For the period of suspension, you:

• are not permitted to enter any of the University’s premises, other than to attend meetings regarding the allegations (e.g. investigation meeting, disciplinary hearing) when requested, unless you have received prior consent from HR or Head of School/Unit (or appropriate other).
• will be granted reasonable access to University facilities to enable preparation for your case e.g. to meet with your TU representative or companion, and this should be agreed in advance by HR or the Head of School/Unit (or appropriate other).
• must not contact University employees and students, and must not engage with individuals outside of the University in the capacity of a University employee conducting University business, except where you have received prior consent from the Head of School/Unit or HR (or appropriate other).
• will not be required to undertake any work pertaining to your role(s) at the University. This means that access to work systems, such as University laptop, mobile phone, security pass etc., may be restricted/confiscated during suspension.

You will receive an email detailing the logistics of the hearing (date, time and location). The email will confirm a summary of the allegation(s), state the right to be accompanied, and confirm who will be on the panel. You will also receive the disciplinary papers in advance that will be reviewed at the hearing (normally with the invite letter). Typically, this information will comprise the evidence gathered during the investigation, such as witness statements and interview notes.

On receipt of the discipline/appeal papers, you are required to confirm to HR (at least 3 working days prior to the hearing):

• that you can attend the hearing on the requested date;
• the name of your accompanying person and any witnesses you wish to call with the reasons why (if applicable);
• any special requirements/adjustments that you or your accompanying person may have i.e. as a result of a disability or medical condition. 

You also have the option to provide a written submission to the panel, although this is not mandatory. This must also be submitted to HR at least 3 working days prior to the hearing. 

The process for calling a witness to a disciplinary hearing is outlined in the witness guidance. 

The University recognises that involvement in a disciplinary matter can be difficult and upsetting and therefore, if diaries allow, and all parties agree to waive the notice period, the hearing can be brought forward. In all cases, these will take place as soon as possible, and will avoid unreasonable delays to proceedings.

At your request, an accompanying person may address the hearing (put forward your case), ask questions, respond on your behalf to any views expressed at the hearing and confer privately with you. The accompanying person does not have the right to answer questions on your behalf, or to prevent the Panel from explaining their case. Neither you nor the University will have legal representation at the hearing. 

You can request in writing to the Chair of the Panel if you want to invite a witness to a Hearing. This must be actioned at least 3 working days prior to the hearing. You will need to provide the name(s) of who you want to call and the reasons why.  Further information about calling a witness to a hearing can be read in the Witness Guidance.

You should take all reasonable steps to attend the hearing on the date/time stated in the invite letter, however, the hearing can be re-scheduled to another time if you or the accompanying person (or witness, if applicable) is not available. Where possible, you should provide HR with a reasonable alternative time that is within 5 working days of the original date.

Please note that a postponement is permitted only once, and if you or your accompanying person (or witness) cannot attend after the hearing has been rescheduled, the decision may be taken to go ahead and conduct the hearing in your (or your accompanying person’s/witness) absence.

If a Disciplinary sanction has been issued, the written letter will set out all the conditions associated with the sanction, e.g. the level of action issued; the reason for the decision; the length of time the sanction will be active; the improvement expected and how progress will be monitored; the likely consequences of further misconduct (where appropriate); and the right to appeal.

If you feel that the penalty issued is wrong or unjust, you can appeal against the decision. The appeal should be made in writing, clearly confirming the grounds for the appeal, i.e. reasons why you are dissatisfied with the outcome. The written appeal should be addressed to the Director of HR within 10 working days of being notified of the decision, i.e. the date of the outcome letter.

Formal warnings will normally be active for 12-months. However, the length may vary depending on the nature, circumstances and, severity of the breach.

You must notify your HRBP of any unspent convictions or charges.

Suspension

Are there alternatives to suspension?

Yes. Suspension should always be a last resort. Consideration will be made for alternatives to suspension, such as implementing temporary measures while an investigation takes place, including, but not limited to:

• moving the individual(s) to a different area of the University;
• amending the individual(s) working hours;
• changing the work that they perform.

Who is responsible for making the decision to suspend?

The decision to suspend will normally be made by the Head of School/Unit in consultation with an HR representative. In some cases, during an investigation, the Investigation Manager may recommend to the Head of School/Unit that reconsideration is given to suspend an employee(s), if for instance evidence comes to light which may alter the original decision.

Disciplinary Process

I have been invited to a Disciplinary Hearing - who will be on the Disciplinary Panel?

The composition of the panel will be confirmed to you in your disciplinary letter. The panel will usually consist of a senior member of staff from the School/Unit in which you works, who will act as Chair and another senior member of staff from a different School/Unit who will support the process. A member of HR will attend to provide support and guidance to the panel.

These individuals should:

• be impartial, objective, have no substantial conflict of interest and had no prior substantial involvement in the case;
• be available to attend the hearing and to conduct further investigation (if necessary);
• not be involved in any subsequent decision making on the matter i.e. appeal hearing.

If the subject of the disciplinary hearing is a Head of School/Unit or a member of the Senior Management Team, the composition of the Panel will vary from this as outlined in the Disciplinary Policy.

How much notice should I get to attend a Disciplinary Hearing/appeal?

You will normally be provided with at least 7 working days’ notice.

I have a pending Disciplinary/Appeal Hearing but I am off sick – will this go ahead in my absence?

It will depend on the circumstances.

If an employee is on sick leave, the Panel will be notified of this and must balance the need to avoid unreasonable delay in proceedings, with the importance of allowing the employee to put forward their case. In these circumstances, the panel will need to determine whether the employee is well enough to attend the Hearing and this will be based on medical information received from the employee’s GP and/or Occupational Health guidance.

Given the sensitivity of these matters, these cases will be reviewed on a case-by-case basis and always with the guidance and advice from HR and a medical practitioner.

What happens if a grievance is raised during disciplinary proceedings?

Where a grievance is raised during the disciplinary process, the Panel will consider whether the process should be postponed until the grievance has been dealt with, or whether the cases are sufficiently related for both issues to be handled concurrently in the same process.

Appeal

What information should I receive prior to an Appeal Hearing?

You will receive an email detailing the logistics of the hearing (date, time and location). The Appeal Panel will receive the disciplinary papers, notes from the hearing, disciplinary outcome letter and the letter of appeal. (You should already have this information from the Disciplinary Hearing).

I have been invited to an Appeal Hearing - who will be on the panel?

The composition of the panel will be confirmed to you in your appeal letter. The panel will usually consist of a senior member of staff from the School/Unit in which the employee works, who will act as Chair and another senior member of staff from a different School/Unit who will support the process. A member of HR will attend to provide support and guidance to the panel.

These individuals should:

• be impartial, objective, have no substantial conflict of interest and had no prior substantial involvement in the case;
• be available to attend the hearing and to conduct further investigation (if necessary).

If the subject of the appeal hearing is a Head of School/Unit or a member of the Senior Management Team, the composition of the Panel will vary from this as outlined in the Disciplinary Policy.

Outcomes and Sanctions

Can I be dismissed for a first offence?

You will not normally be dismissed for a first offence unless your actions amount to gross misconduct.

What happens if there is no sanction given – will anything go on my record?

If the Disciplinary Panel find that there is no case to answer (dismiss the allegations), all associated documentation will be destroyed and disposed of with the exception of the outcome letter which will be placed on your record. There may be scenarios whereby informal action has been recommended e.g. training or development activity, referral to The Mediation Service. In these circumstances, this will usually be confirmed in the outcome letter and discussed with you and your line manager.