Roles & 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 the 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 the 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 the 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.