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The purpose of this document is to provide Managers and staff with further guidance and information on how to apply this procedure. This guidance should be read in conjunction with the Conduct Procedure and with guidance on how to conduct investigations.
Under this Guidance, the term Manager or Line Manager refers to a Head of Department or other individual who has been given delegated responsibility for the day-to-day management of a member of staff by the Head of Department.
In line with the Ordinance, the Head of Department may delegate their formal role under the procedure, where appropriate (see Section 2 Procedural Issues).
This procedure is designed to deal with issues of conduct, rather than issues related to either performance or health for which separate procedures exist.
In reality it may not always be easy to determine at the early stages, which of the procedures is most appropriate.
Generally, where an individual’s conduct has breached the University’s “Rules of Conduct for Members of Staff” it is most likely that the conduct procedure is the appropriate one to follow in the first instance. Poor timekeeping, refusal to carry out a reasonable request, breach of regulations, policies etc, unauthorised absence, violent behaviour, harassment or bullying, fraud, theft etc, are all examples of situations where it is likely to be appropriate to use this procedure (the Rules provide a fuller list of examples).
Consideration should be given to whether a member of staff’s health may be a contributory cause to the conduct issue, and if so a medical opinion should be sought. It may subsequently be appropriate to take the matter forward under the ill health procedure.
Before taking any action under this procedure, advice should always be sought from your Personnel Manager.
Responsible for taking action where inappropriate behaviour/conduct is being displayed by a member of their staff; responsible for initiating proceedings under the procedure, following appropriate consultation with their Personnel Manager; responsible for ensuring that appropriate information discussions/reviews have taken place before moving into more formal stages of the procedure; responsible for gathering appropriate “evidence” for presentation at informal discussions or at formal hearings; responsible for initiating appropriate investigations (see separate guidance on Conducting Investigations); responsible for identifying appropriate witnesses to attend formal hearings; responsible for determining whether it is appropriate to request another member of staff to attend the hearing; responsible for convening hearings, writing letters, providing notes etc., in accordance with the procedures; responsible for listening to the individual’s explanations for their conduct; responsible for adjourning hearings where appropriate and necessary to gather further relevant information; responsible for considering all the evidence provided objectively and fairly; responsible for taking decisions on disciplinary action/sanctions under the procedure.
Responsible for advising Managers and staff on appropriate implementation of policy, principles and procedures; responsible for advising Heads of Department/Line Managers when it is NOT appropriate to use this procedure; responsible for assisting with investigations (see separate guidance on Conducting Investigations); responsible for advising on who should, appropriately, attend the hearing; responsible for advising Heads of Departments/Line Managers when an adjournment should be granted; responsible for ensuring that Heads of Departments/Line Managers convene hearings, write letters, provide notes etc., in accordance with the procedures; responsible for ensuring that decisions taken by Heads of Department/Line Managers are consistent and fair across the organisation.
Responsible for providing relevant and appropriate advice to their members as required; responsible for providing appropriate representation of staff at Hearings as required; responsible for endeavouring to be available to attend Hearings as required.
Responsible for ensuring that their conduct and behaviour is appropriate at all times; responsible for being aware of the University’s Rules of Conduct and acting in accordance with these; responsible for attending hearings as required under the procedures; responsible for providing all relevant information in order that fair and objective decisions can be taken.
Responsible for convening and servicing appeals panels in accordance with the procedure.
The Manager must have consulted with their Personnel Manager before taking action under this procedure.
Informal discussion and review under the procedure must be instigated and exhausted before proceeding to formal action under the procedure.
When setting up informal discussions under the procedure the Manager should ensure that the individual is notified of the date, time, purpose and location of the meeting in writing (or by e-mail) in good time so that the individual can prepare for the meeting (usually, 2 working days notice as a minimum should be given).
An individual will often ask if they can bring along a representative to informal meetings, and whilst this is not part of the procedure, Managers need to be aware that there is a legal requirement to allow representation where disciplinary action may be taken. Where a Manager is unhappy, advice should be sought from the Personnel Manager.
The Manager should ensure that adequate time is set aside for the meeting, and that the discussions will be held in uninterrupted privacy.
The Manager should ensure that s/he explains clearly the purpose and structure of the discussion, and that the individual has an opportunity to raise any issues that are of concern to them.
The Manager will explain the standards required, outline in what respect the employee is failing to achieve this, explore possible explanations of this and agree a plan of action. The Manager will also agree what further support and/or training or development will be provided. The Manager should also indicate clearly the timescale within which an improvement should be achieved.
Whilst the meeting is an informal one, the Manager should nonetheless ensure that a note is kept of the meeting, and of agreed outcomes, targets, review date etc., and that this is sent to the individual after the meeting.
Before convening a formal hearing, it will normally be essential to have conducted appropriate investigations (see separate guidance on Conducting Investigations).
For Formal Hearings at Stage 1 and 2 the Manager will need to determine whether they should involve another member of staff in the hearing. This might be the supervisor or immediate line Manager who may be much closer to the detail of the case. It is good practice to follow the following format:
Introductions – all present to introduce themselves, their role in the University and their role in the proceedings.
Where an individual has brought a representative, the Personnel Manager present at the hearing should clarify how that role is to be fulfilled. The role may involve:-
Where an individual has elected not to bring a representative to any meeting, the Manager should always confirm that the individual has so chosen and is happy to proceed, before the meeting commences.
Manager to outline case from his/her perspective.
Individual to ask questions of/to respond to the Manager.
Manager to present any witnesses who will make their statement and who will respond to questions from the Manager or panel and the individual, and then withdraw from the hearing.
Individual to present any witnesses who will make their statement and who will respond to questions from the individual and the Manager or panel, and then withdraw from the hearing.
Manager to ask any final questions of the individual.
Manager to adjourn –this will normally be for a short time to enable the Manager to consider carefully all the information and evidence and, with advice from the Personnel Manager, to reach a decision. During this short time the individual and their representative can normally be asked to retire to a room nearby, from which they can be recalled when the decision has been taken.
During the adjournment – the Manager will consider all information and evidence that has been presented, the seriousness of the case and any mitigating circumstances put forward by the individual. The Personnel Manager will advise as to all the alternatives to the Manager, which may include:
The Manager must also consider where appropriate, what standards of behaviour/conduct should be clearly specified to the individual, the timeframe over which these should be achieved (this will often be immediately and on-going for issues of conduct) and the implications if they do not meet these standards. The Manager should also consider what support, if any should be offered to the individual to assist them.
Hearing to reconvene and the Manager to convey the decision to the individual, before following up in writing.
Formal Hearings at Stage 3 – In order to ensure that Panels for staff not covered by Statute 32 are appropriately convened, efforts will be made to ensure that Panel members, whilst having no prior involvement in any given case, will have between them a relevant understanding of the work environment of the case in question. In certain circumstances it may be relevant to consult with the relevant Trade Union on Panel composition for a particular case.
The Hearing will follow a format defined by the Panel, but will comprise the following:
Introductions – all present to introduce themselves, their role in the University and their role in the proceedings.
Representation – where an individual has brought a representative, the Personnel Director should clarify how that role is to be fulfilled. The role may involve:-
Case Presenter to outline case from his/her perspective.
Individual to ask questions of the Case Presenter.
Panel to ask questions of the Case Presenter.
Case Presenter or Panel to present any individuals who will make their statements and respond to questions from the Case Presenter and the Panel and the individual, and his/her representative, and then withdraw from the Hearing.
Individual to outline their case.
Individual to respond to any questions from the Case Presenter and the Panel.
Individual to present any individuals who will make their statements and who will respond to questions from the individual, and his/her representative, and the Case Presenter and the Panel, and then withdraw from the Hearing.
Case Presenter or Panel to ask any final questions of the individual.
Hearing to Close and the Panel will consider their decision and convey their decision in writing in accordance with the procedure.
Preparation before any Hearing is key to ensuring that appropriate outcomes are established. Ensuring that the Manager or Panel have as full and factual account of the situation as possible is crucial. It may even transpire that formal action is not appropriate under the circumstances – it is always better for everyone that this is decided before a hearing is convened rather than in the course of the hearing! This will normally involve undertaking a full investigation (see separate guidance on Conducting Investigations).
Responsible for ensuring that the individual receives a written notification of their decision, with reasons; responsible for ensuring that the relevant Head of Department is advised of their decision, with reasons; responsible for ensuring that the individual receives a note of the hearing.
Responsible for ensuring that the individual is properly notified of the outcome of any hearing, in writing giving:
The Head of Department/Line Manager is also responsible for ensuring that the individual receives a note of the hearing; for ensuring that conduct is monitored appropriately; for establishing any agreed review meetings and/or for providing feedback to the individual on how things are going; for ensuring that requirements remain generally consistent with those outlined in the letter above; for ensuring that any agreed support or training or is provided within a reasonable timescale; for initiating further action under this procedure if standards do not remain consistent with those outlined in the letter above.
Responsible for ensuring that the individual is properly notified of the decision, in accordance with the procedure; responsible for ensuring that the individual receives a note of the hearing; responsible for assisting and advising the Head of Department/Line Manager in their follow-up responsibilities; responsible for ensuring ongoing fairness and consistency in relation to the facts of the case.
Responsible for adhering to standards of conduct; responsible for taking any follow up action agreed between themselves and the line manager (e.g. training, support etc); responsible for ensuring that the line manager is provided with any information relevant to their ongoing conduct.
Personnel Services have a responsibility to advise the Head of Department, Line Manager or individual on all aspects of this procedure
Trade Unions can advise individuals on all aspects of this procedure, and may represent/accompany the individual at meetings/hearings.
21.11.2005
Updated 11 November 2009 by Human Resources
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