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This procedure does not apply to:
Good conduct is essential for the efficient and orderly operation of the University’s activities and to ensure the safety and well-being of members of the University and its associates. The purpose of this procedure is to provide a constructive framework for dealing with staff conduct and to ensure that disciplinary action, where necessary, is applied fairly and consistently. The University’s Rules of Conduct for Members of Staff (see Appendix 1) set out the standards of behaviour expected of staff and give examples of behaviour considered by the University to amount to misconduct and gross misconduct, which may result in disciplinary action being taken. It is not possible to specify all forms of behaviour that will result in disciplinary action, nor the type of disciplinary action that may be taken in each situation and each case will be judged on its merits. The procedure shall be initiated at a stage appropriate to the seriousness of the alleged misconduct. With the exception of gross misconduct, no member of staff shall be dismissed for a first breach of the Rules of Conduct.
For staff reporting within the academic school/faculty structure, references to Appropriate Manager shall usually be construed as referring to either the Head of School, or School/Faculty Manager, but may in appropriate cases refer to a head of department or head of discipline. In support process areas, references to Appropriate Manager shall usually refer to either the Divisional Head, or in larger areas, other postholders within the line management structure as appropriate.
In this procedure, unless the context indicates otherwise, references to University postholders and Appropriate Managers shall be construed to refer either to the postholder or the Appropriate Manager or to an appropriate member of staff nominated by him or her to act with full authority on his or her behalf.
Throughout any proceedings taken under this procedure, the University shall seek to ensure that a high standard of confidentiality is maintained, before and after the hearing as well as in relation to the hearing itself. Care shall be taken not to undermine the position of the member of staff concerned in relation to his or her colleagues. Investigations shall be undertaken with discretion. Where necessary to ensure confidentiality, administrative support shall be provided by Personnel Services. Wherever practicable, hearings shall be held away from the member of staff’s normal place of work. None of this shall preclude information about the outcome being given to any person where this is appropriate.
A member of staff who is subject to proceedings under this ordinance has the right to attend hearings and to be represented by an adviser, friend, trade union or other representative. If the member of staff is for good reason unable to attend a formal hearing, the hearing shall be adjourned to a suitable alternative date within a reasonable time. However if there are reasonable grounds to believe that the member of staff is refusing or failing to attend a hearing without good cause, the member of staff will be informed that a further hearing is being arranged. On that further occasion the University may proceed in the absence of the member of staff, unless satisfied that there are good grounds for his or her non-attendance. Any submission concerning non-attendance made by the member of staff in writing, or by his or her representative in person or in writing, shall be considered before any decision is taken to hear the matter in his or her absence. If the hearing proceeds in the member of staff’s absence, any submission made about the misconduct by the member of staff in writing, or by his or her representative in person or in writing, shall be considered at the hearing.
When the conduct of a member of staff is causing concern, the normal management and staff review processes having failed to secure the required improvement, the Appropriate Manager’s1first step shall almost always be to discuss the problem with the member of staff informally under this procedure. Such discussions shall identify the problem and consider its causes and possible solutions. The Appropriate Manager shall ensure that the member of staff is aware of the standards expected and shall consider whether any further support or action might be appropriate.
Where there is continuing concern after such informal discussion, the Appropriate Manager shall make a brief note of the discussion and confirm the main points in writing to the member of staff, including future expectations and the potential consequences of a failure to improve.
Where a member of staff’s health appears to be a contributory cause, the Appropriate Manager shall consider whether it would be appropriate to seek a medical opinion, in which case advice shall be sought from a personnel manager. Where an underlying medical condition is established as a reason for conduct problems, it will normally be appropriate to take the matter forward under the Ill-Health Procedure.
Where informal discussions have not led to improved conduct, or where, exceptionally, alleged misconduct is of such seriousness that informal discussion is inappropriate, the Appropriate Manager, after consultation with a personnel manager, may consider taking formal action under Stage 1 of this procedure. Before any decision is taken to proceed with formal action under Stage 1, the Appropriate Manager shall where appropriate gather such further information as may be required, with advice from a personnel manager. The Appropriate Manager shall inform the member of staff that an investigation is taking place and shall normally interview the member of staff. Written statements may be obtained.
If the Appropriate Manager decides that it is appropriate to consider giving the member of staff a Stage 1 warning, the Appropriate Manager shall arrange a hearing. The Appropriate Manager shall inform the member of staff in writing at least seven working days in advance that there is to be a hearing. The letter shall include:
At the hearing the Appropriate Manager shall interview the member of staff, who shall be given the opportunity to respond. A personnel manager shall normally attend the hearing. The Appropriate Manager may, for good reason, request another member of staff to attend the hearing. Witnesses may attend to give relevant evidence. The Appropriate Manager shall ensure that a note is taken of the hearing. The note shall normally be taken by a personnel manager.
If, having considered the evidence, the Appropriate Manager is satisfied that a Stage 1 warning is appropriate, the Appropriate Manager shall inform the member of staff that a letter shall be sent within seven working days, giving a Stage 1 warning under the procedure, and that the warning will be in force for a period of six calendar months from the date of the letter, after which it will be spent. The Appropriate Manager shall enclose a copy of the note of the hearing, and shall set out in the letter:
The member of staff shall be shown any report on his or her conduct prepared during the period in which the Stage 1 warning is current. If, having considered the evidence, the Appropriate Manager is satisfied that a Stage 1 warning is not appropriate, he or she shall so inform the member of staff and shall confirm this by letter within seven working days.
If the member of staff does not meet the required standard of conduct set out under the Stage 1 warning, or where, exceptionally, the alleged misconduct is such that it is appropriate to dispense with a Stage 1 warning, the Appropriate Manager, after consultation with a personnel manager, may consider taking formal action under Stage 2 of this procedure. Before any decision is taken to proceed with formal action under Stage 2, the Appropriate Manager shall where appropriate gather such further information as may be required, with advice from a personnel manager. The Appropriate Manager shall inform the member of staff that an investigation is taking place and shall normally interview the member of staff. Written statements may be obtained.
If the Appropriate Manager decides that it is appropriate to consider giving the member of staff a Stage 2 warning, the Appropriate Manager shall arrange a hearing. The Appropriate Manager shall inform the member of staff in writing at least seven working days in advance that there is to be a hearing. The letter shall include:
At the hearing the Appropriate Manager shall interview the member of staff, who shall be given the opportunity to respond. A personnel manager shall normally attend the hearing. The Appropriate Manager may, for good reason, request another member of staff to attend the hearing. Witnesses may attend to give relevant evidence. The Appropriate Manager shall ensure that a note is taken of the hearing. The note shall normally be taken by a personnel manager.
If, having considered the evidence, the Appropriate Manager is satisfied that a Stage 2 warning is appropriate, he or she shall inform the member of staff that a letter shall be sent within seven working days, giving a Stage 2 warning under the procedure, and that the warning will be in force for a period of up to two years from the date of the letter (subject to review at one year), after which it will be spent. The Appropriate Manager shall enclose a copy of the note of hearing, and shall set out in the letter:
The member of staff shall be shown any report on his or her conduct prepared during the period in which the Stage 2 warning is current.
If, having considered the evidence, the Appropriate Manager is satisfied that a Stage 2 warning is not appropriate, he or she shall so inform the member of staff and shall confirm this by letter within seven working days. Alternatively the Appropriate Manager may instead issue a Stage 1 warning as set out under Stage 1 of this procedure.
If the member of staff does not meet the required improvements set out under the Stage 2 warning, or where gross misconduct is alleged, the Appropriate Manager, after consultation with the Personnel and Staff Development Director and Pro Vice-Chancellor or Registrar, may set out allegations to be heard by a disciplinary panel.
In the case of a member of staff to whom Statute 32 applies, the Vice-Chancellor shall appoint to the panel three members with no prior involvement in the case, including a lay member of Council in the chair, and a member of the academic staff appointed by Senate. Where the case concerns a member of the clinical academic staff, who is required to engage in clinical work or activities and for that purpose to be registered with the General Medical or Dental Council or similar body and/or to have an honorary or substantive contract or status with a National Health Service trust or similar body, then the panel may include, in addition to its other members, an appropriate representative of the National Health Service, appointed by the Chief Executive of the Avon, Gloucestershire and Wiltshire Strategic Area Health Authority or successor body.
In the case of a member of staff to whom Statute 32 does not apply, the dean or head of division shall appoint to the panel three members who have no prior involvement in the case, nominating one of them as Chair.
The Personnel and Staff Development Director shall act as secretary to the panel, to give advice and to assist the panel, and shall arrange for a note of the proceedings to be taken. The panel may seek independent legal advice.
The Personnel and Staff Development Director shall appoint a member of the University staff or a lawyer to present the allegation against the member of staff. The Personnel and Staff Development Director shall ask the case presenter to set out the allegation or allegations in writing and these shall be sent to the member of staff at least seven working days before the hearing.
The Personnel and Staff Development Director may call for written witness statements in support of the allegation, in which case copies of these shall be sent to the member of staff at least seven working days before the hearing.
Subject to the provisions of this ordinance and to representations made by the member of staff, the order of proceedings at the hearing shall be at the discretion of the panel2.
The panel shall rely only on written or oral evidence presented at the hearing. Normally evidence shall be given by witnesses appearing in person, who may be called by the case presenter, the member of staff or the panel. All such witnesses may be questioned by the case presenter, the member of staff or his or her representative, and members of the panel. The panel may accept a written statement in evidence where the member of staff agrees that the author of the statement need not attend, or where it is impracticable for him or her to attend, or where in the opinion of the panel it is for some other reason in the interests of justice to do so. The panel may ask for additional enquiries to be undertaken, and may call for additional persons to attend.
While every effort will be made to ensure that the member of staff is not rushed in the presentation of his or her case, the panel may impose reasonable time limits on oral addresses and submissions. The panel shall refuse to admit evidence that is, in its opinion, irrelevant to the issues raised. The panel shall have power to adjourn a hearing to another date. The panel shall ensure that the proceedings are dealt with expeditiously. It may set time limits for each stage of the proceedings, and may dismiss the charges if there are undue delays by the University in taking the matter forward.
The panel shall find against a member of staff only if, on the evidence before it, it is satisfied that the allegations are proved. Normally a unanimous verdict will be expected, but if, exceptionally, the members of the panel cannot agree, the verdict of the panel shall be that of the majority of its members. The panel shall give a reasoned decision in writing, which shall be sent to the member of staff. The Vice-Chancellor, having consulted the Chair of the Personnel and Staff Development Committee, has the power for good reason to suspend the activity of the panel, to stop the proceedings against the member of staff, or to require the proceedings or any stage of the proceedings to be concluded by a given dateDisciplinary sanctions normally open to the panel are:
If, having considered the evidence, the panel is satisfied that no action is appropriate, it shall so inform the member of staff and shall confirm this by letter.
A member of staff who is the subject of a complaint of misconduct or against whom a criminal charge is pending or who is the subject of police investigation, may be suspended on full pay by the Vice-Chancellor, pending disciplinary hearing or criminal trial. Suspension shall be employed where necessary to protect a member or members of the University community, or the property of the University or the property of a member or members of the University community, or to facilitate an investigation. Written reasons for the decision shall be recorded and made available to the member of staff. A member of staff who is suspended is prohibited from entering University premises and from participating in University activities. Subject to agreement with the member of staff, partial suspension may be employed, allowing the member of staff to engage in some only of his or her normal duties.
Wherever possible, when suspension of a member of staff is being considered, the member of staff will be interviewed and invited to make representations before any suspension order is made. He or she will be entitled to be accompanied at any such interview by an adviser, friend, trade union or other representative. A member of staff who has been suspended may make representations to the Vice-Chancellor concerning the suspension as soon as is reasonably practicable. The representations may be made in person or in writing, as the member of staff chooses, and may be put forward by the member of staff or his or her adviser, friend, trade union or other representative. A decision to suspend a member of staff shall be subject to review at the request of the member of staff after four weeks. Such a review shall not involve a hearing, but the member of staff, either personally or through an adviser, friend, trade union or other representative, shall be entitled to make written representations. The review shall be conducted by the Vice-Chancellor. In addition to the initial review, the Vice-Chancellor shall review the suspension on receipt of evidence of altered circumstances which affect the original decision.
Where the Vice-Chancellor appoints a nominee, the same person may deal with the original suspension and any subsequent representations.
When formal proceedings under this procedure are contemplated against an accredited representative of a trade union recognised by the University, the Personnel and Staff Development Director shall inform the Branch Chair, Secretary or full-time official of the Union of the circumstances before the hearing.
Where members of staff are involved in teaching or research, whether or not they are covered by Statute 32, the University shall safeguard their freedom within the law to question and test received wisdom and to put forward new ideas and controversial or unpopular opinions, without suffering any detriment.
Where a member of staff transfers to a new post within the University, any current disciplinary warnings will remain in force and the head of the school/division to which the member of staff is transferring will have been advised of this. Appropriate Managers shall refer to the University’s Staff Handbook or Recruitment Guide for advice on references.
A warning that is spent shall normally be disregarded for future disciplinary purposes. After a warning is spent, any notes and correspondence relating to the warning shall be destroyed, except for one copy which shall be held on the central personnel file, clearly marked as spent. However where a pattern emerges whereby the conduct of a member of staff is satisfactory throughout the period during which a warning is current only to fall below the required standard very soon thereafter, the warning may be borne in mind in deciding the type of disciplinary action to be taken in the future.Action may be taken under this procedure against a member of the clinical academic staff, whether on a substantive or an honorary contract, who is required to engage in clinical work or activities, and for that purpose to be registered with the General Medical or Dental Council or similar body and/or to have an honorary or substantive contract or status with an NHS trust or similar body, in respect of conduct arising in connection with his or her NHS work or activities, as if the work or activities were performed in and for the University. Where the registration, contract or status referred to above is suspended, during that period of suspension the Vice-Chancellor may suspend the member of staff from employment at the University. Where the outside suspension has been imposed as a substantive disciplinary measure, the University suspension will be without pay.
Action may be taken under this procedure against a member of the clinical academic staff, whether on a substantive or an honorary contract, who is required to engage in clinical work or activities, and for that purpose to be registered with the General Medical or Dental Council or similar body and/or to have an honorary or substantive contract or status with an NHS trust or similar body, in respect of conduct arising in connection with his or her NHS work or activities, as if the work or activities were performed in and for the University. Where the registration, contract or status referred to above is suspended, during that period of suspension the Vice-Chancellor may suspend the member of staff from employment at the University. Where the outside suspension has been imposed as a substantive disciplinary measure, the University suspension will be without pay.
The University may, but is not obliged to, defer action under this procedure pending the outcome of:
All appeals must be made in writing to the University Secretary within twenty working days of the date when the letter confirming the decision appealed against was sent. The appeal letter shall set out clearly the general grounds on which the appeal is based. A member of staff shall not normally be permitted to raise grounds at the appeal hearing if these were not raised in the original written appeal submission. An appeal may be made under this procedure after a member of staff has left the University following dismissal, however appeal proceedings may be suspended pending the outcome of an employment tribunal application.
Appeals under this procedure against warnings shall be heard by the dean of faculty or Registrar, unless the original decision was taken by the dean or Registrar, in which case the appeal shall be heard by a pro vice-chancellor. Where the original decision was taken by a pro vice-chancellor or the Vice-Chancellor, the appeal shall be heard by a senior member of staff appointed by the Vice-Chancellor. The decision shall be final.
The person hearing the appeal shall be advised by the Personnel and Staff Development Director. The member of staff may present his or her case in person or in writing, and may be represented by an adviser, friend, trade union or other representative. There shall be no entitlement to a rehearing of the case. Grounds for appeal include (1) new evidence which could not reasonably have been presented at the hearing at which the original decision was taken, (2) that the original hearing was not conducted fairly, or (3) that the original decision was unreasonable in the light of the findings of fact. In the first case, the person hearing the appeal may remit the matter back for reconsideration. In the second and third cases, the person hearing the appeal shall overturn the original decision if he or she considers it just to do so.
Appeals against a decision other than a warning, whether against the finding of guilt or the penalty imposed, shall take the form of a review. There shall be no entitlement to a rehearing of the case and witnesses may be called only with the appeal committee’s permission. Grounds for appeal include (1) new evidence which could not reasonably have been presented at the hearing at which the original decision was taken (2) that the original hearing was not conducted fairly or (3) that the original decision was unreasonable in the light of the findings of fact. The committee shall overturn the original decision if it considers it just to do so.
Council shall appoint a committee of three to consider the appeal, none of whom shall have had any prior involvement in the case. The committee shall include a lay member of Council as Chair, and, in the case of members of staff to whom Statute 32 applies, a member of the academic staff appointed by Senate. In addition, in the case of members of staff to whom Statute 32 applies, the member of staff may request that an independent person from outside the University with relevant experience should sit as a fourth member of the committee. Where the appeal is made by a member of the clinical academic staff, who is required to engage in clinical work or activities and for that purpose to be registered with the General Medical or Dental Council or similar body and/or to have an honorary or substantive contract or status with a National Health Service trust or similar body, then the committee may include, in addition to its other members, an appropriate representative of the National Health Service, appointed by the Chief Executive of the Avon, Gloucestershire and Wiltshire Strategic Area Health Authority or successor body.
The University Secretary shall act as secretary to the appeal committee. The procedure shall be determined by the committee3.
The member of staff may present the appeal in person, attend hearings and be represented by an adviser, friend, trade union or other representative. The University may be represented by a member of staff or lawyer. The committee may adjourn hearings, set time limits for stages of the proceedings, correct accidental errors and dismiss an appeal if there are undue delays in taking the matter forward. Every effort will be made to deal with the matter expeditiously. The committee shall give a reasoned decision in writing, which shall be sent to the member of staff and to Council.
Any dismissal under this procedure shall remain in force pending the outcome of an appeal. If the decision to dismiss is overturned, continuity of employment shall be restored.1 Throughout this procedure (subject to Ordinance 33 on removal from an additional post), if the Head of School/Divisional Head’s conduct is causing concern, the matter will be dealt with by the dean or Registrar, as appropriate; if the dean or Registrar’s conduct is causing concern, the matter will be dealt with by the appropriate Pro Vice-Chancellor; and if a Pro Vice-Chancellor’s conduct is causing concern, the matter will be dealt with by the Vice-Chancellor..
2 Personnel will issue guidelines on procedure from time to time.
3 Guidelines on procedure shall be issued from time to time.
| Action | Taken by post holder (or nominee) | Consults | Possible action before hearing | Notice (working days) | Present at hearing (or nominee) | Action which may follow hearing | Period in force | Time for appeal (working days) |
|---|---|---|---|---|---|---|---|---|
| Informal discussion | Appropriate Manager | Advice, training, transfer | ||||||
| Stage 1 warning | Appropriate Manager | Personnel manager | Investigation | 7 | Personnel manager | Stage 1 warning | 6 months | 20 |
| Stage 2 warning | Appropriate Manager | Personnel manager |
Investigation
Suspension |
7 | Personnel manager | Stage 2 warning | Up to two years | 20 |
| Stage 3 Gross misconduct or breach of Stage 2 warning | Appropriate Manager | Personnel manager |
Investigation
Suspension |
7 | Personnel and Staff Development Director | Disciplinary action, including dismissal | 20 |
These Rules apply to all members of staff of the University and form part of their terms and conditions of employment. They set out behaviour which may amount to misconduct, resulting in disciplinary action. The Rules are intended to promote a productive, harmonious and safe working environment.
Members of staff are expected to:
The following list gives examples of behaviour which may constitute misconduct. This list is not intended to be exhaustive:
A member of staff who is found to have been guilty of misconduct shall normally in the first instance be given a warning. However gross misconduct, of such seriousness as to give good grounds for immediate dismissal, may lead to summary dismissal without warning. When determining whether an issue should be dealt with as misconduct or gross misconduct, the actual or potential consequences of the conduct shall be considered. Examples of behaviour which may constitute gross misconduct include assault or physical violence, theft, fraud, research misconduct and serious breaches of regulations relating to health and safety or data protection.
Approved by Council 2 July 2010
Updated 21 September 2010 by Human Resources
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