The University has formal disciplinary procedures in place to help and encourage improvement amongst members of staff whose conduct or performance is unsatisfactory.
They are designed to encourage you to achieve and maintain acceptable standards of conduct and alert you to the consequences of not meeting these standards. Our procedures also provide a fair and consistent way of dealing with situations where misconduct is alleged.
All University procedures are underpinned by the principles of natural justice and the ACAS code of practice.
View the Employee Relations Toolkit here.
ACAS guide on discipline and grievances at work.pdf
Flowchart - Disciplinary Level 1-3.pdf
Flowchart - Disciplinary Level 4+ and academic [Ordinance 3.5].pdf
Guidelines - Disciplinary procedure.pdf
Policy - Anti-corruption, fraud + bribery.pdf
Procedure - Disciplinary Level 1-3.pdf
Procedure - Disciplinary Level 4+ and academic [Ordinance 3.5].pdf
Yes. If formal action has been taken and you feel that the decision made at a disciplinary hearing was wrong or unjust, you can appeal.
Write to the Director of HR setting out the grounds of your appeal.
The relevant timescales for taking action are identified in the University’s disciplinary procedure.
For further guidance we recommend you speak to Employee Relations and consult the University's policies and procedures.
A disciplinary procedure is designed to encourage staff to achieve and maintain acceptable standards of conduct and to provide a fair and consistent procedure for dealing with situations where misconduct is alleged. The procedure also alerts staff to the likely consequences of failure to meet these standards.
There are separate disciplinary procedures for staff at levels 1 to 3 and staff at levels 4 and above. Both procedures are underpinned by the principles of natural justice and the ACAS code of practice.
The aim of the capability procedure is to deal with matters relating to unsatisfactory performance and attendance.
The disciplinary procedure exists to manage effectively matters considered to be misconduct.
The University has discretion in determining which procedure is most suitable given the circumstances of the case.
If a member of staff's conduct does not meet the required standards, the manager should try to help that employee to improve.
This may be achieved through an informal discussion with the employee as soon as problems arise, to explain the concerns and to agree actions for going forward.
Dealing with issues in this way can often prevent the issue escalating, so it is always advisable to try to resolve the issue at the earliest opportunity. It may be helpful to follow up the discussion in writing.
When having this type of discussion it may be useful to consider the following:
If informal action has not resulted in an acceptable standard of conduct, or if a member of staff is considered to have breached the University’s standards of conduct, it may be appropriate to take formal action under this procedure.
It is hoped that the informal management of conduct issues will produce the necessary improvements and avoid the use of formal procedures.
However, the use of informal measures as a precursor to formal procedures is not always appropriate. For the avoidance of doubt, in order to start formal proceedings, it is not necessary to precede this by informal action.
In some situations it may be appropriate for a member of staff to be suspended pending the outcome of a preliminary investigation and disciplinary hearing.
Suspension is usually taken as a precautionary measure where it is considered in the best interests of the University, students or staff. For instance, it may be appropriate to suspend a member of staff:
A member of staff will be suspended from duty at the normal rate of pay and the terms of the suspension will be confirmed in writing. An employee should be left on suspension for as short a period as is reasonably possible.
An alternative to a full suspension from work may be to redeploy the member of staff to another role with the Academic Unit/Professional Service with clear instruction on any restrictions placed on them.
It is important to note that suspension is not a disciplinary sanction or punishment and does not imply guilt.
Always speak to HR before suspending an employee.
Disciplinary action will not be taken against a member of staff until there has been a full and fair preliminary investigation to determine the facts of the matter and to establish if further action is necessary.
The conduct being investigated should normally have occurred or come to light in the preceding six months.
The person who starts the disciplinary proceedings is the initiator.
The initiator is normally the next level manager of the line manager of the person facing allegations.
The initiator requests that a preliminary investigation is carried out and appoints an investigating officer. On completion of the investigation report, the initiator will determine what action, if any, is appropriate.
For staff at levels 1 to 3:
A first level warning will be retained on file and will be regarded as spent between six months and one year subject to satisfactory conduct and/or performance.
A second level warning will be retained on file and will be regarded as spent between one year and two years subject to satisfactory conduct and/or performance.
For staff at levels 4 and above:
A first level warning will retained on file and will be regarded as spent after one year subject to satisfactory conduct and/or performance.
A second level warning will be retained on file and will be regarded as spent after two years subject to satisfactory conduct and/or performance.
In all cases, once the warning is spent it will remain on the member of staff’s file for other relevant employment purposes.
If a member of staff has a live warning on file, this may be considered when deciding on an appropriate sanction at the second disciplinary hearing.
For instance, if a first level warning is live and further misconduct occurs then it may be appropriate to issue a second level warning.
Where an employee feels that disciplinary action taken against them is wrong or unjust they can appeal against the decision.
Employees should set out the grounds of their appeal in writing to the Director of Human Resources within the timescale indicated.
If the grievance raises issues which are the subject of the disciplinary process, the grievance should be raised as part of the disciplinary procedure.
If the grievance concerns the conduct of the investigation the matter should be raised with the person instituting the procedure.
If a member of staff becomes unwell during the course of a disciplinary procedure, the member of staff should normally be referred to Occupational Health.
This should be discussed with the member of staff and their consent obtained.
An employee may become anxious and stressed in the run-up to a disciplinary hearing and it is therefore important to establish from Occupational Health whether the employee is fit to attend a disciplinary hearing, even if signed off sick.
It is normally recommended by occupational health that it is in the interests of the member of staff’s wellbeing for the hearing to proceed as this removes the anxiety and stress.
The University has an occupational health service and members of staff who are unwell can access this service either by a referral from their manager or they can self refer.
The University counselling service is also available.
Trade Union members may wish to draw support from their union.