Conduct Procedure - Managers' Guidance

1. Introduction 

The University values not only the skills of its employees but also the way in which its employees carry out their roles: their conduct in their role and towards each other. These values are embedded in the professional behaviour framework and leadership attributes. Good conduct is essential for the efficient and orderly operation of the University’s activities and to ensure the safety and well-being of members of the University and its associates.  

The purpose of the Conduct Procedure (Conduct Framework for Staff who have completed their Initial Service Review period: Ordinance 10, section 4) is to provide a constructive framework for dealing with staff conduct to ensure that disciplinary action when necessary is applied fairly and consistently. 

The purpose of this guidance is to assist managers to implement Ordinance 10, section 4, it does not form part of the procedure.  It follows that this guidance should be read in conjunction with the the Conduct Procedure (Conduct Framework for Staff who have completed their Initial Service Review period: Ordinance 10, section 4) and the Operating Principles (Ordinance 10, section 1). 

2. Manager’s Responsibilities 

It is the Manager’s responsibility: 

• To ensure that the employees they manage are clear about the standards of conduct expected of them and that they have an appropriate opportunity to demonstrate their ability to comply with them. 

• To deal with issues of conduct as they arise and where appropriate seek to resolve such matters informally with early action. 

• To deal with issues of conduct consistently and using the procedure set out in Ordinance 10, section 4. 

3. Support and Guidance 

HR teams will provide guidance and support to all parties involved in the operation of the procedures prescribed by Ordinance 10, section 4 (see Operating Principles: Ordinance 10, section 1, point 1.6). 

Trade Unions may advise their members on all aspects of this procedure, and may represent/accompany individuals at meetings (see Operating Principles: Ordinance 10, section 1, point 1.12). 

4. Early Action (Ordinance 10, section 4, point 4.2) 

If a Manager has concerns about an employee’s conduct it is in the Manager’s interests to address the concern early. The aim is to resolve the concern before positions harden or patterns of working become entrenched and therefore harder to change and/or start to affect other members of the employee’s team or any other colleagues. Managers are strongly encouraged to address any concerns relating to an employee’s conduct early with the aim of resolving them without recourse to the formal procedure. 

Any informal meetings or discussions (whether as part of regular 1:1 meetings or arranged specifically to address poor conduct) should highlight: 

• The nature of the concerns. 

• The expected standards of conduct. 

• Any necessary actions required to be carried out by the employee to aid improvement. 

• Any relevant training or support. 

• Any timescales for improvement and review dates. 

• The potential consequences of not achieving the required improvements in conduct. 

At an informal meeting managers should: 

• Communicate the concerns about the employee’s conduct clearly. It may be helpful to use observations and examples to explain the “gap” between existing levels of behaviour and the expected standard(s). 

• Explore any change in behaviour required with the employee. 

• Consider the employees views and/or any mitigating circumstances that may be affecting their conduct (including, for example any personal circumstances). 

• Consider, where appropriate, providing the employee with access to reasonable support or training to assist them in meeting the required standards. 

• Keep a note of the meeting, and of the required outcomes, targets, review date(s), etc. and copy it to the employee after the meeting (this could be via email). 

Where as a result of early action conduct has improved sufficiently, managers should meet again with the employee to confirm the positive outcome and should confirm this in writing (this could be via email). It will also be necessary for the Manager to ensure that standards of behaviour/conduct are maintained through appropriate review. 

5. Suspension (Ordinance 10, section 4, point 4.3 and Ordinance 10, section 1, point 1.14) 

A Manager may consider that the seriousness or persistence of an employee’s conduct warrants consideration of suspension. 

Managers do not have the authority to suspend employees, this can only be done by the HR Director or nominee. If a Manager considers in any particular instance that suspension might be appropriate they must obtain advice from their Faculty/Division HR Manager who will refer the matter to the HR Director or nominee. 

6. Prior to Taking Formal Action (Ordinance 10, section 4, point 4.5) 

Before taking formal action under Ordinance 10, section 4 it may be helpful for the Manager in discussion with HR to consider the following: 

• Articulating as clearly as possible the nature of the concern about the employee’s conduct. 

• Whether Ordinance 28 is the correct procedure. If not whether the concerns should be dealt with under a different procedure. 

• Is this the first time that a concern has been raised about the employees conduct?
  • If it is, is the conduct complained of serious enough to warrant formal action without any attempt to resolve the issue as early action? If not, then seek to address the concern informally under paragraph 4 above.
  • If this is not the first time that the concern has been raised or it is serious enough to go straight to formal action, is further investigation appropriate? 

• If further information is needed before progressing to formal action it may be appropriate for the Manager (with the assistance of HR) to gather and collate that information without the need to appoint an investigator. If this is the case then the Manager may find section 7 below useful when gathering that information. 

• If further investigation is needed, who should carry out that investigation? (HR will advise on who would be appropriate to carry out an investigation and the investigator’s remit. The Manager will appoint the Investigator). 

• If an investigator is appointed the Manager will normally then write to the employee informing them: that an investigation is being undertaken; of the name of the investigator; and that the investigator will be in touch with them shortly (the letter will be drafted by HR and sent by the Manager). 

• If no investigation is needed, why not, for example, has there been an investigation already under a different procedure? Is the conduct admitted? (HR will advise). 

7. Investigations (Ordinance 10 section 4, point 4.4) 

Not all investigations are the same. Investigations can range from additional enquires being made by the Manager considering taking formal action through to an investigator being appointed to carry out an investigation. It is not therefore possible to prescribe exactly how an investigation should be carried out. The nature of the investigation will depend upon the conduct being investigated and the relevant information already available. A Manager who decides that it is appropriate to gather further information themselves before deciding whether formal action is taken may find the approach in this section useful. These guidelines are therefore suggestions as to how an investigator or manager might proceed with an investigation. 

As a first step the investigator (with advice from HR) should consider the concern that has been expressed about the employee’s conduct and the remit of the investigation which will normally include considering: 

• Whether it is necessary to interview anyone other than the employee concerned and if so who. 

• What University policies may be relevant to the concern expressed. 

• What other documentation may assist with the investigation and where it could be obtained from. 

• That it is not the investigator’s or manager’s role to prove that the concerns expressed have foundation rather it is to gather in all the relevant evidence which includes evidence on behalf of the employee. 

Having established the remit of the investigation the investigator will normally: 

• Write to the employee confirming:
  • that they are carrying out the investigation/gathering information;
  • inviting them to attend an investigatory interview and that they may bring a representative;
  • inviting them to supply any relevant documentation; inviting them to suggest the names of any relevant individuals that they consider the investigator should interview and why: and
  • advising them of the likely length of the investigation (letter to be drafted by HR and sent by the investigator). 

• Contact any individuals who they would like to interview arranging dates and times (letter to be drafted by HR and sent by the investigator). 

• Seek, with the assistance of HR any relevant documentation. 

• Consider what questions to ask both the employee and any other individuals being interviewed. 

HR will where appropriate: 

• Attend any interviews with the investigator and will take notes of the meetings. 

• Collate any documentation provided during the course of the investigation. 

• Advise and provide assistance to the investigator. 

• Draft any letters to the employee concerned on behalf of the investigator keeping the employee informed as to the progress of the investigation and explaining if there are any undue delays. 

Having completed the investigation the investigator will: 

• Consider all of the information gathered. 

• Decide whether or not, in his or her view, there is a case to answer. 

• If there is a case to answer, where appropriate, consider whether the matter should be dealt with under a different procedure. 

• Prepare a report summarising the investigation; the concerns; the evidence collated, drawing attention to any undisputed factual matters; the findings and the recommendation i.e. whether or not there is a case to answer. 

• It is not for the investigator to make any other recommendations. 

8. Following Investigation 

Where an investigation has been carried out it is for the Manager who commissioned that investigation, having considered the investigator’s report, to decide what if any action should be taken. This may include deciding that:

• No action should be taken, in which case the employee should be informed (HR will draft the letter to be sent by the Manager). 

• The concerns may be addressed through early action (see section 2 above). 

• The matter should be dealt with under a different procedure in which case the employee should be informed (HR will draft the letter to be sent by the Manager). 

• The matter should proceed to formal action under Ordinance 10, section 4 (see section 9 below). 

It is usual for the Manager’s decision to follow the investigator’s recommendation but that will not always be the case. Where a Manager, having considered the evidence gathered by the investigator, considers that a different conclusion may be drawn he or she must seek advice from HR before making a decision on how to proceed. 

9. Taking Formal Action (Ordinance 10 section 4, point 4.5) 

It is important to remember that the employee is likely to be worried about attending a formal meeting under Ordinance 10, section 4. The Manager’s first responsibility is, as far as possible, to put the employee at their ease and conduct the procedure and any meetings in an open and transparent manner. 

(a)  Prior to the hearing (Ordinance 10 section 4, point 4.5.2 - 4.5.3) 

• It is important that the employee understands the concern(s) that have been expressed about his or her conduct. The Manager (with advice from HR) may consider clarifying the allegation(s) against the employee. 

• HR will consider whether it is appropriate for the Manager who has been dealing with the matter up to now to conduct the hearing and if not advise as to who would be the Appropriate Manager for the purposes of the hearing. 

• The person identified to hear the case is the Appropriate Manager. 

• HR will consider whether an appropriate person should be appointed to present the allegation(s) against the employee at the hearing and advise the Appropriate Manager accordingly. 

• The Appropriate Manager will:
  • send a letter (drafted by HR and with advice from HR as to timing) inviting the employee to attend a hearing; 
  • arrange for notes to be taken at the hearing;
  • consider now he or she is going to raise the matters with the employee; and
  • consider what questions he or she could ask the employee that might help clarify issues. 

• The Appropriate Manager will, on the basis of the information supplied in response to the letter inviting the employee to attend a hearing, decide:
  • whether or not anyone identified by the employee should be called to the hearing or be interviewed before hearing;
  • request others to attend the hearing; and
  • ensure that any additional documentation supplied by the employee is given to the person presenting the case. 

(b)  The format of the hearing 

The Appropriate Manager should explain to all those present at the hearing how the hearing will be conducted. The usual format of the hearing is set out in Appendix 1. 

(c) At the hearing 

At the hearing the Appropriate Manager may: 

• Ask questions to clarify the issues (including exploring any actions or measures that may assist to address any issues in relation to behaviour or conduct) and to check that what has been said and that it is understood. 

• Encourage the employee and any witnesses to speak freely to try to establish all the facts. 

• Establish if there is any explanation for the concerns. 

• Summarise the main points of the discussion after questioning is completed. 

• Establish if there are any special circumstances to be taken into account. 

• Ask the employee if they have anything further to say or to be taken into account. 

(d) Considering the decision 

• The Appropriate Manager will consider all information and evidence that has been presented and any mitigating circumstances put forward by the employee. HR will advise the Manager in the particular circumstances of the case which options are available to them, which may include:
  • taking no further action;
  • issuing a warning (which may include provision for additional training or support, an improvement period dates of any review meetings etc. (see Ordinance 10, section 4, point 4.5.13);
  • Dismissing the employee (with or without notice). Dismissal without notice is normally only on the grounds of gross misconduct; and
  • Whether it is appropriate to impose any other measure (see Ordinance 10, section 4, point 4.6). 

• Following such deliberation the Manager will take their decision. HR will draft and the Manager will send out the letter explaining the decision and the reasons for it and the right of appeal. 

Appendix 1: Format for a Hearing under Ordinance 10, section 4

The usual format for the hearing will be: 

• Introductions. 

• Representation – where an individual has brought a representative it is usually helpful if the Appropriate Manager or HR Manager clarifies how that role is to be fulfilled (see Operating Principles: Ordinance 10, section 1, point 1.12). 

• The Appropriate Manager or person presenting should explain the nature of the concerns to the employee. 

• The employee or their representative may ask questions of the Appropriate Manager and any witnesses present at the hearing. 

• The employee may explain the situation from their perspective. 

• The employee may ask his or her witnesses to give their evidence. 

• If there is a person presenting the allegations against the employee they may ask questions of the employee and any witnesses present at the hearing. 

• The Appropriate Manager may then ask the person presenting the case to ask their witnesses to give their evidence or call the witnesses themselves. 

• The employee or their representative may ask any witnesses questions. 

• The Appropriate Manager may ask any final questions. 

• The Appropriate Manager may invite the employee or their representative for any final comments before making a decision. 

• The Appropriate Manager may then decide to adjourn to enable them to consider carefully all the information and evidence and, with advice from the HR Manager, reach a decision. During this time the employee and their representative can normally be asked to wait in a room nearby, from which they can be recalled when the decision has been taken. 

• If it seems that it may take longer to reach a decision the Appropriate Manager may inform the employee that they will be notified of the decision in writing.