Human Resources

4.0 Responsibilities

The following have direct responsibilities under this policy:

  • Line Managers

    •  Hold informal discussions with staff members to resolve issues, where appropriate and record the main points of discussion.
  • Ensure a fair and equitable process is followed.

  • Consult HR in all formal disciplinary and dismissal cases.

  • Instigate a workplace investigation where it is suspected the conduct of the member of staff causes concern (see section 3.2 & 3.3 for guidance on examples of breach of conduct and gross misconduct).

  • Carry out an investigation or nominate a work colleague not associated with issue where a serious breach has occurred.

  • If appropriate, hold a meeting with the staff member and/or witness(es) regarding the issue to establish the facts and determine if further formal action is required.

  • If appropriate, suspend staff member in order to carry out an investigation.

  • Discuss findings of investigation with HR to determine an appropriate course of action.   

  • Employees

    • Attend informal discussion meeting with line manager to resolve informal issues,  where appropriate.
  • Where attendance at a disciplinary meeting is required provide, in advance, copies of  written evidence (where applicable), the name of the companion and any witnesses  giving evidence on your behalf to HR.

  • Human Resources

    • Provide information and guidance on mediation to managers, where appropriate.

    • Attend all formal disciplinary and dismissal meetings to provide guidance and ensure correct procedures and processes are followed.

    • Ensure fair and equitable process is followed.

    • Provide notification of disciplinary hearing to member of staff and any witnesses where appropriate.

    • Where an appeal has been lodged, notify employee of the outcome.

    • Consider involving an additional manager in a case where a grievance is raised during the disciplinary process, if the grievance and disciplinary case need to be dealt with concurrently.

    • Discuss any cases involving trade union representatives with line manager and trade union officials, prior to any proposed disciplinary hearing.

  • Disciplinary Meeting Chair

    • Ensure fair and equitable process is followed.

    • Explain allegations being made against the employee and instruct investigating officer to outline the evidence during the disciplinary meeting.

    • Adjourn disciplinary meeting to consider the evidence or clarify/gather additional information.

    • Decide whether disciplinary or any other action is required and ensure the decision is communicated to the employee.

    • Issue first written warning to employee, where a decision has been taken to issue a disciplinary sanction.

    • Where the matter is sufficiently serious issue final written warning letter to employee in consultation with the line manager.

  • Investigating Officer

    • Attend disciplinary hearing and outline details of the case.

  • College Secretary (or nominee) /Executive Dean

    • Consider option to dismiss employee if misconduct is sufficiently serious.

  • Head of HR Services (or nominee)

    • Process requests from employee to appeal against disciplinary and dismissal decisions.

  • Chair of Appeal Hearings

    • Ensure fair and equitable process is followed.

    • Review the evidence based on the grounds of the appeal.

    • Where an appeal has been lodged, ensure employee is notified of the outcome.

back to top
The HR team is based on the first floor of Egmont House
Postal address: Human Resources, Birkbeck, University of London, Malet Street, London WC1E 7HX