POLICY

Purpose of the policy and procedure

Disciplinary rules are important for the running of the University so that everyone understands what is expected of them and operates safely and lawfully, with dignity and respect for all. The University expects all of its staff to follow all of its rules, policies, codes of practice and procedures at all times. Disciplinary procedures are necessary so that employees who breach the rules of conduct expected by the University are treated reasonably, consistently, objectively and fairly in every case. This policy and the University’s Dignity & Respect Policy set out the expected behaviour of all staff.

This policy and procedure is in line with the March 2015 ACAS Code of Practice on Disciplinary & Grievance procedures to ensure that all University staff are treated fairly and with respect and dignity and that the University meets all its legal requirements.

2. Scope

The policy and procedure in this document apply to all employees of the University. It is made clear where they differ for those academic staff and officers covered by Statute 25 as outlined in Annex A. It does not apply to self employed people or to individuals contracted by other companies or on secondment to the University who are covered by their own employer’s procedures. .

Normal disciplinary standards and procedures apply to Trade Union representatives, however, no formal disciplinary action will be taken against a member of staff who is an accredited Trade Union representative until the circumstances of the case have been discussed with the local Branch Secretary / Branch President of the accredited Trade Union concerned or with an employed Trade Union official.

Any conduct which adversely affects the University, its employees, workers, students, visitors, agents or other third parties, such as negligence, breaches of work rules or unsafe practices may lead to disciplinary action.

3. What we expect from you

To comply with the University’s rules, policies and procedures at all times
To carry out your job to the rules and standards expected of your role
To behave appropriately and in line with all the University’s rules, policies and procedures with colleagues, students, customers, visitors to the University and the wider University at all times, understanding the impact of your behaviour on others
To maintain effective and professional work and study relationships with colleagues or fellow staff and students and treat all with dignity and respect
To clarify expectations, behaviours and rules with your line manager if you are unsure about them
To co-operate if you are asked to be involved with a disciplinary case
To co-operate with those dealing with a potential disciplinary case concerning you
To treat those dealing with a disciplinary case with courtesy and respect at all times

4. What you can expect from the University

To treat disciplinary matters fairly, consistently and reasonably across the University.
To act promptly when potential disciplinary matters come to light.
To deal with minor breaches of discipline informally, using resolution-based methods where possible and appropriate.
To investigate the facts as may be appropriate before taking action under the formal parts of this procedure.
To advise you in writing at all stages of the formal procedure of the nature of the complaint and give you the opportunity to state your case, present any evidence, witnesses and mitigating factors before a decision is reached.
The right to be accompanied by a ‘companion’ (as defined by the ACAS Code of Practice) – a University work colleague or accredited trade union representative – at each stage of the procedure except the informal stage
For the meeting to be rearranged (on one occasion) if you or your companion cannot attend a disciplinary hearing for a reason that was not reasonably foreseeable at the time the meeting was arranged
- Not to dismiss you for a first breach of disciplinary rules except in the case of gross misconduct
- To have the right of appeal against disciplinary penalties awarded
- To be treated with courtesy and respect at all times throughout your case
- To be given reasonable notice of any disciplinary hearing with hearings taking place at a reasonable time and location. All parties must take all reasonable steps to attend meetings punctually
- To record all cases of disciplinary action taken under these procedures and to supply on request to you copies of any such records held which relate to you

5. What managers have a responsibility to do

Set an example to all staff through their own conduct and behaviour
Reinforce clear standards for the conduct of all staff that they manage and provide appropriate feedback to their staff in respect of their conduct
- Manage the conduct of their staff, adhering to the policy and procedures contained in this document and the University’s Dignity & Respect Policy at all times.
- Raise and deal with issues in relation to conduct and behaviour promptly and not unreasonably delay meetings, decisions or confirmation of those decisions and use the informal resolution procedure where appropriate.
- Ensure any necessary investigations are carried out, where appropriate, to establish the facts of the case.
- Inform employees of the basis of the problem / allegations identified and give them an opportunity to put their case in response before any decisions are made.
- Seek and take account of professional advice from Human Resources as identified in this policy and procedure (e.g. throughout a case).

6. Identified Human Resources (HR) staff have a responsibility to:

Advise and guide managers on the application of the policy and the adherence with employment law.
Ensure consistency, reasonableness and fairness in the application of the policy.
Ensure the provision of all necessary information and documentation in relation to the process.
Review the policy on an ongoing basis to ensure that it meets the University’s strategic objectives and all legal and regulatory requirements.

7. The categories of conduct warranting disciplinary action

Offences under the University’s disciplinary procedure fall into two categories:

misconduct
gross misconduct (for staff not covered by s25), or
good cause for dismissal or removal from office (for staff covered by s25).

8. What misconduct is

Misconduct is a less serious breach of the University’s rules which would not normally result in dismissal for a first offence. The severity and frequency of the breach will be taken into account when determining the level of warning. The following list, which is neither exhaustive nor exclusive, gives some of the offences the University deems to be misconduct:

failure to disclose any potential conflicts of interest in personal life or that of a close family member
failure to report any criminal conviction or police caution
on site speeding or persistent parking offences
unauthorised absences from work, which have no underlying chronic medical condition and are not disability related
minor breach of financial regulations
persistent minor breaches of University rules
repeated lateness or persistent time wasting

9. What gross misconduct/good cause for dismissal or removal from office is

Gross misconduct/good cause for dismissal or removal from office (gross misconduct) is a breach of University policies and disciplinary rules which is so serious that it amounts to fundamental breach of trust and confidence between you and the University.

You can be summarily dismissed for a first offence which is considered to constitute gross misconduct. If you are dismissed for gross misconduct, the dismissal is without notice or payment in lieu of notice.

The following are some of the offences the University considers to be gross misconduct. This list is not exhaustive or exclusive:

any form of assault or physical violence
theft, deliberate malpractice, deception, cover up of deficiencies or falsification of documents or accounts
serious breach of financial regulations
bringing the University into serious disrepute
deliberate unauthorised disclosures to a third party of any confidential information or intellectual property
failure to comply with the law in all business activities
submission of falsified claims for overtime, expenses, advances or allowances or other fraudulent acts
falsely reporting or recording sick absence
acts of discrimination, bullying, harassment or victimisation of employees, students or visitors to the campus which compromise that person’s dignity
downloading of inappropriate material from the internet as set out in the IT Acceptable Use Policy
serious breach of health and safety procedures
deliberate plagiarism
incapacity to work due to being under the influence of alcohol or illegal substances
using or dealing in illegal substances on University premises
wilful damage to property belonging to the University, its students, customers, visitors or fellow employees
serious insubordination
abusive behaviour
serious negligence
serious abuse of research ethics
continued absence without leave
covert recording of staff, meetings etc – without express consent, for example

PROCEDURE

10. Representation

You have the right to be accompanied at an investigatory interview and throughout the formal procedure by a ‘companion’ as defined by the ACAS Code of Practice – namely a University work colleague or a trade union representative. A trade union representative who is not an employed official must have been certified by their union as being competent to accompany a worker.

There is no right to be accompanied by a companion at meetings under the informal resolution procedure (see section 11 below) although you may seek advice on a confidential basis from a trade union representative before or after such a meeting. There may be exceptional situations where the manager, Human Resources and the employee all agree for a companion to be present.

11. Informal and resolution-based procedures

11.1 Informal actions:

For minor infringements of discipline, your line manager/supervisor will make every effort to resolve the matter by informal and confidential discussions with you. A written record of the conversation should normally be made, confirming any actions to be taken and the implications if there is a repetition of the behaviour or if the informal process does not bring about an improvement. The HR Services team have a set of documentation (currently called ACT Fair) that can be used for confirming informal action undertaken so that the key information is documented. This will be retained confidentially.

11.2 The Resolution Framework:

The University has a Resolution Framework that can be used, particularly in situations where are minor or lower-level issues or behaviour that impact on others’ dignity and respect. Under the Resolution Framework the University has specially trained staff who can use a range of resolution-focused methods to bring home the impact of this negative behaviour and prevent it from being repeated. The Resolution Framework is attached as Appendix 1.

If this informal process under 11.1 or 11.2 above does not bring about an improvement, or if there is a repetition of the behaviour or the misconduct is considered too serious to be classed as minor, the formal disciplinary procedure will be implemented as set out under section 12 below.

Informal actions under the Resolution Framework (see Appendix 1) may also carried out after a disciplinary investigation or hearing to bring about learning and improve the working relationships between the staff / parties involved.

12. Formal procedure for staff not covered by s25

12.1. Investigation

As soon as reasonably practicable after a suspected breach of disciplinary rules comes to light, your line manager or other appropriate person will instigate an impartial investigation. The purpose of the investigation is to gather facts without unreasonable delay - ideally this should be carried out within 4 weeks. In cases of serious allegations of misconduct/gross misconduct the investigator will be appointed by the Head of Department under guidance from Human Resources.

You will be advised as soon as possible that an investigation is taking place and this will be confirmed to you in writing. You will normally be interviewed as part of the investigation, but there may be exceptional circumstances where the University will proceed directly to a formal disciplinary meeting. You have the right to be accompanied to a formal investigatory meeting by a companion as defined by this procedure (see section 10 above).

Witnesses may be asked to provide a written account of what they have witnessed. Statements should be signed and dated or sent by the witness directly from their University e-mail account. Witnesses may also be asked to attend a witness interview, where notes will normally be taken.

If, as part of an investigation, it is necessary for a member of staff to be interviewed by someone from another organisation (e.g. a regulatory body) that member of staff will have the right to be accompanied by a Trade Union representative or University employee, and a member of the University management will also be present.

The University may inform and / or involve the Police and / or any other relevant statutory or regulatory bodies where required at the appropriate point of the formal Disciplinary Procedure.

12.2. Suspension

If considered appropriate and reasonable you may be suspended from your duties while the investigation is undertaken although you will normally only be suspended if:

a) there is a significant health and safety, business or other risk or the potential for such risk and/or

b) your continued presence in the workplace may hinder an investigation taking place

You may be suspended at the beginning or at any time during the investigation depending on the circumstances. If you are suspended it will be confirmed to you in writing. Suspension is a precautionary measure only, pending the outcome of disciplinary proceedings and is not a punishment in itself. When suspended your contract of employment will continue in full force and effect and you will be paid your normal basic pay rate and receive any usual benefits. You will not be allowed onto University premises while suspended without the prior consent of your line manager or supervisor. When suspended you are required to be available to attend meetings and respond to requests under this procedure. You must continue to report sickness in the normal way as set out in the Managing Sickness: Supporting Staff Policy and Procedure and request annual or other leave as required under University rules.

12.3. Formal disciplinary meeting

Having established the facts, if there is reasonable belief that you have committed a disciplinary offence, you will be invited to a disciplinary meeting. The meeting will normally be chaired by your line manager unless personally involved in the incident or its investigation, in which case it should be the next most senior line manager. You have the right to be accompanied by a companion (as defined in section 9). You will be sent a copy of the evidence to be considered at the meeting and will have the opportunity to state your case fully. You should also give copies of any papers or witness statements that you intend to rely on at the meeting at least two working days in advance of the meeting to the person dealing with the meeting.

You will be given at least five working days’ notice to attend the meeting which you (and your companion) must make every effort to attend. The meeting will only be re-arranged if you provide a good reason why you are unable to attend, or your companion cannot make the arranged date.

If the meeting has to be rearranged, at least two working days' notice of the rearranged date will be given. If you or your companion work on a rota or shift, these should be taken into account in rearranging the meeting. You will be expected to attend the re-arranged meeting unless there are exceptional circumstances which mean that you are unable to be there in which case you must advise your manager in advance of the meeting. If you unreasonably fail to attend the rearranged meeting it will take place in your absence.

If the rearranged meeting is more than five working days from the date of the original meeting and your companion cannot make the rearranged date, you must find a replacement.

At a meeting your companion is entitled to address the meeting, ask questions and confer privately with you. Your companion does not, however, have the right to answer questions on your behalf or address the meeting if you do not wish them to or prevent the employer from explaining their case.

A member of Human Resources may be present to provide advice on proceedings as appropriate, in cases of misconduct. In cases of gross misconduct, a member of Human Resources should be present. A note taker will normally be present to take written notes of the meeting, or the meeting will be digitally recorded to enable a verbatim transcript of the formal meeting to be produced and you will receive a copy of the notes of the meeting. The covert recording of such meetings is forbidden and if undertaken will be considered as an act of gross misconduct (as would be any act of covert recording – see section 9 above).

12.4. Adjourning the formal disciplinary meeting

Prior to making a decision the disciplinary meeting will be adjourned to consider all relevant information. The meeting may also be adjourned if necessary for the purpose of clarifying or gathering additional information. If new information is gathered or clarified you will be advised of the new information and given a reasonable time to consider it prior to the meeting being reconvened.

12.5. Confirmation of outcome

Following an adjournment and once the manager conducting the meeting is satisfied that all relevant information has been gathered and properly considered you will be advised of the decision and what, if any, disciplinary action is to be taken.

The decision and action will be confirmed to you in writing and you will receive a copy of the notes of the disciplinary hearing. If you consider that the notes do not properly reflect the discussion you have the right to propose amendments to the record within five working days. Where these are agreed, the record will be duly amended. If your proposed amendments are not agreed, your comments will be attached to the record. You will also be advised of your right to appeal against the decision.

13. Formal warnings

Depending on the severity and circumstances of the case, the University may apply at its discretion, either a first written warning or a final written warning for misconduct offences. The University will take into account any active warnings that may apply to you at the time of the misconduct. The warning issued to you will state what the problem is, and if appropriate what is required to correct the problem and the time scale for achieving this. It will also confirm that further disciplinary action will follow if the problem is not satisfactorily rectified or there is further misconduct.

14. Dismissal procedure for all staff not covered by s25

14.1.

In cases where it is concluded that gross misconduct has taken place, the University may summarily dismiss you without notice or payment in lieu of notice.

14.2

In cases of repeated misconduct, the University may dismiss you with notice or payment in lieu of notice (unless it is concluded that this constitutes gross misconduct in which case you may be summarily dismissed – see 14.1).

14.3

The decision to dismiss will be taken at the level of Head of Department or a nominated deputy, or a more senior officer. The University will confirm the decision to dismiss you in writing, after the dismissal, setting out the nature of the misconduct that led to the dismissal and the right to appeal the decision.

15. Alternative sanctions to dismissal

Gross misconduct cases may not always result in dismissal. Depending on the circumstances of the case and any significant mitigating factors, the University may decide to take action short of dismissal and / or may include the issue of alternative disciplinary penalties in addition to a warning including the following examples:

Final written warning or the reissuing of a Final Written Warning and / or
Time extension of final warning beyond 12 months and / or
Disciplinary transfer and / or
Monetary payments by way of restitution for culpable loss or damage caused by you, (any such payment required will take into account the earnings of the employee concerned) and / or
Other appropriate actions to prevent the repetition of the misconduct.

You have the right to appeal, in accordance with section 18 below, a decision to impose any of the above sanctions.

16. What is an active warning and how long does it remain active?

Being under an active warning means that if you commit a further misconduct or gross misconduct offence, the University will take the current warning into account when deciding what action to take. Once the warning has expired it will not be taken into account for disciplinary purposes, but will remain on your personal file in HR for 12 months when it will be removed. The active warning periods are:

First written warning 12-months
Final written warning 12-months

17. Documentation

Following the completion of a disciplinary investigation, formal disciplinary meeting or related issue all documents and letters relating to the matter will be stored on your personal file within HR Department. After a period of 12 months of acceptable behaviour and working, the warning will cease to be effective.

18. Appeals

You have a right of appeal against any formal action under the formal Disciplinary Procedure, save for a decision following an appeal hearing.

The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of Human Resources, who must receive it within the 10 working days from the date of the receipt of the outcome letter.
An appeal against a first and final written warning will normally be heard by the Head of Department (or his/her nominee who should be senior to the manager who made the decision being appealed, and who must have had no previous involvement in the case). Where there is no appropriate person within the Department, a Head of Department from a different department may hear the appeal.
If the original disciplinary meeting was held at Head of Department level, the Director of the Service or Dean of Faculty/School should hear the appeal. If there is no appropriate Director of the Service or Dean of Faculty/School, Chief Operating Officer, a Pro-Vice-Chancellor, should hear the appeal, (provided they have not previously been involved in the case). The person hearing the appeal will be assisted by a Human Resources Business Partner or Director / Deputy Director who has had no previous involvement with the case.
An appeal against dismissal will be heard by a panel of three members chaired by a Deputy Vice-Chancellor, Pro-Vice Chancellor, Associate Pro-Vice-Chancellor, Executive Director, Registrar, University Secretary or the Chief Operating Officer advised by the Director of Human Resources or their deputy.
The University will aim for an appeal to be heard within four weeks of the appeal being lodged, unless otherwise agreed between the parties.

The decision of the appropriate appeal body (communicated in writing to the employee) shall be final within the procedures of the University.

19. Formal disciplinary procedure for academic staff covered by University Statutes

Disciplinary warnings

Minor faults shall be dealt with informally. Where the matter is more serious but falls short of constituting good cause for dismissal the following procedure will be used.

19.1 Stage 1 - Oral warning

If conduct or performance does not meet acceptable standards the member of the academic staff will normally be given a formal #ORAL WARNING#. The member will be advised of the reason for the warning, that it is the first stage of the disciplinary procedure and of the right of appeal under this paragraph. A brief note of the oral warning will be kept but it will be spent after 12 months, subject to satisfactory conduct and performance.

19.2 Stage 2 - Written warning

If the offence is a serious one, or if a further offence occurs, a WRITTEN WARNING will be given to the member of the academic staff by the Head of Department. This will give details of the complaint, the improvement required and the time scale. It will warn that a complaint may be made to the University Secretary seeking the institution of charges to be heard by a Tribunal appointed under paragraph 16 if there is no satisfactory improvement and will advise of the right of appeal under this paragraph. A copy of this written warning will be kept by the Head of Department, but it will be disregarded for disciplinary purposes after 2 years subject to satisfactory conduct and performance.

19.3 Stage 3 - Appeals against disciplinary warnings

A member of the academic staff who wishes to appeal against a disciplinary warning shall inform the University Secretary within two weeks. The appropriate Pro-Vice-Chancellor shall hear all such appeals and the Pro-Vice-Chancellor's decision shall be final.

20. Preliminary examination of serious disciplinary matters

20.1

If there has been no satisfactory improvement following a written warning given under Stage 2 of the procedure in paragraph 19, or in any other case where it is alleged that conduct or performance may constitute good cause for dismissal or removal from office, a complaint seeking the institution of charges to be heard by a Tribunal appointed under paragraph 22 may be made to the University Secretary who shall bring it to the attention of the Vice-Chancellor.

20.2

To enable the Vice-Chancellor to deal fairly with any complaint brought to his or her attention under sub-paragraph (1) he or she shall institute such investigations or enquiries (if any) as appear to be necessary.

20.3

If it appears to the Vice-Chancellor that a complaint brought to his or her attention under subparagraph (1) relates to conduct or performance which does not meet acceptable standards but for which no written warning has been given under paragraph 13 or which relates to a particular alleged infringement of rules, regulations or byelaws for which a standard penalty is normally imposed in the University or within the school, department or other relevant area, or is trivial or invalid the Vice-Chancellor may dismiss it summarily, or decide not to proceed further under this Part.

20.4

If the Vice-Chancellor does not dispose of a complaint under sub-paragraph (3) he or she shall treat the complaint as disclosing a sufficient reason for proceeding further under this Part and, if the Vice-Chancellor sees fit, he or she may suspend the member on full pay pending a final decision.

20.5

Where the Vice-Chancellor proceeds further under this Part he or she shall write to the member of the academic staff concerned inviting comment in writing.

20.6

As soon as may be following receipt of the comments (if any) the Vice-Chancellor shall consider the matter in the light of all the material then available and may:

dismiss it; or
refer it for consideration under paragraph 20; or
deal with it informally if it appears to the Vice-Chancellor appropriate to do so and if the member of the academic staff agrees in writing that the matter should be dealt with in that way; or
direct the University Secretary to prefer a charge or charges to be considered by a Tribunal to be appointed under paragraph 22.

20.7

If no comment is received within 28 days the Vice-Chancellor may proceed as aforesaid as if the member concerned had denied the substance and validity of the alleged case in its entirety.

21. Institution of charges

21.1

In any case where the Vice-Chancellor has directed that a charge or charges be preferred under paragraph 20 (6), the Vice-Chancellor shall request the Council to appoint a Tribunal under paragraph 22 to hear the charge or charges and to determine whether the conduct or performance of the member of the academic staff concerned constitutes good cause for dismissal or otherwise constitutes a serious complaint relating to the member’s appointment or employment.

21.2

Where the Council has been requested to appoint a Tribunal under paragraph 22 the University Secretary or, if the University Secretary is unable to act, another officer appointed by the Vice-Chancellor shall take charge of the proceedings.

21.3

The officer in charge of the proceedings shall formulate, or arrange for the formulation of, the charge or charges and shall present, or arrange for the presentation of, the charge or charges before the Tribunal.

21.4

It shall be the duty of the officer in charge of the proceedings: - to forward the charge or charges to the Tribunal and to the member of the academic staff concerned together with the other documents therein specified, and - to make any necessary administrative arrangements for the summoning of witnesses, the production of documents and generally for the proper presentation of the case before the Tribunal.

22. The Tribunal

A Tribunal appointed by the Council shall comprise:

a Chair; and
one member of the Council, not being a person employed by the University; and
one member of the academic staff nominated by the Senate.

23. Provisions concerning Tribunal procedure

23.1

The procedure to be followed in respect of the preparation, hearing and determination of charges by a Tribunal shall be that set out in Ordinances made under this paragraph.

23.2

Without prejudice to the generality of the foregoing such Ordinances shall ensure:

That the member of the academic staff concerned is entitled to be represented by another person, whether such person be legally qualified or not, in connection with and at any hearing of charges by a Tribunal.
That a charge shall not be determined without an oral hearing at which the member of the academic staff concerned and any person appointed by the staff member to represent him or her are entitled to be present.
That the member of the academic staff and any person representing the staff member may call witnesses and may question witnesses upon the evidence on which the case against the staff member is based.
That full and sufficient provision is made.
- for postponements, adjournments, dismissal of the charge or charges for want prosecution, remission of the charge or charges to the Vice-Chancellor for further consideration and for the correction of accidental errors; and
- for appropriate time limits for each stage (including the hearing) to the intent that any charge thereunder shall be heard and determined by a Tribunal as expeditiously as reasonably practicable.

24.1 Notification of Tribunal decisions

A Tribunal shall send its decision on any charge referred to it (together with its findings of fact and the reasons for its decision regarding that charge and its recommendations, if any, as to the appropriate penalty) to the Vice-Chancellor and to each party to the proceedings.

24.2

A Tribunal shall draw attention to the period of time within which any appeal should be made by ensuring that a copy of Appendix 2 – Appeals procedure for academic staff dismissed or under notice of dismissal accompanies each copy of its decision sent to a party to the proceedings under this paragraph.

25. Powers of the appropriate officer where charges are upheld by Tribunal

Where the charge or charges are upheld and the Tribunal finds good cause and recommends dismissal or removal from office, but in no other case, the appropriate officer shall decide whether or not to dismiss the member of the academic staff concerned.

In any case where the charge or charges are upheld, other than where the appropriate officer has decided to dismiss the member of the academic staff concerned, the action available to the appropriate officer (not comprising a greater penalty than that recommended by the Tribunal) may be: - to discuss the issues raised with the member concerned; or - to advise the member concerned about his or her future conduct; or - to warn the member concerned; or - to suspend the member concerned for such period as the appropriate officer shall think fair and reasonable, not to exceed 3 months after the Tribunal's decision; or - any combination of any of the above or such further or other action under the member's contract of employment or terms of appointment as appears fair and reasonable in all the circumstances of the case.

26. Appropriate officers

The Vice-Chancellor shall be the appropriate officer to exercise the powers conferred by paragraph 19 and any reference to the appropriate officer includes a reference to a delegate of that officer. Any action taken by the appropriate officer shall be confirmed in writing.

27. Appeals against dismissal decisions

The procedure for appealing against a tribunal decision to dismiss an academic member of staff is outlined in Appendix 2 - Appeals procedure for academic staff dismissed or under notice of dismissal as extracted from Part V of the Statutes of the University of Bath, which were in force until August 2025.

Disciplinary policy and procedure

How we ensure that employees who breach the rules of conduct are treated reasonably, consistently and fairly in every case Updated August 2025.