Disciplinary procedures

It is the policy of the University to ensure that fair and effective arrangements exist for dealing with disciplinary issues, and to ensure that uniform standards are developed throughout the University with regard to both work and behaviour. Wherever practicable the formal procedures should be preceded by private and informal counselling.

Day to day responsibility for disciplinary and related matters lies with the person to whom the member of staff reports and the relevant head of department.  For academic staff, it rests with the head of department or faculty board chairman.  These office holders are responsible, among other things, for clarifying the required standards, preliminary investigation of any concerns and for any private and informal counselling of those judged not to be meeting the required standard.

Formal procedures for dealing with disciplinary and related matters are:

For academic and academic-related staff not on probation Statute XII, Part D.
For academic-related staff on probation section 8.2 of the academic-related staff handbook
For support staff not on probation section 8.2 of the support staff handbook
For support staff on probation section 8.3 of the support staff handbook


Please consult your HR Business Partner before initiating these procedures.

Employment Tribunal

Response to 'Notice of an Application' and 'Notice of Appearance by Respondent'

From time to time departments may be named as respondent to an application made to an Employment Tribunal by an employee, ex-employee, or applicant for employment.

When this occurs, the department will receive from the Regional Office of Employment Tribunals form ET3.

Immediate action required


Whenever a department receives this form, the appropriate HR Business Partner should be consulted immediately. Respondents are normally allowed only 28 days in which to respond.  Failing to meet the deadline may debar the University from taking any further part in the proceedings of the Tribunal - ie the University might effectively lose the right to defend the case in court.

Within the 28 day period the applicant's claim has to be thoroughly investigated, the relevant statutory provisions checked, the facts of the case established, and the approach to defending the case decided.

Valuable time will be lost if those who receive the ET form in the first instance do not act quickly. Departments therefore should ensure that those members of staff in the department who might be the first to receive form ET3 know of the need to refer the matter quickly to the Head of Department, or equivalent. The form should then be conveyed directly to the appropriate HR Business Partner in University HR by hand and without delay.