People & Organisational Development

Disciplinary Policy

1. Introduction

1.1   The University of Glasgow expects colleagues to behave and interact appropriately at work and is committed to fostering a culture which promotes integrity, honesty, and fairness at the heart of our values. In line with the University’s Code of Professional Conduct, staff members are expected to uphold these principles while promoting a respectful, supportive environment. Interactions with colleagues, students, and the wider community must reflect dignity, professionalism, and mutual respect. The University does not tolerate any form of bullying or harassment, reinforcing its dedication to maintaining an inclusive, safe, and caring environment for all.

1.2   It is recognised that conduct-related concerns may occasionally arise. This policy outlines the procedure to be followed and the possible actions that may be taken to investigate and address potential misconduct when behaviour falls short of expectations or contradicts University policy.

1.3   This policy is supported by the Disciplinary Toolkit and associated guidance, providing a broader framework for dealing with misconduct situations.

1.4   It is acknowledged that certain cases may engage more than one procedural framework, particularly where initial stages of one process have been exhausted, and further considerations arise under another. For example, where a case initiated under the University’s Research Misconduct, Complaints or Grievance Procedure involves allegations or findings of misconduct, it may be appropriate to transition the matter to the Disciplinary Procedure for resolution.  In such instances:

  • A review will be undertaken to determine the most appropriate pathway, ensuring fairness and compliance with University policies.
  • Parties involved will be informed of the transition, with clarity on the rationale for the decision and any implications for the timelines or next steps.
  • Information gathered during the initial process may, where appropriate, be used to inform the subsequent procedure to avoid unnecessary duplication.

1.5   This approach ensures that cases are managed in a manner that reflects their complexity while maintaining procedural integrity and fairness.

2. Scope

2.1       This policy applies to all colleagues employed at the University of Glasgow.

2.2       Matters relating to research misconduct should be raised under the University’s Research Misconduct Policy.

2.3      Different procedures apply to performance and sickness/ill health cases: Managing and Supporting Performance Policy and Managing Attendance Policy. Where conduct issues arise during a probationary period, such cases may progress immediately to the final stages of this procedure due to the short-term nature of the probation process.

3. Principles

3.1        The University will act fairly and consistently when dealing with cases under the Disciplinary Policy.

3.2      The University will seek to resolve employment issues promptly and transparently at the lowest possible level and, where appropriate, on an informal basis.

3.3       The University will generally follow each stage set out in the Disciplinary Policy but reserves the right to commence the procedure at any stage or to omit stages as appropriate. This is particularly relevant for cases emerging from the University’s Grievance or Complaints procedures, where a satisfactory level of investigation may have already taken place.

3.4       The policy upholds the principle that employees engaged in teaching, learning, or research have the freedom within the law to hold and express opinions, question established ideas, and present controversial or unpopular points of view without jeopardising their employment or entitlements. The University expects these principles to apply within individual areas of academic freedom.

3.5      When a potential conduct issue related to bullying, harassment, or discrimination is identified, the manager overseeing the process should consider appropriate safeguards, without prejudice, to protect the relevant parties. This may include reviewing working arrangements, points of contact, or sharing specific details of the process as outlined in 3.10 below. Further advice should be sought from People & Organisational Development (People & OD) as required.

3.6       Colleagues have the right to be accompanied at any formal meeting and related appeal meeting under the Disciplinary Policy by a work colleague or Trade Union representative. They may also be accompanied at investigatory meetings. In cases of bullying, harassment, or discrimination allegations, reporting party may be accompanied at disciplinary meetings by another appropriate support contact (e.g., emotional support) with prior agreement from the investigating/disciplinary Manager.

3.7      If colleagues have requirements at any stage of the procedures due to a disability, they should notify the Commissioning Manager (or the Investigating Manager if appropriate) in the first instance so that these may be considered and supported where possible.

3.8       Notes of formal meetings will be taken as summaries of key points, not verbatim records. Copies of these notes will be given to the parties present, who should inform the Investigating Manager of any comments on the accuracy of the notes within 5 working days of receiving them. In cases progressing to disciplinary hearing, it is normally expected that all documentation, including witness statements, will be shared with relevant parties, except where the University must withhold some information to protect a witness. The University will keep a written record of every disciplinary case, which will be treated as confidential and kept in accordance with all relevant data protection legislation and the People & OD Records Retention Policy. Notes of informal meetings may also be taken where appropriate.

3.9      Where disciplinary action is being considered against an employee who is a trade union representative the normal disciplinary procedure shall be followed however the University will, at the earliest opportunity, seek to discuss the matter with either the Branch Chair/Secretary or, if they are not available, with a full-time official after obtaining the employee’s permission to do so.

3.10    While every effort will be made to manage disciplinary situations with sensitivity and confidentiality, there may be occasions where the University will confidentially report limited details of a disciplinary process and/or outcome to another party. This would occur in the following limited circumstances:

  • Reporting information on suspension status, process timescales, or investigation/hearing outcomes to survivors of alleged sexual harassment, bullying, or discrimination on a case-by-case basis where it is deemed appropriate to ensure the psychological safety and wellbeing of colleagues. The Records Retention webpage contains an overview of how personal data will be processed, and a legitimate interest’s assessment will be carried out in each case where consideration is given to sharing the above information. Colleagues will be advised if their information will be shared in this way.
  • Reporting additional information on reasons for dismissal to other prospective employers when responding to reference requests (e.g., stating that a dismissal was for reasons relating to sexual harassment).
  • Reporting an outcome (or potentially an investigation) to an external body (e.g., a research funder) in line with applicable contractual terms or other relevant protocols. The University will make such disclosures at its sole discretion, providing the individual concerned with prior notification.
  • Reporting any potential criminality to the relevant authorities (e.g., Police).

4. Roles and Responsibilities

Commissioning Manager

The Commissioning Manager is responsible for conducting an initial review to determine the appropriate course of action. This may involve discussing or reviewing any informal approaches (where appropriate) with a relevant manager (usually the line manager) or initiating a formal investigation. If a formal investigation is required, the Commissioning Manager will define the terms of reference and appoint an Investigating Manager. Additionally, in consultation with People & OD, the Commissioning Manager may decide if suspension or alternative duties are appropriate in particular cases. Commissioning Managers are ultimately responsible for the progress of the process, including ensuring the Investigating Manager is working to the conveyed terms of reference, including timescales. Once the investigation is complete, the Commissioning Manager will review the investigation report and determine the appropriate outcome, which could include no action, informal resolution, or proceeding to a disciplinary hearing. They may either hear the case themselves or appoint a Disciplinary Hearing Manager.

The role of Commissioning Manager should, typically; be undertaken by a suitably senior colleague, such as the relevant Head of Unit, School or Service as appropriate.

Commissioning Managers should also review: Guidance for Commissioning Managers.

Investigating Manager

An Investigating Manager’s role is to gather evidence and establish the facts of an alleged misconduct case and determine if there is a disciplinary case to answer. Investigating Managers are accountable for conducting a fair, thorough and objective investigation and for summarising their findings in a report for the attention and consideration of the Commissioning Manager. It can be easy for timescales to drag out during investigations; therefore, it is also the responsibility of the Investigating Manager to plan and prioritise their investigation as far as they reasonably can to minimise delays and any potential stress on others involved in the process. Their responsibilities include:

  • being fair and objective and adhering to the University’s relevant policies and procedures.
  • gathering evidence that supports or contradicts the allegation. This may include interviewing witnesses and gathering statements from colleagues.
  • ensuring confidentiality of the case and that the process is conducted in a thorough and timely manner.
  • progressing and completing the investigation and associated investigation report with findings and recommendations for the consideration of the Commissioning Manager.

 Investigating Managers do not proceed to hear any disciplinary case at a Disciplinary Hearing.

 Investigating Managers should also review: Guidance for Investigation Managers.

 Disciplinary Hearing Manager

The Disciplinary Hearing Manager is responsible for chairing the Disciplinary Hearing, deciding if misconduct occurred and, if so, determining the appropriate disciplinary action. In some cases, the Commissioning Manager becomes the Disciplinary Hearing Manager, or they may decide to appoint another suitable manager.

During the disciplinary hearing, the Disciplinary Hearing Manager’s responsibilities include:

  • chairing the hearing, ensuring that the process is fair and follows the principles of the Disciplinary Procedure.
  • presenting the allegations, and the evidence gathered to the colleague in question.
  • giving the colleague a fair opportunity to respond fully.
  • making a decision on any disciplinary action, taking into account the full range of possible outcomes, such as no action, informal measures, a warning, demotion, or dismissal.

The Disciplinary Hearing Manager must not be the same person as the Investigating Manager. Likewise, Disciplinary Hearing Managers cannot then serve as the Appeal Manger (or on an Appeal Panel) within the same case.

Disciplinary Hearing Managers should also review: Guidance for Disciplinary Hearing Managers.

Appeal Hearing Manager/Panel

Appeal Managers are independent and normally more senior managers who are responsible for leading the appeal process, including chairing the Appeal Hearing and deciding on the outcome of the appeal (as part of a panel of two in cases of dismissal).

The Appeal Manager/Panel in a disciplinary appeal has the following responsibilities:

  •  chairing the hearing, ensuring that the process is fair and follows the principles of the Disciplinary Procedure.
  • considering if the original outcome was fair or if it needs to be changed.
  • confirming the decision on whether the appeal is successful or not and provide reasonable justification for the outcome.

 The Appeal Hearing Manager must not be the same person as the Investigating Manager. Likewise, Disciplinary Hearing Managers cannot then serve as the Appeal Manger (or on an Appeal Panel) within the same case.

Appeal Managers should also review: Guidance for Appeal Managers.

Employee

Employees are expected to play an active role in upholding workplace standards in line with organisational policies, procedures and ensuring that the disciplinary process is fair and effective by cooperating fully and honestly with any disciplinary proceedings, including attending meetings, providing information when requested, and treating all parties with respect . In particular, each employee is responsible for:

  • Familiarising themselves with the Disciplinary Policy to understand how it operates and what is expected of them.
  • Exercising their rights under the policy — for example, the right to be informed of any allegations, to respond before any decision is made, to be accompanied at formal meetings, and to appeal any disciplinary outcome.
  • Seeking advice or clarification if they are uncertain about any aspect of the procedure, from their line manager, People &OD, or trade union representative (where applicable).

Employees should also review: Guidance for Employee.

People & Organisational Development

People & OD provide professional advice, guidance and support during disciplinary proceedings and help ensure decisions, outcomes and recommendations are reached in a fair and accountable way.

Support is provided by local P&OD Business Partner teams and the P&OD Case Management Hub team. P&OD Business Partner teams are typically a managers first point of contact and may maintain links both during and after a case as appropriate. Whilst cases are active, the Case Management Hub support and advise Investigating Managers, Disciplinary Hearing Managers and Appeal Managers.

People & OD also provides coaching and training to managers as required, helping them document issues and identify measures to prevent repeated or similar instances of such conduct in the future.

Trade Union Representatives 

Trade Union representatives support and represent colleagues (who are members) throughout the process, ensuring their rights are protected. Whilst Trade Union Representatives cannot answer questions directed at colleagues, they can assist in preparing for meetings, attend and present the colleague's case, respond on the colleague’s behalf to comments or points made during meetings, confer with the colleague or sum up on their behalf. They can also request adjournments for private discussions and take notes for the colleague’s records.

Support Colleague

A work colleague can act as a companion during a disciplinary investigation or hearing. The role of a companion is to provide support and to help colleagues present their case. The companion should not answer any questions on behalf of the colleague but can respond to any comments or points made at the meeting. The companion can take notes at the meeting and can sum up the colleague’s case at the end of the meeting. The role of companion is typically limited to support and observation, as they cannot act as a legal representative or disrupt proceedings.

Witness

Witnesses can provide critical evidence as part of any investigation process. If there are individuals with relevant information about the matter under investigation, the Investigating Manager may invite them to a meeting to share what they know or observed. Alternatively, witnesses may be asked to provide their account in writing in the form of a ‘witness statement.’

It is important to note that participation as a witness is entirely voluntary, and no one can be compelled to attend. Witnesses are generally not expected to be accompanied at investigatory meetings. However, in cases involving allegations of bullying, harassment, or discrimination, witnesses may be supported by an appropriate individual for emotional support, subject to prior agreement with the Investigating Manager.

Witnesses should feel able to contribute to the disciplinary process freely and openly. The University is committed to ensuring that no one experiences victimisation, retaliation, or disadvantage as a result of providing evidence, and any concerns raised in this regard will be taken seriously and addressed appropriately.

Colleagues should avoid contacting potential witnesses or seeking character references in support of their case. The Investigating Manager will determine whether witness input is necessary for the investigation and will issue invitations accordingly. Witnesses must follow the same strict rules of confidentiality as others in the process.

5. Disciplinary Procedure - Considerations at the Outset

5.1   Disciplinary cases can arise through a number of different routes and managers are required to decide on an appropriate course of action depending on the circumstances before them. It is important to note:

  • Not every case requires to be progressed to a formal process, and managers must consider if an informal resolution is appropriate.
  • Conversely, issues may present as serious enough to warrant consideration of suspension at the outset.
  • Additionally, Research Misconduct, Grievance or Complaints Procedure investigations, may also result in misconduct allegations that require due consideration under the Disciplinary Procedure. In those instances, the Commissioning Manager should consider the steps outlined in para 8.8.

6. Informal Resolution

6.1      Informal resolution is preferred for minor workplace conduct issues, focusing on swift, non-punitive resolutions where appropriate. A thoughtful conversation at the right time can correct behaviour without formal action. Addressing minor misconduct early prevents escalation, fosters a positive work environment, and prioritises support over disciplinary steps however it may not be appropriate or successful in all circumstances. Line managers should consider the circumstances and decide on the appropriate course of action.

Some typical but non-exhaustive considerations are noted below:

When Informal Resolution is Appropriate:

  • When the issue is relatively minor or a first-time occurrence (e.g. poor timekeeping).
  • When the colleague acknowledges the relatively minor problem or issue and is committed to making changes.
  • Where the behaviour doesn’t contravene University policies in a serious way.

When Informal Resolution may not be suitable:

  • For repeated or more serious misconduct (including gross misconduct – see Appendix 1).
  • Where formal investigation or procedures are required due to a lack of information (that can’t easily be obtained) or to ensure fairness or legal compliance.

6.2      Managers can seek guidance from their local People & OD (P&OD) Business Partner if required, particularly where there is a lack of clarity. 

6.3      Informal discussions are generally not recorded in formal disciplinary records. However, it is important for managers to document any conversations and confirm any agreements in writing to ensure a clear reference should the situation escalate. To support this, the University has developed a tool designed to assist with the informal recording of such discussions. Managers are encouraged to use this resource where appropriate or beneficial.

6.4      Managers can access the Resolving Minor Instances of Misconduct Form and should also review: Guidance for Resolving Minor Instances of Misconduct.

7. Suspension

7.1      It may be the case at the outset that matters appear particularly serious and warrant careful consideration of suspension. Suspension is a serious step and can cause significant stress on colleagues therefore it is important that it is not considered lightly (and options such as alternative duties should be considered first).

7.2      Suspension is typically only considered in serious or gross misconduct cases where it is reasonably believed to be necessary to protect any of the following:

  • The investigation - including any potential evidence or witnesses
  • The University - including students, property or University interests
  • Other colleagues
  • The person under investigation

7.3      Suspensions must be agreed in advance with appropriate advice from the relevant People & OD Business Partner.

7.4      Suspension is not a disciplinary action, nor does it infer any guilt, and suspended colleagues remain on full pay and benefits.

7.5      Any period of suspension must be as brief as possible in the circumstances and should be kept under review by the Commissioning Manager. A named support contact should be appointed in all cases to maintain contact as appropriate with suspended colleagues.

7.6      Managers considering suspension should read the University’s Guidance - Disciplinary Suspension.

8. Formal Procedure - Investigation

8.1      If informal action does not resolve matters or if the alleged misconduct is considered sufficiently serious to potentially merit formal disciplinary action, the steps outlined below will be taken.

8.2      Where a situation is more serious or if informal resolution has not been successful, a Commissioning Manager will appoint an Investigating Manager to conduct a disciplinary investigation without unreasonable delay.

8.3      The purpose of any investigation is to gather evidence and establish the facts of an alleged misconduct case and determine if there is a disciplinary case to answer at a disciplinary hearing.

8.4      Investigating Managers undertaking Disciplinary Investigations should refer to Guidance for Investigating Manager.

8.5        In any investigation, clear allegations will be outlined from the outset to set a clear scope for investigation and ensure all parties understand the key issues and the policy(ies) or frameworks potentially breached. The University reserves the right to amend or update the allegations if further information is identified during the course of the investigation.

8.6      Investigating Managers must balance conducting a fair and reasonable investigation in a timeous manner, ensuring adherence to a quality process that upholds standards of thoroughness and accuracy, while recognising that the process can place strain on different parties.

8.7       Investigations under the Grievance, Research Misconduct or the University’s Complaints Procedure may also lead to misconduct allegations. In such circumstances, the Commissioning Manager should consider the investigation carried out so far and assess the need for further investigation. This should be based on the relevant principles outlined in Section 3, ensuring that a fair and reasonable process has been carried out and the relevant individual(s) have had full opportunity to comment on or respond to allegations put to them. Where this is the case, the earlier investigation (or relevant parts thereof) carried out under these policies/procedures may be utilised as part of the disciplinary process. Where this is not the case, the Commissioning Manager may determine that further investigation is warranted, or as a minimum that the individual(s) are given the chance to comment and respond as appropriate, before any decision is taken on whether the matter is to progress to a disciplinary hearing. Similarly, in the case of financial irregularities there may be an investigation undertaken by internal/external parties as appropriate and where financial irregularities are identified the outcome of the investigation may be utilised as part of the disciplinary process. Cases which progress in this manner must clearly identify the alleged misconduct but must not seek to propose a conclusion or outcome ahead of further independent investigation under the disciplinary process.

8.8      In any case, the Investigating Manager should endeavour to keep the individual updated on progress and related developments as appropriate. In cases involving a survivor of alleged sexual harassment, bullying or discrimination it may be appropriate on a case-by-case basis to share particular details of the case as outlined in 3.10 above. At this stage in the process this may include disclosing the suspension status (to help manage the survivor’s expectations of encountering the colleague at work) or sharing updates on investigation timescales/progress to manage expectations on when the case may be concluded. Further advice should be sought from the People & OD Case Management Hub as required.

8.9     Investigating Managers must submit their investigation report (including recommendations) to the Commissioning Manager who will decide on the next steps.

8.10     On receipt of the complete investigation report, the Commissioning Manager will decide whether to proceed to a disciplinary hearing or whether there is no case to answer.  If no formal disciplinary action is to be taken, the colleague should still be informed in line with the stated timescales. In some cases, there may still be other recommendations or actions to consider and if so, these should be communicated and responsibility or oversight assigned to a relevant manager (usually the line manager) to support the colleague to meet any obligations placed on them.

9. Formal Procedure - Disciplinary Hearing

Before the Disciplinary Hearing

9.1   Where it is decided that a case should progress to a disciplinary hearing the Commissioning Manager will either opt to hear the case themselves or they may appoint a separate Disciplinary Hearing Manager.

9.2   The Disciplinary Hearing Manager will inform the colleague in writing of the allegations. The letter will contain sufficient information about the allegations and the possible consequences to enable the colleague to respond to these at the disciplinary hearing.

9.3   The letter will enclose a copy of the investigation report along with copies of any relevant documents that have been gathered during the investigation process to allow for adequate preparation by the responding colleague.

9.4   Possible consequences, up to and including dismissal, will be outlined in the letter. The letter will also advise the colleague of their right to be accompanied by a work colleague or Trade Union representative.

9.5   In cases involving alleged sexual harassment, bullying or discrimination it may be appropriate on a case-by-case basis to share details of the hearing outcome with another party as outlined in 3.10 above. Where this is being considered, it is essential that the colleague is advised in advance, in writing, of the potential for this. Further advice should be sought from the People & OD Case Management Hub in such circumstances.

9.6    Disciplinary Hearings should take place as soon as practicable following the conclusion of the investigation stage, however the respondent should be given a minimum of 5 working days' notice of the disciplinary hearing to allow them enough time to prepare for the hearing and to arrange for someone to accompany them if they wish. If the colleague gives prior notice that they are unable to attend the hearing on the date arranged, it will typically be rearranged, usually within 5 working days. Where a colleague is persistently unable or unwilling to attend the hearing, further advice should be taken from the People &OD Case Management Hub and in some circumstances; after offering reasonable opportunity to attend, the colleague may instead be offered the opportunity to submit written representations and/or the hearing may proceed and a decision taken in their absence based on the information available.  A decision to proceed in this way will be communicated in writing to the colleague in advance.

The Disciplinary Hearing 

9.8   At the hearing, the colleague will be allowed to set out their case and answer any allegations that have been made. They will also be given the opportunity to ask questions and present evidence.

9.9      It may be appropriate for relevant witnesses to attend the disciplinary hearing, and the colleague will be given the opportunity to raise points at the hearing about any information provided by witnesses. Where a colleague or the University intends to call a witness, they should notify the other party of this in writing in advance of the hearing and ensure that they attend at the appropriate time.

9.10    If witnesses are attending the hearing, they should give a summary of their evidence and respond to relevant questions from either the colleague or the Disciplinary Hearing Manager.  Their evidence will be recorded in the notes of the hearing.  Once they have presented their evidence and there are no further questions for them, they will leave the hearing.

9.11     No individual can be compelled to attend a disciplinary hearing as a witness and in cases of bullying, harassment or discrimination allegations, witnesses/complainants may be accompanied at disciplinary hearings by another appropriate support contact (e.g. emotional support) by prior agreement of the Disciplinary Hearing Manager.

9.12    Having considered all of the information gathered throughout the process and presented at the hearing, the Disciplinary Hearing Manager will decide on the outcome, where appropriate, seeking guidance from the relevant People & OD representative. Where appropriate or possible, decisions will be communicated at the hearing (after an adjournment), however where this is not possible the Disciplinary Hearing Manager will otherwise conclude the hearing and notify the colleague of their decision in writing.  This will normally be done within 10 working days of the hearing. If disciplinary action is taken the colleague will be advised of their right to appeal.

10. Disciplinary Sanctions

10.1    In deciding the appropriate disciplinary action, the Disciplinary Hearing Manager should take into account a range of factors to ensure their decision is fair and reasonable. This includes the nature and seriousness of the misconduct, consistency with any similar cases that have gone before, and the colleagues own disciplinary record, length of service and any explanation or mitigation offered for their actions.

10.2    If no formal disciplinary action is to be taken, the colleague should still be informed in line with the stated timescales. In some cases, there may still be other recommendations or actions to consider and if so, these should be communicated and responsibility or oversight assigned to a relevant manager (usually the line manager) to support the colleague to meet any obligations placed on them.

10.3    If the Disciplinary Hearing Manager decides that disciplinary action is justified, they must decide what form that should take, inform the colleague and confirm their decision in writing. In doing so they must set out the details of the misconduct, the behaviour that is expected, the period for which the warning remains live; together with the colleague’s right to appeal. 

 10.4    First Written warning

This is usually the first appropriate formal action where conduct falls below an acceptable level and there are no live written warnings. This may also occur where more minor misconduct has continued despite attempts to resolve the matter informally. This informs the colleague that their behaviour has not met the expected standard, sets out the details of this and the improvement required. Notification of this warning must also explain to the colleague that whilst the first written warning is live, if their behaviour does not improve to the specified standard, or there is another incident of misconduct, this could lead to a further sanction.

 A first written warning:

  • is live from the date it is issued 
  • remains live for 6 months 

10.5   Second Written Warning

This will usually be appropriate for misconduct where there is already a live warning on the employee’s record or where the misconduct is considered sufficiently serious to warrant a second written warning even though the colleague has no live warnings.

The inappropriate behaviour and required improvement must be detailed and the colleague should be warned that whilst the second written warning is live if their behaviour continues to be unacceptable or there is any further incident of misconduct, it could lead to a further sanction. 

A second written warning:

  • is live from the date it is issued
  • remains live for 9 months 

10.6   Final Written Warning

This will usually be appropriate for misconduct where there is already a live second written warning on the employee’s record or where the misconduct is considered sufficiently serious to warrant a final written warning even although the employee has no live warnings.

The inappropriate behaviour and required improvement must be detailed and the colleague should be warned that whilst the final written warning is live if their behaviour continues to be unacceptable or there is a further incident of misconduct, it could lead to their dismissal or an alternative action short of dismissal. 

A final written warning

  • is live from the date it is issued
  • remains live for 12 months

10.7  Dismissal

Dismissal will usually be appropriate in respect of any of the following:

  • Further misconduct where there is a live final written warning
  • Any gross misconduct regardless of whether there are live warnings

Dismissal will normally be with notice paid in lieu unless the act amounts to gross misconduct and warrants summary dismissal (i.e. dismissal without notice or pay in lieu of notice).

Examples of conduct which are likely to amount to gross misconduct are attached as an Appendix to this procedure. If a colleague is summarily dismissed, they will be paid up to the date of termination and for any accrued but untaken holiday pay.

A colleague will not normally be dismissed for a first act of misconduct unless the Disciplinary Hearing Manager concludes that it amounts to gross misconduct, or the colleague is in their probationary period (as per paragraph 3.6 of the Probationary Policy).

If the University decides that dismissal is the appropriate sanction, the employee will be informed of the reasons for the dismissal in writing and the date on which employment will end. The letter should include:

  • the reason for dismissal
  • how the decision to dismiss was reached
  • the date employment ended
  • the period of notice to be paid, if applicable
  • the colleague’s right to appeal

10.8 Alternative Actions Short of Dismissal

In some exceptional circumstances a Disciplinary Hearing Manager may decide to take action short of dismissal. This may include cases where the threshold for dismissal is met but other extenuating circumstances lead the Disciplinary Hearing Manager to determine that dismissal is not the most appropriate course of action. Typically, this would result in a final written warning in conjunction with at least one other sanction, which may include (but is not limited to) redeployment, demotion or the withholding of pay progression.

 

11. Appeal

Lodging an appeal

11.1   If a colleague wishes to appeal the outcome of a decision made at any hearing held under the disciplinary procedure, they should submit an appeal in writing outlining their full grounds for appeal, to the appropriate College/University Services People & OD team within 10 working days of receipt of the Hearing Manager’s decision. Colleagues will be notified that their appeal has been received within 5 working days.

11.2   The appeal stage is not intended to be a rehearing of the original case. Hence the grounds for appeal should typically fall within one of the following:

  • Procedural error
  • The outcome and recommendations are unreasonable and significantly out of line with the issues considered
  • New information is now available which could not have reasonably been provided when the original outcome was communicated.

11.3    Where the appeal relates to new evidence there should be a clear statement provided outlining the reason why this was not available for consideration at the previous stage.

The Appeal Hearing

11.4    The University will invite the colleague in writing to attend an appeal hearing, normally within 10 working days of receipt of an appeal. The employee may be accompanied by a Trade Union representative or work colleague.

11.5    Appeals will be heard by an independent and normally more senior manager (the Appeal Manager) who will consider the hearing outcome with an open mind. Appeals in relation to dismissals will be heard by a panel of 2, the chair being a senior member of University staff (of minimum Grade 7) and the other being an appropriately trained employee*.

*For employees engaged in teaching, the provision of learning or research, the trained employee will be a senior member of academic staff drawn from a grouping proposed jointly by University Management and the recognised Trade Union(s) and approved by Court.

11.6    If the colleague or their Trade Union representative is unable to attend the appeal hearing, steps will be taken to rearrange this as soon as possible and normally within 5 working days. Where a colleague is persistently unable or unwilling to attend the hearing further advice should be taken from the People &OD Case Management Hub and in some circumstances; after being offered reasonable opportunity to attend, the colleague may instead be offered the opportunity to submit written representation and/or the appeal hearing may proceed and a decision taken in their absence based on the information available. A decision to proceed in this way will be communicated in writing to the colleague in advance.

11.7    Appropriate training/guidance will be provided to Appeal Managers and members of Appeal Panels by the People & OD Case Management Hub.

The Appeal Outcome

11.8 Once the Appeal Manager has considered all the points raised, they will normally provide a response, in writing, within 15 working days. The Appeal Manager may uphold, overturn or vary the decision made at the original hearing.

11.9 The decision of the Appeal Manager is final and there is no further right of appeal. 

12. Ongoing Support

12.1    A disciplinary process can be stressful for all parties involved, and individuals may respond differently to such pressures. In some cases, the prospect of disciplinary action or dismissal may lead to significant distress, potentially affecting a person’s health and wellbeing. Managers leading elements of the process should be alert to this and if signs of distress become evident, it may be necessary to adjust the process or, with the individual's consent, seek professional advice from the University’s Occupational Health Service. This ensures that the colleague is appropriately supported while allowing the disciplinary process to proceed fairly.

12.2     If signs of distress persist, the colleague should be encouraged to access the Employee Assistance Programme (EAP), the wellbeing resources available via the University’s Health and Wellbeing Hub, or consult their GP. EAP support continues for colleagues up to three (3) months following the end of their employment. This includes situations where employment has ended due to dismissal.

12.3    After the disciplinary process concludes, Disciplinary Hearing Managers, in collaboration with relevant line managers, should consider any factors that may require further attention. This may include addressing ongoing relationships or involving additional support to aid the reintegration of the parties involved.

13. Criminal Acts Outside of Work

13.1    University colleagues are contractually required to inform their line manager or their local People & OD team if they are charged or convicted of a criminal offence. Failure to report a charge or conviction may result in disciplinary action up to and including dismissal.

13.2    Advice must be sought from the relevant local People & OD team before any disciplinary action is considered, as charges or convictions do not necessarily impact upon individual roles.

14. Links to Other Relevant Policies and Guidance

 14.1    Colleagues should also refer to additional related University policies and guidance on University and or People & OD webpages:

Appendix 1 - Gross Misconduct

Definition of Gross Misconduct

Gross misconduct encompasses actions or behaviours that are considered so serious that they fundamentally breach the trust and confidence required for employment at the University. Such actions may result in summary dismissal without notice (or payment in lieu of notice), following a formal disciplinary process conducted in line with the University's Disciplinary Policy.

Examples of Gross Misconduct

The following examples, while not exhaustive, illustrate behaviours typically regarded as gross misconduct:

Dishonesty and Fraud

  • Theft, fraud, or deliberate falsification of records.
  • Giving false information as to qualifications or using fraudulent identity or withholding information that would be relevant.
  • Acceptance of bribes or other secret or undeclared payments.

Physical Violence and Threats

  • Physical violence or threats of violence.

Damage and Negligence

  • Deliberate and serious damage to property.
  • Serious negligence causing loss, injury or damage, including loss of life.

Harassment and Discrimination

  • Unlawful discrimination, harassment, bullying or intimidation against University colleagues, contractors, students or members of the public on the grounds of sex, sexual orientation, marital or civil partner status, pregnancy and maternity, gender reassignment, race, disability, religion or belief, or age which contravenes the University’s Equality Policy or Dignity at Work and Study Policy.

Misuse of Technology or University Resources

  • Deliberate access to pornographic, offensive or obscene materials.
  • Defamatory and /or abusive comments regarding the University or its employees through the inappropriate use of social media, blogs or other platforms.
  • Serious misuse of the University’s information technology systems (including misuse of developed or licensed software, unauthorised software use or serious misuse of e-mail and the internet).

Confidentiality and Data Protection

  • Serious breach of confidence including unauthorised use or disclosure of confidential information or a serious failure to ensure that confidential information in the employee’s possession is kept secure.
  • Deliberate or malicious unauthorised use, processing or disclosure of personal data which contravenes the University’s Data Protection Policy.

Substance Abuse

  • Incapability to work due to being under the influence of alcohol, illegal drugs or other substances during working hours.
  • Possession, use, supply or attempted supply of illegal drugs.

Breach of Policies or Procedures

  • Serious or repeated breach of health and safety rules or serious misuse of safety equipment.
  • Intentional or malicious refusal to comply with reasonable instructions or requests made by a line manager within the workplace.
  • Serious neglect of duties, or deliberate breach of the University’s procedures
  • Serious and/or malicious misconduct in connection with research activities.

Reputation and Integrity

  • Conviction for a criminal offence that in the University’s opinion may affect the University’s reputation or its relationships with staff, students or the public, or otherwise affects the employee’s suitability to continue to work for the University.
  • Bringing the University into serious disrepute such as serious misuse of University property, name or reputation.

Malicious or Bad Faith Actions

  • Making a disclosure of false or misleading information under the Code on Public Interest Disclosure (Whistleblowing Policy) maliciously, for personal gain, or otherwise in bad faith.
  • Making untrue/vexatious allegations in bad faith against a colleague.

Note:

This list serves as a guideline and is not exhaustive. Other conduct of a similar nature may also constitute gross misconduct depending on the circumstances.

15. Document Control

 

Document Control

 

Policy name

Disciplinary Policy

Approved by

Policy Review Group

Implementation date

April 2026

Owner

People & OD – Policy & Employee Relations