People & Organisational Development

Guidance for Employee - What to expect during the Disciplinary Process

Introduction

This guide outlines each stage of the disciplinary process, explaining what will happen, the role of those involved, and where to find support.

Addressing workplace conduct

At the University we believe in fostering a respectful, collaborative and supportive work environment aligned to our Values.  When conduct concerns arise, our priority is to resolve them constructively and proportionately.

For minor conduct issues, informal resolution is often the preferred approach.

These situations are often best addressed through timely, respectful conversations that encourage reflection and positive change. Often, a simple dialogue between manager and colleague—held with empathy and clarity—can resolve concerns without the need for formal procedures.

Informal Resolution:

Outlined below are the steps typically actioned in resolving minor instances of conduct and what you should expect from this informal stage.

What happens:

  • Line Manager will speak with you about the issue and outline what to improve, agree a review timeline, and outline next steps should improvement not occur.
  • This may be a one-to-one conversation rather than a formal meeting. (Due to the informal nature of these discussions, colleagues would not normally be accompanied by a Trade Union Representative).
  • A form has been developed to assist managers in the informal recording of resolving minor instances of conduct and you should receive a copy of this.

What to expect:

  • You should understand clearly what the concern is.
  • You should have an opportunity to explain your perspective.
  • You should receive guidance or training if appropriate.

Formal Disciplinary Process: When It's Necessary

While informal resolution is preferred, there are circumstances where formal disciplinary processes are appropriate—such as serious misconduct, repeated issues, or clear breaches of University policies.

However, we recognise that formal processes can be stressful and may impact relationships. That’s why it is only pursued when necessary and proportionate to the issue at hand.

Investigation

A disciplinary investigation is the formal process the University uses to look into allegations of misconduct, breach of policy, or unacceptable behaviour in the workplace. Its purpose is to establish the facts, ensure fairness, and determine whether disciplinary action is necessary.

During an investigation, you can expect to be informed of the concerns/allegations, you will be given an opportunity to respond, and have any relevant evidence—such as documents, witness statements, or CCTV footage—reviewed. The process is confidential, conducted in line with workplace policies, and aimed at ensuring any decisions are based on accurate, impartial information.

What happens:

  • An Investigating Manager - appointed by the Commissioning Manager - will be responsible for gathering evidence, interviewing relevant individuals, reviewing documents, and compiling a written report. This report will outline the findings and recommend whether or not the matter should proceed to a disciplinary hearing.
  • You may be asked to attend investigatory meeting(s) — this is not a disciplinary hearing, but a meeting to establish the facts of what has occurred and the opportunity for colleagues to share their side of events and any supporting evidence.
  • Once the investigation is finalised, the Investigation Manager will share their findings with the Commissioning Manager who will consider these and determine next steps, including if matters should progress to a disciplinary hearing. Where this is decided, you will be provided with the written findings/report and evidence in advance of the disciplinary hearing.

What to expect:

  • You should be told the nature of the allegation(s).
  • You should provide your account of events.
  • You can be accompanied at investigatory meetings by a work colleague or Trade Union Representative.
  • You should expect confidentiality to be maintained during the process.
  • You will have the opportunity to respond to evidence at the hearing stage if the matter proceeds.

Disciplinary Hearing

Where it is concluded in the investigation stage that the matter(s) under consideration should proceed to a Disciplinary Hearing, a Disciplinary Hearing Manager will be appointed and you will be required to attend a Hearing.

The Disciplinary Hearing Manager will decide whether disciplinary action is appropriate based on the evidence.

What happens:

  • You will receive written notice of the hearing, the allegations, and all evidence in advance.
  • The hearing will be chaired by a manager who was not involved in the investigation.
  • You and your companion can present your case, ask questions, and respond to the evidence. Companions cannot however answer any questions you are asked directly.
  • The Disciplinary Hearing Manager will consider all the evidence before reaching a decision on the outcome of the hearing, and will adjourn the meeting before sharing the outcome, confirmed in writing.
  • Where a formal sanction is issued, you will be advised of your right to appeal that decision and will be given instructions on how to appeal.

Outcomes

Possible outcomes after the hearing may include:

  • No action
  • First Written Warning (live for 6 months)
  • Second Written Warning (live for 9 months)
  • Final Written Warning (live for 12 months)
  • Dismissal (with or without notice, depending on circumstances)
  • Other sanction (e.g., demotion, training requirement)

You will receive the decision in writing, along with your right to appeal.

Appeal

What happens:

Upon receipt of your written grounds of appeal, you will be invited to a meeting called an appeal hearing, normally within 10 working days of the receipt of your appeal.

Appeals are 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.]

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

What to expect:

  • You will receive written notice of the appeal hearing within normally 10 working days.
  • You will be given the opportunity to present the grounds of your appeal.
  • The Appeal Manager will consider all the points raised and will provide a written response within 15 working days.

Key Roles in the Disciplinary Process

This section explains who is involved in the disciplinary process and what their responsibilities are:

Commissioning Manager

  • Appoints the right manager to oversee the case and sends the formal appointment letter.
  • Works closely with the local People & OD (P&OD) Business Partner to look after the wellbeing of everyone involved.
  • Reviews the investigation report once it’s completed.
  • Decides whether to accept or reject the investigation’s recommendations.
  • Sends the investigation outcome letter.
  • Makes sure any follow-up actions are carried out — this could include reflective learning, training, or moving to a formal disciplinary hearing.

Investigating Manager

The Investigation Manager is responsible for gathering evidence, establishing the facts and assessing whether there is a is a disciplinary case to answer.

The role involves leading an impartial and thorough investigation and compiling a report for the Commissioning Manager, who will determine next steps based on the evidence and recommendations.

Disciplinary Hearing Manager

The Disciplinary Hearing Manager ensures a fair, transparent, and impartial formal hearing process, giving both the colleague and the University the opportunity to present their case while following the University’s disciplinary policy and deciding on the outcome.

Appeal Manager/Panel

The Appeal Manager’s main responsibility is to ensure that the appeal stage of the disciplinary procedure is handled fairly, impartially, and in line with policy and law.

Their job is to review whether the disciplinary outcome was fair, reasonable, and in accordance with procedure. They do not re-hear the full case from scratch but instead review the grounds of appeal raised by you.

After reviewing the evidence and hearing from all relevant parties, the appeal manager decides whether to:

  • Uphold the original decision.
  • Overturn the decision.
  • Modify the outcome (e.g., reduce a sanction).

They will provide clear reasons for their decision in writing. The appeal stage is final in the disciplinary process.

Local People & OD (P&OD) Business Partner

  • Usually, the first contact for managers starting the disciplinary process, providing advice and guidance.
  • Works with the Commissioning Manager to appoint the Investigating Manager.
  • After the initial setup, the case is then overseen by the Case Management Hub, and an Employee Relations Partner is assigned to support the case.
  • Keeps in touch with your line manager and the Employee Relations Partner to share updates and provide ongoing support.
  • Is available to you should you have any procedural related questions or wellbeing concerns.

Line Manager

  • If they’re not directly involved in the case themselves, your line manager (or an alternative manager) helps safeguard your wellbeing during the process.
  • Works with the local People & OD team to provide both practical help and emotional support throughout and after the process, including actioning any recommendations or support measures.

Employee Relations Partner

  • Part of the Case Management Hub.
  • Gives expert advice to ensure the process is fair and follows procedure.
  • Supports the relevant manager at every stage — for example, supports the investigation manager with planning meetings, drafting correspondence, and reviewing the investigation report.
  • Works with the Commissioning Manager and P&OD Business Partner to keep everyone updated.

Note Taker

  • Part of the People & OD team.
  • Attends meetings to record what is discussed in summary format.
  • Produces accurate and clear meeting notes in a timely manner.

Witnesses

  • Witnesses are individuals who provide factual, relevant information and/or evidence about the case, typically through direct observation or knowledge of the situation or event in question.
  • Witnesses should only be questioned on matters directly relevant to their experience, such as incidents they have observed. All witnesses are expected to always maintain confidentiality.
  • Witness participation is voluntary; and where relevant witnesses may also provide their accounts in writing as a ‘witness statement.
  • The Investigating Manager is responsible for identify and inviting appropriate witnesses. Colleagues involved in the investigation must not approach or influence witnesses or seek character references.

Trade Union/Companion

  • They may address the hearing on your behalf, present and sum up your case, and confer with you.
  • They cannot answer questions on your behalf unless agreed.

Notes & Records

  • Notes will be taken at all formal meetings.
  • You will be provided with a copy after the meeting; you can request amendments if you believe there are inaccuracies.  Notes of meetings will form part of the investigation report.
  • All records will be kept confidential in line with GDPR and the University’s retention rules.

Evidence

  • Evidence will be shared with you before the hearing.
  • You can challenge any evidence and present your own (it must be relevant to the matters under consideration).
  • If there is confidential information, the University will explain why it cannot be disclosed in full.

Support Available During a Disciplinary Process

Going through a disciplinary process can feel stressful and uncertain. It is important to know that you do not have to go through it alone. A range of support options are available to you both inside and outside the University.

People & OD Business Partner

Your People & OD Business Partner can provide guidance on the formal process, what to expect at each stage, and your rights and responsibilities.

What to expect:

  • They will remain neutral and are not there to advocate for either you or management.
  • They can explain policies, timelines, and potential outcomes.
  • They can help to ensure that the process is conducted fairly and in line with organisational procedures.

How they support you:

  • They can help you understand the steps in the process so that you feel informed and prepared.

Occupational Health

Occupational Health is available if you have any health concerns—either physical or mental—that may be affected by the disciplinary process.

What to expect:

  • They can carry out assessments to determine whether health factors should be considered in the process.
  • They can recommend adjustments or support to help you engage with the process (e.g., flexible timings for meetings if you experience anxiety).

How they support you:

  • Ensuring that any health needs are recognised and accommodated.

Employee Assistance Programme (EAP)

The EAP provides a free, confidential service that is independent from management.

What to expect:

  • You can access professional counselling, advice, and resources 24/7.
  • Support is also available for your immediate family members.
  • Counselling can cover issues such as stress, anxiety, personal relationships, or financial worries.

How they support you:

  • Offering a safe and confidential space to talk about the emotional impact of the process.

Trade Union

If you are a member of a recognised trade union, you are entitled to advice and representation.

What to expect:

  • A union representative can attend meetings with you.
  • They can help you prepare your case, gather evidence, and provide moral support.
  • They can advise you on possible outcomes.

How they support you:

  • Acting as an advocate and representative to ensure your voice is heard.

Manager (outside the process)

A manager who is not directly involved in the disciplinary case may be available to provide general workplace guidance and support.

What to expect:

  • They cannot intervene in the disciplinary process itself.
  • They may offer advice on day-to-day matters such as workload, wellbeing, or time off.

How they support you:

  • Helping you manage your normal work responsibilities while the process takes place.

Additional Guidance

  • If at any stage you feel overwhelmed or unsure, it is encouraged that you reach out for support early—whether through People & OD, Occupational Health, your union, or the EAP.
  • Remember: The process is designed to be fair and transparent, and these support options exist to help you navigate it.

Accessing Health and Wellbeing Resources  

Information and guidance and wellbeing support for colleagues is available via:

Policies