This ordinance applies only to remunerated posts in the University which are undertaken in addition to a member of staff’s substantive post. Such posts are referred to in this ordinance as “additional posts”. Save where a member of staff is appointed to one of these posts as his or her substantive post, additional posts shall be those of pro vice-chancellor, dean, head of school, research director, education director, graduate dean, undergraduate dean and head of primary unit. If a member of staff is appointed to one of these posts as his or her substantive post, the usual conduct, performance and ill-health procedures shall apply. This ordinance shall be used where it is considered that the member of staff may remain employed in his or her substantive post, but he or she may be unsuitable to continue in the additional post. Reasons for removing a member of staff from an additional post are:
a) inadequate performance in the post;
b) lack of capability to fulfil the duties of the post by reason of ill-health;
c) misconduct in the post, contrary to the University’s Rules of Conduct for Members of Staff.
For each additional post there shall be designated a line manager. In the case of a pro vice-chancellor this shall be the Vice-Chancellor, for a dean it shall be the appropriate pro vice-chancellor, for a head of school, research director, education director, graduate dean or undergraduate dean it shall be the dean of the relevant faculty and for the head of a primary unit it shall be the head of school. In this procedure, unless the context indicates otherwise, references to the line manager shall be construed to refer either to the line manager or to an appropriate member of staff nominated by him or her to act with full authority on his or her behalf.
Throughout any proceedings taken under this procedure, the University shall seek to ensure that a high standard of confidentiality is maintained, before and after the hearing as well as in relation to the hearing itself. Care shall be taken not to undermine the position of the member of staff concerned in relation to his or her colleagues. Investigations shall be undertaken with discretion. Where necessary to ensure confidentiality, administrative support shall be provided by the Human Resources Services. Wherever practicable, hearings shall be held away from the member of staff’s normal place of work. None of this shall preclude information about the outcome being given to any person where this is appropriate.
A member of staff who is subject to proceedings under this ordinance has the right to attend hearings and to be represented by an adviser, friend, trade union or other representative. If the member of staff is for good reason unable to attend a formal hearing, the hearing shall be adjourned to a suitable alternative date within a reasonable time. However if there are reasonable grounds to believe that the member of staff is refusing or failing to attend a hearing without good cause, the member of staff will be informed that a further hearing is being arranged. On that further occasion the University may proceed in the absence of the member of staff, unless satisfied that there are good grounds for his or her non-attendance. Any submission concerning non-attendance made by the member of staff in writing, or by his or her representative in person or in writing, shall be considered before any decision is taken to hear the matter in his or her absence. If the hearing proceeds in the member of staff’s absence, any submission made about the substantial issues under consideration by the member of staff in writing, or by his or her representative in person or in writing, shall be considered at the hearing.
When the conduct or performance of a member of staff in an additional post is causing concern, the normal management and staff review processes having failed to secure the required improvement, the line manager’s first step will usually be to discuss the problem with the member of staff informally under this procedure. Such discussions shall identify the problem and consider its causes and possible solutions. The line manager shall ensure that the member of staff is aware of the standards expected and shall consider whether any further support or action might be appropriate. Where issues of discrimination are raised, consideration shall be given to providing relevant supportive mentoring, for example by offering a female member of staff an appropriate female mentor.
Where there is continuing concern after such informal discussion, the line manager shall make a brief note of the discussion and confirm the main points in writing to the member of staff, including future expectations, timescales within which improvement is expected, and the potential consequences of a failure to improve.
Where informal discussions have not led to an improvement, or where, exceptionally, conduct or performance is such that informal discussion is inappropriate, the line manager, after consultation with an HR manager, may consider taking formal action under Stage 1 of this procedure. Before any decision is taken to proceed with formal action under Stage 1, the line manager shall where appropriate gather such further information as may be required, with advice from an HR manager. The line manager shall inform the member of staff that an investigation is taking place and shall normally interview the member of staff. Written statements may be obtained.
If the line manager decides that it is appropriate to consider giving the member of staff a warning, the line manager shall arrange a hearing. The line manager shall inform the member of staff in writing at least seven working days in advance that there is to be a hearing. The letter shall include:
At the hearing the line manager shall interview the member of staff, who shall be given the opportunity to respond. An HR manager shall normally attend the hearing. The line manager may, for good reason, request another member of staff to attend the hearing. Individuals may attend to give relevant evidence. The line manager shall ensure that a note is taken of the hearing. The note shall normally be taken by an HR manager. If, having considered the evidence, the line manager is satisfied that a warning is appropriate, he or she shall inform the member of staff that a letter shall be sent within seven working days, giving a warning under the procedure, and that the warning will be in force for a period of one year from the date of the letter, after which it will be spent. The line manager shall enclose a copy of the note of hearing, and shall set out in the letter:
The member of staff shall be shown any report on his or her conduct prepared during the period in which the warning is current. If, having considered the evidence, the line manager is satisfied that a warning is not appropriate, he or she shall so inform the member of staff and shall confirm this by letter within seven working days.
If the member of staff does not meet the required improvements set out under Stage 1, or where serious misconduct or inadequate performance is alleged, the line manager, after consultation with the Human Resources and Staff Development Director, may refer the matter in writing to the Vice-Chancellor, or in the case of a pro vice-chancellor, to the Chair of Council. The Vice-Chancellor or Chair of Council shall take one of the following steps:
a) take no further action;
b) instigate an enquiry into the allegations made, to be conducted by a senior member of staff with no prior involvement in the matter, to be referred back to the Vice-Chancellor or Chair of Council for further action under a) or c); or
c) establish a panel to consider the allegations and determine whether the member of staff should remain in the additional post.
If a panel is established, it shall comprise two senior members of staff or emeritus professors appointed by Council who have had no prior involvement in the case, and a lay member of Council. The Human Resources and Staff Development Director shall act as secretary to the panel, to give advice and to assist the panel, and shall arrange for a note of the proceedings to be taken. The panel may seek independent legal advice.
The Human Resources and Staff Development Director shall appoint a member of the University staff or a lawyer to present the case against the member of staff. The Human Resources and Staff Development Director shall ask the case presenter to set out the case in writing and this shall be sent to the member of staff at least seven working days before the hearing. Copies of any written witness statements shall be sent to the member of staff at least seven working days before the hearing.
Subject to the provisions of this ordinance and to representations made by the member of staff, the order of proceedings at the hearing shall be at the discretion of the panel (Human Resources will issue guidelines from time to time). The panel shall rely only on written or oral evidence presented at the hearing. Normally evidence shall be given in person, by individuals who may be called by the case presenter, the member of staff or the panel. All such persons may be questioned by the case presenter, the member of staff or his or her representative, and members of the panel. The panel may accept a written statement in evidence where the member of staff agrees that the author of the statement need not attend, or where it is impracticable for him or her to attend, or where in the opinion of the panel it is for some other reason in the interests of justice to do so. The panel may ask for additional enquiries to be undertaken, and may call for additional persons to attend.
While every effort will be made to ensure that the member of staff is not rushed in the presentation of his or her case, the panel may impose reasonable time limits on oral addresses and submissions. The panel shall refuse to admit evidence that is, in its opinion, irrelevant to the issues raised.
The panel shall have power to adjourn a hearing to another date. The panel shall ensure that the proceedings are dealt with expeditiously. It may set time limits for each stage of the proceedings, and may dismiss the case if there are undue delays by the University in taking the matter forward. The panel shall find against a member of staff only if, on the evidence before it, it is satisfied that the case is proved. Normally a unanimous verdict will be expected, but if, exceptionally, the members of the panel cannot agree, the verdict of the panel shall be that of the majority of its members. The panel shall give a reasoned decision in writing, which shall be sent to the member of staff and to the Vice-Chancellor, and in the case of a pro vice-chancellor, to the Chair of Council. The panel may recommend to the Vice-Chancellor that:
A warning that is spent shall normally be disregarded for future purposes. After a warning is spent, any notes and correspondence relating to the warning shall be destroyed, except for one copy which shall be held on the central HR file, clearly marked as spent. However where a pattern emerges whereby the conduct or performance of a member of staff is satisfactory throughout the period during which a warning is current only to lapse very soon thereafter, the warning may be borne in mind in deciding future action.
All appeals must be made in writing to the University Secretary within twenty working days of the date when the letter confirming the decision appealed against was sent. The appeal letter shall set out clearly the general grounds on which the appeal is based. A member of staff shall not normally be permitted to raise grounds at the appeal hearing if these were not raised in the original written appeal submission.
Appeals against warnings shall be heard as follows: in the case of an appeal by a pro vice-chancellor, by a lay member of Council; in the case of an appeal by a dean, by the Vice-Chancellor; and in other cases by a pro vice-chancellor. The decision shall be final.
The person hearing the appeal shall be advised by the Human Resources and Staff Development Director. The member of staff may present his or her case in person or in writing, and may be represented by an adviser, friend, trade union or other representative. There shall be no entitlement to a rehearing of the case. Grounds for appeal include (1) new evidence which could not reasonably have been presented at the hearing at which the original decision was taken, (2) that the original hearing was not conducted fairly, or (3) that the original decision was unreasonable in the light of the findings of fact. In the first case, the person hearing the appeal may remit the matter back for reconsideration. In the second and third cases, the person hearing the appeal shall overturn the original decision if he or she considers it just to do so.
Appeals against removal from an additional post shall take the form of a review. There shall be no entitlement to a rehearing of the case and witnesses may be called only with the appeal Committee’s permission. Grounds for appeal include (1) new evidence which could not reasonably have been presented at the hearing at which the original decision was taken, (2) that the original hearing was not conducted fairly, or (3) that the original decision was unreasonable in the light of the findings of fact. The committee shall overturn the original decision if it considers it just to do so.
Council shall appoint a committee of three to consider the appeal, none of whom will have had any prior involvement in the case. The committee shall include a lay member of Council as Chair and a member of the academic staff appointed by Senate.
The University Secretary shall act as secretary to the appeal committee. The procedure shall be determined by the committee (Guidelines on procedure shall be issued from time to time). The member of staff may present the appeal in person, attend hearings and be represented by an adviser, friend, trade union or other representative. The University may be represented by a member of staff or lawyer. The committee may adjourn hearings, set time limits for stages of the proceedings, correct accidental errors and dismiss an appeal if there are undue delays in taking the matter forward. Every effort will be made to deal with the matter expeditiously. The committee shall give a reasoned decision in writing, which shall be sent to the member of staff and to Council.
Approved by Council 2005, effective from 1.1.06
2 July 2010
