Considerations at the Outset
There can often be a number of things for managers to consider when they identify conduct issues. Firstly, not all conduct cases need to proceed through a formal disciplinary process, and managers should first assess whether an informal resolution would be more appropriate. However, in cases that appear particularly serious, further P&OD advice may be required and actions such as suspension may need to be considered at the outset. Additionally, matters arising from Research Misconduct, Grievance, or Complaints Procedures can result in disciplinary consideration and the Commissioning Manager must ensure that the appropriate steps are followed in such instances.
Manager Tip: - Always seek early guidance from your People & OD (P&OD) Business Partner if unsure how to proceed.
Why This Matters:
- Taking the right approach early prevents unnecessary escalation and ensures fair, consistent, and lawful handling of cases.
- Early, informal intervention can maintain trust, morale, and productivity. It can also show that the focus is on support and improvement rather than punishment.
- On the other hand, mismanaging serious issues (e.g., failing to suspend when appropriate) can risk compromising investigations, safety, or University reputation.
Key Actions for Managers
Assess the Nature of the Case
- Ask: Is this issue minor and suitable for informal resolution, or potentially serious?
- Consider whether a formal investigation or, in more exceptional cases, suspension is required.
- Consult your P&OD Business Partner for advice.
Use Informal Resolution Where Appropriate
Suitable when:
- The issue is minor or first-time (e.g. poor timekeeping).
- The colleague acknowledges the issue and is willing to change.
- The behaviour doesn’t seriously breach policies.
Not suitable when:
- The misconduct is repeated or serious.
- There’s insufficient information or there’s a need for formal fairness/legal compliance.
Document Informal Discussions
- Keep a written record of discussions and agreed actions.
- Use the University’s Resolving Minor Instances of Misconduct Form and related guidance.
- Documentation protects both the manager and the employee if matters escalate.
Consider Suspension Only When Necessary
Suspension should be:
- Last resort – first consider alternatives (e.g. temporary reassignment to another location or duties).
- Used only if needed to protect:
- The investigation (evidence/witnesses).
- The University’s interests.
- Colleagues or the individual under investigation.
- Must be:
- Agreed in advance with a P&OD Business Partner.
- On full pay and not a disciplinary sanction.
- As short as possible and kept under review.
- Supported by a named contact for the suspended colleague.
- Refer to: Guidance – Disciplinary Suspension.
Supporting Success
- Early intervention prevents small issues from escalating.
- Ensure clear communication, fairness, and empathy throughout.
- Use P&OD support to navigate complex or sensitive cases.
- Maintain a focus on learning, improvement, and wellbeing — not just compliance.
- Keep all actions proportionate, documented, and reviewable.