissal||Senior manager||Senior manager|
|Appeal for dismissal||Three Senior managers not previously involved in the case.||Three Senior managers not previously involved in the case.|
This table is illustrative and not exhaustive. The principles are that the line manager where sufficiently senior can deal with disciplinary action up to and including dismissal. Individuals can nominate a deputy as the authorised manager (with the exception of dismissal – although if not available or previously involved another equivalent manager could be involved, e.g. HoD of another department) but the principles of independence and having not previously been involved in the case or managing others involved in the case should apply.
|Manager authorised to act||As detailed in this procedure, line managers, including but not limited to, Heads of Department, will usually deal with complaints or allegations when they become known. They may consult with HR and if necessary appoint an investigatory manager and following receipt of their report be authorised to make decisions in relation to the complaint or allegation.
Manager authorised to hear a disciplinary case and issue a sanction, action or warning. Will lead and direct the hearing and decide if the allegation(s) against the employee are proven, by questioning and challenging all available evidence in order to make an informed, fair and reasonable decision. To decide on the level of disciplinary sanction if appropriate.
|Manager who made the original decision being appealed||May present the case or be a witness to explain the decision being appealed.
May be accompanied by advisor.
|HR representative: member of the HR team usually HR Manager or HR Advisor||The HR representative will provide advice in respect of the application of this procedure. S/he will support the manager in the process of making an informed, fair and reasonable decision. He/she will ask questions at the hearing and challenge evidence where required.|
|Employee||Will answer allegations or complaints made under this procedure. Will be provided with the opportunity to put his/her case at hearing and appeal and provide the necessary information in relation to the appeal. S/he may question the witnesses and/or the presenting manager and may make representations to the appeal officer.Representative or companion|
|Representative or companion||This may be either a Trade Union representative or work colleague. S/he will support and advise the employee, and may address the meeting/hearing to put the employee's case, ask questions or make any representations, respond on the employee's behalf but s/he cannot answer questions that are directly put to the employee.|
|Witnesses||To provide evidence in relation to the matter of the appeal.|
|Note taker||To take notes of the hearing. These will be notes of key points and will not be a verbatim record. The notes will be provided to both parties who will have the opportunity to submit their comments.|
|Appeal Panel||In cases of Dismissal there will be an appeal panel of three senior managers appointed by the Vice-Chancellor, including a chair, who will be a Member of Senior Management Group.|
|Appeal Officer (Appeal panel in cases of dismissal)||To lead and direct the hearing, decide if the employee's appeal is justified, by questioning and challenging all available evidence in order to make an informed, fair and reasonable decision.
The appeal officer should encourage all parties to speak freely to establish all the facts and determine if there are any special circumstances to be taken into account.
|Investigatory manager||Manager appointed to investigate an allegation or complaint. At hearing will present the statement of complaint, and all related evidence. He/she will answer questions relating to the investigation and may be required to carry out further investigation as directed by the manager who initiated the investigation.|
|Senior Manager||Member of the Senior Management Group, Dean or Head of Department.|
These guidelines must be read in conjunction with the Disciplinary procedure.
Reference should be made to HR if there are any further queries.
Other template letters/documentation used in the process will be provided by Human Resources as required.
An online, 15 minute introduction to the disciplinary procedure.