Dismissal for SOSR (Ordinance 30) - Managers' guidance

1. Introduction

Occasionally the University may contemplate terminating an employee’s employment for a reason that does not sit within its other procedures. Whilst these situations are varied, the purpose of Ordinance 10, section 6 is to provide a common framework for addressing these issues consistently. 

The purpose of this guidance is to assist managers to implement Ordinance 10, section 6. It follows that this guidance should be read in conjunction with the Dismissal for Some Other Substantial Reason Procedure (Ordinance 10, section 6) and the Operating Principles (Ordinance 10, section 1). 

This guidance does not cover termination of employment at the end of a fixed-term contract even if that termination falls under Ordinance 10, section 6. For guidance on the termination of fixed-term contracts refer to the FTC Manager’s Guidance.

2. Manager’s Responsibilities

Where a Manager is considering dismissal under Ordinance 10, section 6, it is their responsibility to: 

• Obtain advice and assistance from HR because dismissal under Ordinance 10, section 6 should not be contemplated if the reason for the dismissal falls within another Ordinance section. 

• Take time to review the information available to them and to consider whether Ordinance 10, section 6 is the correct procedure to follow. If any of the other potentially fair reasons for dismissal is the real reason for possible dismissal then some other substantial reason (SOSR) should not be contemplated and the appropriate procedure should apply.

3. Support and Guidance

HR teams will provide guidance and support to all parties involved in the operation of the procedures prescribed by Ordinance 10, section 6 and Ordinance 10, section 1, point 1.6. 

Trade Unions may advise their members on all aspects of this procedure, and may represent/accompany individuals at meetings (see Ordinance 10, section 1, point 1.12).

4. Establishing the Reasons for Contemplating Dismissal (Ordinance 10, section 6, point 6.1)

It is important that prior to taking any action under Ordinance 10, section 6 the Manager takes the time to review the position, seeks advice from HR and considers whether there is any further information that is needed before inviting the employee to a meeting under point 6.3 of the Ordinance. In rare cases (Ordinance 10, section 6, point 6.2(i)) no meeting will take place). 

In most cases the Manager will already be aware of the factors that have given rise to the consideration of dismissal, for example, where an employee is absent from work due to being imprisoned.  In circumstances such as these although there may be additional inquires which the Manager may need to make before inviting an employee to a meeting under point 6.3 of Ordinance 10, section 6 such inquiries will not normally amount to an investigation such that an investigator needs to be appointed. 

Similarly where an employee’s honorary contract is suspended or their registration is revoked the University will usually have been involved in the NHS investigation under the Follett principles and the Manager will therefore be aware of the investigation that has taken place into any allegations against that employee under their honorary contract. Whilst in such circumstance the Manager must satisfy themselves that the NHS acted reasonably. In these circumstances, it will not usually be necessary to conduct another investigation. 

However whenever a Manager considers that there has been a breakdown in mutual trust and confidence they should seek advice from HR to establish whether it is appropriate to use this procedure rather than, for example, Ordinance 28 and consider appointing an investigator to explore the matters complained of.

5. Suspension

Depending upon the circumstances that have led to contemplating dismissal a Manager may consider that suspension is appropriate. 

Managers do not have the authority to suspend an employee, this can only be done by the HR Director or nominee. If a Manager considers in any particular instance that suspension might be appropriate they must obtain advice from their Faculty HR Manager who will refer the matter to the HR Director or nominee. 

Whilst suspension is normally paid, where an employee has made themselves unavailable for work by being, for example, imprisoned whether on remand or serving a prison sentence thought should be given to whether suspension without pay is appropriate; however this decision will ultimately rest with the HR Director.

6. Investigations (Ordinance 10 section 6, point 6.2)

Not all investigations are the same, it is not therefore possible to prescribe exactly how an investigation should be carried out. The nature of the investigation will depend upon the matter being investigated. These guidelines are therefore suggestions as to how an investigator might proceed with an investigation. 

Before commencing an investigation the investigator (with advice from HR) should consider the reason why the Manager is contemplating dismissal under Ordinance 10, section 6 and the remit of the investigation which will normally include considering: 

• Whether it is necessary to interview anyone other than the employee concerned and if so who. 

• What University policies may be relevant to the matter. 

• What other documentation may assist with the investigation and where it could be obtained from. 

• That it is not the investigator’s role to prove that the concerns expressed have foundation rather it is to gather in all the relevant evidence which includes evidence on behalf of the employee. 

Having established the remit of the investigation the investigator will normally:

• Write to the employee confirming: that they are carrying out the investigation; inviting them to attend an investigatory interview and that they may bring a representative; inviting them to supply any relevant documentation; inviting them to suggest the names of any relevant individuals that they consider the investigator should interview and why; and advising them of the likely length of the investigation (letter to be drafted by HR and sent by the investigator). 

• Contact any individuals who they would like to interview arranging dates and times (letter to be drafted by HR and sent by the investigator). 

• Seek, with the assistance of HR, any relevant documentation. 

• Consider what questions to ask both the employee and any other individuals being interviewed. 

HR will where appropriate: 

• Attend any interviews with the investigator and will take notes of the meetings. 

• Collate any documentation provided during the course of the investigation. 

• Advise and provide administrative assistance to the investigator. 

• Draft any letters to the employee concerned on behalf of the investigator keeping the employee informed as to the progress of the investigation and explaining if there are any undue delays. 

Having completed the investigation the investigator will: 

• Consider all of the information that he or she has gathered. 

• Decide whether or not, in his or her view, there is a case to answer. 

• If there is a case to answer, where appropriate, consider whether the matter should be dealt with under a different procedure. 

• Prepare a report summarising the investigation; the evidence collated; the concerns; drawing attention to any undisputed factual matters; the findings of fact and the decision. 

• It is not for the investigator to make any other recommendations.           

7. The Meeting (Ordinance 10, section 6, point 3)

It is important to remember that the employee is likely to be worried about attending a meeting under Ordinance 10, section 6 particularly as they will be aware that dismissal is a potential outcome.  Therefore the Manager’s first responsibility is, as far as possible, to put the employee at their ease and conduct the meeting in an open and transparent manner. 

(a)      Prior to the meeting (Ordinance 10, section 6, points 6.3.1 - 6.3.2)

• It is important that the employee understands both the purpose of the meeting and the reasons why it has been arranged. The Manager (with advice from HR) should clarify the position with the employee.

• HR will consider whether it is appropriate for the Manager who has been dealing with the matter up to now to conduct the hearing and if not, advise as to who would be the Appropriate Manager for the purposes of the meeting.

• HR will consider whether an appropriate person should be appointed to present the matters that are to be considered at the meeting and advise the Manager accordingly.

• The person identified to hear the case is the Appropriate Manager.

• The Appropriate Manager will:
  • send a letter (drafted by HR and with advice from HR as to timing) inviting the employee to attend a meeting;
  • provide a copy of the investigation report to the employee inviting a written response and details of any further witnesses that the employee feels are relevant;
  • arrange for notes to be taken at the meeting;
  • consider now he or she is going to raise the matters with the employee; and
  • consider what questions he or she could ask the employee that might help clarify issues. 

• The Appropriate Manager will, on the basis of the information supplied in response to the letter inviting the employee to attend a meeting decide:
  • whether or not anyone identified by the employee should be called to the meeting or be interviewed before the meeting;
  • request others to attend the meeting; and
  • ensure that any additional documentation supplied by the employee is given to the person presenting the case.

(b)      The format of the meeting

The Appropriate Manager should explain to all those present at the meeting how the meeting will be conducted. The usual format of the meeting is set out in Appendix 1. 

(c)        At the meeting

The Manager may: 

• Ask questions to clarify the issues and to check that what has been said and that it is understood. 

• Encourage the employee and any others present to speak freely to try to establish all the facts. 

• Establish if there is any explanation for the concerns. 

• Summarise the main points of the discussion after questioning is completed. 

• Establish if there are any special circumstances to be taken into account. 

• Ask the employee if they have anything further to say or to be taken into account. 

(d)       Considering the decision

The Appropriate Manager will consider all information and evidence that has been presented and any mitigating circumstances put forward by the employee. HR will advise the Manager in the particular circumstances of the case which options are available to them, which may include: 

• Taking no further action. 

• Considering the matter under a different procedure. 

• Dismissal (with or without notice). 

Appendix 1

The usual format for the hearing will be: 

• Introductions. 
• Representation – where an individual has brought a representative it is usually helpful if the Appropriate Manager or HR Manager clarifies how that role is to be fulfilled (see Operating Principles: Ordinance 10, section 1, point 1.12). 
• The Appropriate Manager or person presenting should explain the nature of the concerns to the employee. 
• The employee or their representative may ask questions of the Appropriate Manager and any witnesses present at the hearing. 
• The employee may explain the situation from their perspective. 
• The employee may ask his or her witnesses to give their evidence. 
• If there is a person presenting the allegations against the employee they may ask questions of the employee and any witnesses present at the hearing.
• The Appropriate Manager may then ask the person presenting the case to ask their witnesses to give their evidence or call the witnesses themselves.
• The employee or their representative may ask any witnesses questions.
• The Appropriate Manager may ask any final questions.
• The Appropriate Manager may invite the employee or their representative for any final comments before making a decision.
• The Appropriate Manager may then decide to adjourn to enable them to consider carefully all the information and evidence and, with advice from the HR Manager, reach a decision. During this time the employee and their representative can normally be asked to wait in a room nearby, from which they can be recalled when the decision has been taken.
• If it seems that it may take longer to reach a decision the Appropriate Manager may inform the employee that they will be notified of the decision in writing.