Disciplinary Procedure

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1 Disciplinary Procedure Human Resources

2 1 Introduction The University is committed to supporting its staff in carrying out their responsibilities within an environment which encourages productive, safe and cooperative working practices. There will, however, be occasions when members of staff fail to meet the necessary standards of conduct. Failure to reach the required standards of behaviour and conduct or to follow rules and regulations may result in disciplinary action that may include dismissal. It is important, in order to protect the interests of members of staff, that in cases where disciplinary action is necessary, it should be considered and applied equitably, with regard to all the circumstances of any particular case and in line with the principles of natural justice. This procedure has been developed in accordance with the ACAS Code of Practice Disciplinary and Grievance Procedures, 2009, and the relevant legislation. 2 Purpose This procedure is designed to ensure that staff uphold acceptable standards of conduct and to ensure the safety and well-being of all staff. It is designed to provide an equitable mechanism for dealing with situations where misconduct is alleged. The aims of the procedure are: To correct inappropriate conduct of members of staff. To provide a means by which disciplinary matters can be dealt with in an equitable manner. Where misconduct arises due to a failure to maintain adequate standards of behaviour rather than lack of skills or application, it should be dealt with through this disciplinary procedure. Where misconduct arises from poor performance relating to the inability of an employee to meet the required standards of the role through insufficient skill levels or aptitude, then it should be dealt with through the Capability Procedure. 3 Principles 3.1 At any stage of the formal procedure employees have the right to be accompanied by a work colleague or by their trade union representative. No employee representative (work colleague or trade union representative) may act in a legal capacity. 3.2 At each stage of the procedure, the member of staff will be informed of the alleged misconduct, and given the opportunity to state his/her case prior to any decision being taken. 3.3 An employee will not be dismissed for a first disciplinary offence, unless it is a case of gross misconduct. Where this is the case, this will result in summary dismissal, i.e. without the normal period of notice, or pay in lieu of notice. 3.4 Employees have a right of appeal against disciplinary sanctions awarded under the formal procedures. 3.5 Any steps under this procedure should be taken promptly unless there is a good reason for delay and all reasonable steps will be taken to deal with disciplinary matters as quickly as possible. However, in the interests of clarity, this procedure sets out guidelines regarding the timeframes that would normally be expected for the various stages of the disciplinary process. Whilst management should endeavour to comply with these time limits, in practice, this will not always be possible and therefore it may be necessary to extend the time limits contained within this procedure.

3 3.6 Written records of disciplinary matters will be kept to include: The nature of the misconduct Witness statements and any other evidential documentation What was decided and actions taken The reasons for the sanction Whether an appeal was lodged The outcome of the appeal Any subsequent developments 3.7 Appropriate levels of confidentiality and privacy will be maintained at all times during the disciplinary process by all parties. This applies to all documentation, investigations, interviews and hearings. 3.8 Records will be treated as confidential and be kept in accordance with the Data Protection Act Copies of appropriate documents will be given to employees as necessary during the disciplinary procedure, although in certain circumstances (for example to protect a witness) the University may withhold information. 4.0 Scope The procedure shall apply to all employees of the Manchester Metropolitan University with the exception of: 4.1 The Vice-Chancellor, the Clerk to the Board of Governors and the holders of such other senior posts as the Board of Governors may determine in accordance with Article 1.1 of the Articles of Government. 4.2 Employees who are serving a period of probationary service. 4.3 The provisions of this procedure in relation to dismissal shall not apply where dismissal arises out of: a. The expiry of a fixed term contract of employment with the University. b. The termination of casual or temporary contracts of appointment. c. Redundancy, which will be dealt with under other appropriate arrangements. 5.0 Rights and Responsibilities 5.1 Members of staff have a right to: seek guidance and advice from a trade union official, a work colleague or their own manager in relation to any disciplinary matter affecting them. be treated equitably. This includes representation, the right of appeal, and the right to be provided with appropriate evidence and documentation prior to attending a disciplinary hearing. 5.2 Members of staff are responsible for: conducting themselves with honesty and integrity to promote an atmosphere of mutual respect, in accordance with the University s equality and diversity, harassment and dignity at work policies; familiarising themselves with and adhering to acceptable standards of conduct, relevant policies, procedures and practices, rules and regulations; seeking clarification from their manager if there are aspects of the above which they do not understand. Lack of familiarity with the procedures will not be an adequate excuse for inappropriate behaviour.

4 5.3 Managers have a right to: set the standards for conduct required within University policies; challenge, and deal with unacceptable behaviour in a timely manner; use their discretion to resolve problems through informal discussion, as constructive guidance can often resolve difficulties and avoid the need for formal disciplinary action; Raise concerns that may be affecting a member of staff's behaviour. 5.4 Managers are responsible for: ensuring that members of staff are aware of any policies and procedures, governing their employment; ensuring that matters relating to an individual s conduct are dealt with equitably; ensuring that they seek appropriate advice and, where relevant, training relating to the operation of the disciplinary procedure; consulting an appropriate member of the HR team when taking action under the disciplinary procedure; ensuring that their actions are lawful and do not expose the University to legal liability, either by ill-advised action or negligence; ensuring that a member of staff who is the subject of a disciplinary issue receives a copy of this Disciplinary Procedure. 5.5 Human Resources Staff are responsible for: the provision of appropriate training programmes for managers and staff in accordance with identified training needs; arranging for a formal record of any meetings held under the disciplinary procedure; monitoring the use of the disciplinary procedure for equality monitoring purposes; advising managers on all aspects of the disciplinary process. 5.6 Employee Representatives (either a work colleague or a trade union representative, not acting in a legal capacity), must make themselves available to attend meetings and avoid unreasonable delay. If the representative cannot attend on a proposed date, an alternative time and date may be suggested so long as it is reasonable and it is not more than five working days after the original date, unless jointly agreed. Should a representative be unable to attend, alternative representation arrangements should be made. 6.0 Grievances raised during disciplinary proceedings 6.1 In the course of a disciplinary process if an employee raises a grievance, where the grievance and disciplinary cases are related it may be appropriate to deal with both issues concurrently, conducting a single investigation. The University may choose to suspend the disciplinary procedure for a short period while the grievance is considered. 7.0 Disciplinary action against a trade union representative 7.1. Formal disciplinary action will only be taken against an accredited trade union representative when the matter has been discussed, (after notifying the individual), with a regional official of the trade union concerned.

5 8.0 Resolving discipline issues informally 8.1. Cases of minor misconduct are usually best dealt with by a manager informally, and without delay. The manager should speak to the employee in private, and advise him/her of the problem and what is required to rectify it. They should provide the employee with the opportunity to respond and then decide if any action is required Where improvement is required, the manager will ensure that the employee understands what needs to be done, how their conduct will be reviewed and over what period. This will be confirmed to the employee in writing If during this process, it becomes obvious that the matter may be more serious, the process will be adjourned and the employee will be informed that the matter will be dealt with under the formal disciplinary procedure. 9.0 Formal Disciplinary Procedure Investigating Allegations 9.1. Before considering disciplinary action, an investigation into the circumstances will be undertaken by an appropriate manager, in liaison with a member of the HR Department The investigation process will depend on the nature of the alleged misconduct, the initial evidence against the employee, and whether he/she has admitted to the misconduct. In cases where the facts are clear and not in dispute, the investigation may be very short and it may be appropriate for it to be undertaken by the manager initially notified of the allegation/s Where a more detailed investigation is required, the manager should appoint an impartial investigating manager to conduct the investigation An employee who is the subject of an investigation will be informed in writing promptly that the investigation is taking place, the reasons for it and the possible consequences The investigation will be concluded as soon as is reasonably practicable An employee who is the subject of an investigation will be required to attend an investigatory interview. Where practicable, the employee will receive reasonable notice of the interview. This will not be a disciplinary hearing, but will be part of the process for assessing whether disciplinary action is warranted. The employee can be accompanied by a work colleague or a trade union representative. The employee should inform the investigating manager of the names of any witnesses whom he/she feels are relevant to the case. The investigating manager will normally be accompanied by a member of HR staff to take a formal note of the interview The manager will interview any witnesses they feel appropriate to the case. Signed interview notes will be obtained at the earliest opportunity. Any disagreement about the content of the interview note with the member of staff will be noted in the investigation report. Witnesses will be informed that their statements and interview notes may be used in a disciplinary hearing Any member of staff involved in this procedure must cooperate fully and promptly with any investigation. This will include informing the manager of the names of any relevant witnesses, disclosing any relevant documents to the manager and attending any investigative interviews. Unreasonable refusal to attend a meeting will be treated as a disciplinary matter Following the investigation, the investigating manager will assess the case and recommend appropriate action. Possible outcomes of the investigation may be: a. to resolve the issue without the need to take further action a letter will be sent to the employee confirming that there is considered to be no disciplinary case to answer; b. there is a case to answer but not sufficient to warrant using formal disciplinary proceedings. It

6 may be appropriate to arrange advice, support and/or training in an attempt to resolve the problem without recourse to the disciplinary procedure; this could also include reference to objectives agreed through the PDR process. If an individual is not prepared to accept the process determined by the manager, there will be recourse to the formal disciplinary procedure; c. to recommend that a prima facie case exists. Where this is the case, a disciplinary hearing will be convened. The investigating manager will present the case to the panel at the hearing The employee will be notified in writing of the outcome of the investigation If it is decided that there is a disciplinary case to answer, the employee should be notified in writing by an appropriate member of the HR team. This notification should contain sufficient information about the alleged misconduct and its possible consequences to enable the employee to prepare to answer the case at a disciplinary hearing Employees will also receive copies of any appropriate documentary evidence intended to be relied upon at the hearing, which may include witness statements The notification will also give details of the time and venue for the disciplinary hearing and advise the employee of their right to be accompanied at the meeting and how the hearing will be conducted. The hearing should be held without unreasonable delay whilst allowing reasonable time for case preparation. Suspension Individuals may be suspended with pay in cases where gross misconduct is alleged.. Examples of gross misconduct can be found in Appendix Suspension is not an assumption of guilt and is not considered a disciplinary sanction The appropriate senior manager will normally decide whether or not suspension is appropriate, with advice from their HR Business Partner Employees who are suspended will be notified in writing of the reasons for the suspension and the expected duration of the suspension period. The suspended employee will be required to make themselves available to be interviewed during the investigation The suspension will be carried out by the appropriate senior manager supported by their HR Business Partner Employees who are suspended for three weeks or more may appeal in writing to the Head of HR Operational Services against the suspension. The Head of HR Operational Services will determine the appropriate level of management to consider the appeal. A suspension against which an appeal is made shall continue to operate pending the determination of the appeal. Postponing Disciplinary Hearings or Investigation Interviews Where an employee or their representative requests a postponement of the hearing for genuine and valid reasons, this will be considered and if deemed appropriate, an alternative date will be agreed. Where a postponement is agreed, this should be confirmed in writing with the new date for the hearing. Any further request for postponement will be refused unless there are exceptional circumstances If the employee is absent due to sickness prior to the hearing, he/she may be required to meet the University s Occupational Health Adviser in order for the Adviser to assess the member of staff s fitness to attend the hearing.

7 9.22. There may be circumstances, when a disciplinary hearing will proceed in the absence of the employee (for example, where the employee is remanded in custody, or on long-term sick leave), in which case all details that will be considered at the hearing should be made available to the employee in advance, and the individual should be invited to make a written submission of their case. Alternatively, the individual may nominate his/her representative to present the case on their behalf, (subject to the agreement of the representative) Failure to attend the hearing on more than one occasion and where this has not been agreed will result in the hearing being heard in absentia. In this case, the representative of the employee will be able to present the employee s case. Alternatively, the employee may submit a written statement of case Where a number of postponements have been agreed and an employee is persistently unable to attend a disciplinary meeting the panel will make a decision on the evidence available. Conduct of a Disciplinary Hearing The Director of Human Resources or his/her nominated representative will be responsible for the appointment of a panel of two senior members of staff to hear the case as detailed in Appendix An appropriate member of the HR team, on behalf of the panel will write to the employee as detailed in section The letter will give notice of any witnesses that are to be called to give evidence at the hearing, and will ask the employee to submit the names of any witnesses he/she will be calling, together with any additional evidence for consideration at the hearing. This will be provided to the panel at least five working days before the hearing. Copies of all relevant documentation to be relied upon at the disciplinary hearing will normally be sent to the individual at least five working days before the hearing The disciplinary hearing will be chaired by the most senior member of the panel. In most cases persons present will be: Two panel members; The investigating manager and supporting HR representative. The employee against whom disciplinary action is being considered supported by their trade union representative or work colleague; A representative from HR who will administer the panel and advise on the procedure Any witnesses called on behalf of the employee or the presenting manager will only attend that part of the disciplinary hearing where they are required to give evidence and be questioned. There may be circumstances, when the panel has to take into account written evidence submitted by witnesses. Normally witnesses are called from both sides, they will attend to give their evidence, and answer questions The hearing will follow the procedure detailed in Appendix 1. Outcome of a Disciplinary Hearing After the hearing, the panel must decide whether or not disciplinary or any other action is justified and inform the employee accordingly in writing The options open to the panel are: To determine that the employee has not committed misconduct. This will be confirmed in a letter with the outcome of the hearing, and a copy held on the individual s personal file To determine that misconduct has occurred, but the situation can be addressed by an alternative course of action. This may amount to recommending that the employee receives appropriate development, support, or training. Where appropriate PDR objectives should be reviewed.

8 To issue an appropriate level of formal warning. The length the warning remains extant will be dependent on the nature of the misconduct and any mitigating circumstances. It will be recorded and a copy placed on the individual's personal file together with an action plan if appropriate To dismiss where a previous warning(s) has been issued or in a case of gross misconduct To determine, as appropriate, other actions short of dismissal such as redeployment or demotion Disciplinary actions are detailed in Appendix 2. Confirmation of the Outcome The outcome of the hearing shall be sent to the employee and his/her representative in writing, normally within ten working days of the hearing. Reference shall be made to the appeal procedure and to the deadline for the lodging of any appeal. Gross Misconduct Where a member of staff has committed an act of gross misconduct, the University reserves the right to dismiss without notice (summary dismissal). Examples of actions which could constitute gross misconduct are given in Appendix 3. Decision to Dismiss Where dismissal is a possibility, the panel appointed to conduct the hearing will be authorised to dismiss the employee. Appendix 5 contains a schedule of the levels of management with delegated authority to dismiss A decision to dismiss a member of staff will be confirmed normally within ten working days. The letter will give details of: the reason(s) for dismissal; the right of appeal against the decision; the period of notice (if appropriate) and the arrangements for the completion of such notice; details of any final payments due Appeals Process An employee who wishes to appeal against a disciplinary decision must do so in writing to the Director of Human Resources or their delegated HR representative, within 10 working days of receipt of the letter confirming that decision. The Director of HR or their delegated HR representative will determine appropriate members of staff to conduct the appeal hearing in line with the schedule detailed in Appendix 5. The letter must specify the grounds of appeal as follows: A finding or penalty is disproportionate to the disciplinary breach; and /or Significant new evidence has emerged since the original hearing; and/or The disciplinary procedure was not correctly followed For all appeals, the appeal should be heard by a panel of two senior members of staff according to the schedule detailed in Appendix 5. The members of the panel should be at a more senior level than at the first stage and should not have been involved in the original hearing or decision The appeal hearing will normally be convened within twenty working days from receipt of the letter of appeal.

9 10.4. The panel hearing the appeal may require any relevant persons to assist in the appeal process as necessary The panel hearing the appeal will be supported by a representative from the HR Department The manager who was the chair at the original disciplinary hearing will attend to outline the basis upon which the disciplinary decision. was reached The employee making the appeal will have the opportunity to present the case The panel appointed to hear the appeal shall have delegated authority to accept or reject the original decision (i.e. overturn or reduce the penalty) The employee and his/her representative shall be notified of the decision in writing normally within ten working days. The decision of the appeal hearing is final. Further guidance on appeals is given at Appendix Dealing with Special Cases 11.1 Where disciplinary action is being considered against an employee who is a Trade Union representative the normal disciplinary procedure should be followed. In these circumstances the Head of Employee Relations or his/her delegated representative will discuss the circumstances with the Regional Official of the appropriate trade union at an early stage Employees should not normally be dismissed or otherwise disciplined solely because he/she has been charged with or convicted of a criminal offence. The employee will face disciplinary procedures where the employee s conduct or conviction merits action because of the employment implications or in circumstances where the action brings the University into disrepute Review This procedure has been screened to determine its impact on groups which are protected by law using the University s Equality Impact Assessment process. This procedure will be reviewed in two years, or earlier if legislative requirements change. Last Date of Review: June 2013

10 Format for a Disciplinary Hearing Appendix 1 1. The Chair introduces those present. Where an employee is accompanied, the Chair may seek clarification as to the role the work colleague or trade union representative, will play (i.e. presenting the case of the member of staff). 2. As an introduction to the hearing, the Chair will: 2.1 Confirm that the hearing represents a formal disciplinary hearing in line with the University s disciplinary procedure and check that those present are familiar with this document. 2.2 Note that it is the panel s aim to conduct the hearing in an equitable and systematic manner, and to ensure that the issues are explored thoroughly with a view to reaching a fair outcome. 2.3 Check all parties have copies of the relevant documentation. 2.4 Explain the nature of the alleged breach of discipline and ensure that the employee understands the nature of the complaints(s) made against him/her. 2.5 Explain that the investigating manager will present the case for the hearing, and witnesses may be called into the hearing as required. Each witness shall leave the hearing upon completion of their evidence and questioning. 2.6 Confirm the role of the Human Resources Representative who is to support the panel and advise on procedure. 3. Conduct of the Hearing 3.1 The chair will invite the investigating manager to present the management case. 3.2 Where appropriate, the investigating manager will call and question each witness in turn. 3.3 The employee and or his/her representative has the opportunity to ask questions of the witness. 3.4 The investigating manager may re-examine any witness. 3.5 The panel may pose a question at any time. 3.6 The employee and/or his/her representative present the response of the allegations. 3.7 Where appropriate, the employee and/or their representative calls and questions each witness in turn. 3.8 The investigating manager presenting the case has the opportunity to question each witness. 3.9 The employee and/or their representative may re-examine witnesses The panel may question the witnesses at any time The investigating manager sums up and makes a closing statement The employee and/or their representative sums up and makes a closing statement The panel will consider all of the evidence and come to a conclusion The panel will confirm its outcome in writing normally within ten working days Should the panel at any point during the hearing or in its deliberations be of the view that additional information is required to enable it to reach its conclusion, the hearing will be reconvened.

11 Types of disciplinary action and time limits The following types of disciplinary action may be taken by the panel of a disciplinary hearing where the allegations are upheld: Formal 1. First Written Warning Appendix 2 In cases of misconduct, employees should be given a first written warning setting out the nature of the misconduct and the change in behaviour required. The warning should also inform the employee that a final written warning may be considered if there is further misconduct. A record of the warning should be kept. Such a warning will remain current and will be kept on file for a period of twelve months. 2. Final Written Warning If an employee has a current written warning then any further misconduct may warrant a final written warning. This may also be the case where first offence misconduct is sufficiently serious, but would not warrant dismissal. Such a warning will remain current for between months depending on the nature of the misdemeanour and will contain a statement that further misconduct may lead to dismissal. A record of the warning will be kept on file for the relevant period. 3. Dismissal If an employee has received a final written warning further misconduct may warrant dismissal. Any penalty should be confirmed in writing and the procedure and time limits for appeal set out clearly. 4. Dismissal with notice Employees should be dismissed if, despite warnings, conduct does not improve to the required level within the specified time period. 5. Dismissal without Notice Where an employee is summarily dismissed for gross misconduct there is no entitlement to a notice period or to payment in lieu of notice.

12 Appendix 3 Disciplinary issues and Gross Misconduct 1. Gross misconduct is generally seen as misconduct serious enough to breach the contract between the employer and the employee thus justifying summary dismissal. 2. If it is found a member of staff has committed any of the actions outlined in the examples below they will be at risk of immediate dismissal. This will be summary dismissal without notice or pay in lieu of. It is recognised that there will be acts of a comparable nature that are not specified below which may be considered as gross misconduct. 3. Examples of action which could constitute gross misconduct (this is not an exhaustive list) 3.1 theft, fraud, deliberate falsification of records, and plagiarism; 3.2 breaches of the University s Anti-fraud and Corruption Policy 3.3 physical violence or threats of physical violence; 3.4 verbal abuse; 3.5 bullying, harassment, victimisation, intimidation or other serious acts of discrimination; 3.6 serious breaches of the University s Equality and Diversity Policy; 3.7 serious breach of confidentiality 3.8 deliberate damage to University property, (e.g. facilities, premises or equipment); 3.9 acts or omissions which might damage the University s operations and/or which bring the University into serious disrepute; 3.10 serious misuse of the University s property or name; 3.11 incapability at work by reason of substance misuse; 3.12 negligence which causes or might cause unacceptable loss, damage or injury; 3.13 breach of health and safety rules; 3.14 breach of confidence (subject to the Public Interest (Disclosure) Act 1998); 3.15 breach of the University s ICT Acceptable Use Policy, for example, deliberately accessing internet sites containing pornographic, offensive or obscene material; 3.16 breach of the University s Dignity at Work Policy; 3.17 serious act of insubordination; 3.18 any other action of similar severity. 4. Examples of other misconduct which may lead to disciplinary action (this is not an exhaustive list) 4.1 Disclosing confidential information without authorisation. 4.2 Unauthorised absence. 4.3 Persistent lateness.

13 4.4 Any abuse of University or departmental procedures in relation to, for example, recording absence, reporting sickness, or taking time off work. 4.5 Refusal or failure to carry out a reasonable management instruction. 4.6 Misuse of the Internet, or other University ICT facilities. 4.7 Failure to conform to University or departmental working practices, where these are reasonably and properly requested.

14 Appendix 4 Guidance on Appeals 1. Format of the appeal hearing 1.1 The appeal hearing will not be a rehearing of the original issues/s and will focus only on the grounds for the appeal. The Panel hearing the appeal will have the discretion to call and hear evidence from witnesses if they feel it appropriate, in order to reach a full understanding of the issues involved. 1.2 The Chair of the appeal panel will introduce those present and their roles. Where an employee is accompanied, the Chair may seek clarification as to the role the work colleague or trade union representative, will take (i.e. presenting the case for the member of staff). 2. Introduction to the hearing The Panel hearing the appeal will: 2.1 Confirm that the appeal hearing represents a formal disciplinary appeal hearing in line with the University s disciplinary procedure and check that those present are familiar with this document. 2.2 Note that it is the panel s aim to conduct the appeal hearing in an equitable and systematic manner, and to ensure that the issues are explored thoroughly with a view to reach a fair outcome. 2.3 Note any previous discussions that have taken place relating to the matter and the evidence that will be considered. Check all parties have a copy of these documents. 2.4 Confirm the grounds on which the appeal has been submitted and make sure that the member of staff understands the issues that will considered at the appeal hearing. 2.5 Confirm the role of the Human Resources Representative who is to support the panel and advise on procedure. 2.6 Offer the employee the opportunity to request reasonable time to confer with his/her representative at any time during the hearing. 3. The Hearing 3.1 The chair of the disciplinary hearing will state their response to the grounds of appeal. 3.2 The employee and/or his/her work colleague or representative will state their grounds of appeal. Where the grounds are unclear, the panel hearing the appeal may ask for more clarification. 3.3 The panel hearing the appeal may take the opportunity to question the chair of the disciplinary hearing and the employee. 3.4 The panel hearing the appeal may call other appropriate witnesses if they believe it is relevant to the grounds of the appeal. 3.5 The chair of the disciplinary hearing will be invited to make a closing statement. 3.6 The employee will be invited to make a closing statement. 3.7 The panel hearing the appeal will adjourn to consider the evidence. 3.8 The employee shall be informed of the outcome of the hearing, in writing, normally within 10 working days of the date of the hearing..

15 3.9 The panel hearing the appeal may confirm or reject the disciplinary action which is the subject of appeal. They may reconvene the hearing in order to give a decision on the case or reserve the decision and communicate their conclusions in writing to the member of staff normally within ten working days. The chair of the appeal panel will inform the employee and their manager and the chair of the disciplinary panel who issued the penalty, of their decision, and any associated action required to reduce the likelihood of any further misconduct.

16 Appendix 5 Schedule of Managers with delegated authority to dismiss Disciplinary against: Dismissal by: Appeal heard by: Support staff grades 1 8 Academic staff up to grade 9 Managerial Support staff Grade 9 11 Principal Lecturer or Head of Department Support Services senior staff (Exec Grades) supported by a senior member of HR team Dean of Faculty supported by senior member of HR team Support staff grades 9 11 Support Services Senior Staff (Exec grades) Member of Executive/Directorate and Director of Human Resources Academic staff grades Dean of Faculty Deputy Vice-Chancellor & Director of Human Resources Support Services senior staff (Exec grades) Member of Executive/Directorate Vice-Chancellor & Director of Human Resources Head of Department & Academic Senior Staff Dean Deputy Vice-Chancellor and the Director of Human Resources Member of Executive/Directorate Dean of Faculty* Vice-Chancellor Board of Governors supported by Director of Human Resources * Excluding the Clerk to the Board of Governors and the Vice-Chancellor All disciplinary panels will consist of two members of management supported by appropriate members of the HR team.

17 Appendix 5 (continued) Schedule of Managers with delegated authority for action short of dismissal Disciplinary against: Disciplinary Sanction by: Appeal heard by: Support staff grades 1 6 Support staff managers Grade 7 or above Support staff managers Grade 9 or above supported by the HR Business Partner Academic staff to grade 9 Principal Lecturer Head of Department (Faculty Exec) supported by the HR Business Partner Support staff grades 7 11 Support staff managers grade 9 or above (see management guidelines) Senior support staff (Exec grade) supported by the HR Business Partner Academic staff grades Head of Department (Faculty Exec) Dean of Faculty supported by a senior member of the HR team Senior support staff (exec grades) Member of Executive or Director Member of the Executive or Vice- Chancellor and the Director of Human Resources Head of Department & Academic Senior Staff Dean Deputy Vice-Chancellor and the Director of Human Resources Dean or Member of Executive Vice-Chancellor Board of Governors supported by the Director of Human Resources All disciplinary panels will consist of two members of management supported by appropriate members of the HR team. AE 7192

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