Calendar 2020/21

Ordinances

34	Disciplinary, Grievance and Dismissal Procedures (applicable to Parts II, IV, V, VI, VII, VIII, IX)
	Grievance procedure
Part I	PRINCIPLES AND STANDARDS
1.1	It is our policy to ensure that all employees have access to a procedure to help deal with any grievances relating to their employment fairly and without unreasonable delay. It is the intention of the procedure that complaints are resolved as quickly and at as early a stage as possible.
1.2	This procedure takes into account the provisions of the ACAS Code of Practice on Disciplinary and Grievance Procedures (as amended).
1.3	This procedure applies to all members of staff (regardless of length of service) except those engaged on a claims basis (including casual workers and workers on the temporary staff bank).
1.4	Where there is an issue as to the meaning of ‘academic freedom’ in any proceedings under these Ordinances, regard shall be had to the agreement with the University and College Union regarding the definition of academic freedom dated 31 July 2009.
1.5	An employee can use this procedure to complain if they consider they are being bullied or harassed.
1.6	This procedure is intended to be used as a guide and does not form part of the contract of employment. The application of this procedure may be modified by the Director of Human Resources or their designate at their discretion if appropriate in specific cases (for example where a member of staff employed by the University works in, or is managed by employees of, a third party organisation, including in cases of secondment or where the employee’s employment has terminated).
1.7	A grievance should be submitted within three months of the incident or event which has caused the complaint, or within three months of an employee’s attempt to resolve a problem informally (see clause 6 below). Although there is a three month period, a grievance should be raised promptly or as soon as reasonably possible. Where a grievance is not submitted within this three month period then it will not normally be considered other than in exceptional circumstances. Where an employee is unable to submit their grievance within three months they should set out the reasons for this in writing (with supporting evidence if applicable) in their grievance letter. This will be referred to the Director of Human Resources for a decision on whether to permit the appeal or to dismiss it. The decision of the Director of Human Resources is final.
1.8	Many grievances can be resolved quickly and informally through discussion between the employee and their line manager or colleagues. Where an employee is concerned about a matter relating to relationships at work, matters of personal privacy, or considers that there may have been a misunderstanding, they may wish to raise the matter directly with the person involved. This type of direct and informal approach is encouraged and the University expects employees who are approached responsibly to respond in a similar manner. This approach may be particularly appropriate to dealing with matters of speech and expression, where individuals may not be aware that their behaviour is causing distress
1.9	Employees who have any concerns about matters concerning work, or who have raised a grievance (formally or informally) may wish to seek support and guidance from a trade union representative, the HR representative for their work area or, for issues covered by the Dignity and Respect Policy, a Dignity & Respect Advisor or Speak Out Guardian.
1.10	Time limits (other than those for prior notification of Hearings or under 1.6 above) are indicative – there may be circumstances, particularly in the case of complex cases, where these are not realistic. If it is not possible to respond or take action within the time limits referred to in this Procedure, the employee should be given an explanation for the delay as soon as possible and advised when a response can be expected. The time limits may be varied by mutual agreement in individual cases.
1.11	An employee will not be penalised for having raised a genuine grievance, even if it subsequently turns out they were mistaken. However it will be a disciplinary offence for an employee to raise a malicious grievance, vexatious grievance, or one which they know to be false, and/or to encourage any employee to give a misleading statement or to withhold evidence in the course of a hearing or investigation.
1.12	Complaints and/or evidence from an anonymous source will not be considered.

2	Scope
2.1	A grievance may be raised about matters concerning work, for example: terms and conditions of employment (except pay, see below); health and safety; work relations; bullying, harassment or abuse; new working practices; working environment; discrimination.
2.2	This procedure does not apply in the following circumstances: Where the complaint is about actions or decisions taken under the disciplinary, capability/performance, probation, redundancy, ill health/incapacity, fixed term contract or other dismissal procedures or the initiation of those procedures. Complaints about these matters should be considered at hearings under the applicable procedure, and the outcome of the appeal stage of that procedure is final. Where the complaint is about pay/grading decisions, which will be managed through the appropriate grading appeal procedure. Collective disputes, which will be managed through the collective disputes procedure. Where a grievance is raised by an employee after termination of their employment, or where the employee ceases to be employed during the course of the procedure. In such circumstances, the University shall notify the former employee of the appropriate procedure, if any, to be followed.
2.3	The University operates a separate Public Interest Disclosure Policy (Whistleblowing) to enable employees to report illegal activities, wrongdoing or malpractice. However, where an employee considers they have been victimised for an act of whistleblowing, they may raise the matter under this Procedure.
3	Right to be accompanied at hearings
3.1	An employee may bring a companion to any hearing under the formal stages of this procedure. The companion may be either a trade union representative or a work colleague. For issues covered by the Dignity and Respect Policy, the work colleague may be a Dignity & Respect Advisor or Speak Out Guardian. The employee must tell the HR Casework Team who their chosen companion is, in good time before the hearing.
3.2	The companion may make representations, ask questions, and sum up the employee’s case, but will not be allowed to answer questions on their behalf. The employee may confer privately with their companion at any time during the hearing.
3.3	If the companion is unavailable at the time the hearing is scheduled then the employee can ask for the hearing to be postponed for up to one week, on one occasion only. Following such a postponement, the University reserves the right to proceed with the hearing in the employee’s absence.
3.4	Whilst there is no right to be accompanied to meetings under clauses 6 or 9, the University will not object to any reasonable request to be accompanied by a work colleague or trade union representative to an informal meeting, but the university will not postpone/delay the informal procedure due to unavailability.
4	Relationship with other procedures
4.1	At any stage of this Grievance Procedure, the Director of Human Resources or HR Casework Manager may, if other proceedings (for example, disciplinary procedures, capability/performance procedures or a redundancy procedure) concerning the employee and relevant to the subject matter of the grievance are pending or in progress, or for any other good reason, at their discretion: direct that both cases are dealt with concurrently under a single investigation; and/or direct that the grievance should be considered at a formal hearing under any other procedure; or defer consideration of the grievance (in whole or in part). The employee will be given the reason(s) for the decision; however the decision of the Director of Human Resources or HR Casework Manager on this shall be final.
4.2	There is no obligation on the University to suspend the other proceedings in order to address the grievance.
4.3	Investigations that have been undertaken under this grievance procedure may be used as and where appropriate to inform another procedure.
5	Confidentiality
5.1	Our aim is to deal with grievances sensitively and with due respect for the privacy of all individuals involved. All employees must treat as confidential any information communicated to them in connection with a matter which is subject to this procedure. This is not intended to prevent the employee from discussing the matter with their companion (see clause 3) in confidence.
5.2	The University does not make audio/visual recordings of hearings and employees and anyone accompanying them (including witnesses) must not make electronic recordings of any meetings or hearings conducted under this procedure. The University will arrange for notes to be taken of all meetings or hearings, and a copy of notes of investigation meetings will be sent to the employee and witnesses and agreed where possible. Where not agreed, the employee or witness can add an addendum to the notes. Notes of hearings under the formal procedure will be sent to the employee on request.
5.3	The employee will be informed of the outcome of their grievance; however where the complaint is about another person then the employee is not entitled to be informed of the actions (if any) taken against that person.
6	Informal Resolution
6.1	The grievance procedure is not an alternative to dealing with a matter informally. As far as is reasonably possible, before beginning this procedure the employee is first expected to attempt, to resolve the grievance informally through discussions with their line manager (or other appropriate manager where their concern relates to their immediate supervisor/line manager) or with the person to whose conduct the grievance relates.
6.2	Where an employee is uncomfortable raising the matter directly with the person to whose conduct the grievance relates (for example because the employee feels they have been bullied or harassed), they should seek advice from their line Manager, a member of the HR team, or, for issues covered by the Dignity and Respect Policy, a Dignity & Respect Advisor or Speak Out Guardian and may ask them to intervene informally on their behalf. Having agreed to assist in resolving the issues, a typical approach by the line manager/HR would involve separate initial meetings with the parties, followed by a meeting at which all the parties meet and seek to reach a resolution.
6.3	In some circumstances, it may not be appropriate for the grievance to be resolved informally. In these cases, the Director of Human Resources or HR Casework Manager may agree that it should proceed directly to the formal procedure.
7	Formal Procedure
7.1	If the grievance cannot be resolved informally, or where informal steps are not appropriate (following guidance from People Services) then the employee should write to their College Pro-Vice-Chancellor/Head of Service (or other appropriate manager) indicating that they wish the matter to be considered under the formal Grievance Procedure.
7.2	The written grievance should contain a brief description of the nature of the complaint, including any relevant facts, dates, and names of individuals involved. The employee may be asked to provide further details, either in writing or at an informal meeting.
7.3	Where the grievance is outside the scope of this procedure (see clause 2) then it will be referred into the appropriate procedure (see clauses 2.2, 2.3 and 4.1).
8	Mediation
8.1	Upon receipt of a formal grievance, the College Pro-Vice-Chancellor/Head of Service will refer the grievance to the Director of Human Resources who, where mediation is considered appropriate, will contact the employee (and others who may be the subject of the grievance) with a view to resolving the grievance through mediation, in accordance with the University’s Mediation Procedure. In some circumstances, it will not be appropriate for the Mediation Procedure to be applied to the grievance: where this is agreed by the Director of Human Resources or HR Casework Manager, it will proceed directly to the formal procedure.
9	Investigation
9.1	The Director of Human Resources or the HR Casework Manager may in certain circumstances commission an appropriate person to investigate the grievance. The purpose of the investigation is to gather evidence and to enable a decision to be taken on whether the matter should proceed to a formal hearing under this procedure.
9.2	Where an investigation is to be carried out the employee will be informed of this in writing. And the following principles will apply: As part of the investigation, the employee may be interviewed and asked to clarify the nature of their complaint and/or provide further information, for example names of relevant witnesses and relevant documents. If there are witnesses to an incident or the employee has made an allegation against someone else, written statements from such persons will be obtained and/or where appropriate these persons will be interviewed and a note or statement from each interview will be prepared. Other persons who may have relevant knowledge of the matter complained of may also be interviewed or asked to give a statement. Employees should co-operate fully and promptly in the investigation and attend interviews as requested. Only in exceptional circumstances will statements or interview notes be permitted to be anonymised, for example if there is a genuine concern for personal safety. This should be agreed with the HR Casework Manager.
9.3	Following any investigation, the College Pro-Vice-Chancellor/Head of Service in conjunction with the Director of Human Resources may: arrange for a Grievance Hearing to take place in accordance with clause 10; or, direct that the grievance should be considered under any other procedure in accordance with paragraph 4.1; or, refer the matter for mediation in accordance with clause 8.1; or, dismiss the grievance where it is found to be vexatious, trivial, false, malicious or mistaken and/or where the investigation finds insufficient evidence to substantiate the complaint. Where the grievance is dismissed then the employee will be informed of the reason and may appeal this decision (see clause 12).
9.4	If appropriate, where sufficient evidence is found to substantiate the complaint, or where there is evidence that the grievance is false, vexatious or malicious then the matter may be referred into the Disciplinary Procedure.
10	Stage 1 - Grievance Hearing
10.1	Where informal action or mediation has been considered inappropriate or has not resolved the concerns (or in accordance with clause 9.3), the University will arrange for a Grievance Hearing to take place. The Grievance Hearing should normally be held within two weeks of receipt of the formal complaint, or where applicable, within two weeks of the outcome of mediation or any investigation.
10.2	At least one week before the date of the grievance hearing, the HR Casework Manager (or his or her designate) will write to the employee: advising of the date, time and venue of the grievance hearing; advising of the right of the employee to attend the hearing in person and to be accompanied (clause 3.1); advising of the right of the employee to call witnesses; enclosing a copy of the outcome of any investigation, including statements from any witnesses and other relevant evidence;
10.3	The employee and their companion (if any) should make every effort to attend the Grievance Hearing. If the employee or their companion cannot attend at the time specified, they should inform the Casework Team immediately.
10.4	At the Grievance Hearing: the employee may put their case in person or through their companion prior to witnesses being called or other evidence taken; the manager responsible for the Grievance Hearing (the “Chair”) may hear evidence from witnesses and the employee may arrange for witnesses to attend and give evidence; the Chair may question any witnesses; the employee or their companion may also question witnesses, although the Chair may determine that all questions are directed through them. No additional written evidence may be introduced at this stage.
10.5	Following the Grievance Hearing the Chair may carry out further investigation before reaching their decision. Where this is considered appropriate then the employee will be informed of this at the end of the Grievance Hearing, or as soon as possible thereafter.
10.6	Within one week of the Grievance Hearing, the Chair should write to the employee advising of their decision, or where this is not possible the employee will be notified of this in accordance with clause 1.10.
11	Stage 2 – Appeal
11.1	If the employee continues to be aggrieved following notification of the outcome of the Grievance Hearing, they may appeal in writing to the Director of Human Resources within two weeks of the date of the written outcome of the Grievance Hearing, setting out the grounds of appeal in full.
11.2	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case.
11.3	The appeal will be a review of the decision taken at Stage 1. No new evidence may be presented to the Grievance Appeal Hearing, nor any witnesses called, unless the person Chairing the Grievance Appeal Hearing (the “Chair”) is satisfied that there are exceptional reasons why such evidence or witnesses were not produced at the Stage 1 Grievance Hearing and that it is necessary in the interests of fairness, in reviewing the decision taken at Stage 1, for the Grievance Appeal Hearing to consider this evidence or hear from the witnesses concerned.
11.4	The Grievance Appeal Hearing should normally be held within four weeks of the receipt of the employee’s appeal.
11.5	At least one week before the date of the Grievance Appeal Hearing, the HR Casework Manager (or his or her designate) will write to the employee advising of the date, time and venue of the Grievance Hearing; advising of the right of the employee to attend the Hearing in person and to be accompanied by a fellow worker or trade union representative; enclosing a copy of any relevant documentation, including statements from any witnesses and other relevant evidence.
11.6	The manager who chaired the stage 1 Grievance Hearing will attend the Grievance Appeal Hearing as the University’s Representative.
11.7	At the grievance Appeal Hearing the employee may present their appeal in person or through their companion; the Appeal Panel may question the employee; the University’s Representative will respond to the appeal; the employee or their companion and the Appeal Panel may question the University’s Representative.
11.8	Following the Grievance Appeal Hearing the Chair may carry out further investigation before reaching their decision. Where this is considered appropriate then the employee will be informed of this at the end of the Grievance Appeal Hearing, or as soon as possible thereafter.
11.9	Within one week of the Grievance Appeal Hearing, the Chair should write to the employee advising of their decision, or where this is not possible the employee will be notified of this in accordance with clause 1.10.
11.10	The decision of the Grievance Appeal Hearing is final within the procedures of the University.
12	Appeal against Dismissal of a Grievance under Clause 9.3
12.1	If the employee wishes to appeal the decision of the College Pro-Vice-Chancellor/Head of Service/Head of People Services to dismiss their grievance then they may appeal in writing to the Director of Human Resources within two weeks of being notified of the decision to dismiss their grievance, setting out the grounds of appeal in full.
12.2	An appeal will be heard by a panel comprising two senior managers who have had no prior involvement in the case.
12.3	The Grievance Appeal Hearing should normally be held within four weeks of the receipt of the employee’s appeal.
12.4	The Grievance Appeal Hearing will ordinarily be a review of the decision under 9.3 unless the manager chairing the appeal considers it is necessary in the interests of fairness for it to take the form of a full hearing of the grievance (following the process under clause 10.4).
12.5	At least one week before the date of the Grievance Appeal Hearing, the HR Casework Manager (or his or her designate) will write to the employee advising of the date, time and venue of the Grievance Hearing; advising of the right of the employee to attend the Hearing in person and to be accompanied by a fellow worker or trade union representative; advising of the right of the employee to call witnesses; enclosing a copy of the outcome of any investigation, including statements from any witnesses and other relevant evidence.
12.6	The Investigating Officer or the College Pro-Vice-Chancellor/Head of Service may attend the Grievance Appeal Hearing as the University’s Representative.
12.7	At the grievance Appeal Hearing the employee may present their appeal in person or through their companion; the Appeal Panel may question the employee; the University’s Representative will respond to the appeal; the employee or their companion and the Appeal Panel may question the University’s Representative.
12.8	Following the Grievance Appeal Hearing the Chair may carry out further investigation before reaching their decision. Where this is considered appropriate then the employee will be informed of this at the end of the Grievance Appeal Hearing, or as soon as possible thereafter.
12.9	Within one week of the Grievance Appeal Hearing, the Chair should write to the employee advising of their decision, or where this is not possible the employee will be notified of this in accordance with clause 1.10.
12.10	The decision of the Grievance Appeal Hearing is final within the procedures of the University.
12.11	The Grievance Procedure does not allow a further grievance to be brought against the College Pro-Vice-Chancellor/Head of Service (or the Director of Human Resources) in respect of their decision to dismiss a grievance under clause 9.3

Part III	DISCIPLINARY PROCEDURE
1	Policy, Purpose and Principles
1.1	The purpose of this procedure is to help and encourage employees to achieve and maintain required standards of conduct. Its aim is to ensure that when disciplinary action needs to be taken, it is applied consistently and fairly.
1.2	This procedure takes into account the provisions of the ACAS Code of Practice on Disciplinary and Grievance Procedures (as amended).
1.3	This procedure applies to all staff employed by the University (including those working in or managed by a third party organisation, including staff on secondment). For the avoidance of doubt this does not include Postgraduate Teaching Assistants, or those working on a claims basis or via the Temporary Staff Bank.
1.4	This procedure is intended to be used as a guide and does not form part of the contract of employment. The application of this procedure may be modified by the Director of Human Resources or his/her designate at their discretion if appropriate in specific cases (for example where a member of staff employed by the University works in, or is managed by employees of, a third party organisation, including in cases of secondment).
1.5	Where possible, minor disciplinary issues should be dealt with informally by the employee’s line manager (see clause 3).
1.6	Before any formal disciplinary action is taken the employee will be advised of the allegations in writing and given an opportunity to state their case in response at a disciplinary hearing.
1.7	There may be occasions when, depending on the seriousness of the misconduct involved, it is appropriate to enter the procedure at the stage of a final warning or dismissal (which may include dismissal without notice).
1.8	No employee will be dismissed for a first breach of discipline except in the case of gross misconduct.
1.9	If disciplinary action is considered against an employee who is a trade union representative, the normal disciplinary procedure will be followed. An appropriate trade union official will be informed before any disciplinary hearing.
1.10	The University will endeavour to deal with disciplinary matters promptly and without undue delay and expects the employee to cooperate to achieve that aim.
1.11	An employee has the right to be accompanied by a fellow worker or a trade union representative at any formal disciplinary or appeal hearing. This right does not apply to investigation meetings or any informal meeting (see paragraphs 3 and 6.2 below). It also does not apply to suspension meetings if applicable (see paragraph 5).
1.12	Time limits (other than those for prior notification of meetings/disclosure of documentation before meetings) are indicative – there may be circumstances, particularly in the case of complex cases, where these are not realistic. If it is not possible to respond or take action within the time limits referred to in this Procedure, the employee should be given an explanation for the delay and told when a response can be expected. The time limits may be varied by mutual agreement in individual cases.
1.13	The employee has the right to appeal against any formal disciplinary action taken.
1.14	Misconduct outside of work may need to be dealt with under the University’s formal Disciplinary Procedure where it is considered that it has a direct bearing upon the employment relationship and/or the employee’s role.
1.15	Allegations of misconduct in research will be dealt with in the first instance in line with the University’s Good Practice in the Conduct of Research www.exeter.ac.uk/research/inspiring/about/goodpractice/misconduct/
1.16	Where there is an issue as to the meaning of ‘Academic Freedom’ in any proceedings, consideration will be given to the agreement with the University and College Union regarding the definition of academic freedom dated 31 July 2009. www.exeter.ac.uk/staff/employment/academicroles/policies/freedom/
1.17	Where the employee who is subject to the Disciplinary Procedure is a member of one of the academic job families then at least one member of the Disciplinary Panel will be an academic manager.
2	Relationship with other Policies and Procedures
2.1	This procedure applies where there has been a failure to achieve or maintain adequate standards of behaviour. There are separate procedures which apply where there are concerns over an employee’s performance and/or absences due to ill health. However there may be occasions where it is appropriate to transfer to a different procedure. If at any stage after commencing this procedure, the commissioning manager in conjunction with HR Services, considers that the matter should be dealt with under an alternative procedure the discipline case will be ceased (or in certain circumstances, suspended) and the issue will be transferred to the relevant procedure at the appropriate stage. The employee will be notified of this decision and the reason.
2.2	Investigations that have been undertaken in one procedure may be used as and where appropriate to inform another procedure.
2.3	This procedure does not apply to dismissals that arise as a result of redundancy or the non-renewal of a fixed term contract; neither does it apply to formal action or dismissals taken under the probationary procedure. There are separate University processes to manage these circumstances.
2.4	If an employee raises a grievance during the disciplinary process the disciplinary process may, if appropriate, be temporarily suspended in order to address the grievance; however if the disciplinary and grievance issues are related it may be appropriate to deal with both cases concurrently under a single investigation and hearing. Each case will be considered on an individual basis.
2.5	An employee who is the subject of any action under this Procedure may not raise a grievance about the decision to apply the Disciplinary Procedure, the conduct of an investigation or a disciplinary hearing or decisions taken under the Disciplinary Procedure.
3	Informal Procedure
3.1	Minor instances of misconduct can often be resolved informally rather than immediate application of the discipline procedure. The employee’s line-manager should promptly discuss any concerns they have with the employee. Appropriate action may include: • support and training; • advice and guidance, which may be confirmed in writing; • coaching and counselling.
3.2	The purpose of this discussion is to ensure that the employee: • is aware of the concerns; • knows what is required to meet expected standards of conduct, with targets set if appropriate; • is made aware of the timescale over which an improvement is required; • Is made aware that further misconduct and/or a failure to meet the expected standards of conduct will result in the application of the Formal Disciplinary procedure.
3.3	The discussion and outcome, including any targets, should be confirmed in writing by the line-manager, and this may be by email where appropriate.
3.4	This does not form part of the formal Disciplinary Procedure.
4	Formal Disciplinary Procedure
4.1	If informal action does not bring about the required improvement, or where the misconduct is considered to be more serious then the formal disciplinary procedure will be followed.
5	Precautionary Suspension
5.1	If it is considered that the alleged misconduct may constitute serious or gross misconduct (where the alleged misconduct is such that the outcome may be dismissal) there may be circumstances where it may be appropriate to remove the employee from the work place and suspend them on normal pay during an investigation and disciplinary procedure. This would normally be where the presence of the employee could prejudice an investigation, causes a disruption or where their presence at work may be intimidating to potential witnesses. Each case will be considered individually. Wherever possible the employee will be informed of suspension in a meeting.
5.2	Consideration will be given to alternatives to suspension, e.g. changing work location if appropriate, with suspension being the last resort in most cases.
5.3	Suspension can only be taken (and lifted) by a manager authorised to take disciplinary action, following consultation with the Director of Human Resources (or his/her designate).
5.4	In circumstances where it is necessary to immediately protect the University's interests (for example, where there are serious safety concerns) and where an authorised manager is not available to suspend an employee, a manager may instruct the employee to leave the place of work, and stay away until further notice. This must be reported to an authorised manager and the Director of Human Resources or his/her designate as soon as possible so that they can determine whether the employee is to be formally suspended in accordance with paragraph 5.1.
5.5	The following principles apply to any period of suspension: • suspension from duty is not a pre-judgement of guilt and is not a disciplinary sanction; • suspension will normally take place in a face to face meeting but if this is not possible suspension will not be delayed but will be notified in writing; • the reasons for the suspension must be stated clearly to the employee in writing; • The period of suspension will generally be for an initial period of 4 weeks at which point consideration will be given to whether to lift or extend the suspension.
5.6	Where an employee has two roles at the University then it may be appropriate to suspend the individual from both roles. However, each case will be considered on an individual basis.
5.7	Whilst suspended, the employee must not discuss the case with, and must not contact, fellow workers or students or visit University property or access University facilities including email and databases without first obtaining authority (a letter will notify the employee who to contact in such circumstances). Authority will be granted (subject to any conditions considered appropriate) to enable the employee to prepare their response. Staff retain the right to contact their Trade Union representative. Whilst suspended, the employee should be mindful of their duty not to act in a way that may be prejudicial to the University’s interests or reputation e.g. through their use of social media.
5.8	Whilst suspended, the employee is expected to remain contactable during normal working hours and to be available for any meeting which may be arranged as part of the investigation (which might include a meeting or meetings with the Investigating Officer) or subsequent disciplinary hearing (if applicable).
6	Undertaking an Investigation
6.1	Where there are grounds for considering formal disciplinary action against an employee the Director of Human Resources, the Casework Manager or their designate may commission an appropriate person or person(s) to investigate the circumstances. The purpose of the investigation is to gather evidence and to enable a decision to be taken on whether the matter should proceed to a formal hearing under this procedure.
6.2	The following principles apply: • If there are witnesses to an incident, or a person makes an allegation against someone else, written statements from such persons will be obtained and/or where appropriate these persons will be interviewed and a note or statement from each interview will be prepared. • If appropriate, as part of the investigation, the employee may be interviewed. This will not be a disciplinary hearing, but will be for the purpose of investigating the matter before a decision is taken as to whether or not a disciplinary hearing is warranted. • Only in exceptional circumstances will statements be permitted to be anonymised, for example if there is a genuine concern for personal safety. This should be agreed with the Casework Manager.
6.3	When the investigation is concluded, a decision will be taken on: • whether no action is necessary; or • whether the matter should be dealt with outside the formal Disciplinary Procedure; or • whether it is necessary to consider the matter at a formal disciplinary hearing.
7	The Disciplinary Hearing
7.1	If, following the investigation, it is found that there is a disciplinary case to answer, the employee will be advised in writing at least five working days before the date of the disciplinary hearing: • confirmation that there will be a disciplinary hearing under the disciplinary procedure; • the date, time and venue of the disciplinary hearing; • details of the allegations and copies of all relevant evidence, including witness statements; • the names of the panel members; • the names of any witnesses being called in support of the University’s case against the employee; • the possible disciplinary action that may be taken; • their right to be accompanied by a fellow worker or trade union representative. This letter should also advise the employee of their opportunity at the hearing to: • call witnesses and how to do so (giving adequate notice of their intention to do so); • ask questions; • present their case and supporting evidence; • present mitigating circumstances they may wish to be taken into account.
7.2	The purpose of the disciplinary hearing is to give the employee an opportunity to state their case and to answer the allegations made against them.
7.3	The investigating officer will attend the disciplinary hearing to present the findings of the investigation and to answer questions from the employee (or their companion) and the Disciplinary Panel, but will not otherwise take part in the hearing and they will not participate in the decision making process.
7.4	If the employee wishes to submit written evidence for consideration at the hearing, this must be submitted to the Chair of the Disciplinary Panel at least two working days before the hearing.
8	Timing and Postponement
8.1	The hearing will be arranged by the University at a time and venue which is convenient for the employee’s working hours and work location. Written notification will be given as set out in paragraph 7.1.
8.2	The employee and their companion must make every effort to attend the hearing. If the employee is unable to attend at the time and date given through circumstances beyond their control e.g. sickness, they must promptly notify the Chair of the Disciplinary Panel and the hearing will be rearranged. The reconvened hearing will be within 5 working days of the original hearing date, unless this is not reasonably practicable.
8.3	Where the employee’s companion is unavailable to attend the hearing then the employee may propose an alternative date which should be not more than five working days after the date originally proposed.
8.4	Where an employee is unable to attend a reconvened hearing or is unwilling to attend without good cause, the University shall be entitled to hold the hearing in the employee’s absence and make a decision on the evidence available. An employee may postpone a hearing once but no more than this unless there is clear medical evidence to support a reasonable delay in hearing the case; however, any such delay should not be taken as a waiver of the misconduct by the University, and should the employee continue to be unavailable then the University may decide to hold the hearing in the employee’s absence on the evidence available, provided that the employee is notified in advance that this will occur and is given an opportunity to make a written submission for consideration at the hearing.
8.5	Exceptionally, with written consent of the employee and with the prior agreement of the Chair of the Disciplinary Panel, a trade union representative may attend the hearing in the employee’s absence to present the employee’s case as set out in paragraph 9.2.
9	Right to be Accompanied
9.1	If the employee wishes to exercise their right to be accompanied by a fellow worker or trade union representative at the disciplinary hearing, they should give advance notice of this to Chair of the Disciplinary Panel, stating the name of their chosen companion and whether they are a fellow worker or trade union representative.
9.2	The companion may address the disciplinary hearing to put and sum up the employee’s case but may not answer any questions on behalf of the employee or address the hearing if the employee does not wish it. The companion must not act in a manner which prevents the University from presenting its case (including evidence from relevant witnesses).
10	Outcome of the Disciplinary Hearing
10.1	Following a disciplinary hearing the Disciplinary Panel will adjourn to consider the evidence. The panel may conclude one of the following courses of action, according to the circumstances of the case: • take no disciplinary action • recommend the issue is dealt with informally by the employee’s line manager • give a first formal written warning if there has been either a repeated minor breach in conduct, or a first but more serious breach of discipline. Such a warning will remain current for 6 months from the date of the hearing. • give a final written warning if there has been an insufficient response to previous warnings and conduct is still unsatisfactory, or in the case of a first but sufficiently serious breach of discipline. Such a warning will remain current for 12 months form the date of the hearing. • give the employee notice of dismissal if, following a final written warning, conduct remains unsatisfactory and the employee still fails to reach or maintain the prescribed standards. • dismiss the employee summarily without notice and without there having been any previous disciplinary warnings when there has been gross misconduct. (Examples: Appendix 1).
10.2	In the case of a written warning, the warning will be disregarded for further disciplinary purposes after the timeframes specified at 10.1 above, unless there are circumstances which justify a longer period and which are explained in the letter to the employee confirming the outcome of the disciplinary hearing.
10.3	The Conditions of Employment provides that “Subject to satisfactory performance, and subject to a minimum of six months’ service in the grade, increments are payable on 1 August each year until the top progression point of the grade is reached”. The University reserves the right to withhold an increment from an employee on the grounds that their performance or conduct is unsatisfactory. Therefore where an employee has been subject to a formal warning under this procedure, then the University may withhold any eligible increments due for that period. This will be confirmed in writing.
11	Alternatives to Dismissal
11.1	The University may at its discretion consider one or more of the following sanctions as an alternative to dismissal: • demotion, which may include demotion to a lower grade, with resulting reduction in salary • remain on the same grade but reduction in spine point on the University of Exeter pay scale as applicable from time to time • loss of right to an increment and/or bonus payment (where applicable) • a period of unpaid suspension of no longer than one month • transfer to a different role, college, service or site and/or retraining, mediation or other appropriate course of training/counselling.
11.2	Where such alternative sanction(s) are deemed appropriate, they will be applied in addition to a final written warning, to remain current for 18 months from the date of hearing.
12	Notification of the Outcome
12.1	The employee will be informed of the outcome of the disciplinary hearing in writing, usually within 5 working days of the hearing. The letter will confirm: • the action taken (or the fact that no formal action was taken) and the reasons for that action; • any remedial action required of the employee and the consequences of any recurrence of misconduct, including any dates for review; • that the employee has a right of appeal and how to exercise that right; • in the case of a written warning, that the warning will be disregarded for further disciplinary purposes after six months (for a formal written warning) or twelve months (for a final written warning); • in the case of dismissal, the date on which the employment contract will end, giving the appropriate period of notice if applicable, or in the case of gross misconduct, the fact that dismissal is without notice or payment in lieu of notice.
13	Right of Appeal
13.1	An employee has a right of appeal against any formal action under the formal Disciplinary Procedure.
13.2	The right of appeal must be exercised within 10 working days of receipt of the letter of confirmation of disciplinary action.
13.3	The appeal, stating the grounds on which it is made, must be in writing and set out the grounds for appeal. The grounds for appeal must fall into one or more of the following categories: • that the investigation or disciplinary hearing was flawed or that the process has been followed incorrectly; • that the disciplinary penalty is disproportionate to the allegations; • that new evidence has come to light that was not available at the time of the investigation or the disciplinary hearing.
13.4	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case. In the case of an appeal against a final written warning or against dismissal, the panel will be drawn from members of the Senior Management Group from a different College or Professional Services area.
13.5	The University will aim for an appeal to be heard within 20 working days of the appeal being lodged.
13.6	If the decision of the Disciplinary Panel is to dismiss the employee, an appeal will not prevent or delay the dismissal but if the outcome of the appeal overturns the dismissal then the employee will be reinstated and paid any back pay.
13.7	The appeal panel may: • uphold the disciplinary action taken; or • withdraw the disciplinary action taken; or • reduce the level of disciplinary action taken.
13.8	The appeal will be a review of the decision taken by the Disciplinary Panel that conducted the disciplinary hearing and will not be a rehearing of the case, except in the circumstances of paragraph 13.9. No new evidence may be presented to the appeal panel, nor any witnesses called, unless the appeal panel is satisfied that there are exceptional reasons why such evidence or witnesses were not produced at the disciplinary hearing and/or that it is necessary in the interests of fairness, in reviewing the Disciplinary Panel’s decision, for the appeal panel to consider this evidence or hear from the witnesses concerned.
13.9	Where the appeal is on grounds of a flawed investigation or hearing or incorrect process the appeal panel may agree for the appeal to be a full rehearing of the evidence.
13.10	The decision of the appeal panel (usually communicated in writing to the employee within ten working days of the appeal hearing) shall be final within the procedures of the University.
14	Return to Work
14.1	The Line Manager and the HR Business Partner will develop a return to work programme to reintegrate the employee back into the workplace effectively following a period of suspension or a disciplinary hearing where there was no action taken, or action short of dismissal. This may include: • meeting the employee on their first day back at work before they see any colleagues to check how they are feeling, and any support they feel they need. • a conversation with any work colleagues of the employee concerned and in particular those who may have given evidence that sets out clearly expectations about working relationships going forward. • checking what (if any) support immediate work colleagues or witnesses feel they may need.

	Appendix 1
	Examples of Gross Misconduct
	The following list is not comprehensive or exhaustive. The following examples of behaviour at work may be regarded as gross misconduct, and may lead to summary dismissal: • dishonesty, theft, fraud, or serious misuse of University property, including deliberate and serious damage to University property; • theft from or violence to other members of the University or members of the public including malicious damage to their property; • obscene or indecent behaviour or sexual misconduct or the circulation of offensive material; • aggressive or threatening behaviour or physical violence; • bullying or harassment or unlawful discrimination; • breach of security or of financial regulations, policies or procedures; • breach of confidence and/or confidential information; • serious breach of University policy including the email and IT policy; • incapability whilst on duty brought on by misuse of alcohol or illegal drugs; • being in the possession of illegal drugs; • breach of health, safety and hygiene rules or acting in a manner dangerous to others; • behaviour bringing the University into disrepute or which could reasonably be expected to bring the University into disrepute; • serious insubordination; • serious professional incompetence or gross negligence; • causing loss, damage or injury through serious negligence; • plagiarism; • breach of the University’s Code of Conduct on bribery and other Improper conduct • where the employee has stopped attending work without authority or reasonable explanation.
	Appendix 2
	Related University Procedures and Policies
	The University may, if appropriate in the particular circumstances of the case, take account of the following University procedures and policies before a decision is taken following a disciplinary hearing: • Good Practice in the Conduct of Research (incorporating Guidance on the reporting and investigation of misconduct in research) • Alcohol at Work and Study Policy and Alcohol and Drug Abuse Policy • Breach of the University’s Code of Conduct on bribery and other Improper conduct • Data Protection • Dignity and Respect Policy • Financial Regulations, policies or procedures (all staff are subject to the Financial Regulations) • Fraud Policy • Health and Safety Standards and Policies • Professional Conduct Code (relations between staff and between staff and students) • Public Interest Disclosure Policy (‘Whistleblowing’) • Regulations for the Use of Computing Facilities (these outline the appropriate use of University IT facilities) • Social Media Policy • Student Complaints Procedure This list is not comprehensive or exhaustive. The University may from time to time amend these policies and procedures and implement new policies and procedures which may be relevant to disciplinary matters.

Part IV	CAPABILITY/PERFORMANCE PROCEDURE
1	Purpose and Principles
1.1	The purpose of the capability/performance procedure is to help and encourage employees to achieve and maintain required standards of performance. The aim of the procedure is also to ensure that when action needs to be taken, it is applied consistently and fairly in every case.
1.2	Managers are expected to regularly review the performance of the staff they manage, giving timely feedback and providing appropriate support and training.
1.3	Before any formal sanction is applied under this procedure, an employee will be advised of the nature of the complaint and given an opportunity, with reasonable notice, to state their case at a meeting.
1.4	There may be occasions when, depending on the seriousness of the alleged shortfalls in performance, it will be appropriate to enter the procedure at the stage of a final warning or at the dismissal stage which may include dismissal without notice. (Paragraph 5).
1.5	The employee has the right to appeal at each stage of the formal procedure (paragraph 7).
1.6	Although the usual performance standards must apply to trade union representatives, no formal sanction will be applied in respect of an employee who is an accredited Trade Union representative until the circumstances of the case have been discussed with the local senior representative of the Union concerned or a full-time official.
1.7	The University will endeavour to deal with matters under this procedure promptly and without undue delay, and expects the member of staff concerned to co-operate to achieve that aim.
1.8	Where any part of this Procedure is being or has been applied, the University will not disclose that fact or the details of the issues to other members of staff or anyone outside of the University except where this is required under law or a duty of care or any other University procedure or to facilitate any investigation or where a limited disclosure is justified by the circumstances.
2	Scope
2.1	This procedure does not apply to formal action or dismissals taken under the procedure for probation.
3	Authority to take formal action under this procedure
3.1	The Vice-Chancellor, Registrar and Secretary, Deputy Vice-Chancellors, Pro-Vice-Chancellor & College Deans, Heads of Service and College Registrars are authorised, subject to any appropriate training, to take action at all stages detailed in paragraph 5, including the authority to dismiss, in accordance with this procedure and following consultation with the Director of Human Resources.
3.2	Formal action under this procedure in respect of staff in the academic job families will be taken by academic managers.
3.3	The Director of Human Resources may authorise other named managers (subject to any appropriate training) to take defined levels of action in accordance with this procedure, in consultation with the Director of Human Resources.
4	Addressing issues prior to the use of the Formal Procedure
4.1	In cases of minor shortfalls in performance, the immediate supervisor should discuss these concerns with the employee. Appropriate action at this stage may include: support and training advice and guidance counselling.
4.2	The purpose of this discussion is to ensure that the employee: is aware of the concerns; knows what is required to meet expected standards of performance; is made aware of the timescale over which an improvement is required; is made aware of the consequences of not achieving the required standard.
4.3	In certain circumstances it will be necessary for the discussion and outcome to be confirmed in writing.
4.4	This is not a stage in the formal Procedure.
5	Stages in the Capability/Performance Procedure
5.1	Prior to any formal meeting under this procedure, the manager who is to conduct the meeting must advise the employee in writing, at least one week before the date of the meeting: that there will be a meeting under the Capability/Performance procedure; of the date, time and venue of the meeting; of the concerns about their performance; of the possible outcomes under the Capability/Performance procedure; enclosing a copy of any statements from witnesses and other relevant evidence; of their right to be accompanied by a fellow worker or trade union representative.
5.2	The purpose of the meeting is to give the employee an opportunity to state their case and to answer the allegations that have been made.
5.3	At the meeting, the manager conducting the meeting may hear evidence from witnesses and the employee may arrange for witnesses to attend and give evidence. The manager conducting the meeting may question any witnesses. The employee or the trade union representative or fellow worker accompanying them may also question witnesses, although the manager conducting the meeting may determine that all questions are directed through him/her.
5.4	Following a meeting the manager conducting the meeting may take one of the following courses of action, according to the circumstances of the case: take no formal action. give a formal written warning if there has been either a repeated minor breach in performance, or a first but more serious shortcoming in performance. give a final written warning if there has been an insufficient response to previous warnings and performance is still unsatisfactory. give the employee notice of dismissal if, following a final written warning, performance remains unsatisfactory and the employee still fails to reach or maintain the prescribed standards. to dismiss the employee summarily without notice and without there having been any previous warnings under this procedure in cases of serious shortfalls in performance.
6	Written Confirmation and Time Limits
6.1	Within one week of the meeting, the decision must be confirmed in writing to the employee. The letter must specify: the level of the action taken (or the fact that no formal action was taken) and the reasons for that action; any remedial action required of the employee and the consequences of any recurrence of unsatisfactory performance, including any dates for review (in the case of a first or final warning); that the employee has a right of appeal and how to exercise that right (see paragraph 7); in the case of a written warning, that the warning will be disregarded for further purposes under this procedure after six months (for a first warning) or twelve months (for a final warning), unless there are circumstances which justify a longer period and which are explained in the letter of confirmation.
6.2	Records of formal action will be held by Human Resources and by the relevant unit.
7	Appeals
7.1	An employee has a right of appeal against any formal action under the formal Capability/Performance Procedure.
7.2	The right of appeal must be exercised within two weeks of receipt of the letter of confirmation of formal action under the formal Capability/Performance Procedure.
7.3	The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of Human Resources.
7.4	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case. In the case of an appeal against a final warning or against dismissal, the panel will be drawn from members of the Senior Management Group from a different College/Service.
7.5	The University will aim for an appeal to be heard within four weeks of the appeal being lodged, unless otherwise agreed between the parties.
7.6	The appeal panel may: uphold the action taken; or withdraw the action taken; or reduce the level of action taken.
7.7	The appeal will be a review of the decision taken by the manager conducting the meeting under paragraph 5 above. No new evidence may be presented to the Appeal Panel, nor any witnesses called, unless the Appeal Panel are satisfied that there are exceptional reasons why such evidence or witnesses were not produced at the formal meeting under paragraph 5 above, and/or that it is necessary in the interests of fairness, in reviewing the manager's decision, for the Appeal Panel to consider this evidence or hear from the witnesses concerned.
7.8	The decision of the appeal panel (communicated in writing to the employee) shall be final within the procedures of the University.
7.9	The procedure to be followed at appeal meetings is detailed in Ordinance 35.

Part V	ILL HEALTH/INCAPACITY PROCEDURE
1	Purpose and Principles
1.1	The purpose of this procedure is to ensure that the University responds to each case of ill health on an individual, flexible basis while maintaining fairness and common standards, including seeking medical advice from the University’s Occupational Health Service at an early stage and consulting with the employee and/or their representative.
1.2	At each stage of the formal procedure and before any formal action is taken under this procedure: the University will: give the employee reasonable, written notification of meetings; send to the employee details of the medical information available to the employee’s managers and Human Resources; advise the employee that they have the opportunity to present their own medical evidence; advise the employee of their right to be accompanied by a fellow worker or trade union representative apply the University’s Code of Practice on Managing Absence and Attendance.
1.3	The University reserves the right to proceed with meetings under this procedure in the absence of the employee if they are not well enough to attend in person.
1.4	These procedures refer at various stages to the University obtaining medical reports from its Occupational Health Service and/or the employee's doctor. Where the employee refuses consent for medical reports to be obtained or disclosed the relevant manager or panel will make their decision as to the appropriate course of action using the information available at the time.
1.5	Nothing in this Procedure shall prevent an application to the appropriate pension scheme being made or accepted at any stage for the employee to retire on ill health grounds. The initiation of the Procedure and any dismissal taken by the University under this Procedure does not imply that the appropriate pension scheme will accept an application for the employee to retire on ill health grounds.
2	Scope
2.1	This procedure does not apply to formal action or dismissals taken under the procedure for probation.
2.2	There are two separate procedures in this Ordinance which relate to: recurrent short term sickness absence; and long term sickness absence or other medical incapacity.
3	Authority to take formal action under this procedure
3.1	The Vice-Chancellor, Registrar and Secretary, Deputy Vice-Chancellors, Pro-Vice-Chancellor & Executive Deans, Heads of Service and College Registrars are authorised, (subject to any appropriate training), to take action at all stages detailed in paragraph 4 and 5, including the authority to dismiss, in accordance with this procedure and following consultation with the Director of Human Resources.
3.2	Formal action under this procedure in respect of staff in the academic job families will be taken by academic managers.
3.3	The Director of Human Resources may authorise other named managers (subject to any appropriate training) to take defined levels of action in accordance with this procedure and following consultation with the Director of Human Resources.
4	Procedure for Recurrent Short-term Sickness Absence
4.1	In any case where an employee's manager is concerned about the employee's attendance level, this procedure may be followed.
4.2	When the absence levels of an employee are to be reviewed under this procedure, the manager must advise the employee in writing, at least one week before the date of the meeting: that there will be a meeting under the Ill Health/Incapacity procedure to discuss the employee's attendance; of the date, time and venue of the meeting; of the concerns about their attendance and absence record, including a summary of his/her absence record for the relevant period; of the possible outcomes under the Ill Health/Incapacity procedure; of their right to be accompanied by a fellow worker or trade union representative.
	The purpose of the meeting will be to consider the total absence pattern and its effect on the work area, to explore the employee’s views and to identify action that may support or assist.
4.3	At the meeting, if it appears to the manager that there was or may have been an underlying medical condition causing the absence, the manager may adjourn the meeting to refer the employee to the University’s Occupational Health Service.
4.4	At the end of or after the meeting (or reconvened meeting), the manager will decide on the appropriate action to be taken, if any, and will send the employee a letter confirming this. The manager's decision may be: to take no formal action, but a further review period may be implemented; to give the employee a formal caution in relation to his/her absence levels; to give a final caution, where the employee has previously been given a formal caution;. to give the employee notice of dismissal, where the employee has previously been given a final caution.
4.5	If the manager decides to give the employee a caution, the manager should set out in his/her letter the next review date and the level of improvement in attendance that is expected in the period to the next review date (‘the Review Period’). The caution shall state that if the employee's absence levels do not improve to a satisfactory level, the University may consider dismissing the employee as a result of his/her sickness absence.
4.6	At the end of any Review Period, the manager may: write to the employee informing the employee that he/she will be removed from this formal procedure; repeat the review process above and, following the meeting under paragraph 4.4, issue a further formal caution or final caution or where the employee has previously been subject to a final caution, give the employee notice of dismissal.
4.7	The employee will have the right to appeal against a caution or notice of dismissal issued under the Procedure for Recurrent Short-term Sickness Absence in accordance with paragraph 6 below.
5	Procedure for Long Term Sickness Absence or Medical Incapacity
5.1	This procedure shall apply: where an employee has been absent from work due to ill-health for a period in excess of four weeks (such absence being deemed to be ‘long term’ for the purposes of this Procedure) and where, applying the University’s Code of Practice on Managing Absence and Attendance, the University has reasonable concern that the employee may not return to work within a reasonable timescale; or where, due to any medical condition, illness or other incapacity, an employee is, or has become, or is considered to have become or likely to become, unable to perform his/her duties (or any part thereof), either in whole or in part, or to be able to do so only with difficulty, or to be unable to perform his/her duties to an acceptable standard.
	Part A: Informal Consideration
5.2	The purpose of this part of the procedure is to explore through meetings with the employee (and/or their representative), and with the assistance of medical or other expert advice as appropriate, the following issues, as appropriate:
5.2.1	the nature of the employee's medical condition, illness or incapacity;
5.2.2	the likely prognosis for the employee's health and fitness to carry out his/her duties;
5.2.3	where the employee is absent from work, the likely prognosis for him/her returning to work on a sustained basis and being fit to carry out his/her duties in full and/or to perform them to an acceptable standard;
5.2.4	where relevant, the likely prognosis for the employee being able to perform his/her duties, in whole or in part, and/or to perform them to an acceptable standard;
5.2.5	whether any changes can be made to the employee's role or duties or to his/her work environment, or to the way in which his/her duties are organised or performed, in order to resolve the situation to the satisfaction of the employee and the University and/or (in cases of absence) to facilitate the employee's return to work on a sustained basis; and/or
5.2.6	whether any other action could be taken to address the issues raised by the employee's ill-health incapacity.
5.3	An employee on long term sick leave, shall also have a responsibility to update the University regularly on his/her likely date of return to work.
5.4	The University may seek medical information from its Occupational Health Service and/or the employee's doctor, and may refer the employee to be examined by the Occupational Health Service or a doctor nominated by the University. This process may be repeated if it is considered appropriate to do so. The stage at which the first and any subsequent meeting(s) are held will depend on the circumstances of the particular case.
5.5	For the avoidance of doubt, the changes or actions referred to in paragraphs 5.2.5 and 5.2.6 above may include the permanent or temporary transfer of the employee to alternative employment or a permanent or temporary variation to the employee's duties or other terms and conditions of employment. Nothing in this Procedure shall oblige the University to maintain, in making such changes or taking such action, an employee's existing terms and conditions of employment, in particular (but without limitation) in respect of pay or other remuneration.
	Part B: Formal Consideration
5.6	If it is not possible to resolve the situation to the satisfaction of the employee or the manager, the manager may refer the issues to the Director of Human Resources for consideration (under paragraph 5.7 of this procedure), as appropriate, whether the employee should be dismissed and/or what other action (including the matters referred to in paragraphs 5.2.4 and 5.2.5 above) should be taken. The manager shall inform the employee of the decision to refer the issues to the Director of Human Resources. The manager’s report should summarise the relevant issues and the action taken under this Procedure and the issues which it is proposed should be considered.
5.7	Human Resources shall inform the employee in writing as soon as possible after receiving the reference under paragraph 5.6 above : summarising the issues to be considered at the hearing and enclosing a copy of the manager’s report and any other documentation or information which shall be referred to at the Hearing in support of the action recommended by the manager; giving notification of the time, date and venue of the hearing; informing the employee in accordance with paragraph 1.2 above.
5.8	Decisions taken under this part of the Procedure will be taken by a manager with no previous involvement in the case (the ‘manager’). The manager may, at their discretion, determine which witnesses (if any) shall be called and questioned and whether it would be appropriate to adjourn or postpone the hearing at any time prior to or during the hearing to obtain further medical information of any kind prior to making their decision.
5.9	As soon as is reasonably practicable after the hearing, the manager shall reach his/her decision as to whether the employee should be dismissed or as to any alternative action that should be taken in respect of the employee. The manager responsible for considering the case shall produce a reasoned written decision, normally within two weeks of the hearing, which will be sent to the employee. Where the decision is to dismiss the employee, the employee will be sent a notice of termination of employment on behalf of the University.
5.10	The employee shall be notified of his/her right to appeal against the manager's decision in accordance with paragraph 6 below.
6	Appeals
6.1	An employee has a right of appeal against any formal action under this Ordinance.
6.2	The right of appeal must be exercised within two weeks of the date of the written outcome of the manager’s decision.
6.3	The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of Human Resources.
6.4	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case. In the case of an appeal against a final warning or against dismissal, the panel will be drawn from members of the Senior Management Group from a different College/ Service.
6.5	The University will aim for an appeal to be heard within four weeks of the appeal being lodged, unless otherwise agreed between the parties.
6.6	The appeal will be a review of the decision taken by the manager under paragraph 4 or paragraph 5. No new evidence may be presented to the Appeal Panel unless the Appeal Panel is satisfied that there are exceptional reasons why such evidence was not produced at the meeting which led to the decision under appeal and/or that consideration of this evidence is necessary in the interests of fairness, in reviewing that decision.
6.7	Where appeal is against action taken by the manager under the Procedure for Recurrent Short-term Sickness Absence, the appeal panel may: confirm the decision of the manager; or overturn that decision and substitute one of the lesser outcomes referred to in paragraph 4.4
	and shall send a letter to the employee confirming this.
6.8	Where appeal is against action taken by the manager under the Procedure for Long Term Sickness Absence or Medical Incapacity, the appeal panel may: confirm the decision of the manager; or overturn that decision and/or reinstate the employee and/or impose any other action that the appeal panel considers appropriate is to be taken in the circumstances.
	and shall send a letter to the employee confirming this.
6.9	The decision of the appeal panel (communicated in writing to the employee) shall be final within the procedures of the University.
6.10	The procedure to be followed at appeal hearings is detailed in Ordinance 35.

Part VI	PROCEDURE FOR NON-RENEWAL OF A FIXED TERM CONTRACT
1	Purpose and Principles
1.1	The purpose of this procedure is to ensure that decisions made on the expiry of fixed term contracts are taken consistently and fairly in every case, taking account of relevant employment law and good employment practice.
1.2	The University will consider redeployment for staff who are identified as being ‘at risk’ through the application of the Procedure for non-renewal of a fixed term contract, in accordance with the University’s Redeployment Procedure, until their employment with the University ends.
2	Scope and definitions
2.1	This procedure applies to all staff employed by the University of Exeter on a fixed term basis, except those engaged on a claims basis and Graduate Teaching Fellowships, who will have completed one year’s service on or before the expiry of their fixed term employment where the reason for the proposed dismissal is the non-renewal of the fixed-term contract on its expiry.
2.2	This procedure does not apply where the grounds for the proposed dismissal are discipline, capability/performance, ill health/incapacity, retirement or circumstances covered by the procedure for dismissal on other grounds or to dismissals taken under the procedure for probation.
2.3	For the purposes of this Procedure, a fixed-term contract is a contract which is not of indefinite duration and which contains provision for the contract to terminate on a specified date or by virtue of the expiry of a fixed-term, or on the performance of a specific task or on the occurrence of an event or the failure of a specified event to occur.
2.4	This Procedure shall not apply to the removal from appointment as Deputy-Vice Chancellor, Dean or Pro-Vice-Chancellor & Executive Dean or such other posts as have been designated by the Council to which an employee has been elected or appointed and which is distinct from that individual's substantive post, where dismissal from the substantive post is not contemplated.
2.5	UK Employment Law defines the ending, ie non-renewal, of a fixed-term appointment on its expiry as a dismissal: consequently, this procedure uses the term ‘dismissal’.
3	Stages in the Procedure
3.1	At least one month before the notice period, the nominated manager in the College/ Service will write to the employee explaining the circumstances which may result in their dismissal and invite them to a meeting to discuss the issue. Normally there should be a minimum of two weeks’ notice of the meeting but this time limit may be varied by mutual agreement. The nominated manager may be accompanied by a representative from Human Resources. The employee has the right to be accompanied by a fellow worker or trade union representative.
3.2	The purpose of the meeting is to review the circumstances which may result in the employee’s dismissal and for the employee to make any representations before a decision is made.
3.3	Following the meeting, the manager may determine that the employment should be terminated in accordance with the employee’s current contract or take any other action other than dismissal which is justified by the circumstances.
3.4	Normally within one week of the meeting, the University will confirm the decision in writing to the employee. The letter will specify the decision and (where the decision is that the employment should be terminated) that the employee has the right of appeal and how to exercise that right.
4	Appeal
4.1	An employee has a right of appeal against a decision made under this procedure to terminate their employment. The appeal will be a review of the decision appealed against.
4.2	The right of appeal must be exercised within two weeks of the date of the letter confirming the decision taken by the nominated manager. The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of Human Resources.
4.3	An appeal will be heard by the Pro-Vice-Chancellor & Executive Dean / Head of Service or other senior manager not previously involved. The University will aim for an appeal to be heard within four weeks of the appeal being lodged, unless otherwise agreed between the parties.
4.4	The manager hearing the appeal may confirm that the employment should be terminated in accordance with the employee’s current contract or take any other action other than dismissal which is justified by the circumstances.
4.5	The decision of the appeal body shall be final within the procedures of the University.
4.6	The procedure to be followed at appeal hearings is detailed in Ordinance 35.

Part VII	REDUNDANCY PROCEDURE
1	Principles and Standards
1.1	These procedures apply to all members of staff except those engaged on a claims basis and Apprentices.
1.2	Where there is an issue as to the meaning of ‘academic freedom’ in any proceedings under these Ordinances, regard shall be had to the agreement with the University and College Union regarding the definition of academic freedom dated 31 July 2009.
1.3	An employee can elect to be accompanied by a fellow worker or trade union representative at any meeting under the formal stages of these procedures.
1.4	If the companion is unavailable at the time a meeting under paragraph 5.3 or 6.1 of this procedure is scheduled then the employee can ask for the hearing to be postponed for up to one week, on one occasion only. Following such a postponement, the University reserves the right to proceed with the meeting in the employee’s absence.
1.5	References to academic managers in these procedures means staff in the academic job families with line management responsibility.
1.6	The University will try wherever possible to avoid the need for compulsory redundancies but sometimes these may be necessary. The pattern or volume of our business or methods of working may change and requirements for employees may reduce or change.
1.7	Before a decision is taken to effect redundancies, the University will consult with individual employees, and where appropriate, also with their representatives, having due regard to any consultation required in accordance with Clause 188 of the Trade Union and Labour Relations (Consolidation) Act (‘TULRCA’), on how to avoid the redundancies or reduce the numbers involved and, once a decision has been taken to proceed, about the means of effecting redundancies.
1.8	Any selection for compulsory redundancy will be undertaken fairly, reasonably and without discrimination.
1.9	The University’s redeployment procedure will apply to eligible employees who have been given notice of dismissal on grounds of redundancy.
1.10	Nothing in this Procedure shall preclude the University from seeking volunteers for dismissal by reason of redundancy or oblige the University to seek volunteers; and nothing in this Procedure shall preclude any employee agreeing to voluntary severance at any time or oblige the University to accept applications for voluntary severance.
1.11	References to the Director of Human Resources (“HRD”) include their designate.
2	Scope and definitions
2.1	For the purposes of this procedure, redundancy is defined in accordance with Clause 139 of the Employment Rights Act 1996 or successor legislation.
2.2	This procedure does not apply to the proposed dismissal of an employee where that dismissal would arise from the expiry without renewal of a fixed term contract (fixed term contract) where the overall duration of the fixed term contract period (including any renewals or extensions) is 21 months or less, or where the reason for non-renewal is not by reason of redundancy e.g. where the fixed term contract is used to cover maternity leave or other long term absences or secondments. In these circumstances the Procedure for non-renewal of a fixed term contract will apply.
2.3	The pool for selection is the group of employees from which those who are to be made redundant will be drawn. The pool will depend upon the area or areas of activity in which the University's requirements for employees to carry out work of a particular kind have ceased or diminished. The pool will vary from situation to situation depending on the extent to which there are other roles undertaking the same or similar work, and the extent to which these roles can be deemed interchangeable. In some cases there may be no-one else carrying out the same or similar role, or with the same or interchangeable skills and there will be a ‘pool of one’, in which case there is no selection decision to be made and the individual is provisionally selected for redundancy.
2.4	Where there is a pool, selection criteria will be developed to determine which employee(s) should be provisional for redundancy. Selection criteria will normally be based on the current and future needs of the College/Service in relation to that specific area of activity and will take into account objective factors such as skills and experience, flexibility (i.e. cross functional or multi-skilled), performance, disciplinary record and attendance records.
3	Authority to take formal action under this procedure
3.1	Where the dismissal of an employee or employees by reason of redundancy is being considered, the manager shall (in consultation with the HR Representative for the College or Service, and taking account of guidance issued by Human Resources on managing restructuring and redundancy) submit a report to the Director of Human Resources (“HRD”) advising of: the reason for the proposed redundancy/redundancies;steps taken to try to avoid compulsory redundancies; the total number of redundancies proposed and their categories or descriptions; the total numbers of employees employed in the affected unit of each such category or description, including details of any agency or casual workers if applicable; the proposed timescale over which it is proposed that the redundancies would take place; the proposed pool for selection and the proposed criteria for selection (or an explanation why there is a ‘pool of one’), including whether the procedures in clause 5 or clause 6 of this Procedure (below) should be instituted to effect the proposed redundancy or redundancies; the consultation which will take place with the employee(s) and appropriate representatives of the employee(s). the cost centre from which any redundancy payments and/or voluntary severance payments will be made from.
3.2	After considering a report under paragraph 3.1, the HRD (or where the proposed redundancies are within the HR Directorate, the Registrar and Secretary) will authorise the commencement of consultation on the proposals set out in the report (subject to any modifications by the HRD), in accordance with the provisions of this procedure, and implementation of the proposed redundancy or redundancies.
3.3	Where the potential redundancies arise from organisational design/restructure, then the HRD may request a summary report, setting out the organisational design, rational for the changes and people impact, for consideration by the Vice Chancellors Executive Group (“VCEG”). After considering the summary report, VCEG will authorise the commencement of consultation on the proposals set out in the report (subject to any modifications by VCEG), in accordance with the provisions of this procedure, and implementation of the proposed redundancy or redundancies.
3.4	Deputy Vice-Chancellors (“DVC”), Assistant DVCs, Pro-Vice-Chancellors (“PVC”), Deputy PVCs, Associate Deans, Directors of Institutes, Heads of Department, Directors of College Operations and Directors (and Deputy and/or Assistant Directors) of Professional Services are authorised, following appropriate training and with guidance from the HR Representative for their area, to take action under this procedure (including an appeal under paragraph 7) following consultation with the HRD.
3.5	Following appropriate training, the HRD may authorise other named managers to take action under this procedure (including an appeal under paragraph 7) following consultation with the HRD.
3.6	Formal action under this procedure in respect of staff in the academic job families will be taken by academic managers.
3.7	References in this procedure to ‘the manager’ may mean a panel of managers authorised to take formal action under this procedure who are involved in the selection decision.
4	Consultation
4.1	Following a decision by the HRD or VCEG under paragraphs 3.2 or 3.3 above, the manager shall (in consultation with the HR Representative for the College or Service, and taking account of guidance issued by Human Resources on managing restructuring and redundancy) consult with employee(s) in the affected unit(s), and if applicable, with appropriate representatives of the employee(s) in accordance with the requirements of Clause 188 TULRCA.
4.2	The discussion and consultation will include where applicable: the reason for the proposed redundancies; the Services, Colleges or other units at the establishment in question within which it is proposed that the dismissals would take place (‘the affected units’); the total number of redundancies proposed and their categories or descriptions; the total numbers of employees employed in the affected unit of each such category or description, including details of agency or casual workers if applicable; the proposed timescale over which it is proposed that the redundancies would take place; the proposed pool for selection and the proposed criteria for selection (or an explanation why there is a ‘pool of one’); how redundancy pay will be calculated.
4.3	Following this consultation the proposal may be amended to take into account feedback of the employees and appropriate representatives. Where this results in significant changes to the proposals set out in the report/Summary made to the HRD or VCEG (for example any changes to staffing levels affecting budgets) then a further report shall be made to the HRD or VCEG as applicable.
5	Procedure where a pool exists
5.1	Following consultation under clause 4, the manager authorised under paragraphs 3.3 or 3.4 above (‘the manager’) will confirm in writing to those employees falling within the pool for selection: the pool for selection from which redundancies will be effected by the application of selection criteria; the total number of staff employed in that group of affected staff (i.e. the number of roles ‘at risk’); the total number of staff to be dismissed from that group by reason of redundancy; the selection criteria to be used to determine which employees within the affected group are to be provisionally selected for redundancy; who will assess the staff within the affected group against the selection criteria; when the assessment of affected staff against that criteria will take place.
5.2	Taking account of guidance of the HR Representative and the guidance issued by Human Resources on managing restructuring and redundancy and the procedures notified to employees under paragraph 5.1, the manager shall decide who shall be provisionally selected for redundancy
5.3	Before an employee who has been provisionally selected for redundancy is given written notification of dismissal on the grounds of redundancy, they will be invited to attend a meeting with a nominated manager to explain why they have been selected for redundancy and to provide them with an opportunity to ask questions about their selection for redundancy, make oral or written representations and propose alternatives to dismissal.
5.4	Following the meeting, written notification will sent to employees who are to be dismissed. The written notification shall: summarise the reasons for the dismissal and why they were selected; give notice of dismissal on the grounds of redundancy; advise them of their right to appeal; Confirm the redundancy payment that will be made; Confirm redeployment status where eligible.
5.5	Those employees within the relevant group of affected staff not provisionally selected for redundancy shall be advised in writing that, although not provisionally selected at this stage, that position could change as a result of meetings with or appeals by provisionally selected employees under this Procedure.
6	Procedure where a pool does not exist (‘Pool of one’)
6.1	Where this paragraph applies, the manager shall confirm to the employee in writing the reason(s) for their proposed dismissal and the employee shall be invited to a meeting with a nominated manager to explain why they have been selected for redundancy and to provide them with an opportunity to ask questions about their selection for redundancy, make oral or written representations and propose alternatives to dismissal.
6.2	Taking account of all the information provided and the representations made, and with the guidance from the HR Representative for the College or Service, the manager shall decide whether the employee shall be given notice of dismissal on grounds of redundancy.
6.3	Following the meeting, the employee shall be advised in writing of the decision taken and the reasons for it. Where the decision is that the employee is to be dismissed, the letter shall: summarise the reasons for the dismissal and why they were selected; give notice of dismissal on the grounds of redundancy; advise them of their right to appeal; Confirm the redundancy payment that will be made; Confirm redeployment status where eligible.
7	Appeal
7.1	An employee has a right of appeal against a decision made to select them for redundancy following the application of the procedure in paragraph 5 or paragraph 6. An employee cannot appeal against the decision to institute redundancy procedures made in accordance with paragraph 4 of this procedure.
7.2	The right of appeal must be exercised within seven days of the date of the written outcome under 5.4 or 6.3.
7.3	The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of HR.
7.4	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case.
7.5	The University will aim for an appeal to be heard within 21 days of the appeal being lodged, unless otherwise agreed between the parties.
7.6	The appeal will be a review of the decision taken by the manager.
7.7	The appeal panel may: confirm the decision to dismiss the member of staff; revoke the decision to dismiss and reinstate the member of staff; or remit the decision to be considered further in accordance with the selection process under clause 5 or clause 6, as the Appeal Panel shall specify.
7.8	The decision of the appeal panel shall be final within the procedures of the University.
7.9	An appeal will not delay dismissal on grounds of redundancy, but where an appeal is successful then the employee will be reinstated.

The pool for selection is the group of employees from which those who are to be made redundant will be drawn. The pool will depend upon the area or areas of activity in which the University's requirements for employees to carry out work of a particular kind have ceased or diminished. The pool will vary from situation to situation depending on the extent to which there are other roles undertaking the same or similar work, and the extent to which these roles can be deemed interchangeable. In some cases there may be no-one else carrying out the same or similar role, or with the same or interchangeable skills and there will be a ‘pool of one’, in which case there is no selection decision to be made and the individual is provisionally selected for redundancy.

Part VIII	PROCEDURE FOR DISMISSAL ON OTHER GROUNDS
1	Principles
1.1	If after commencing the procedure in this Ordinance the University considers that the relevant case should have been dealt with under Redundancy Procedure, Disciplinary Procedure, Capability/Performance Procedure or the Ill Health/Incapacity Procedure, rather than under this procedure, the University may transfer the case to the appropriate stage of the relevant procedure. It shall be for the University to determine the appropriate procedure to be followed and its decision shall be final.
1.2	Nothing in this Ordinance shall prevent the University from informing and consulting with the relevant member of staff (or with appropriate employee representatives) or from considering alternatives to dismissal prior to commencing this procedure.
2	Scope
2.1	This Ordinance sets out the procedure to be followed where the University proposes to dismiss an employee on one of the following grounds:
2.2.1	dismissal because the member of staff could not continue to work in the position which he/she held without contravention (either on his/her part or that of his/her employer) of a duty or restriction imposed by or under an enactment; or
2.2.2	dismissal of a member of clinical academic staff whose honorary NHS contract is withdrawn or whose medical registration is revoked or suspended; or
2.2.3	dismissal for some substantial reason (other than redundancy, conduct, performance, retirement or incapacity on health grounds) of a kind such as to justify the dismissal of a member of staff holding the position which the member of staff held;
2.2.4	dismissal arising from the expiry without renewal of a fixed term contract where the reason for the expiry and non-renewal of the fixed term contract is not redundancy.
2.2	This procedure does not apply to dismissals taken under the procedure for probation.
3	Authority to take formal action under this procedure
3.1	The Vice-Chancellor, Registrar and Secretary, Deputy Vice-Chancellors, Pro-Vice-Chancellor & Executive Deans, Heads of Service and College Registrars are authorised, subject to any appropriate training, to take action at all stages detailed in paragraph 4, including the authority to dismiss, in accordance with this procedure and following consultation with the Director of Human Resources.
3.2	Formal action under this procedure in respect of staff in the academic job families will be taken by academic managers.
3.3	The Director of Human Resources may authorise other named managers (subject to any appropriate training) to take defined levels of action in accordance with this procedure and following consultation with the Director of Human Resources.
4	Procedure
4.1	The manager authorised to take action under paragraph 3 above will write to the employee, at least one week before the date of the hearing: explaining the circumstances which lead the University to consider dismissing the member of staff; inviting the member of staff to a hearing; informing the member of staff of his/her right to be accompanied by a trade union representative or fellow worker; providing copies of any documents, and any other information, which will be considered at the hearing; and advising of any witnesses who will attend the hearing.
4.2	As soon as is reasonably practicable after the hearing the manager shall reach a decision as to whether the member of staff should be dismissed or take any other action other than dismissal which is justified by the circumstances.
4.3	Normally within one week of the meeting, the University will confirm the decision in writing to the employee. The letter will specify the decision and the reasons for it and (where the decision is that the employment should be terminated) that the employee has the right of appeal and how to exercise that right.
5	Appeal
5.1	An employee has a right of appeal against a decision made under this procedure to terminate their employment. No new evidence may be presented to the Appeal Panel unless the Appeal Panel is satisfied that there are exceptional reasons why such evidence was not produced at the meeting which led to the decision under appeal and/or that consideration of this evidence is necessary in the interests of fairness, in reviewing that decision.
5.2	The right of appeal must be exercised within two weeks of the date of the letter confirming the decision taken by the nominated manager. The appeal, stating the grounds on which it is made, must be in writing addressed to the Director of Human Resources.
5.3	An appeal will be heard by a panel comprising two senior managers who have had no previous involvement in the case. In the case of an appeal against a final warning or against dismissal, the panel will be drawn from members of the Senior Management Group from a different College/ Service.
5.4	The appeal panel the appeal may confirm that the employment should be terminated in accordance with the employee’s current contract or take any other action other than dismissal which is justified by the circumstances.
5.5	The decision of the appeal body shall be final within the procedures of the University.
5.6	The procedure to be followed at appeal hearings is detailed in Ordinance 35.

Part IX	PROVISIONS AS TO THE VICE-CHANCELLOR
1	A complaint seeking the dismissal of the Vice-Chancellor may be made by not less than three members of the Council to the Chairman of the Council.
2	If it appears to the Chairman of the Council, on the material before him/her, that the complaint raises a prima facie case and that could reasonably lead to dismissal or a formal warning regarding his/her conduct or performance, he/she shall request the Council to appoint a Tribunal to hear and determine the matter.
3	If it appears to the Chairman of the Council that a complaint made to him under paragraph 1 does not raise a prima facie case or is trivial or invalid, he/she may recommend to the Council that no further action be taken upon it.
4	Where a complaint is to be referred to a Tribunal, the Chairman of the Council may suspend the Vice-Chancellor from his duties. Whilst suspended, the Vice-Chancellor must not contact fellow workers or visit University property or access University facilities including email and databases without first obtaining authority from the Chairman of the Council: such authority would be granted (subject to any conditions considered appropriate) to enable the Vice-Chancellor to prepare his/her response. The Vice-Chancellor retains the right to contact his/her Trade Union representative.
5	When the Council has appointed a Tribunal under paragraph 2 it shall instruct a solicitor or other suitable person to formulate a charge or charges and to present, or arrange for the presentation of, the charges before the Tribunal.
6	A Tribunal appointed by the Council shall comprise:
	(a) an independent Chairman; and (b) one member of the Council, not being a person employed by the University; and (c) one member of the academic staff.
	Members of the Council who made the complaint under paragraph 1 should not sit on the Tribunal.
7	The Tribunal may determine its own procedure, or vary the appropriate procedure in the Ordinances, and notify this in writing to the Vice-Chancellor, provided that the Vice-Chancellor shall have the right to appear at a hearing in person.
8	Following the hearing, the Tribunal may, according to the circumstances of the case: take no formal action; or give a formal warning or final warning; or give notice of dismissal; or dismiss the Vice-Chancellor summarily without notice.
9	The Tribunal shall send its decision and its reasons to the Chairman of the Council and to the Vice-Chancellor drawing attention to the period of time within which any appeal should be made and the method of lodging an appeal.
10	Upon receipt of an appeal, the Chairman of the Council shall appoint an Appeal Panel. An Appeal Panel shall comprise:
	(a) an independent Chairman; and (b) one member of the Council, not being a person employed by the University; and (c) one member of the academic staff.
	Members of the Council who made the complaint under paragraph 1 or who sat on the Tribunal should not sit on the Appeal Panel.
11	The appeal will be a review of the decision taken by the Tribunal. No new evidence may be presented to the Appeal Panel, nor any witnesses called, unless the Appeal Panel is satisfied that there are exceptional reasons why such evidence or witnesses were not produced at the disciplinary hearing and that it is necessary in the interests of fairness, in reviewing the disciplinary manager's decision, for the Appeal Panel to consider this evidence or hear from the witnesses concerned.
12	The appeal panel may: uphold the action taken; or withdraw the action taken; or reduce the level of action taken.
13	The Appeal Panel shall send its decision and its reasons to the Chairman of the Council and to the Vice-Chancellor. Where the Tribunal decided to dismiss the Vice-Chancellor and, in the event of an appeal by the Vice-Chancellor, this decision has been upheld by an Appeal Panel, the Chairman of the Council shall instruct the Registrar and Secretary to dismiss the Vice-Chancellor.